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CHAPTER IV-SOCIAL AND REHABILITATION

SERVICE (REHABILITATION PROGRAMS),
DEPARTMENT OF HEALTH, EDUCATION,

AND WELFARE?

Part 401 402 403 404 405 406 407 408 409 416

The State vocational rehabilitation program.
The State vocational evaluation and work adjustment program.
Special projects in vocational rehabilitation.
Project grants and assistance for rehabilitation facilities.
Research and demonstration.
Training and traineeships.
National center for deaf-blind youths and adults.
Project grants for rehabilitation of the mentally retarded.
Vending stand program for the blind on Federal and other property.
Grants for construction and initial staffing of community mental retarda.

tion facilities.

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Subpart B State Plans for Vocational

Rehabilitation Services STATE PLAN CONTENT: ADMINISTRATION 401.2 The State plan: general require

ments. 401.3 Approval of State plans and amend

ments. 401.4 Withholding of funds. 401.5 State agency for administration. 401.6 Organization for administration, 401.7 State administrator. 401.8 Local administration. 401.9 Shared funding and administration

of joint projects. 401.10 Waiver of Statewideness. 401.11 Cooperative programs utilizing

third-party funds for vocational

rehabilitation services. 401.12 Standards of personnel adminis

tration. 401.13 Medical consultation.

Sec.
401.14 State agency facility staff.
401.15 State agency program planning

staff.
401.16

Staff development. 401.17 Political activity. 401.18 Fiscal administration. 401.19 Custody of funds. 401.20 Reports. 401.21 Cooperation with other agencies. 401.22 Nondiscrimination in employment

under construction contracts. 401.23 Funds made available to private

nonprofit agencies for establishment or construction of rehabili.

tation facilities. STATE PLAN CONTENT: CASEWORK PRACTICE 401.30 Eligibility. 401.31 Extended evaluation to determine

rehabilitation potential. 401.32 Case study and diagnosis. 401.33 Extended evaluation plan. 401.34 Vocational rehabilitation plan for

the individual. 401.35

Processing referrals and applica

tions. 401.36 Order of selection for services. 401.37 Participation by handicapped in

dividuals in the costs of vocational rehabilitation services.

132 PR. 20811, Dec. 27, 1967.

Sec. 401.38 Administrative review of agency action, and fair hearings. 401.39 Confidential information. 401.40 Recording of case data. STATE PLAN Con TENT: SERVICES 401.41 Scope of agency program. 401.42 Standards for facilities and personnel. 401.43 Rates of payment. 401.44 Evaluation, including diagnostic and related Services. 401.45 Counseling and guidance. 401.46 Physical restoration services. 401.47 Training. 401.48 Maintenance. 401.49 Placement. 401.50 Follow-up services. 401.51 Transportation. 401.52 Special services for the blind and deaf. 401.53 Services to family members. 401.54 Recruitment and training services for new employment opportunities. 401.55 Tools, equipment, initial stocks and Supplies, Occupational licenses. 401.56 Other goods and services. 401.57 Small business enterprises for the severely handicapped. 401.58 Establishment of rehabilitation facilities. 401.59 Construction of rehabilitation facilities. 401.60 Facilities and services for groups of handicapped individuals. 401.61 Services to civil employees of the United States. 401.62 Authorization of services. Subpart C–Financing of State Vocational

Rehabilitation Programs FEDERAL FINANCIAL PARTICIPATION

401.70 Effect of State rules. 401.71 Vocational rehabilitation services to individuals. 401.72 Small business enterprises for the severely handicapped. 401.73 Establishment of rehabilitation facilities. 401.74 Construction of rehabilitation facilities. 401.75 Facilities and services for groups of handicapped individuals. 401.76 Administration. 401.77 Purchase of goods, facilities, or services from other agencies of the State. 401.78 Insurance and taxes. 401.79 Cost of space. 401.80 State and local funds. 401.81 Shared funding and administration of joint projects. 401.82 Waiver of Statewideness. ALboTMENT AND PAYMENT 401.85 Allotment of Federal funds for vo

cational rehabilitation services.

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facility” means (1) the construction of new buildings, the acquisition of existing buildings, or the expansion of existing buildings, which are to be utilized for rehabilitation facility purposes; (2) the acquisition of initial equipment of such new, newly acquired, or newly expanded buildings; or (3) the initial staffing of such a rehabilitation facility for a period not to exceed 4 years and 3 months.

(e) "Eligible" or "eligibility,” when used in relation to an individual's qualification for vocational rehabilitation services, refers to a certification that (1) a physical or mental disability is present; (2) a substantial handicap to employment exists; and (3) vocational rehabilitation services may reasonably be expected to render the individual fit to engage in a gainful occupation.

(f) “Establishment of a rehabilitation facility” means (1) the expansion, remodeling, or alteration of existing buildings, necessary to adapt or to increase the effectiveness of such buildings for rehabilitation facility purposes; (2) the acquisition of initial equipment for such purposes; or (3) the initial staffing of a rehabilitation facility, for a period not to exceed 4 years and 3 months.

(g) "Family members" or "members of the family" means any relative by blood or marriage of a handicapped individual and other individuals living in the same household with whom the handicapped individual has a close interpersonal relationship.

(h) “Gainful occupation" includes employment in the competitive labor market; practice of a profession, selfemployment; homemaking; farm or family work (including work for which payment is in kind rather than in cash); sheltered employment; and home industries or other gainful homebound work.

(i) (1) "Handicapped individual" means any individual who has a physical or mental disability and a substantial handicap to employment, which is of such a nature that vocational rehabilitation services (paragraph (z) (1) of this section) may reasonably be expected to render him fit to engage in a gainful occupation, including a gainful occupation which is more consistent with his capacities and abilities.

(2) "Handicapped individual” also means any individual who has a physical or mental disability and a substantial handicap to employment for whom voc&

tional rehabilitation services (paragraph (Z) (2) of this section) are necessary for the purpose of extended evaluation to determine rehabilitation potential.

(j) “Local rehabilitation agency” means the public agency of a political subdivision of a State which has sole responsibility for administering the vocational rehabilitation program in the locality, under the supervision of the State agency.

(k) “Maintenance" means payments to cover the handicapped individual's basic living expenses, such as food, shelter, clothing, health maintenance, and other subsistence expenses essential to determination of the individual's rehabilitation potential or to achievement of his vocational rehabilitation objective.

(1) "Management services and supervision" for small business enterprises includes inspection, quality control, consultation, accounting, regulating, inservice training, and other related services provided on a systematic basis to support and improve small business enterprises operated by blind or other severely handicapped persons under & State agency's small business enterprise program. "Management services and supervision" does not include those services or costs which pertain to the operation of the individual business enterprise, such as employment of substitute workers, rent, advertising and other operating costs.

(m) “Nonprofit,” when used with respect to a rehabilitation facility means a rehabilitation facility which is owned and operated by a corporation or association, no part of the net earnings of which inures, or may lawfully inure, to the benefit of any private shareholder or individual, and the income of which is exempt from taxation under section 501(c)(3) of the Internal Revenue Code of 1954.

(n) “Occupational license" means any license, permit, or other written authority required by a State, city, or other governmental unit to be obtained in order to enter an occupation.

(0) "Physical or mental disability" means a physical or mental condition which materially limits, contributes to limiting or, if not corrected, will probably result in limiting an individual's activities or functioning. It includes behavioral disorders characterized by a pattern of deviant social behavior or impaired ability to carry out normal relationships with family and community

which may result from vocational, educational, cultural, social, environmental, or other factors. (p) “Physical restoration Services” means those services which are necesSary to correct or substantially modify within a reasonable period of time a physical or mental condition which is stable or slowly progressive, and includes: (1) Medical or surgical treatment by general practitioners or medical Specialists; (2) psychiatric treatment; (3) dentistry; (4) nursing Sevices; (5) hospitalization (either inpatient or outpatient care) and clinic services; (6) convalescent, nursing or rest home care; (7) drugs and Supplies; (8) prosthetic devices and Orthotic devices essential to obtaining or retaining employment; (9) eye glasses and visual services, as prescribed by a physician skilled in the diseases of the eye or by an optometrist; (10) physical therapy; (11) occupational therapy; (12) speech or hearing therapy; (13) psychological services; (14) treatment of medical complications and emergencies, either acute or chronic, which are associated with or arise out of the provision of physical restoration services, or are inherent in the condition under treatment; and (15) other medical or medically related rehabilitation services. The provision that the condition is stable or slowly progressive does not apply when physical restoration services are provided under extended evaluation in order to determine the rehabilitation potential. (q) “Regional Commissioner” means the Regional Commissioner of the Social and Rehabilitation Service. (r) “Rehabilitation facility” means a facility which is operated for the primary purpose of providing vocational rehabilitation services to or gainful employment for handicapped individuals, or for providing evaluation and work adjustment services for disadvantaged individuals under Part 402 of this chapter, and which provides singly or in combination one or more of the following Services for handiCapped individuals: (1) Comprehensive rehabilitation services which include, under one management, medical, psychological, social, and vocational services; (2) testing, fitting, or training in the use of prosthetic and orthotic devices; (3) prevocational conditioning or recreational therapy; (4) physical and occupational therapy; (5) speech and hearing therapy; (6) psychological and social services; (7) evaluation; (8) personal

and work adjustment; (9) vocation= training (in combination with other rehabilitation services); (10) evaluation c control of special disabilities; and (11 transitional or long-term employmer for the severely handicapped who canno: be readily absorbed in the competitio labor market: Provided, That all medica and related health Services must be prescribed by, or under the formal supervision of, persons licensed to practio medicine or Surgery in the State. (s) “Secretary” means the Secretar; of Health, Education, and Welfare. (t) “Small business enterprise” means a small business operated by blind & other Severely handicapped persons under the management and Supervision g the State agency or its nominee. Such businesses include only those selling. manufacturing, processing, servicing agricultural, and other activities which are suitable and practical for the mos; effective utilization of the skills and apti. tutes of blind or other severely handcapped persons and provide substantial gainful employment or self-employment Commensurate with the time devoted by the operator or operators to the business the cost of establishing the business and other factors of an economic nature. (u) “State” means the several States. the District of Columbia, the Virgin Islands, Puerto Rico, and Guam. (V) “State agency” or “State vocational rehabilitation agency” means the sole State agency designated to administer (or supervise local administration of) the State plan for vocational rehabilitation services. The term includes the State agency for the blind, if designated as the sole State agency with reSpect to that part of the plan relating to the vocational rehabilitation of the blind. (w) “State plan” plan for Services. (x) “Substantial handicap to employ. ment” means that a physical or mental disability (in the light of attendant medical, psychological, vocational, educational, cultural, social, or environmental factors) impedes an individual's occupation performance, by preventing his obtaining, retaining, or preparing for a gainful occupation consistent with his capacities and abilities. (y) “Visual services” means visual training, and the examination and services necessary for the prescription and provision of eyeglasses, contact lenses,

means the State Vocational rehabilitation

nicroscopic lenses, telescopic lenses, and other special visual aids, as prescribed by a physician skilled in diseases of the eye or by an optometrist. 2) - 1 a *Vocational rehabilitation services" means any goods and services Inecessary to render a handicapped individual fit to engage in a gainful occupation, including (i) evaluation, including diagnostic and related services; (ii) Counseling and guidance; (iii) physical restoration Services; (iv) training, including personal and vocational adjustment: (V) books and training materials (including tools); (vi) maintenance; (vii) placement; (viii) followup services; (ix) tools, equipment, initial stocks and supplies, including equipment and initial stocks and supplies for vending * Stands; (x) management services and Supervision provided by the State agency and acquisition of vending stands or other equipment and initial stocks and supplies, for small businesses enterprises, operated under the supervision of the State agency by the severely handicapped; (xi) transportation; (xii) occupational licenses; (xiii) reader services for the blind; (xiv) interpreter services for the deaf; (xv) services to members of a handicapped individual's family when such services will contribute subStantially to the rehabilitation of the handicapped individual; (xvi) recruitment and training services for new employment opportunities in the fields of rehabilitation, health, welfare, public safety, law enforcement, and other appropriate service employment; and (xvii) Such other goods and services as are necessary to render a handicapped individual fit to engage in a gainful occupation. (2) “Vocational rehabilitation services” (for the purpose of extended evaluation for the determination of rehabilitation potential) also means any goods or services, including the items specified in subparagraph (1) (i) through (vi), (xi), (xiii)-(xv), and (xvii) of this paragraph, which are provided to an individual who has a physical or mental disability and a substantial handicap to employment, during the period specified by the Administrator (§ 401.31) to be necessary for, and which are provided for the purpose of ascertaining whether it may reasonably be expected that such individual will be rendered fit to engage in a gainful occupation through the provision of goods and services described in subparagraph (1) of this paragraph;

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(3) “Vocational rehabilitation Services” also covers the establishment of a rehabilitation facility and the construction of a rehabilitation facility;

(4) The term also covers the provision of other facilities and services which promise to contribute substantially to the rehabilitation of a group of individuals but which are not related directly to the rehabilitation plan of any one handicapped individual.

(aa) “Workshop” means a rehabilitation facility, or that part of a rehabilitation facility, where any manufacture or handiwork is carried on and which is Operated for the primary purpose of (1) providing gainful employment or profesSional services to the handicapped as an interim Step in the rehabilitation process for those who cannot be readily absorbed in the competitive labor market or during such time as employment opportunities for them in the competitive labor market do not exist; or (2) providing evaluation and work adjustment services for disdavantaged individuals under Part 402 of this chapter.

Subpart B–State Plans for Vocational Rehabilitation Services

STATE PLAN CONTENT: ADMINISTRATION

§ 401.2 The State plan: general requirements.

(a) Purpose. A basic condition to the certification of Federal funds to a State for Vocational rehabilitation services is a State plan found to meet Federal requirements. This plan shall constitute a description of the State's vocational rehabilitation program. The State plan shall meet the requirements as to content hereinafter stated. It shall provide for financial participation by the State, and shall provide that it will be in effect in all political subdivisions of the State except as specifically provided in §§ 401.9 and 401.10. The Administrator shall approve any plan meeting the requirements of the act and of this part. Upon designation of a new State agency (see $ 401.5), a new State plan must be submitted. (b) Form. The general form and content of the State plans are set forth in the State Plan Guide which is distributed to all State agencies administering vocational rehabilitation programs, (c) Amendment. The plan shall provide that it will be amended whenever necessary to reflect a material change in any applicable phase of 8tate law, orga

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