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nization, policy, or agency operations and that such amendments will be submitted to the Social and Rehabilitation Service before it is put into effect, or within a reasonable time thereafter.
(d) Separate part relating to rehabilitation of the blind. If, as hereinafter provided for, a State agency for the blind administers or supervises the administration of that part of the State plan relating to the rehabilitation of the blind, such part of the State plan shall meet all requirements as to submission, amendment, and content prescribed by the act and this part, as though it were a separate State plan. $ 401.3 Approval of State plans and
amendments. Both the original plan and all amendments thereto shall be submitted to the Regional Commissioner.
(a) New or substantially revised plans. New or substantially revised plans are approved by the Administrator.
(b) Plan amendments. An amendment to a plan is approved by the Regional Commissioner. If an amendment is approved, the Regional Commissioner incorporates it into the approved State plan and advises the State. If the Regional Commissioner considers an amendment not to be approvable and is unable to secure necessary changes by the State, he submits the amendment to the central office of the Social and Rehabilitation Service for appropriate action. $ 401.4 Withholding of funds.
(a) When withheld. When after reasonable notice and opportunity for hearing to the State agency it is found that (1) the plan has been so changed that it no longer complies with the requirements of section 5(a) of the act, or (2) in the administration of the plan there is a failure to comply substantially with any such provisions, further payments under section 2 or 3 may be withheld or limited as provided by section 5(c) of the act. The State agency is notified of the action taken.
(b) Judicial review. The decision to withhold payments described in paragraph (a) of this section may be appealed to the U.S. district court for the district in which the capital of the State is located. The court will review the action on the record in accordance with the provisions of the Administrative Procedure Act.
(c) Informal discussions. Hearings described in paragraph (a) of this section are generally not called until after reasonable effort has been made by the Social and Rehabilitation Service to resolve the questions involved by conference and discussion with State officials. Formal notification of the date and place of a hearing does not foreclose further negotiations with State officials. § 401.5 State agency for administration.
(a) Designation of sole State agency. The State plan shall designate a sole State agency to administer the State plan for vocational rehabilitation services in the State or to supervise its administration in a political subdivision of the State by a sole local agency of such political subdivision. This agency shall be one of the agencies specified in paragraph (b) of this section, except that the State agency for the blind, as specified in paragraph (c) of this section, may be designated as the sole State agency with respect to that part of the program relating to the vocational rehabilitation of the blind.
(b) Designated State agency. The designated State agency, except for a designated State agency for the blind as specified in paragraph (c) of this section, shall be:
(1) A State agency primarily concerned with vocational rehabilitation, or vocational and other rehabilitation, of disabled individuals; such agency must be an independent State commission, board, or other agency whose major function is vocational rehabilitation, or vocational and other rehabilitation, of disabled individuals, with authority, subject to the supervision which derives from the office of the Governor, to define the scope of the program within the provisions of State and Federal law, and to direct its administration without external administrative controls;
(2) The State agency administering or supervising the administration of education or vocational education in the State; or
(3) A State agency which includes at least two other major organizational units each of which administers one or more of the State's major programs of public education, public health, public welfare, or labor.
(c) Designated State agency for the blind. Where the State commission for the blind, or other agency which provides assistance or services to the adult
blind, is authorized under State law to of the vocational rehabilitation program administer or supervise the administra and the geographic areas in which the tion of vocational rehabilitation services program must operate. The State plan to the blind, such commission or agency shall also describe methods of adminismay be designated as the sole State tration which will provide for the coordiagency to administer the part of the plan nation and integration of activities, under which vocational rehabilitation adequate controls over operations, chanservices are provided for the blind or to nels for the development and interpresupervise the administration of such tation of policies and standards, and part in a political subdivision of the effective supervision of staff under the State by a sole local agency of such polit vocational rehabilitation program. The ical subdivision.
organizational structure and the meth(d) Authority. The State plan shall ods of administration shall facilitate set forth the authority under State law program operations, and shall ensure for the administration or supervision of the provision of all necessary vocational the administration of the program by the rehabilitation services available under State agency, and the legal basis for the State plan to rehabilitation clients, administration by local rehabilitation including services necessary to determine agencies, if applicable. In this connec rehabilitation potential. tion, copies of all laws and interpreta (b) Organizational unit. Where the tions thereof by appropriate State offi designated State agency is of the type cials, directly pertinent to the adminis specified in $ 401.5(b) (2) or (3), or tration or supervision of the vocational $ 401.5(c), the State plan shall provide rehabilitation program, shall be sub that the agency (or each agency, where mitted as a part of the plan.
two such agencies are designated) shall (e) Responsibility for administration, include a vocational rehabilitation The State plan shall provide that all de organizational unit which: (1) Is pricisions affecting eligibility for vocational marily concerned with vocational rerehabilitation services, including the ac habilitation, or vocational and other ceptability for extended evaluation and rehabilitation, of disabled individuals, the nature and scope of vocational re and is responsible for the administration habilitation services to be provided, will of such State agency's vocational rebe made by the State agency through its habilitation program, which must inorganizational unit, or by a local reha clude the determination of eligibility for bilitation agency under its supervision, and the provision of services under the and that this responsibility will not be State plan; (2) has a full-time admindelegated to any other agency or istrator in accordance with $ 401.7; and individual.
(3) has a staff employed on such re§ 401.6 Organization for administration.
habilitation work of such organizational
unit all or substantially all of whom are (a) Organization. The State plan
employed full time on such work. shall describe the organizational struc (c) Location of organizational unit. ture of the State agency, including de
(1) The State plan shall provide that the scriptions of organizational units, the
organizational unit, specified in parafunctions assigned to each, and the re
graph (b) of this section, shall be located lationships among units in the voca
at an organizational level and shall have tional rehabilitation program. Such de
an organizational status within the State scriptions shall be accompanied by
agency comparable to that of other organizational charts reflecting (1) the
major organizational units of such relationship of the State agency to the agency or, in the case of an agency deGovernor and his office and to other
scribed in $ 401.5(b) (2), the unit shall agencies administering major programs
be so located and have such status, or of public education, public health, public
the administrator of such unit shall be welfare, or labor of parallel stature
the executive officer of such State agency. within the State government, and (2) In evaluating the comparability of the the internal structure of the State
organizational level and the organizaagency. The organizational structure
tional status of the unit, the Adminshall provide for all the vocational re
istrator will give consideration to such habilitation functions for which the factors as the directness of the reportState agency is responsible, for clear ing line from the administrator of the lines of administrative and supervisory organizational unit for vocational reauthority, and shall be suited to the size habilitation to the chief officer of the
designated State agency; the title, status rehabilitation agency shall be responsible and grade of the administrator of the for the administration of all aspects of organizational unit for vocational re the program within the political subhabilitation as compared with those of division which it serves: Provided, howthe heads of other organizational units ever, that a separate local rehabilitation of the State agency; the extent to which agency serving the blind may administer the administrator of the organizational that part of the plan relating to the unit for vocational rehabilitation can de rehabilitation of the blind, under the termine the scope and policies of the vo supervision of the State agency for the cational rehabilitation program; and blind. If the State plan provides for the the kind and degree of authority dele administration of the program by local gated to the administrator of the orga rehabilitation agencies, the State plan nizational unit for the administration of shall set forth the standards governing the vocational rehabilitation program. their organization and methods of ad(2) In the case of a State which has not ministration and shall describe the designated a separate State agency for nature and extent of the supervision the blind as provided for in § 401.5, such exercised by the State agency in order State may, if it so desires, assign re to assure observance in the application sponsibility for the part of the plan of State standards and the effective under which vocational rehabilitation achievement of the objectives of the services are provided for the blind to one State plan throughout the State except organizational unit of the State agency to the extent that the requirement for and assign responsibility for the rest of statewideness is waived in accordance the plan to another organizational unit with § 401.10. of such agency, with the provision of
$ 401.9 Shared funding and administraparagraphs (b) and (c) (1) of this sec
tion of joint projects. tion applying separately to each of such units.
If the State plan so provides, the State
agency may request the Administrator 8 401.7 State administrator.
to authorize the State agency to share The State plan shall provide that there funding and administrative responsishall be a State administrator or other bility for an identifiable joint project named official who shall direct the State with another agency or agencies of the agency specified in § 401.5(b) (1) or the State in order to provide services to organizational unit specified in § 401.6 handicapped individuals. The Adminis(b), and who shall be required to devote trator will approve a request for a joint his full time and efforts to the vocational project which it has been determined will rehabilitation program, or the voca
more effectively accomplish the purposes tional and other rehabilitation of dis of the act. Upon approval of a request, abled individuals, with the following ex the Administrator may waive the sole ception: Upon the request of a State State agency provision of $ 401.5(a) agency, the Administrator may approve (except in cases of cooperative programs arrangements whereby the State admin utilizing third-party funds for vocaistrator is also responsible for the tional rehabilitation services under direction of other programs primarily § 401.11) and the provision of $ 401.2(a) concerned with handicapped persons, if that the State plan be in effect in all he finds in view of all the circumstances political subdivisions of the State. The in the particular case that such arrange State plan shall further provide that ments will not impair the effective ad each joint project shall be based on a ministration of the State plan.
written agreement which: (a) Describes
the nature and scope of the joint project, $ 401.8 Local administration.
the services to be provided to handiThe State plan may provide for ad capped individuals, and the respective ministration of the plan through a sole roles of each participating agency both local rehabilitation agency of a political in the provision of services and in the subdivision of the State, under the administration of such services, and in supervision of the State agency and in the share of the costs to be assumed by compliance with statewide standards each; (b) specifies the initial term of the established by the State agency (except project and plans for anticipated conto the extent that there is a waiver oftinuation; (c) provides a budget showing statewideness, $ 401.10). If the plan pro- for each fiscal year the financial parvides for local administration, the local ticipation by the State agency and each
participating agency; (d) provides § 401.11 Cooperative programs utilizing written assurance that funds will be third-party funds for vocational relegally available for purposes of the joint habilitation services. project; (e) provides that the State
(a) The State plan shall provide that agency shall annually evaluate the when the State's share of the cost of a effectiveness of each project with special
cooperative program is made available attention to its vocational rehabilitation
in whole or in part by a State or local objectives; and (f) assures that the State
public agency other than the State vocaagency and each participating agency tional rehabilitation agency, such cowill furnish such information and reports
operative program shall be based on a as the Administrator may from time to written agreement which (1) describes time require to determine whether the
the activities to be undertaken; (2) proactivities are achieving the purposes of
vides for an annual budget; (3) provides the project and warrant continuation. that expenditures for vocational re§ 401.10 Waiver of Statewideness.
habilitation services and administration
for which Federal financial participation If the State agency desires to carry
is claimed will be under the control and out activities in one or more political
at the discretion of the State agency; subdivisions through local financing to
(4) provides that only individuals in promote the vocational rehabilitation of
need of evaluation to determine eligisubstantially larger numbers of handi
bility or handicapped individuals who capped individuals or the vocational re
have either been certified as eligible purhabilitation of individuals with par
suant to $ 401.30(b) or have been deticular types of disabilities, the State
termined to be in need of extended plan shall (a) describe the types of
evaluation to determine eligibility shall activities which will be carried out for
be served by the cooperative program; these purposes; (b) provide that the
(5) provides for periodic evaluation of State agency will obtain a full written
the cooperative program; and (6) prodescription of any such activity to be
vides that the State agency and the carried out in a particular political sub
cooperating agency will furnish such division and will obtain written assur
other information and reports as the ance from the political subdivision that
Administrator may require. the non-Federal share of funds is avail
(b) The State plan shall assure that able to the State agency; (c) provide that
services provided in such a cooperative the State agency will require that its
program are vocational rehabilitation approval be given to each individual pro
services (1) which are not services to posal before the proposal is put into
which the handicapped individual would effect in a political subdivision; (d)
be entitled if he were not an applicant provide that the State agency will fur
or client of the State agency and (2) nish such information and reports as the
which represent new services or new Administrator may from time to time
patterns of services of the cooperating require to ascertain whether the activi. ties are within the purposes of this sec
agency. tion; (e) provide that the State agency & 401.12 Standards of personnel adminwill have sole responsibility for ad
istration. ministration (or supervision if the voca
(a) The State plan shall set forth the tional rehabilitation program is ad
State agency's standards of personnel ministered by local rehabilitation agen
administration applicable to its own emcies) of the program in the particular
ployees and those of local rehabilitation local political subdivision in accordance
agencies operating under its supervision, with $ 401.5, except to the extent that
The State plan shall specify that rates the sole State agency provision has been
of compensation and minimum qualifi. waived with respect to a joint project
cations will be established for each class ($ 401.9); and (f) provide that all re
of position which are commensurate quirements of the State plan shall apply with the duties and responsibilities of to such activities, except the requirement that class; and shall set forth the polithat the program shall be in effect in all cies of the State agency with respect to political subdivisions of the State, and the selection, appointment, promotion, except that the provision of g 401.82 may career development, and tenure of qualibe applicable for Federal financial par- fied personnel, including its policies ticipation in expenditures for carrying against discrimination on the basis of out such activities.
sex, race, creed, color, or national origin.
(b) The State plan shall provide for rehabilitation facilities, in order to prethe maintenance of such written per- vent duplication of the rehabilitation sonnel policies, records, and other in- facility effort and impairment of the formation as are necessary to permit an State vocational rehabilitation program; evaluation of the operations of the sys (e) the functions of the State agency in tem of personnel administration in rela the administration of grants and servtion to the standards of the State ices for rehabilitation facilities under agency.
this part and under Part 404 of this (c) Where personnel administration chapter; (f) the updating and mainis conducted under a State merit sys tenance of the State rehabilitation faciltem approved by the Department of ities plan; and (g) other activities under Health, Education, and Welfare (or a the State plan involving rehabilitation constituent unit thereof) as meeting the facilities. “Standards for a Merit System of Per
§ 401.15 State agency program planning sonnel Administration,” Part 70 of this
staff. title, the State plan may make reference to such fact, and the information re
(a) The State plan shall provide for quired above with respect to “Standards adequate staff with appropriate qualifiof personnel administration” need not be cations to carry out continuing statesubmitted, except that the responsibility
wide studies of the needs of handicapped for the appointment of personnel shall
individuals within the State and the be described.
means by which these needs may be most (d) The Administrator shall exercise effectively met. Such staff shall be reno authority with respect to the selec sponsible for studies, which may include tion, method of selection, tenure of office, but are not limited to: (1) A continuor compensation of any individual em ing identification of those disabled perployed in accordance with the provisions sons who need and can benefit from voof the approved State plan.
cational rehabilitation services; (2) the
review, updating, and implementation $ 401.13 Medical consultation.
of statewide planning studies for vocaThe State plan shall provide for and tional rehabilitation services and of redescribe the arrangements made to lated planning studies within the State; secure adequate medical consultation (3) an evaluation of the adequacy of exand to assure the availability of medical isting rehabilitation program resources consultative services of high quality on and the identification of those resources all medical aspects of the vocational re necessary for meeting future rehabilitahabilitation program, as needed in all tion neeas; (4) planning studies and acState, district, or local offices of the tivities necessary for the development agency.
and improvement of the State voca
tional rehabilitation program; and (5) § 401.14 State agency facility staff.
such other studies as are necessary to enThe State plan shall provide for ade sure the orderly development of rehaquate staff to carry out the functions of bilitation services and resources. Planthe State agency pertaining to rehabili
ning studies for rehabilitation services tation facilities in such areas as: (a)
shall be coordinated, to the maximum The setting of standards for rehabilita
extent possible, with related planning tion facilities utilized in providing serv
activities being conducted on a statewide, ices to handicapped individuals under the State plan and, where appropriate,
regional or other basis under the act or to disadvantaged individuals under the
other authority. In States in which there State evaluation and work adjustment
is a separate agency for the blind, coplan under Part 402 of this chapter;
Port 400 of this chapter ordinated or joint planning studies shall (b) the effective utilization of existing be conducted. rehabilitation facilities in the rehabilita (b) Advisory Committees, representtion process; (c) the establishment and ing labor, management, medical and construction of rehabilitation facilities health related organizations and instiunder $$ 401.58 and 401.59; (d) the co tutions, the disabled, public and volunordination between the State agency tary agencies and civic groups, shall be and the State agency or agencies admin utilized by the State agency program istering the programs pursuant to any planning staff, insofar as practicable, in other act concerned with the develop the conduct of statewide planning ment, establishment, or construction of studies, and no less than one-third of the