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may be applicable for Federal financial § 401.12 State agency facility staff. participation in expenditures for carry

The State plan shall provide for adeing out such activities.

quate staff to carry out the functions of $ 401.10 Standards of personnel admin the State agency pertaining to workistration.

shops and rehabilitation facilities in (a) The State plan shall set forth the

such areas as: (a) The setting of standState agency's standards of personnel

ards for workshops and rehabilitation administration applicable to its own em

facilities utilized in providing services to ployees and those of local rehabilitation

eligible individuals under the state plan; agencies operating under its supervision.

(b) the effective utilization of existing The State plan shall specify that rates

workshops and rehabilitation facilities in of compensation and minimum qualifica

the rehabilitation process; (c) the estabtions will be established for each class of

lishment of workshops and rehabilitation position which are commensurate with

facilities under $$ 401.45 and 401.46, the duties and responsibilities of that

respectively; (d) the functions of the class; and shall set forth the policies of

State agency in the administration of

grants and services for workshops and the State agency with respect to the selection, appointment, promotion, and

rehabilitation facilities under this part tenure of qualified personnel, including

and under Part 402 of this chapter; and

(e) other activities under the State plan its policies against discrimination on the basis of sex, race, creed, color, or na

involving workshops and rehabilitation

facilities. tional origin. (b) The State plan shall provide for

$ 401.13 Staff development. the maintenance of such written person The State plan shall provide for a pronel policies, records, and other informa

gram of staff development in order to tion as are necessary to permit an evalua

improve the operation of the State vocation of the operations of the system of tional rehabilitation program and to personnel administration in relation to

promote the provision of a high quality the standards of the State agency. of vocational rehabilitation services to

(c) Wnere personnel administration is increasing numbers of handicapped inconducted under a State merit system dividuals. The State plan shall describe approved by the Department of Health, the scope of the training program which Education, and Welfare (or a constituent shall include as a minimum: (a) A sysunit thereof) as meeting the “Standards tematic approach to the determination for a Merit System of Personnel Admin of training needs, periodic reassessment istration,” Part 70 of this title, the State of these needs and a system for evaluatplan may make reference to such fact, ing the effectiveness of the training acand the information required above with tivities provided; (b) an orientation prorespect to “Standards of personnel ad gram for new staff; and (c) a plan for ministration” need not be submitted, continuing training opportunities for all except that the responsibility for the ap classes of positions, held under expert pointment of personnel shall be de leadership at suitable intervals. If the scribed.

staff development program includes (d) The Commissioner shall exercise leaves of absence for institutional or no authority with respect to the selection, other organized training such as fullmethod of selection, tenure of office, or time study, released time or work-study, compensation of any individual employed or worker-in-training programs, the in accordance with the provisions of the

State plan shall specify the policies govapproved State plan.

erning the granting of such leave. The

State plan shall provide for adequate § 401.11 Medical consultation.

staff to direct the staff development proThe State plan shall provide for and gram. describe the arrangements made to $ 401.14 Political activity. secure adequate medical consultation

The State plan shall contain provisions and to assure the availability of medical consultative services of high quality on

prohibiting employees engaged in the

day-to-day administration and operation all medical aspects of the vocational re

of the program from engaging in politihabilitation program, as needed in all cal activity. Such an employee shall, of State, district, or local offices of the

course, have the right to express his views agency.

as a citizen and to cast his vote.

§ 401.15 Fiscal administration.

for the programs of public assistance and The State plan shall set forth the poli

workmen's compensation and the syscies and methods pertinent to the fiscal

tem of public employment offices. The

basis for the cooperative working aradministration and control of the vocational rehabilitation program, including

rangement with the system of public emsources of funds, incurrence and pay

ployment offices shall be a written agreement of obligations, disbursements, ac

ment which shall provide, among other counting, and auditing. The State plan

things, for reciprocal referral services, shall provide for the maintenance by the

exchange of reports of service, joint seryState agency (or, where applicable, by

ice programs, continuous liaison and the local rehabilitation agency) of such

maximum utilization of the job place

ment and employment counseling seryaccounts and supporting documents as will serve to permit an accurate and ex

ices and other services and facilities of peditious determination to be made at

the public employment offices. any time of the status of the Federal

(b) The State plan shall further progrants, including the disposition of all

vide that the State agency will establish moneys received and the nature and

and maintain working relationships with amount of all charges claimed to lie other public and private agencies and Inagainst the respective Federal authori- stitutions, such as crippled children's zation.

agencies, Veterans Administration facill

ties, hospitals, health and mental health § 401.16 Custody of funds.

departments, State and Federal agencies The State plan shall designate the administering wage and hour laws apState official who will receive and provide plicable to workshops, State and other for the custody of all funds paid to the agencies administering special education, State under the act, subject to requisition economic opportunity and manpower or disbursement by the State agency.

development and training programs, the

State Selective Service System and vol$ 401.17 Reports.

untary social and health agencies fur. (a) The State plan shall provide that nishing services relating to vocational rethe State agency will make such reports habilitation, so as to assure maximum in such form and containing such infor- utilization on a coordinated basis of the mation as the Commissioner may reason- services which all agencies in the State ably require, and will comply with such have to offer for the vocational rehabiliprovisions as he may find necessary to tation of handicapped individuals. assure the correctness and verification of (c) Where there is a separate State such reports. This provision applies to agency for the blind, the State plan reports in all areas of program operation shall also provide that the two State and administration and to various meth- agencies will establish reciprocal reods of reporting, including written and ferral services, utilize each other's seryoral reports, and inspection and review ices and facilities to the extent practof fiscal, statistical, casework, and other cable and feasible, jointly plan activities records and operations.

which will improve services to handi(b) From time to time members of the capped individuals in the State, and staff of the Vocational Rehabilitation otherwise cooperate in the interest of Administration review, with the States' providing more effective services. cooperation, administrative, fiscal and program methods and practices and

$ 401.19 Nondiscrimination in employ. make constructive suggestions for the

ment under construction contracts. improvement of such methods and prac- The State plan shall provide that the tices.

State agency will incorporate, or cause § 401.18 Cooperation with other agen

to be incorporated, into construction cies.

contracts (including construction con

tracts related to the establishment of (a) The State plan shall provide that workshops or rehabilitation facilities) the State agency will establish and main- paid for in whole or in part with funds tain cooperative working relationships obtained from the Federal Government with the Bureau of Employees' Compen- under the vocational rehabilitation prosation of the Department of Labor, the

gram, such provisions on nondiscrimiSocial Security Administration of the nation in employment as are required by Department of Health, Education, and and pursuant to Executive Order No. Welfare, the State agencies responsible 11246, and will otherwise comply with

cequirements prescribed by and pursuant for each case determined to be ineligible co such order.

for vocational rehabilitation services, STATE PLAN CONTENT: CASEWORK

including those who have been found PRACTICE

ineligible under this section and § 401.21. 5 401.20 Eligibility.

§ 401.21 Determination of rehabilitation

potential. (a) General provisions. (1) The

(a) General provisions. The State State plan shall describe the policies and

plan shall describe the policies and methmethods which the State agency will

ods which the State agency will follow follow in determining eligibility for vo

in establishing the need for an extended cational rehabilitation services in each

evaluation in order to determine the recase. Insofar as applicable, the pro

habilitation potential. Insofar as appllisions relating to “Case study and diaghosis” in $ 401.22 shall apply in the de

cable, the provisions relating to “Case

study and diagnosis" in § 401.22 shall ermination of eligibility. (2) The State plan shall provide that

apply in the determination of rehabilita

tion potential. eligibility requirements will be applied

(b) Basic conditions. The State plan by the State agency or local rehabilita

shall provide that the furnishing of voion agency without regard to sex, race,

cational rehabilitation services to detercreed, color, or national origin of the in

mine rehabilitation potential shall be Hividual. The State plan shall further

based upon: (1) The presence of a physiprovide that no group of individuals shall

cal or mental disability; (2) the existence ve excluded or found ineligible solely on

of a substantial handicap to employhe basis of their type of disability. In ddition, the State plan shall specify that

ment; and (3) inability to make a deter

mination as to the third condition of no upper or lower age limit will be estab

eligibility under $ 401.20(b) without an ished which will, in and of itself, result

extended evaluation, including the pron a finding of ineligibility, provided,

vision of vocational rehabilitation servhowever, that the plan may contain an

ices, ge requirement to the extent required

(c) Duration. Necessary vocational y State statute until 90 days after the

rehabilitation services, as specified in State legislature shall have met in reg

$ 401.1(x) (2), may be provided during a lar session after January 1, 1967.

period not in excess of 18 months in the (b) Basic conditions. The State plan

case of an individual whose disability is hall provide that eligibility for voca

(1) mental retardation, (2) deafness, (3) fonal rehabilitation services ($ 401.1(x)

blindness, (4) paraplegia, quadriplegia, 1)) shall be based upon: (1) The pres

and other spinal cord injuries or diseases, nce of a physical or mental disability;

(5) heart disease, (6) cancer, (7) stroke, 2) the existence of a substantial handi

(8) epilepsy, (9) mental illness, (10) ap to employment; and (3) a reason

cerebral palsy, or (11) brain damage, and ble expectation that vocational rehabil

not in excess of 6 months in the case of tation services may render the individ

an individual with any other disability, al fit to engage in a gainful occupation.

(d) Certification. The State plan (c) Certification of eligibility. (1)

shall provide that, prior to or simultaneThe State plan shall provide that, prior

ously with acceptance of an individual o or simultaneously with acceptance of

for vocational rehabilitation services for he handicapped individual for voca

purposes of determination of rehabilitaonal rehabilitation services, there will

tion potential, there will be a certificae a certification that the individual has

tion that the individual has met the three net the three basic eligibility require

requirements in paragraph (b) of this ents specified in paragraph (b) of this

section. The State plan shall further ection. (See $ 401.21(d) for certifica

provide that the certified statement will on of need for determination of reha

be dated and signed by an appropriate ilitation potential.) The State plan

agency staff member to whom such rehall further provide that the certified

sponsibility has been assigned. atement of eligibility will be dated and

(e) Scope of services. The State plan gned by an appropriate agency staff shall provide that, in addition to counselember to whom such responsibility has ing, any or all of the following vocational een assigned.

rehabilitation services shall be provided (2) The State plan shall provide that if necessary to determine the rehabilitacertification will be similarly executed tion potential of the individual: (1)

86-096-68 33

Diagnostic and related services; (2) vidual's progress during the 6- or 18. physical restoration services (without month period including periodic reports the need for a determination that the from the institution, facility or person physical or mental condition is stable or providing the service. slowly progressive); (3) maintenance;

& 401.22 Case study and diagnosis. (4) transportation; (5) training and training materials (including tools); (6)

(a) The State plan shall provide that, reader services for the blind; (7) inter- prior to and as a basis for formulating preter services for the deaf; (8) compre

the vocational rehabilitation plan for any hensive evaluation at a rehabilitation individual certified as eligible under facility, workshop or other suitable fa- § 401.20, there will be a thorough diag. cility; (9) other goods and services, as nostic study, which will consist of a specified in § 401.1(x) (2), which are nec- comprehensive evaluation of pertinent essary to determine the rehabilitation medical, psychological, vocational, edupotential.

cational, cultural, social, and environ(f) Other conditions. (1) Federal fi- mental factors in the case. The State nancial participation will be available plan shall provide that in each case the in expenditures for vocational rehabilita- diagnostic study shall be adequate to tion services, authorized after the expira- provide the basis for (1) establishing tion of the 6- or 18-month period, which- that a physical or mental disability is ever is applicable in the individual case, present; (2) appraising the current genonly if a certification of eligibility has eral health status of the individual; (3) been executed by the appropriate State determining how and to what extent the agency staff member to whom such re- disabling conditions may be expected to sponsibility has been assigned, certifying be removed, corrected or minimized by that the individual has met the three physical restoration services; and (4) basic conditions of eligibility in § 401.20 selecting an employment objective com(b).

mensurate with the individual's interests, (2) The 6- or 18-month period shall capacities and limitations. begin with the date of the certification (b) The State plan shall provide that required in paragraph (d) of this section. the diagnostic study will include, in all

(3) Only one 6-month or 18-month cases to the degree needed, an evaluation period for determination of the rehabili- of the individual's personality, intellitation potential shall be permitted during gence level, educational achievements, the period that the case is open. How- work experience, vocational aptitudes ever, if a case has been closed a subse- and interests, personal and social adquent determination of the rehabilitation justment, employment opportunities, and potential may be carried out provided other pertinent data helpful in deterthat the conditions in paragraph (b) of mining the nature and scope of services this section are met.

to be provided for accomplishing the (g) Termination. (1) The State plan individual's vocational rehabilitation shall provide that at any time prior to objective. the expiration of the 6- or 18-month (c) The State plan shall further properiod, the extended evaluation for the vide that the medical diagnostic study determination of the rehabilitation po- shall include (1) a complete general tential shall be terminated and the indi- medical examination, providing an apvidual found eligible for vocational re- praisal of the current medical status of habilitation services under $ 401.20 if the individual; (2) examinations by and when there is a reasonable expecta- specialists in all medical specialty fields, tion that he can be rendered fit to engage as needed, including a psychiatric evaluin a gainful occupation.

ation in all cases of mental illness (ex(2) The determination of the rehabili- cept as provided in paragraph (e) of tation potential shall also be terminated this section); and (3) such clinical labbefore the expiration of the 6- or 18- oratory tests, X-rays, and other indicated month period and the individual found studies as are necessary, in addition to ineligible for any other vocational reha- subparagraphs (1) and (2) of this parabilitation services at any time it is deter- graph, to establish the diagnosis, to demined that there is no reasonable likeli- termine the extent to which the disability hood that he can be rendered fit to limits (or is likely to limit) the individengage in a gainful occupation.

ual's daily living and work activities, (h) Review. The State plan shall and to estimate the probable results of provide for frequent review of the indi- physical restoration services.

(d) The State plan shall, in addition, ficient facts have been secured to deset forth the specifications established by termine his rehabilitation potential. the agency for the content of the diag

$ 401.24 Vocational rehabilitation plan nostic study outlined in paragraph (c)

for the individual. of this section, including (1) the subject matter to be covered and the minimum (a) The State plan shall provide that diagnostic procedur to be employed an individual plan of vocational rehabilroutinely in the general medical exami itation will be formulated for each client nation; (2) the required recency of such

to whom services will be provided after examination, and the conditions under eligibility has been established. The inwhich a medical abstract will be accepted dividual plan shall (1) be based upon in lieu of a new examination; and (3) data secured in the diagnostic study and the conditions under which examina

the extended evaluation, if provided; (2) tions by specialists will be required. specify the vocational rehabilitation ob(e) The State plan shall provide that

jective (or tentative objective where the (1) in all cases of mental retardation a ultimate objective cannot be determined psychological evaluation will be obtained

at that time), the services necessary to which will include a valid test of intelli accomplish the client's vocational rehagence and an assessment of social func bilitation, and the arrangements for protioning and educational progress and viding (or otherwise securing) such achievement; (2) in all cases of be necessary services; and (3) be formu. havioral disorders a psychiatric or psy

lated with the assistance of appropriate chological evaluation will be obtained, as agency consultants when necessary and appropriate; and (3) in all cases of blind with the client's participation. ness an adequate hearing evaluation will (b) The State plan shall provide that be obtained.

the vocational rehabilitation plan shall (f) The State plan shall further pro

specify that all necessary services will vide that, prior to, and as a basis for the be carried to completion insofar as posextended evaluation plan ($ 401.23), suf

sible. The State plan shall further proficient case study and diagnosis in ac

vide that the State agency may termicordance with the foregoing paragraphs

nate or revise the plan for any client of this section, insofar as they are ap

when it becomes evident that his vocaplicable, will be completed to establish tional rehabilitation cannot be achieved, the presence of a physical or mental dis that services cannot be completed, or that ability, a substantial handicap to em

the client's needs have changed. ployment and the services to be provided

§ 401.25 Processing referrals and appli. during the extended evaluation period. cations. & 401.23 Extended evaluation plan.

The State plan shall describe the (a) The State plan shall provide that

methods to be followed in handling rean extended evaluation plan to determine ferrals and applications for vocational | rehabilitation potential will be formu

rehabilitation services. lated for each individual to whom serv § 401.26 Order of selection for services. | ices will be provided after certification under $ 401.21. This individual plan

The State plan shall set forth the cri. | shall (1) be based on data secured in the

teria to be used in selecting eligible inpreliminary diagnostic study; (2) indi

dividuals for services when services cancate the nature of the vocational rehabil.

not be provided to all eligible persons | itation services necessary to determine

who apply. Such criteria shall be de| the rehabilitation potential of the indi

signed to achieve the objectives of the i vidual and the arrangements for pro

vocational rehabilitation program to the | viding (or otherwise securing) such

fullest extent possible with available necessary services; and (3) be formu.

funds. lated with the assistance of appropriate 8 401.27 Administrative review of agency agency consultants when necessary and action, and fair hearings. with the client's participation. (b) The State plan shall provide that

The State plan shall provide that an

applicant for or recipient of vocational the State agency shall terminate or revise

rehabilitation services under the State the extended evaluation plan for an indi. plan who is dissatisfied with any agency vidual when it becomes evident that his

decision with regard to the furnishing vocational rehabilitation cannot be com or denial of services may file a request pleted, his needs have changed, or suf for review and redetermination of that

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