Employment First State Leadership Mentoring Program (EFSLMP

Employment First State Leadership Mentoring Program

(EFSLMP)

PROVIDER TRANSFORMATION MANUAL

Pilot Version

U.S. Department of Labor

Office of Disability Employment Policy

May 5, 2017

Contract No. DOL-OPS-14-D-005

Order No. DOL-OPS-16-T-00129

Authors:

Lisa Mills, Ph.D.

Rachel Pollock, JD

Pat Rogan, Ph.D.

Genni Sasnett, MA

Submitted by:

Economic Systems Inc.

3120 Fairview Park Drive, Suite 500

Falls Church, VA 22042

703.642.5225

www.econsys.com

This document was prepared for the U.S. Department of Labor (DOL) Office of Disability Employment Policy (ODEP).

The views expressed are those of the authors and should not be attributed to DOL, nor does mention of trade names,

commercial products, or organizations imply endorsement by the U.S. Government. The Provider Transformation

Manual will be used in the pilot webinar series that is scheduled from May to August 2017. We will collect feedback

from participating Community Rehabilitation Providers and incorporate it into the final version.

Table of Contents

Introduction ............................................................................................................................................................ 1

More on the EFSLMP Approach to Provider Transformation ............................................................................. 3

The Case for Organizational Transformation: Why Do It and Why Now? .......................................................... 4

Module 1: Leadership and Setting the Tone for Change ...................................................................................... 9

Resources and References for Module 1- Leadership and Setting the Tone for Change ............................ 10

Some Key Areas of Focus for Leaders ............................................................................................................... 11

Becoming a Learning Organization ................................................................................................................... 12

Key strategies to help stakeholders gain knowledge and skills .................................................................... 12

Convening a Transformation Team .................................................................................................................. 13

Important things to consider when forming and using a Transformation Team ......................................... 13

Engaging Your Board of Directors from the Start ............................................................................................. 14

Some strategies to effectively engage boards ............................................................................................. 14

Conducting a Preliminary Gap Analysis ............................................................................................................ 15

Conducting an Organizational Assessment and Analysis Process .................................................................... 15

Reviewing present operations and culture .................................................................................................. 15

Conducting internal assessments ................................................................................................................. 16

Conducting an external organizational self-assessment .............................................................................. 17

Identifying Your Values, Vision, and Mission .................................................................................................... 18

One approach to consider: Value Stream Mapping ..................................................................................... 18

Customer service philosophy ....................................................................................................................... 18

Values ........................................................................................................................................................... 19

Vision ............................................................................................................................................................ 19

Mission ......................................................................................................................................................... 20

Agency name ................................................................................................................................................ 20

Investing in Staff Development ........................................................................................................................ 20

Learning from Others ........................................................................................................................................ 21

Promoting a Strong and Consistent Message (Marketing) ............................................................................... 21

Letting your community know about the changes in your organization ..................................................... 21

Module 2: Strategic Planning ............................................................................................................................... 23

Resources and References for Module 2 - Strategic Planning ..................................................................... 24

Step 1: Assess and Analyze the Organization’s Past and Present Status .......................................................... 25

Step 2: Review Values, Vision, and Mission Statements .................................................................................. 25

Step 3: Analyze Strengths, Weaknesses, Opportunities, and Threats (SWOT) ................................................ 26

Step 4: Develop a Strategic Plan ....................................................................................................................... 26

Step 5: From Strategic Planning to Implementation ....................................................................................... 27

Identifying Resource Needs in Advance ....................................................................................................... 27

Alternatives to Strategic Planning ................................................................................................................ 29

Anticipating Possible Challenges/Thinking of Solutions ............................................................................... 30

Informational Interviews .............................................................................................................................. 30

Focus Groups ................................................................................................................................................ 30

World Café .................................................................................................................................................... 30

Public Forums ............................................................................................................................................... 31

Avoiding Pitfalls – Keeping Your Compass Pointed Toward True Community Integration .......................... 31

Questions that your team may want to consider: ....................................................................................... 31

Module 3: Making It Happen (Operations Focus) ................................................................................................ 33

Resources and References for Module 3- Making It Happen ....................................................................... 34

How to Begin: Start Small and Do It Right from the Start ................................................................................ 35

Learning About and Investing in Best Practices ................................................................................................ 35

Incorporating Best Practices ......................................................................................................................... 35

Trying It Out - Piloting New Practices ............................................................................................................... 35

What is a pilot project? ................................................................................................................................ 36

Why pilot? .................................................................................................................................................... 36

Who are good candidates with which to start a pilot? ................................................................................ 36

Take the time to learn from your pilot—revise your initial plans ................................................................ 36

Ensuring Sustainability ...................................................................................................................................... 37

Think Big, Start Small, Scale Quickly ................................................................................................................. 37

Chart out how you can effectively bring competitive integrated employment to scale ............................. 37

Continue to project how your revenues and expenses will grow as you move to scale ............................. 37

Advocate with your funders for appropriate funding .................................................................................. 38

Enacting an Employment First Approach: Key Considerations as You Move to Scale ..................................... 39

iii

Teamwork in decentralized organizations: Practical considerations for making it happen ........................ 39

Just Do it! Closing the Shop/Facility Front Door ............................................................................................... 40

Keep Learning, Exploring and Sharing .............................................................................................................. 41

Developing and Redesigning Relationships with Your Business Community ................................................... 42

Developing Relationships with Community Partners ....................................................................................... 43

Module 4: Funding ............................................................................................................................................... 46

Resources and References for Module 4-Funding ....................................................................................... 47

Determining long term funding needs: Start from your Strategic Plan ............................................................ 48

Taking an Inventory of Potential Funding Sources ........................................................................................... 48

Vocational Rehabilitation Funding ............................................................................................................... 48

Medicaid Home and Community-Based Services Funding ........................................................................... 49

Ticket to Work .............................................................................................................................................. 50

Education Funds – Limitations on Use of Subminimum Wage .................................................................... 51

Workforce Funding ....................................................................................................................................... 51

State Funded Services and Initiatives ........................................................................................................... 52

WIPA Funding ............................................................................................................................................... 53

County, Municipal and Local Funding .......................................................................................................... 53

Foundation Funding ..................................................................................................................................... 53

State Developmental Disabilities Council Funding ....................................................................................... 54

Braiding Funding to Support Transformation ................................................................................................... 54

Some of the Many Ways to Braid Funding ................................................................................................... 54

Examples of Braiding .................................................................................................................................... 55

Integrated, Community-Based Wrap Around Supports ................................................................................... 56

Reallocation of Existing Resources ................................................................................................................... 56

Adapting to revenue and resource changes ................................................................................................. 56

Advocating with Your Funders .......................................................................................................................... 59

Creating a partnership with your funders .................................................................................................... 59

Preparing a presentation for your funders................................................................................................... 59

Determining Who Needs to be at the Table ..................................................................................................... 61

Bridge Funding .................................................................................................................................................. 61

Module 5: Individualized Planning and Services (Consumer Focus) .................................................................... 63

Resources and References for Module 5- Individualized Planning and Services ......................................... 64

Setting the Groundwork – Making Employment Part of the Intake and Planning Process .............................. 66

Competitive Integrated Employment ............................................................................................................... 67

Learning about the Job Seeker ..................................................................................................................... 67

Strategies to Help People Find and Keep Jobs ............................................................................................. 67

Competitive Placement ................................................................................................................................ 68

Customized Employment ............................................................................................................................. 68

Examples of Customized Jobs ....................................................................................................................... 71

Supported Employment ............................................................................................................................... 73

Building Natural Supports - Defining the Job Coach Role ............................................................................ 74

Career Advancement .................................................................................................................................... 75

Self-employment .......................................................................................................................................... 75

Having a Process in Place if People Lose Their Jobs ..................................................................................... 76

Paid internships and work try outs ................................................................................................................... 76

Volunteering and unpaid internships ............................................................................................................... 77

Beneficial Employment Related Activities for Job Seekers ............................................................................... 78

Helping Individuals and Their Families Navigate Benefits and Employment ................................................... 80

An Overview of Some Work-Related Benefits Strategies ................................................................................. 81

1619(b) ......................................................................................................................................................... 81

Medicaid Buy-In ............................................................................................................................................ 81

Plan to Achieve Self-Support (PASS Plan) ..................................................................................................... 81

Impairment Related Work Expenses (IRWE) ................................................................................................ 82

ABLE Act Accounts ........................................................................................................................................ 82

Module 6: Reorganizing Staff for Transformative Change ................................................................................... 83

References and Resources for Module 6- Reorganizing Staff for Transformative Change .......................... 84

Determining Staffing Needs .............................................................................................................................. 85

Revisiting Job Descriptions ............................................................................................................................... 86

Filling Staff Positions: Recruiting, Interviewing, Orienting, Training, Evaluating, Supporting, Empowering and

Retaining Staff ................................................................................................................................................... 86

Recruiting ..................................................................................................................................................... 86

Interviewing .................................................................................................................................................. 87

Staff orientation and training ....................................................................................................................... 88

Evaluating staff performance ....................................................................................................................... 91

Supporting staff ............................................................................................................................................ 91

Empowering staff on the front lines ............................................................................................................. 92

Staff retention .............................................................................................................................................. 92

Team Building and Self-Directed Teams ........................................................................................................... 93

Attachment to Module 6 .................................................................................................................................. 95

Module 7: How Are We Doing? (Results) ............................................................................................................. 97

Resources and References for Module 7- How Are We Doing? ....................................................................... 98

Why measure the change process and outcomes? .......................................................................................... 99

Collecting Data and Tracking Outcomes ........................................................................................................... 99

Organizational Level Assessment ............................................................................................................... 100

Division/Department/Unit Assessment ..................................................................................................... 100

Team Level Assessment .............................................................................................................................. 100

Individual Level Assessment ....................................................................................................................... 100

Monitoring Stakeholder Satisfaction .............................................................................................................. 101

What Have We Learned? What Needs to Change? .................................................................................... 105

Maintaining a Sense of Urgency ..................................................................................................................... 105

Module 8: Beyond Transformation .................................................................................................................... 106

Contemplating Expansion to Meet Broader Needs ........................................................................................ 107

Serving as a Mentor to Other Organizations .................................................................................................. 107

Communities of Practice ............................................................................................................................ 107

Consortiums and Collaborations ................................................................................................................ 108

Hosting “Learning Journeys” ...................................................................................................................... 108

Training and TA Provider ............................................................................................................................ 109

Conference Presentations .......................................................................................................................... 109

Conclusion ........................................................................................................................................................... 110

List of Exhibits

Exhibit 1. National Baldrige Model’s Criteria for Performance Excellence ............................................................. 1

Exhibit 2. Criteria in Performance Excellence in Employment First – Provider Transformation ............................ 2

Exhibit 3. Example Historical Timeline for an Organization .................................................................................. 17

Exhibit 4. Common Steps for Strategic Planning ................................................................................................... 25

Exhibit 5. An Example of a First Year Strategic Plan for Organizational Transformation ..................................... 28

Exhibit 6. An Example of an Alternative Approach to Strategic Planning ............................................................. 29

Exhibit 7. Organizational Assessment Process ...................................................................................................... 99

ODEP Pilot Version Spring 2017 1

Measurement, Analysis, and Knowledge Management

Introduction

This manual has been created to capture learning from, and support the continued success of, the

Employment First State Leadership Mentoring Program (EFSLMP), an initiative of the U.S. Department of

Labor, Office of Disability Employment Policy (ODEP).

The EFSLMP is a cross-disability, cross-systems change

initiative providing a platform for multi-disciplinary state teams to focus on implementing Employment First

with fidelity through the alignment of policies, coordination of resources, and updating of service delivery

models to facilitate increased integrated employment options for people with the most significant disabilities.

ODEP recognizes Employment First as a national movement providing a framework for systems change that is

centered on the premise that all citizens, including individuals with complex disabilities, are capable of full

participation in integrated employment and community life. ODEP defines Employment First as the

expectation that public systems align policies, practices, and reimbursement structures to foster competitive

integrated employment as the priority option in publicly-financed day and employment services for youth and

adults with significant disabilities.

ODEP recognizes that the achievement of Employment First requires transformation of both public systems

and service providers. To guide this two-pronged approach to Systems Change, ODEP has adopted the National

Baldrige Model’s Criteria for Performance Excellence [see Exhibit 1] which includes seven key elements:

Leadership; Strategic Planning; Customer Focus; Workforce Focus; Operations Focus; Results; and Ongoing

Measurement, Analysis, and Knowledge.

Exhibit 1. National Baldrige Model’s Criteria for Performance Excellence

Source: http://www.nist.gov/baldrige

To facilitate provider transformation using the Baldrige approach, ODEP has developed a set of Criteria for

Performance Excellence in Employment First Provider Transformation [see Exhibit 2]. This provider

transformation manual builds on the criteria that have been developed, offering significant, detailed

information, advice and examples based on best practices for provider transformation developed through the

This edition will be used as a pilot model. Our goal is to receive feedback over the course of the EFSLMP Community of Practice (CoP)

webinar series throughout the rest of the year regarding the usefulness and applicability of the manual.

https://www.dol.gov/odep/topics/EmploymentFirst.htm

Strategic

Planning

Workforce

Focus

Customer

Focus

Operations

Focus

Results

Leadership

ODEP Pilot Version Spring 2017 2

EFSLMP and derived from the experience and expertise of EFSLMP subject matter experts working on

transformation with providers around the country.

Exhibit 2. Criteria in Performance Excellence in Employment First – Provider Transformation

http://www.leadcenter.org/system/files/resource/downloadable_version/Employment_First_Technical_Brief__3_0.pdf

Leadership

• Promote ongoing professional development and mentoring of leaders within provider networks to cultivate a cadre of strong leadership

capable and committed to the development of competitive, integrated employment outcomes and socioeconomic advancement for

people with disabilities.

• Build in incentives for supporting, retaining, and rewarding “early adopters” of effective practices among staff.

Strategic

Planning

• Infuse & embed the State’s Employment First vision, goals, guiding principles, & conceptual framework within the strategic planning

processes, consistent with similar efforts undertaken across relevant State government agencies.

• Develop, disseminate, and make readily available the provision of effective practices that lead to competitive, integrated employment

for individuals with disabilities, as well as benefits planning, financial capability, and economic advancement strategies for all clients.

• Develop operational agreements across various state publicly-financed systems and provider networks resulting in the alignment of

policy, practice, and funding strategies to allow for a consistent focus on performance-based results.

Customer

Focus

• Survey customers & stakeholders regularly to understand level of satisfaction & determine the areas of improvement needed.

• Review service coordination processes to determine whether key steps in the process could be strengthened in terms of being more

focused on person-centered, individual strategies, and experiential informed choice.

• Expand and improve upon existing assessment processes to ensure a rich collection of data on the individual’s strengths, gifts, and

preferences that can be used to leverage multiple options.

Workforce

Focus:

• Realign organizational structure and standard operating procedures (SOPs) to allow the time, flexibility, and incentives required to

develop professional staff in key areas critical to successful transformation.

• Ensure ongoing professional development, mentoring, coaching, and staff support promoting continued strengthening of skill sets

critical for expanded business models.

• Optimize service time and ratio deployment for provision of long-term supports, crisis interventions, and new job starts within provider

network.

• Consider incentives for staff to facilitate clear measurable performance outcomes for competitive, integrated employment and to

effectively address individual and cultural resistance to change.

Operations

Focus

• Diversify funding streams to optimize available support for competitive, integrated employment services.

• Expand the provision of services to include a stronger focus on the dissemination of effective practices that result in competitive,

integrated employment outcomes.

• Promote the modernization of operational processes including IT//electronic record-keeping and decentralized staffing models to

successfully meet growing demand for the provision of competitive, integrated employment strategies.

• Consider reconfiguration of service management elements within provider organizations (including, but not limited to, communication,

data collection, logistics, technology, transportation, billing systems, supervision, and customer satisfaction) and infusion of “lean

management” techniques.

Results

• Grow percentage of competitive, integrated employment placements over baseline, and capture length of time from start of service to

placement.

• Coordinate employment efforts with other long-term supports (housing, transportation, natural supports) and benefits planning/work

incentives.

• Survey customers & stakeholders regularly to understand level of satisfaction & determine the areas of improvement needed.

• Track staff development milestones, including training/TA received, credentials/certification completed, etc.

• Track impact of applying effective practices to internal daily operations and service approaches.

• Demonstrate cost-effectiveness of competitive, integrated employment supports through maximization of natural workplace supports,

assistive technology, and job customization.

• Align policies, operational procedures, and funding to reflect adoption of effective practices and competitive, integrated employment

service delivery.

Measurement,

Analysis, and

Knowledge

Management

• Create shared performance-based outcomes & corresponding metrics across various divisions of the organization to incentivize

effective coordination of human & technical resources & collective action around pursuance of organizational strategic goals.

• Establish bench-marks from baseline data and collect high-impact, relevant data to help inform continued organizational restructuring,

internal policy changes, operational practice updates, and development strategies.

• Translate high-impact knowledge through continued commitment to training, technical assistance, professional development and

communities of practice.

ODEP Pilot Version Spring 2017 3

The reader will note that the manual has been organized with individual modules that each focus on one

element of the Baldrige model. In addition, modules on two other critical topics for success – bringing provider

transformation to scale and being a mentor to other providers – are also included to round out this

comprehensive manual. Readers can opt to use the manual as a comprehensive resource or to pull-out specific

modules as they are needed during the process of transformation.

More on the EFSLMP Approach to Provider Transformation

The EFSLMP has developed a unique approach to supporting provider transformation in a comprehensive way.

The approach brings together the collective experiences of over thirty Subject Matter Experts from around the

country, all of whom are either disability employment service providers themselves – who have shepherded

their organizations through a process of

transformation - or integrated employment and

community supports experts who have provided

support, technical assistance and training to

disability employment and day service providers

from around the country who have been actively

engaged in organizational transformation. ODEP’s

EFSLMP Subject Matter Experts are both, by

definition and by design, an eclectic group of

people with tremendous breadth of experiences

and knowledge. This is particularly valuable in

supporting provider transformation on a national

scale because:

• No two providers’ transformation process and circumstances are the same, even if providers may

operate in the same state or locality;

• The nature of provider transformation has changed over time, both within particular states and

nationally;

• Core best practices for successful provider transformation – practices that are considered “tried and

true” among those who make this topic their life’s work – can be implemented in many subtly different

ways depending on a particular provider’s circumstances and challenges;

• Effective mentoring relationships cannot be forced, and rely most heavily on “smart” matching of

leaders and organizations who will “gel” in truly impactful ways;

• Communities of practice that bring together Subject Matter Experts and diverse providers on the path of

organizational transformation can enhance learning, information exchange, mutual support structures

and translation of knowledge.

The EFSLMP Provider Transformation Initiative brings together many experts with a deep historical perspective

on provider transformation. This has greatly enhanced the project’s ability to build on and further expand the

historical knowledge base for provider transformation. In addition, one of the most important contributions of

the EFSLMP Provider Transformation initiative has been to modernize, and recast as necessary, long-standing

best practices into strategies that are geared toward the current realities- both challenges and opportunities

facing traditional employment and day service providers across the country.

Transformation:

It takes the desire to change, the

determination to start, and the dedication to

continue.

- Ben Timmis

Transformation:

It isn’t about improving, it’s about re-

thinking.

- Malcolm Gladwell

ODEP Pilot Version Spring 2017 4

The Case for Organizational Transformation: Why Do It and Why Now?

This manual’s publication date is 2017—twenty-seven years after the passage of the Americans with

Disabilities Act. A quarter of a century ago, a very small number of community rehabilitation providers across

the country, including some facility-based day service providers were engaged in organizational

transformation. At the same time, federal supported employment capacity building grants were beginning to

make a positive impact in many states, demonstrating

the valuable outcomes that supported employment

could bring to individuals with significant disabilities.

Yet overall, there was not any sense that a major

evolution in employment and daytime support services

for people with disabilities was just around the corner.

And while it’s true that the intervening years leading

up to 2011 did not bring to scale, to the extent many

had anticipated, the systemic momentum and best

practices built in the early years of supported

employment, it is hard for anyone to deny that in the

past five years (2011-2016), an evolution in thinking

has taken place across the field of disabilities that has

set the stage for competitive integrated employment and integrated community supports to become the

primary service models for transition-age youth and working-age adults with disabilities in every state. This

broad-based evolution of thinking has been ushered in through a variety of different, but coinciding federal

policy initiatives, state-level reforms, legal actions, and media coverage that collectively have begun to reshape

public opinion. Among the most influential developments of the past five years are the following:

• The June 2011 Statement of the Department of Justice on Enforcement of the Integration Mandate of

Title II of the Americans with Disabilities Act and Olmstead v. L.C. This Statement

established for the

first time, an expectation that compliance with the ADA and Olmstead required states to have an

effective working plan to address “individuals spending their days in sheltered workshops or segregated

day programs” and which “must have demonstrated success in actually moving individuals to integrated

settings in accordance with the plan.” Most of the Olmstead lawsuits and settlement agreements that

came after this Statement have had a strong focus (and in the cases of Oregon and Rhode Island, an

exclusive focus) on transitioning publicly funded state systems away from segregated employment and

day services to individualized supported employment and integrated community supports.

See https://www.ada.gov/olmstead/q&a_olmstead.htm

See U.S. Department of Justice settlement agreements with the states of Georgia, Delaware, North Carolina, and Virginia, as well as

the settlement agreement with the state of Oregon and the consent decree with the state of Rhode Island. See

https://www.ada.gov/olmstead/

for more information.

… in the past five years (2011-2016), an

evolution in thinking has taken place

across the field of disabilities that has set

the stage for competitive integrated

employment and integrated community

supports to become the primary service

models for transition-age youth and

working-age adults with disabilities in

every state.

ODEP Pilot Version Spring 2017 5

• The September 2011 Informational Bulletin

released by the Centers for Medicare and Medicaid

Services (CMS) which provided strong guidance regarding employment and employment-related

services in Medicaid Home and Community-Based Services (HCBS) Waivers.

This guidance underscores

CMS’s commitment to the importance of competitive integrated employment and self-employment

opportunities for waiver participants. The guidance is now part of the Technical Guide states must

follow in creating, renewing or amending HCBS Waivers, and it contains a strong expectation from CMS

that states will use HCBS Waivers to increase competitive integrated employment opportunities and

meaningful community integration for HCBS Waiver participants with disabilities.

• The August 2012 report by the National Council on Disability, a federal agency, calling for a phase out of

sub-minimum wage.

This report both preceded and followed local, state and national media coverage

of the use of sub-minimum wage in the employment of people with disabilities. Meanwhile, legislation

to phase out and end the use of Section 14(c) special minimum wage has been introduced multiple

times in Congress, first in October of 2011, then in February of 2013 and most recently, in January of

2015. The current House bill (HR 188) has 69 co-sponsors from both sides of the aisle, as of June, 2016,

and the Senate companion (S. 2001) is bipartisan as well. Additionally, the Workforce Innovation and

Opportunity Act (WIOA), passed in July of 2014, established an Advisory Committee to the U.S.

Department of Labor charged in part with making recommendations regarding the future of Section

14(c). WIOA also introduced restrictions on the ability of employers to pay youth a sub-minimum wage

and new requirements for state vocational rehabilitation agencies to conduct annual outreach to all

state residents with disabilities being paid sub-minimum wage to offer services that would allow these

individuals to obtain competitive integrated employment paying at least minimum wage. And most

recently, in March of 2016, the AbilityOne Commission issued a Declaration in support of minimum

wage for all people who are blind or have significant disabilities.

• The September 2013 promulgation of a new rule, by the U.S. Department of Labor’s Office of Federal

Contract Compliance Programs, governing the implementation of Section 503 of the Rehabilitation Act

which prohibits federal contractors and subcontractors from discriminating in employment against

individuals with disabilities and requires these employers to take affirmative action to recruit, hire,

promote, and retain individuals with disabilities. The rule strengthens the affirmative action provisions

of the regulations, requiring increased efforts by contractors to recruit and hire people with disabilities,

and improve job opportunities for individuals with disabilities.

• The February 2014 Executive Order 13658, signed by President Barack Obama, “Establishing a Minimum

Wage for Contractors,” to raise the minimum wage to $10.10 for all workers on Federal construction

and service contracts, including all workers with disabilities whether covered under the Section 14(c)

special minimum wage certificate program or not.

See https://downloads.cms.gov/cmsgov/archived-downloads/CMCSBulletins/downloads/CIB-9-16-11.pdf

Medicaid HCBS Waivers first became available in 1983 when Congress added section 1915(c) to the Social Security Act, giving States

the option to receive a waiver of Medicaid rules governing institutional care. Medicaid HCBS Waivers allow a state to offer services and

supports to people with disabilities, otherwise qualified for institutional care, in the community.

https://www.ncd.gov/publications/2012/August232012

http://www.abilityone.gov/commission/documents/US%20AbilityOne%20Commission%20Declaration%2018March2016%20Final.pdf

ODEP Pilot Version Spring 2017 6

• The March 2014 promulgation of the Medicaid Home and Community-Based Settings Rule by the

Centers for Medicare and Medicaid Services (CMS) which requires all HCBS settings eligible for

Medicaid funding to provide opportunities for individuals to pursue employment, work in competitive

integrated settings, and engage in community life. The rule further requires all HCBS settings eligible for

Medicaid funding to be integrated in, and support full access to, the greater community. And finally, the

rule establishes a requirement that states must offer HCBS participants an opportunity to receive HCBS

services in non-disability-specific settings, thus requiring states to develop and offer integrated

prevocational and day habilitation service models if the state had only facility-based prevocational and

day habilitation service options prior to the implementation of the rule.

• The July 2014 passage into law of the Workforce Innovation and Opportunity Act (WIOA), raising

expectations across state workforce and vocational rehabilitation systems that competitive integrated

employment be the prioritized investment and outcome for transition-age youth and adults with

disabilities. WIOA ushered in the expectation that state workforce system programs achieve true

programmatic accessibility for individuals with disabilities, while also introducing new requirements for

state vocational rehabilitation agencies to provide pre-employment transition services to youth with

disabilities enrolled in secondary education.

• The May 2016 promulgation of new Medicaid Managed Care Rules by the Centers for Medicare and

Medicaid Services (CMS) which requires states and managed care organizations to ensure access to, and

supports for, competitive integrated employment in Medicaid Managed Long-Term Services and

Supports programs that serve persons with disabilities. Prior to the issuance of these rules, numerous

states moving to Medicaid Managed Care had built in expectations for increasing competitive integrated

employment outcomes for enrollees with

disabilities.

Throughout this time, the country has also seen an

array of federally funded grant and technical

assistance initiatives aimed at increasing

competitive integrated employment opportunities

for transition-age youth and adults with disabilities,

including an emphasis on facilitating systems

change and implementing policies consistent with

Employment First. In addition to EFSLMP, a number

of other federally funded grant and technical

assistance initiatives include a focus on supporting

provider transformation by extending mentoring,

training, technical assistance and other key support strategies to a growing number of disability service

providers across the country that are seeking such supports to evolve their organization’s services to align with

changing expectations and opportunities.

https://www.cms.gov/Newsroom/MediaReleaseDatabase/Fact-sheets/2014-Fact-sheets-items/2014-01-10-2.html

… a number of federally funded grant and

technical assistance initiatives include a focus

on supporting provider transformation,

extending mentoring, training, technical

assistance and other key support strategies to a

growing number of disability service providers

across the country that are seeking such

supports to evolve their organization’s services

to align with changing expectations and

opportunities.

ODEP Pilot Version Spring 2017 7

At the same time, our nation’s economy is beginning to recover from one of the most serious and long-

standing recessions in history. Coupled with this is the stark reality that our workforce is fundamentally

changing. With baby boomers now retiring in record

numbers, most every industry and economic sector is

projecting major workforce shortages in the decades to

come. And there is a recognition that American workers

are changing as well, with the millennials ushering in

expectations for a better work-life balance and greater

workplace flexibility. As employers of all kinds respond

to these trends, there is a groundswell of interest in

non-traditional labor pools and groups that are

untapped and/or underrepresented in the current labor

market, with individuals with disabilities being a key part

of these groups. Further, there is growing interest in

progressive and innovative approaches to human resource (talent) management, including Customized

Employment

and the concept of a Teachable Fit

to bridge the divide between employers and the new face

of America’s modern workforce. These approaches not only make room for workers with disabilities but

endorse fundamental strategies that pave the way for increased hiring of workers with all kinds of disabilities

into competitive integrated employment situations.

For several decades, we have seen the emergence of a research and evidence base for competitive integrated

employment services, thus enabling disability service providers to fill their toolboxes with a variety of

innovative and “proven to work” strategies for facilitating competitive integrated employment outcomes for

individuals with various types of significant disabilities. In the last decade, research addressing the connection

between competitive integrated employment and positive health and mental health outcomes has increased,

as has research demonstrating the cost-effectiveness of public investments in supported employment.

As federal and state funders of disability services increase emphasis on integrated service provision and

competitive integrated employment services in particular, providers of more traditional employment and day

services are no doubt feeling the pressure to participate in this evolution and bring their organizations and

practices into full alignment with the many developments discussed above that have come about in rapid

succession in recent years. Yet at the end of the day, what appears to be moving more and more traditional

employment and day service provider organizations to embrace sustained organizational transformation is the

recognition of the benefits and possibilities that transformation brings to the people with disabilities each of

these organizations serves. What’s more, organizations embracing transformation are also finding that staff at

all levels of the organization are similarly positively affected, finding new energy, passion and satisfaction in

doing new work that is changing their roles and their impact on the people with disabilities they support and

https://www.accenture.com/t20150824T010002__w__/us-en/_acnmedia/Accenture/Conversion-

Assets/DotCom/Documents/Global/PDF/Strategy_7/Accenture-Trends-Reshaping-HR-Workforce-One.pdf and

https://www.dol.gov/odep/documents/vignette_v3_blue_508_final.pdf For more information on Customized Employment, also see:

https://www.dol.gov/odep/topics/CustomizedEmployment.htm and

http://www.leadcenter.org/customized-employment

https://www.manpowergroup.com.au/documents/White-Papers/2010_Teachable-Fit-Framework.pdf

Yet at the end of the day, what appears to

be moving more and more disability

service provider organizations to embrace

sustained organizational transformation is

the recognition of the benefits and

possibilities that transformation brings to

the people with disabilities each of these

organizations serves.

ODEP Pilot Version Spring 2017 8

their communities. As one thirty five-year veteran manager of employment services from a community

rehabilitation provider in Wisconsin put it:

“When you have staff achieve an employment goal with someone, and you see the joy

that they experience with that individual…and you have someone come into your office

and say ‘Yes! I’m a working man now. I’m going to be a working man now!’ it really

brings home to you why you are putting all of this effort into this.”

And finally, it seems clear that organizations engaged in transformation are recognizing the positive benefits of

this work on their reputation and standing in the wider community. They are finding support is increasing from

the local business community and their traditional community supporters. They are also finding significantly

increased support from their funding sources that are equally invested in their success. And they are finding

that peer organizations, both from within the state and from other states, are now looking to them for advice,

mentoring and technical assistance.

If these outcomes are the kinds of outcomes that resonate with you and your organization, then

transformation is the right next step. This manual brings together in one place, the best strategies, tips, lessons

learned and perspectives on provider transformation to help you and your organization get started, or if you

have already started, to help you and your organization continue your efforts and ultimately achieve the best

possible success with transformation.

To view a video on organizational transformation efforts in Wisconsin and the perspective of this and other community rehabilitation

provider directors and managers, see: https://www.youtube.com/watch?v=xd3qgUwLHbw

ODEP Pilot Version Spring 2017 9

Module 1:

Leadership and

Setting the Tone for Change

Key Terms

Learning Organizations

Communities of Practice

Gap Analysis

Board of Directors

Organization Self-Assessment

Focus Groups

Historical Timelines

Transformation Team

Value Stream Mapping

ODEP Pilot Version Spring 2017 10

Resources and References for Module 1- Leadership and Setting the Tone for Change

Resources

Sample Organizational Self-Assessment Tools

Organizational Self-Assessment Tool Sasnett, G. 2017. Created for the Office of Disability

Employment Policy, Employment First State Leadership State

Mentoring Program. https://apps.econsys.com/ta-

planner/resources/provider_transformation

Moving from segregation to integration:

Organizational change strategies and outcomes

Rogan, P. 2007. In P. Wehman, K. Inge, W.G. Revell, & V.

Brooke (Eds.). Real work for real pay: Inclusive employment for

people with disabilities. Baltimore: Paul Brookes.

https://apps.econsys.com/ta-

planner/resources/provider_transformation

Organizational Change Technical Assistance Guide

Rinne, S., and Rogan, P. 2005. Indiana Employment Initiative,

Center on Community Living and Careers.

https://apps.econsys.com/ta-

planner/resources/provider_transformation

Organizational Self-Assessment: A Tool to Assist

Facility-Based Day and Prevocational Service

Providers in Planning and Implementing an

Organizational Transition to Community-Based

Service Delivery with Integrated Employment as

the Core Opportunity for All Working-Age

Participants with Disabilities

Mills, L. 2013. Madison, WI: Moving To A Different Drum, LLC.

https://apps.econsys.com/ta-

planner/resources/provider_transformation

Sample Survey Tool

Organizational Transformation Staff Survey

Sample

2009. Created by Wisconsin Pathways to Independence

Initiative for the Wisconsin CRP Rebalancing Initiative. Adapted

from survey originally developed by Institute for Community

Inclusion, UMass Boston. www.communityinclusion.org

ODEP Pilot Version Spring 2017 11

MODULE 1: Leadership and Setting the Tone for Change

Change can be challenging in any organization. Every community service provider agency has a history. Habits

have been developed. Routines have been followed. Missions have been set and pursued. Staff and leadership

have worked hard to accomplish goals. People have pride in the work they have done. The agency has been

considered a success.

Now new and exciting employment strategies are being introduced and adopted that are changing the way we

view community employment for people with disabilities. New options have opened for people with

disabilities to be employed in competitive integrated jobs and recognized as full citizens of their communities.

What an exciting time! Not only has this changed the way we think but it also impacts the way services are

provided. Change is not just coming, it’s here. Great, visionary

leadership is needed to shepherd agencies into the future.

Times of change can be exciting and energizing but they can also be

unsettling and frightening for people served by the agency, families

and guardians, boards of directors and staff. Effective leadership in

the change process is essential to make the shift as smooth as

possible. Leadership will set the tone for the change. The attitude of

leaders will affect the receptivity of stakeholders to change in either

a positive or negative manner. If the leadership presents the changes as burdensome, something the agency is

being forced to do and generally undesirable, others will see it that way too. But if the leadership can project

excitement and optimism about the possibilities, demonstrate a “can-do” approach, encourage inclusiveness

and determination, even when the future is not absolutely clear, positive change can and will occur, no matter

what obstacles are encountered.

Some Key Areas of Focus for Leaders

• People supported – the people with disabilities who are receiving support are the most effected by

transformation and should be included and actively involved in all aspects of the process

• Values, vision and mission – working with stakeholders to determine who you are as an agency, where

you are going and how you will get there

• Outreach – reaching out to stakeholders in a planned and consistent manner to inform, educate and

receive feedback about the changes within the agency.

• Communication and culture – providing information, making sure everyone knows the direction the

agency is pursuing and why, being honest and building trust, not always having the answers but building

a culture of optimism, determination, inclusiveness and teamwork.

• Planning - engaging stakeholders in the process of setting the course for the future based on the

agency’s values, vision and mission

• Partnering – developing partnerships with staff, families, board members, community employers,

funders and other stakeholders to accomplish transformation goals. Everyone has something they can

contribute, whether leads for jobs or training in the community, private fundraising opportunities or

other community resource options.

"In the end, it is important to

remember that we cannot

become what we need to be by

remaining what we are."

-- Max De Pree

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• Celebrating success- keeping morale high by recognizing and rewarding accomplishments, and keeping a

focus on where your agency is going rather than what you’re leaving behind.

• Branding and marketing – guiding the development of branding for the agency that will better reflect its

new identity. Marketing the new brand.

• Mentoring new leaders – building leadership from within the organization, providing them with the

opportunities to lead throughout the change process, and mentoring them as they grow. They are the

future of the agency and the ones who will carry the transformation forward.

Finally, though it can be personally very difficult, it is important for agency leaders to do some self-reflection

about their role in the transformation process. You have to ask yourself if this transformation is something in

which you can truly invest all of the effort, energy, and creativity that will be necessary for it to be a success.

Transformation, though rewarding when you see the terrific results, is not easy and it does not happen quickly.

And while you don’t always have to be in the lead, because often other staff members will step up out of the

ranks and drive the change, you do have to be able to embrace and support your agency’s transformation. It

takes courage, but at some point, you must ask yourself if you are the best person to lead this effort and if you

find you are not, make the tough choice to step aside.

Becoming a Learning Organization

Before an agency begins transformation, stakeholders need to have a clear idea of what it is transforming to. It

is always good practice to stay informed about innovations and newly evolving strategies, but it is especially

important during transformation. Individuals, staff and other stakeholders need to learn about what is possible

and become inspired by the innovations that are occurring. Once interest and excitement is established the

next step is to gain knowledge about new technologies and approaches and acquire the skills to implement

them.

We gain knowledge and skills through exposure and practice. In a learning organization, a high value is placed

on staff development and training; but learning organizations also understand that there are others among

their stakeholders that would benefit from additional knowledge. Job seekers with disabilities need to know

what new options are available to them. Family members need to understand the new approaches to

competitive integrated employment that have become available. Members of boards of directors need to

understand what is being proposed and how it may affect services and their responsibilities. And of course,

staff in every position in the agency needs to gain a good understanding of both the philosophy behind new

strategies and how they will be implemented.

Key strategies to help stakeholders gain knowledge and skills

• Encourage and support attendance at key training conferences – not just leaders and supervisors, but

people served; family members, board members and direct support professionals. A list of relevant

conferences can be found in Module 3.

• Provide access to on-line and face to face training and webinars – While some trainings and webinars

are provided for a fee, many others are offered at no cost. Webinars can be very effective in training,

especially when groups view them together and discuss what they are learning.

• Develop the habit of sharing new information - In learning agencies staff develop the habit of seeking

out new information and sharing what they learn. Articles, blogs, podcasts, videos and other

ODEP Pilot Version Spring 2017 13

information should be circulated in the agency and opportunities to discuss content should be provided

in staff meetings, board meetings and other forums.

• Participate in Communities of Practice (CoPs) – Participation in CoPs provides peer to peer support to

agencies as they are in the transformation process. Sharing with peers can help staff learn new

strategies and develop a sense of common mission with other agencies.

• Visiting other organizations that have successfully transformed and are now demonstrating exemplary

practices can be very inspirational. These visits are highly effective in helping staff grasp how what they

are learning can be put into action. In other words, seeing is believing. Agencies that are successful love

to share their knowledge and experience.

Convening a Transformation Team

No leader can make transformation occur alone. Teamwork is required to make change. Building a culture of

teamwork will help engage stakeholders in the process, provide an opportunity for them to have input, feel

invested, and to share the responsibility for planning and implementing change.

Important things to consider when forming and using a Transformation Team

• Team Composition – The Transformation Team will be the guiding force in the transformation process.

Thoughtful creation of this team is necessary to have the correct representation from across the

organization. It is a good idea to have representation on the team from management as well as from

people served and direct support professionals. Some agencies form several teams that work together

to facilitate the transformation. In such cases, careful coordination and clear communication between

the teams is essential.

• Delineating team responsibilities – team members should have specific responsibilities in the

transformation planning and implementation process. People need responsibility to feel engaged and

committed. One way to achieve accountability is to break down these responsibilities into specific action

steps and timelines.

• Communicating with internal and external stakeholders – One of the chief roles of the Transformation

Team is communication. Teams should have a communication plan that will delineate how information

is going to be shared by the team and with whom it will be shared. Members should have specific

responsibilities related to communication. Messages must be clear and consistent. Communication also

should be two-way. That is, team members will have responsibility not only to carry messages to others

but to receive and transmit message back to the team.

St. John’s Community Services took advantage of grant

funding to pay for all their home office administrative staff to

attend a national competitive integrated employment

conference being held near their headquarters in Washington,

DC. Different staff attended on alternate days to minimize

costs. The objective was to increase the knowledge of everyone

on staff about impending changes so that they could work

cooperatively towards a commonly understood outcome.

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• Supporting your team – The team or teams will be effective if they are properly supported. Some

preliminary training in team operation and facilitation can be useful. Logistical considerations must be

made to accommodate member’s schedules and workloads. Participation is greater and more effective

when meetings are scheduled well in advance, agendas are developed and followed, minutes are taken

and made available to members and meetings are held in locations that are accessible to everyone.

Note that when direct support professionals are included, it is very important that they be supported by

their managers to participate. Managers should arrange for and assure staff coverage for participating

direct support staff.

Engaging Your Board of Directors from the Start

Boards of directors have the ultimate decision-making authority in agencies. The members of the board should

be involved in the transformation process from the beginning. They must understand what you are proposing

to change and why. Smart leadership will begin the education process with the Board as early as possible. The

educational groundwork must be laid before the discussion of change occurs.

Board members typically have many questions and perhaps some concerns about organizational change to

competitive integrated employment services. Some board members may not have the same depth of

knowledge of the Employment First movement that staff has. Some may be invested in the agency as it has

been. They may have raised money for buildings and equipment to provide employment services in facilities

and like others in the agency, are proud of their accomplishments. Good leadership will help to guide the

board’s understanding of the direction the agency hopes to go in the future, help them to see what is possible,

and engage them in developing plans to get there.

Some strategies to effectively engage boards

• Staff/board retreats – Staff and boards benefit from focused, uninterrupted time in a structured process

that will allow both parties to learn together, discuss their hopes and anxieties, and plan for the future.

• Educational sessions as a part of routine board meetings – Staff presentations at meetings are not only

helpful for board members, but it can challenge staff to refine their own thinking.

• Attendance at training sessions – It is a good strategy to invite board members to staff training sessions.

If they can attend, they can learn along with staff and share what they learn with other board members.

• Attendance at governmental informational sessions – Attendance at government information sessions

with provider agencies can help board members learn about expectations from funders first hand. They

can gain additional insight into the direction your agency should be taking in response to funders’

priorities.

• Observations at other agencies – Joining staff as they visit other agencies can help board members

visualize what you are trying to accomplish.

• Inviting a board member to spend time with an individual receiving services – Some board members

may be very interested in spending time with and getting to know an individual who receives services at

the agency. Such interactions may lead to mutually enjoyable relationships, and serve to bring the

change efforts to life for both individuals.

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What about board members who continue to oppose our new direction?

It is possible that some board members will be unable to embrace the new direction of the agency despite

efforts to engage them and gain their support. The agency leader should have individual relationships with all

board members and know who is supportive or not. He or she must work with supportive members to help

opposed or reluctant members envision how the transformation will be beneficial to both individuals served

and the agency. Time must be taken to address the concerns of these members and healthy debate is good.

Ultimately it will be imperative to have a supportive board to move forward. As board membership turns over,

agency leadership should support the board to recruit new members who will be knowledgeable and

supportive.

Conducting a Preliminary Gap Analysis

As the team is being exposed to new thinking and approaches to competitive integrated employment, the

leadership should begin a process by which the team begins to identify best practices they would like to adopt.

A description of some of these best practices is included in Modules 3 and 5. This process helps the agency to

formulate a vision of where they want to be and what they want to become as they transform. This is the

beginning of the visioning process that will be discussed in greater detail later in this module.

After the team has identified the best practices they would like to adopt, it is time to take an initial look at

some of the agency’s current practices. This activity helps identify the gaps between where the agency is and

where it wants to be. A more in-depth analysis which is discussed elsewhere in this module should also occur.

That analysis will surface a wealth of additional information about the agency’s status and all of the elements

of transformation that should be addressed. However, an initial “gap analysis” will set the stage for change by

helping everyone to have a mental picture of the ideal compared to present performance.

An example of best practice they may learn about and want to adopt:

• Competitive integrated employment is an expectation for everyone supported by the agency and

everyone has an employment goal and an employment plan.

An example of a current practice they may have:

• Competitive integrated employment is targeted only to people who have been identified as “job ready”

and only these individuals have employment goals or employment plans.

The gap analysis would identify the absence of the expectation of employment for everyone served and

therefore the lack of employment goals and plans for everyone supported by the agency.

Conducting an Organizational Assessment and Analysis Process

Reviewing present operations and culture

An important step in the transformation process is conducting an in-depth assessment of the agency, its

culture and beliefs, services and practices and positioning for transformation. As was noted earlier, you must

know where you are to plan for where you are going. This assessment process should examine the agency’s

beliefs and culture, customers and services, operational structures and procedures, workforce and staff

development, organizational structures and management practices, community image and marketing

approach.

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Conducting internal assessments

Many agencies find it helpful to conduct an internal or self-assessment and analysis process. Leadership and

staff may find themselves more open to introspection and honest reporting of information if the assessment is

an internal one rather than a traditional external review.

What are some tools and processes for conducting an internal organizational self-assessment?

• Organizational self-assessment surveys – These are assessments conducted by the management team

and whomever they determine should be included in the process. Often parts of the surveys are

conducted by different individuals or groups and then the components are all brought together as one

comprehensive document.

• As a part of the self-assessment process agency staff should be prepared to review agency budgets and

financial reports, reports conducted by external surveyors, agency description and marketing materials,

organizational charts, business or strategic plans, services and funding sources, facilities, and other

assets, among other available data. Three example tools that organizations use for internal self-

assessment can be found at the end of this module. These tools are also designed to assist organizations

to identify their need for training and technical assistance.

• Customer interviews and/or focus groups – The most important group of people from which to get input

is the people who are most impacted by change, the people supported by the agency. Often direct,

individual interviews are the best way to get the opinions of people with intellectual and developmental

disabilities. Care should be taken to ensure that if an interview process is used, it is carefully structured

to avoid leading questions or inherent bias. You want to know how well the people you support

understand the anticipated changes and how receptive they are to what is being planned. It is an

opportunity to identify apprehension and resistance and to develop strategies to address those

concerns.

• Direct service staff, supervisor, manager surveys and/or focus groups – It is important to get some direct

feedback from agency personnel while the assessment is being conducted. You want to know how well

informed they are about impending changes, whether they embrace those changes or oppose them and

how they feel about the direction of the agency. If staff feels uninformed and frightened for their

futures as opposed to knowledgeable and confident, then that will be a clear indication of where some

of the initial focus of the change process must be placed. Many agencies conduct annual staff

satisfaction surveys. These surveys can be expanded to capture critical information regarding

transformation or new surveys can be developed. A sample survey can be found at the end of this

module.

• If the focus groups are used and can be conducted by someone the staff view as more neutral in the

agency or by an external party, the most honest opinions of staff may more easily surface.

• Board of Directors focus group – The importance of board support is discussed earlier in this module.

Focus groups may work well to determine how well informed they are and how they feel about the

proposed changes.

• Developing a historical timeline of the organization – Some organizations have found it to be useful to

develop a historic timeline, sometimes called a “Lifeline” that highlights key events, people, services,

decisions, and outcomes in an organization’s past. The timeline serves to educate stakeholders about

ODEP Pilot Version Spring 2017 17

the evolution of the organization and its services, and the significant changes that occurred. An example

of an historical timeline is provided in Exhibit 3 below.

Exhibit 3. Example Historical Timeline for an Organization

Conducting an external organizational self-assessment

• Parent/guardian surveys, interviews, and/or focus groups – The opinions of family members or

guardians will assist the agency to understand where there is receptivity and support and where there

are concerns and resistance. It will help establish current knowledge levels and future education and

information needs. It will also identify where effort needs to be focused to bring these important

partners on board with the changes.

• Case manager, care coordinators, rehabilitation counselor surveys and/or focus groups - The agency

assessment should also include surveys or focus groups with case managers, care coordinators, and

rehabilitation counselors. They are often responsible for facilitating referrals of individuals to agencies

and advocating for them to receive employment services. Knowing their beliefs and philosophies,

1868

•Agency founded as orphanage

1950s

•Orphange closes

•Private shcool for children with disabilities established

1970s

•Deinstitutionlization lawsuit in state filed

•PL 142 passed (Education for All Handicapped Children Act); prIvate school students begin

to transition to public schools

1980s

•1983 services for deinstitutionlizationlized adults begin (group homes & day)

•Workshop opened early 80s

•SE commenced 1986

1990s

•SE grows as agency expands; "one person/one job" philosophy embraced

•Workshop closes; agency commits to transforming to 100% community services

•Day services become 100% community based (pathway to employment)

•Early intervention services move to 100% community based

2000s

•Expansion continues

•Group homes closed, move to independent and supported living

•School services moved to public schools, facilities sold, agency now 100% in community

•Agency adopts "employment first" (EF) policy and customized employment approach

2010s

•Agency absorbs 100% facility based agency with workshop; loses 100% community based

designation; begins conversion

•2016 workshop closed, competitive integrated employment found for participants

•Entire agency becomes 100% commmunity based again with focus on EF across all services

ODEP Pilot Version Spring 2017 18

opinion of your agency’s current performance, hopes for your future direction, and overall customer

satisfaction is critical to your future.

• Other stakeholder focus groups: Funding sources, employers/business leaders, the local Chamber of

Commerce, local school personnel involved in transition, and other collaborative organizations – every

agency has important community partners that will be impacted by the agency’s transformation. Using

interviews or focus groups as outreach methods will help the agency learn more about these partners,

their perceptions of the agency, their understanding of and opinions about the changes that are at hand,

as well as their interest and willingness to be supportive partners in the future.

Now that we have all this information, how do we analyze and use assessment results for strategic planning?

Once the data is collected from all assessment activities the analysis can begin. These tools can also be useful

for anticipating challenges and developing solutions as part of your strategic planning process. Module 2 offers

detailed information on how to use this data to move forward with development of a strategic plan.

Identifying Your Values, Vision, and Mission

One of the most important activities to be undertaken in the transformation process is the review of your

agency’s core identity and making a philosophical and programmatic commitment. This is done through

examination of your philosophy, values, vision, and mission. These are your guiding principles throughout the

transformation process and beyond. In transformation to competitive integrated employment, dependence on

facilities is either greatly diminished or eliminated. Staff members need a virtual framework in which to

operate. Philosophy, values, mission, and vision become the new “four walls” of your community based

agency.

One approach to consider: Value Stream Mapping

Value stream mapping is a lean management method for analyzing the current state and designing a future

state for the series of events that take a product or service from its beginning through to the customer. It can

be applied to nearly any value chain. It can be helpful in achieving process improvement and efficient use of

resources in service delivery of competitive integrated employment. The idea is to look at every activity (even

those that aren’t causing problems) and find ways for that activity to increase customer value and reduce

waste. A small value increase or waste reduction in every activity performed leads to greatly increased

performance and reduced costs. An example Mapping Process is provided below.

Customer service philosophy

It is important to establish a strong customer service philosophy within your agency as the foundation upon

which everything else will be built. Customer service not only means providing services needed or requested

by the customer, but soliciting feedback and developing or adjusting what you do in response to that input.

Providing great service that exceeds the expectations of your customers should be your primary focus.

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Example

Mapping Process:

• Define the “issue” and agree on your goal (e.g., increase integration and employment outcomes)

• Determine what process to map.

• Map Current Process from the perspective of a customer (value stream) - e.g., job seeker

entering your program - through finding a job and follow-up.

• Analyze current state: Identify value adding and non-value adding activities, waste, chaos, and

potential resources.

• Brainstorm possible solutions and resources: Identify potential starting points for service

transformation (areas to explore) - “what’s a better way?”

• Develop a Future State map which redefines the process and reallocates resources to achieve

more and/or better o

utcomes/results from the perspective of the customer by eliminating waste

and non-value activities.

• Analyze/Prioritize next steps (low hanging fruit, just do it

, priorities, long/short term goals, and

never minds)

• Write an action plan

• Plan/Do/Check/Adjust, Repeat

ource: Verstegan, D. & Murphy, S. (Personal communication, December 2016). TransCen.

Values

An agency’s values are based on its beliefs. If an agency believes economic opportunity and parity is a basic

right for all people, then that is one of their values. Identification of an agency’s values is the starting place for

development of its vision and mission. First the agency must determine what it believes in before it can begin

to imagine where it can go in the future.

Example Values

Statement:

Pioneer, in Syracuse, New York, affirmed that:

• People with disabilities have the same human similarities and differences that exist among all

individuals;

• Disability should be viewed as being as much a function of setting-related factors as of

individual characteristics;

• People with disabilities have the same right to the same community opportunities, risks,

relationships, and activities experienced by other members of the community, using, if

necessary, individualized sources of support to achieve such participation;

• Having the opportunity for valued, integrated employment and community participation of

one’s choosing is a right, not a privilege to be earned.

Source:

Murphy, S. & Rogan, P. (1995). Closing the Shop: Conversion from sheltered to integrated work.

Baltimore: Paul Brookes Publishing. (pp. 182

-183).

Vision

The agency’s vision is the description of what the organization and its services will look like in the future.

Developing the agency vision requires involvement of various stakeholders. There are many strategies that can

be used but the common thread among them all is dreaming without constraint. It can be difficult to let go of

all of the obstacles that can get in the way of realizing the vision but it is necessary to get started. First think of

what you want to be in the future, ideally. That vision is what you want to achieve. How you will achieve it will

come next.

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Example

Vision Statement:

• To comprehend, implement, and facilitate the needed activities that will shift Buffalo River

Services from a facility-based, systems-centered service organization to a community-based,

person-centered service network).

Source:

Buffalo River Services, Inc., Waynesboro, TN. In Organizational Change Mentoring Participant

Manual

(2005). Center on Disability & Employment, University of Tennessee, CRP-RCEP IV.

Mission

The agency’s mission describes how the vision will be accomplished. The mission provides guidance for

planning and implementation of strategies in an agency. It is the standard by which the agency’s actions can be

measured. It is the guidance for competitive integrated employment staff when they are in the field and may

not have immediate access to supervisory support. When a decision must be made by staff, whether managers

or direct support professionals, the options being considered should be evaluated to determine if they forward

the mission, impede it, or contradict it.

Example Mission Statement:

• Kaposia invests in the prosperity of individuals who have a disability and the profitability of

our partners.).

Source: Kaposia, Inc. (www.kaposia.com

Agency name

Often as you go through examining and retooling your agency’s philosophy, values, vision and mission the

issue of your agency’s name will arise. This is usually because the name, though sometimes very longstanding

and held dear by many stakeholders, no longer accurately represents who you are. Name reconsideration can

be among the most emotionally fraught and difficult issues for an agency to address. However, if the agency’s

name does not communicate what you are becoming and what you want the public’s immediate perception of

you to be, you should tackle this issue. If a name change does occur, a thoughtful and comprehensive strategy

for marketing the new name and agency identify should be planned and implemented.

Investing in Staff Development

Module 6 will provide an in-depth look at transforming your workforce. There are, however, several things that

leaders should address with all agency staff from the beginning of the transformation process. Some of those

items are:

• Communicating clear expectations regarding agency direction and changing staff roles - Because change

can be stressful for many, it is incumbent on leadership to be supportive to staff during the

transformation. You must help them understand and embrace new roles and responsibilities while

staying consistently on-message about the agency’s new direction.

• Providing ongoing professional development – Staff who are well informed and well trained tend to be

the most satisfied at work. Satisfied staff will bring their best effort to the workplace and provide the

best customer service.

• Encouraging open and honest conversations about fears, concerns and hopes – Staff can have anxiety

during transformation for many reasons. They fear for the people who they have supported in facility-

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based settings for years and cannot imagine how they can be successfully employed in the community.

They may wonder if those people will ever get a job, will be safe, will miss their friends or will be

unavailable for staff to see every day. They also may wonder about their own future and their livelihood.

These fears, as well as their hopes for people, should be acknowledged and addressed by leaders. You

won’t be able to guarantee that there will be no problems, but you can listen and sympathize with their

concerns while providing the assurance that everyone in the agency will work together thoughtfully and

collaboratively toward the vision for the future.

• Understanding that there will be supporters and resistors – As with any proposal to do things differently,

there will be camps into which people will fall. Some will be pro, some will be con and others will be

undecided. Leaders may have to contend with some degree of conflict during the change process.

Though ideally you want everyone to be supportive and excited, that may not occur. You should do as

much as possible to bring everyone along, but it is important to understand that you may not win

everyone over. If, after providing information, training, and support, some staff cannot make the change

to the new approach, then amicable separation may have to occur and you must learn to be

comfortable with that.

Learning from Others

It seems like there is so much to learn. Where can I get additional help if I need it?

• Using external consultants – Consultants who can provide support and mentorship to the agency

through the various aspects of transformation can be invaluable. Those that have had experience with

competitive integrated employment and know how to use effective strategies and approaches can assist

staff to learn to use those strategies more skillfully. Consultants that have been through the

transformation process can provide advice about what must be considered in the process. Some

consultants may have experience with supporting multiple organizations, in a variety of states or

localities, to transform and thus bring a broad perspective on the work. An agency may choose to use

one consultant or a variety of consultants to achieve their transformation goals. While consultants can’t

make the changes for the agency, they can provide guidance and insight that will make the process

more manageable.

• Aligning with mentor agencies – Agencies that are in the process of transformation benefit from

developing relationships with mentor agencies. Mentor agencies are ones that have experience they can

share on a peer level with sister agencies. Agencies tend to have more trust in people and organizations

that they believe have circumstances and experiences similar to theirs. Mentor agencies generally have

more experience, greater expertise and an understanding that in sharing with others, they grow as an

organization.

Promoting a Strong and Consistent Message (Marketing)

Letting your community know about the changes in your organization

Communicating commitment to the vision – As your agency is changing, the new vision for the future must be

communicated to your stakeholders and the public. Many people have a preconceived notion of your agency

and what it does because that is the message that you have communicated in the past. As you transition to a

new way of doing things you must communicate that changes are occurring. You should let your audiences

ODEP Pilot Version Spring 2017 22

know what you believe in now and your new direction. The way the agency commitment to its vision is

communicated is multi-faceted. Some vehicles for communicating your new message are:

• Social media

• Blogs

• “Elevator” speeches (short and clear statements)

• Presentations, internally and externally

• Newspaper articles

• Television and radio programs

• Newsletters

• Annual reports

• Fund-raising events and solicitations

Changing our behavior - One strategy is subtle, but perhaps most effective. It is changing how people within

the agency support people with disabilities. All staff must understand that they are modeling the message

when they are with or representing people with disabilities in public. If they treat people as competent and

valuable, with an ability to learn and contribute, then that is the message that is communicated. Nothing we

say can be more powerful than our actions.

Supporting peer to peer education between families and individuals – The people who have benefited from

competitive integrated employment and those who love them can communicate your message more strongly

than anyone else. The people who have gotten jobs and experienced improved quality of life as a result may

choose to share their experiences. Their families and guardians may choose to do the same. Their powerful

testimonials tell the story of where you are headed as an agency and why. Some agencies have found that

individualized opportunities for peer to peer education are much more successful than hosting large group

forums; but both can be considered.

Developing your website, brochures, etc. with desired messages and images – What your agency is currently

marketing may not be sending the message that corresponds to your new vision for the agency. In the

transformation process, all marketing materials must be examined to see exactly what they are

communicating and whether it is in sync with your new message. New marketing materials should:

• Include photographs of people in competitive integrated jobs, not in disability specific work settings.

Photos should show individuals with disabilities engaged with community members, not just staff or

other people with disabilities, working side-by-side with co-workers or supervisors in integrated

workplaces, and employed in a variety of jobs and industries, not just traditional ones.

• Use language that is respectful – Always use “people first” language, focused on ability, not disability

and understandable to the general public - no jargon.

• Be attractive and professional in appearance.

ODEP Pilot Version Spring 2017 23

Module 2:

Strategic Planning

Key Terms

Goals

Action Steps

Past and Present Status

Resource Needs

Future Vision

Strategic Path

SWOT Strategy as Simple Rules

Resources and References for Module 2 - Strategic Planning

References

Step 5: From Strategic Planning to Implementation

World Cafe (p. 376: World Café Process

www.theworldcafe.com

Questions that your team may want to

consider (p. 37): Department of Labor

Internship Rules

https://www.dol.gov/whd/regs/compliance/whdfs71.pdf

Questions that your team may want to

consider (p. 37): Department of Labor

Volunteer Rules

http://webapps.dol.gov/elaws/whd/flsa/docs/volunteers.asp

Resources

The Association For Strategic Planning’s

Website

http://www.strategyassociation.org/

Creative strategy generation: Using passion

and creativity to compose business

strategies that inspire action and growth

Caporale, Bob. 2015. NY: McGraw Hill.

The LEAD Center’s Website http://www.leadcenter.org/customized-employment

Breaking out of the box: A descriptive

account of community rehabilitation

providers engaged in transformational

change

Petty, D., Brickey, J., Verstegan, D., & Rutherford, K. UT-TIE

Organizational Change Mentoring Project. University of

Tennessee, Knoxville, Tennessee.

National Call for Organizational Change

From Sheltered to Integrated Employment.

Rogan, P. & Rinne, S. 2011. Intellectual and Developmental

Disabilities, 49 (4), 248-260.

Module 2: Strategic Planning

Simply put, strategic planning offers a process for organizations to develop, document, and

communicate their goals, articulate action steps to achieve desired outcomes, and delineate methods

for assessing progress and adjusting future directions. There are many frameworks that can be used for

strategic planning, and most offer a similar process. The Association for Strategic Planning (ASP) is a

good resource for information. Common steps are depicted below in Exhibit 4 (Caporale, Creative

Strategy Framework).

Exhibit 4. Common Steps for Strategic Planning

Step 1: Assess and Analyze the Organization’s Past and Present Status

As noted in Module 1, a thorough organizational assessment provides baseline data and becomes the

foundation of transformational change. The process typically involves gathering input from stakeholders

who are both internal and external to the organization via individual interviews, surveys, and focus

groups in order to form a composite understanding of their views and understandings.

This assessment information should be analyzed and used to inform the strategic planning process. The

analysis should shed light on common themes and areas of agreement or disagreement, as well as

unique perspectives. Such information should be gathered periodically as a way to track progress

toward stated goals and objectives.

Step 2: Review Values, Vision, and Mission Statements

Module 1 provided information about articulating the organization’s values, vision, and mission as an

important component of transformation. As part of the strategic planning process, these statements

should be reviewed to ensure they reflect the new direction and are aligned well.

OUTPUTS: STRATEGIC PATH

Strategies Execution Resources Evaluation

OUTPUTS: FUTURE VISION

Vision Target Customers

Goals & Objectives

INPUTS: PRESENT

Capabilities Customers Competition Direction of Field

INPUTS: PAST

History Influences Performance Stakeholder Experiences

Step 3: Analyze Strengths, Weaknesses, Opportunities, and Threats (SWOT)

Some organizations find it helpful to conduct a SWOT analysis whereby they identify internal strengths

and weaknesses, as well as its external opportunities and threats. Focus questions for each area include:

• Strengths: What does the organization do better than anyone else? What do other stakeholders

see as your strengths?

• Weaknesses: What could be improved? What do stakeholders see as weaknesses?

• Opportunities: What opportunities can be developed by building upon strengths and addressing

weaknesses? What trends are occurring that provide opportunities?

• Threats: What obstacles do you face? What are others doing better? What internal and/or

external factors are/will impact the organization?

Step 4: Develop a Strategic Plan

After the vision and mission statements are reviewed, the assessment information is analyzed, and a

SWOT analysis is conducted, the gap between the desired outcomes and the present status should be

quite clear. This dichotomy provides the bookends for where your organization is now and where you

want to be, and creates a healthy tension that can propel positive change.

Strategic Plans are created to identify strategies to enable the organization to achieve its goals and

desired outcomes. Key questions include:

• What are our priority organizational goals?

• How do we achieve our goals? What are the operational action steps?

• Who will be involved?

• When will we reach designated milestones and what will be the evidence or indicators?

• What are the new staff roles that are needed and how will staff be recruited and/or redeployed

and prepared for these roles?

• What barriers must be addressed?

• What resources are required?

• What data will we collect? How will we evaluate our performance?

Moving from facility-based to integrated, community-based services means changing almost all major

aspects of the organization: the services that are provided, staffing patterns and staff roles, relationships

with external organizations, and more. This may feel overwhelming. Module 3, Making it Happen

(Operations Focus), provides tips and strategies about how to get started. Don’t worry - it’s good to start

small and do it right the first time. Strategic planning typically addresses the following priority issues:

• Realign the budget to support integrated, community-based services and plan for funding

diversification.

• Reallocate resources.

• Revise policies and procedures to support integrated employment and individualized community

supports.

• Redesign staffing, job descriptions, wages, recruitment, training, and support structures.

• Reshape service delivery processes to focus on integrated employment and full lives in the

community.

• Revamp the data collection and evaluation system.

• Communicate with internal and external stakeholders.

• Redefine the organization’s marketing plan and image in the community.

Most organizations target a one to three-year time period for their strategic plan. There are too many

variables and moving parts to plan much farther ahead. Thus, the strategic plan must be revisited and

revised over time. It is important to expeditiously move to action steps, rather than continue to plan.

Strategic plans set in motion a think-plan-act process of continuous quality improvement.

Step 5: From Strategic Planning to Implementation

Identifying Resource Needs in Advance

Your strategic plan will pinpoint in broad strokes the resources you will need to launch your

Employment First efforts. As you begin to implement that plan, you will want to step back and take a

thoughtful look in more detail at what needs to be in place to implement your plans successfully.

This checklist might be helpful:

• Do you have funding for a pilot?

• If the pilot is successful do you have a long-term funding strategy?

• Do you have funding for job coaching and ongoing supports?

• Do you have sufficient staff and the right staff?

• What resources do you need to invest in order to train and mentor your team?

• Do staff understand your transformation goals and action plan?

• Do you have access to benefits counseling for individuals and their families?

• What kind/amount of marketing materials/resources do you need to get started?

• What kind of legal advice/insurance coverage will you need for community based work?

• Are there viable modes of transportation (e.g., accessible, affordable, and efficient) that

individuals can use to get to work and other meaningful activities in the community?

An example of the first year of a Strategic Plan is provided below in Exhibit 5.

Exhibit 5. An Example of a First Year Strategic Plan for Organizational Transformation

Long-term Goal:

Shift our services to competitive integrated employment to meet the individual needs of people with

disabilities, including those with the most significant disabilities.

Short-term Goal

: Within one year, support 12-15 individuals from the workshop to obtain individualized and integrated jobs

at minimum wage or higher that match their unique strengths, interests, and needs.

Rationale:

Individuals with disabilities are unemployed and underemployed at extraordinarily high rates, yet the majority

need to work, want to work, and can work. Employers have benefitted from hiring individuals from this untapped

labor pool. Cost-benefit data comparing sheltered workshops to competitive integrated employment outcomes show a

clear cost-benefit advantage for people with disabilities who work in real jobs for real wages, as well as for employers

and taxpayers. Furthermore, over the past five years there has been a dynamic shift in the philosophy of the federal

government towards sheltered workshops. Litigation in other states has resulted in rulings by the U.S. Department of

Justice that have necessitated the closing of sheltered workshops based on the segregated nature of the work

environment, and the use of subminimum wage certificates to pay people below minimum wage for piece rates.

We are committed to providing high quality employment opportunities in partnership with people with disabilities,

employers, and other key stakeholders by: 1) shifting our service delivery model from segregated in-house services to

individualized and integrated employment and community-based services; and 2) closing our sheltered workshop.

Action Steps:

1. Form a Transformational Leadership Team comprised of key stakeholders, including individuals receiving services,

workshop and integrated employment staff, representative managers and administrators, and key office staff (e.g.,

fiscal manager).

2. Gather baseline data regarding status of the organization’s services and outcomes. Consider developing a visual

timeline of the organization’s history.

3. Develop/revisit the Values, Vision, and Mission statements with key stakeholders.

4. Provide training/technical assistance to staff and board members on integrated employment best practices.

5. Support staff and board members to visit one or more service providers that are providing exemplary integrated

employment services.

6. Meet individually with people in the workshop & their parents/guardians to discuss the Employment First direction of

the organization. Gather information about their hopes/dreams as well as fears/concerns.

7. Meet with other key stakeholders to gather their interests, concerns, and potential suppor

t for the organizational change

8. Meet with funding agencies and potential sources of funding to discuss bridge funding, integrated employment

services funding, and other funding considerations related to shifting services to the community.

9. Develop new job descriptions for integrated employment staff. Hire new staff, as needed, with desired values, vision,

and skills.

10. Support staff to begin to explore community options and opportunities with the first group of individuals who would like

a job in the community. Conduct discovery activities with each individual in order to know what individuals like and are

good at, as well as their support needs.

11. Conduct Person-Centered Planning with each individual and those who know and love the individual, including the type

of job the individual might like.

12. Form staff teams that serve a small group of individuals from the workshop. Begin job development. Team members

support and back each other up for customized employment activities (job development, job training, and job follow-

along support).

13. Identify and secure accessible and affordable transportation options for each individual.

14. Continue to collaborate with Vocational Rehabilitation, Developmental Disability Services, and other funding sources to

ensure that adequate funding is in place to support integrated employment services.

15. Revise the marketing materials and website to reflect the integrated employment focus in partnership with area

businesses.

16. Eliminate or modify staff roles as people move out of the workshop.

17. Collect and analyze satisfaction and evaluation data. Make necessary changes.

18. Communicate, communicate, communicate!

19. Celebrate your successes, one person at a time!

Alternatives to Strategic Planning

Some organizations do not feel comfortable or well positioned to take bold action and to be forward

thinking when they first undertake transformative change in their organization. They may feel too

restricted by the formality and linear nature of strategic planning. These organizations are more

comfortable using an ‘organic’ process that emanates from a set of guiding principles based on the

articulated Values, Vision, and Mission. Each decision is referenced against the guiding principles to

ensure actions are in alignment with them. This approach allows organizations to define direction

without confining it and pursue opportunities that present themselves. The example in Exhibit 6 below

reflects this approach.

Exhibit 6. An Example of an Alternative Approach to Strategic Planning

Strategy as Simple Rules

A few straightforward, hard-and-fast rules that define direction without confining it:

• We support individuals

• To lead regular lives

• In their communities

• The same, not different

We support individuals:

KFI supports individuals and not groups. We begin by asking people what they want and

need. Supports are designed to meet the individuals’ requirements; the individuals do not

need to fit into a group.

To lead regular lives:

Our supports are to assist people to live in the same places as anyone else, in ways that fit

their lifestyle, which includes respecting people’s desire to live by themselves; to have jobs in

typical businesses at minimum wage or higher; to access services, recreation and community

resources which are available to all citizens.

In their communities:

KFI recognizes the importance of community, particularly in rural sections of Maine. Our

supports must help people become included into the fabric of the community, to be viewed as

contributors and valuable members of it.

The same, not different:

People with disabilities have the same needs as any citizen and those needs must be

addressed in regular, inclusive ways.

Formally approved by KFI’s Board of Directors, January 2003; Reviewed by KFI

’s Board, January 2006

Anticipating Possible Challenges/Thinking of Solutions

As you are getting ready to launch new initiatives, it is helpful to engage in a process to target and plan

for challenges. Several team meetings might be devoted to brainstorming about the big and small issues

that might slow down or stall your efforts, based on your knowledge of government oversight and

funding, your stakeholders, the business community, etc.

What kinds of issues and challenges might we want to plan for?

Here are a number of challenges that other providers have planned for:

• Individual and family concerns about the shift to integrated employment and community-based

services

• Obtaining funding authorization from your funding agency

• Ensuring that people have eligibility for long term supports as well as Vocational Rehabilitation

front-end, short-term supports

• Business community’s adjustment to a new way of doing things (e.g., rather than sending

subcontract work to the workshop, providing job opportunities within the business)

• Staff resistance to new responsibilities and expectations

• Relationships with a union related to reallocation of staff

• Concerns about protecting health information (HIPAA) and confidentiality in general

• Employer questions about job coaching

• Transportation issues and concerns

How might we plan for challenges?

Communication is key, as is involving key stakeholders from the start. No one likes be informed or

brought in to the change process after the fact. One way to understand and address the concerns of

various constituencies is to engage stakeholders to obtain their input and buy-in. Organizations have

used informal conversations, structured interviews, focus groups, and written surveys to obtain input

and address issues and challenges. Several of these approaches were described in Module 1, and several

additional approaches are described here briefly.

Informational Interviews

Your team might want to develop a structured interview process so the same questions are asked to

each constituent group, or customized for each group. This could be a starting point for some of the

other processes, or might stand on its own.

Focus Groups

Focus groups engage small groups of stakeholders in conversation in order to solicit their feedback and

comments in response to specific questions.

World Café

A World Café is a structured process designed to facilitate thoughtful open conversation among a large

group of individuals by breaking into smaller groups and sharing knowledge among those smaller

groups. This can be a good way to elicit ideas, uncover concerns, and/or gather input regarding

solutions. For example, families, staff and funders might focus on transportation as a potential obstacle

to employment in a rural community, and develop some solutions to address that issue. The World Café

process

is as follows:

• 5-8 participants sit at tables with already established questions.

• Every table has a host who remains at the table.

• People engage in conversation, share insights, and listen for about 15-20 minutes.

• When the first round is completed everyone but the host travels to a new table.

• Participants synthesize their discoveries and sometimes a deeper question emerges.

• At the end, members share collective discoveries and insights as a whole group (called

“Harvesting”)

• The result is a sense of the bigger picture and new possibilities for action emerge.

Public Forums

Although public forums can bring together a diverse group of people and give your agency an

opportunity to hear a wide spectrum of views and concerns, there are reasons to avoid using a large

gathering where negative comments from one or more individuals can sway the tone and direction of

the meeting away from its original intent. For example, it is not a good way to first announce your

transformation agenda or first discuss your plans with individuals and families. Nevertheless, it may be a

way to get feedback as you are implementing your plans.

Avoiding Pitfalls – Keeping Your Compass Pointed Toward True Community Integration

As you move forward in your transformation efforts staff, family, business partners, community partners

and your board will present you with many ideas designed, they believe, to advance the agenda of

community integration. You will want to explore these ideas with an eye to whether they will further

your transformation agenda and meet the guiding principles that you have established, or lead the

organization in an unintended or undesired direction.

Questions that your team may want to consider:

Does the proposed plan lead to competitive integrated employment?

The Workforce Investment Opportunity Act (WIOA) regulations define competitive integrated

employment as work side-by-side with other employees without a disability.

Does the proposal create enclaves or work crews within the community or at an employer worksite where

people with disabilities are working as a group and/or in a separate location?

Organizations should avoid using enclaves and work crews as a strategy for moving people out of the

workshop more quickly. Such placements are rarely a good match for every person, they typically

require continuous on-site supervision by a staff member from the agency, they interfere with the

development of natural supports, and they congregate and segregate the workers. In the end, it takes

www.theworldcafe.com

more time and effort to find individual jobs for each person that was initially placed in an enclave or

work crew.

Does the proposal plan maintain people with disabilities on your payroll rather than the employer’s

payroll?

The intent of competitive integrated employment is for each job seeker to be hired by community

employers: one person, one job. There may be some instances where a trial work period is deemed

appropriate for a particular job seeker, and the service provider pays the person during this short

training period. Your state vocational rehabilitation or workforce system may reimburse providers for

wages during the trial work period. After the trial work period, people should be paid directly by the

employer. If an employer typically uses a third-party employment agency, individuals with disabilities

hired by the employer should be hired through the same third-party employment agency used to hire

employees without disabilities.

Are you operating your community-based day or pre-vocational programs within U.S. Department of Labor

and your state’s Department of Labor wage and hour rules, including rules about volunteers and interns?

As you look for work experiences for people, keep in mind the following considerations: If the individual

performs work without pay for a for-profit employer and they are bringing value to the business through

their work, or doing work that other paid employees would otherwise be doing, the experience may

violate labor laws. Even if an employer thinks they are within the law, as a provider you have a

responsibility to evaluate volunteer opportunities and internships through the lens of current labor laws.

See https://www.dol.gov/whd/regs/compliance/whdfs71.pdf

See http://webapps.dol.gov/elaws/whd/flsa/docs/volunteers.asp

Does the program you are creating comply with your State’s contractual and/or Medicaid waiver

guidelines?

Remember to make sure that you are complying with your state agencies’ regulations, contractual

requirements and administrative guidelines that address the services you are providing. It’s always

helpful to consult with other providers and consultants, including those who have developed programs

in other states, but do ensure that you check to confirm your planned approaches meet your state’s

requirements.

Module 3:

Making It Happen (Operations Focus)

Key Terms

Piloting Best Practices

Bringing to Scale

Sustainability

Decentralized Teams

Closing the Shop Door

Community Partners