§ 401.33

Extended evaluation plan.

(a) The State plan shall provide that an extended evaluation plan to determine rehabilitation potential will be formulated for each individual to whom services will be provided after certification under § 401.31. This individual plan shall (1) be based on data secured in the preliminary diagnostic study; (2) indicate the nature of the vocational rehabilitation services necessary to determine the rehabilitation potential of the individual and the arrangements for providing (or otherwise securing) such necessary services; and (3) be formulated with the assistance of appropriate agency consultants when necessary and with the client's participation.

(b) The State plan shall provide that the State agency shall terminate or revise the extended evaluation plan for an individual when it becomes evident that (1) there is no reasonable likelihood that a vocational rehabilitation objective can be achieved; (2) his needs have changed; or (3) there is a reasonable expectation that the provision of vocational rehabilitation services may render him fit to engage in a gainful occupation.

§ 401.34 Vocational rehabilitation plan for the individual.

(a) The State plan shall provide that an individual plan of vocational rehabilitation will be formulated for each client to whom services will be provided after eligibility has been established. The individual plan shall (1) be based upon data secured in the diagnostic study and, if provided, the extended evaluation; (2) specify the vocational rehabilitation objective (or tentative objective where the ultimate objective cannot be determined at that time), the services necessary to accomplish the client's vocational rehabilitation (including services family members when such services will contribute substantially to the rehabilitation of the handicapped individual) and the arrangements for providing (or otherwise securing) such necessary services; and (3) be formulated with the assistance of appropriate agency consultants when necessary and with the client's participation.

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(b) The State plan shall provide that the vocational rehabilitation plan shall specify that all necessary services will be carried to completion insofar as possible. The State plan shall further provide that the State agency may terminate or revise the plan for any client when it

§ 401.36

Order of selection for services.

The State plan shall set forth the criteria to be used in selecting handicapped individuals for services when services cannot be provided to all persons who apply. Such criteria shall be designed to achieve the objectives of the vocational rehabilitation program to the fullest extent possible within the limitations of available resources.

§ 401.37 Participation by handicapped individuals in the costs of vocational rehabilitation services.

(a) Financial need. (1) There is no Federal requirement that the financial need of a handicapped individual be considered in the provision of any vocational rehabilitation services.

(2) If the State elects to consider the financial need of handicapped individuals for purposes of determining the extent of their respective participation in the costs of vocational rehabilitation services, the State plan shall set forth the State agency's policies with respect to the determination of financial need, and shall specify the types of vocational rehabilitation services for which the agency has established an economic needs test. The policies so established shall be reasonable and shall be applied uniformly so that equitable treatment is accorded all handicapped individuals in similar circumstances.

(3) The State plan shall provide that no economic needs test will be applied as a condition for furnishing the following vocational rehabilitation services: (i) Evaluation, including diagnostic and related services; (ii) counseling and guidance; and (iii) placement.

(b) Consideration of similar benefits. (1) The State plan shall provide that, in all cases, the State agency will give full consideration to any similar benefit available to a handicapped individual by way of pension, compensation, insurance, or other such benefits to meet, in whole or in part, the cost of any vocational rehabilitation services provided to such a

handicapped individual, except the following: (1) Evaluation, including diagnostic and related services; (ii) counseling and guidance; (iii) placement; (iv) followup services; (v) training and training materials; (vi) reader services for the blind; (vii) interpreter services for the deaf; and (viii) recruitment and training services to provide new employment opportunities.

(2) Benefits available to a handicapped individual may include, but are not limited to (i) hospital and physicians' services plans; (ii) workmen's compensation, veterans' benefits, old age, survivors' and disability insurance benefits, and unemployment compensation;

(3) The State plan shall provide that when, and to the extent that, an individual is eligible for such benefits, such benefits will be utilized insofar as they are adequate, timely, and do not interfere with achieving the rehabilitation objective of the individual.

§ 401.38 Administrative review of agency action, and fair hearings.

(a) The State plan shall provide that an applicant for or recipient of vocational rehabilitation services under the State plan who is dissatisfied with any action with regard to the furnishing or denial of such services may file a request for an administrative review and redetermination of that action to be made by a member or members of the supervisory staff of the State or local agency. The State plan shall further provide that when the individual is dissatisfied with the finding of this administrative review he shall be granted an opportunity for a fair hearing before the State administrator or his designee.

(b) Each applicant for or recipient of vocational rehabilitation services shall be informed of the opportunity available to him under paragraph (a) of this section.

(2) The use of such information and records shall be limited to purposes directly connected with the administration of the vocational rehabilitation program and may not be disclosed, directly or indirectly, other than in the administration thereof, unless the consent of the client to such release has been obtained either expressly or by necessary implication. Release of information to employers in connection with the placement of the client may be considered as release of information in connection with the administration of the vocational rehabilitation program. Such information may, however, be released to welfare agencies or programs from which the client has requested certain services under circumstances from which his consent may be presumed, provided such agencies have adopted regulations which will assure that the information will be held confidential, and can assure that the information will be used only for the purposes for which it is provided. Such information will be released to an organization or individual engaged in research only for purposes directly connected with the administration of the State vocational rehabilitation program (including research for the development of new knowledge or techniques which would be useful in the administration of the program) and only if the organization or individual furnishes satisfactory assurance that the information will be used only for the purpose for which it is provided; that it will not be released to persons not connected with the study under consideration; and that the final product of the research will not reveal any information that may serve to identify any person about whom information has been obtained through the State agency, without written consent of such person and the State agency.

(3) All such information is the property of the State agency or of the State and local rehabilitation agency, and may be used only in accordance with the agency's regulations.

(b) The State plan shall further provide that the State agency will adopt such procedures and standards as are necessary to (1) give effect to its regulations; (2) assure that all rehabilitation clients and interested persons will be informed as to the confidentiality of vocational rehabilitation information; (3) assure the adoption of such office practices and the availability of such office facilities and equipment as will assure the adequate

protection of the confidentiality of such records.

§ 401.40 Recording of case data.

The State plan shall provide that the State agency will maintain a record for each case which will contain pertinent information about the individual and the services provided. The case record shall include the following items to the extent pertinent: (a) Data supporting the determination of eligibility or ineligibility; (b) data supporting the decision to provide extended evaluation services to determine the rehabilitation potential for those individuals for whom the third condition of eligibility cannot be determined immediately, the extended evaluation plan, and progress reports on the extended evaluation; (c) data relating to client participation in the cost of services if the State elects to condition the provision of any services on the financial need of the client; (d) data relating to the eligibility of the individual for similar benefits by way of pension, compensation, insurance or other such benefits; (e) data supporting the clinical status of the client's disabling condition as stable or slowly progressive in the event that the physical restoration services are provided after the establishment of the three basic conditions of eligibility; (f) data supporting the decision to provide services to family members; (g) a vocational rehabilitation plan, setting forth the vocational rehabilitation objective of the individual, the services needed for his vocational rehabilitation (including services to family members) as determined through the case study and extended evaluation, if provided, and the way in which such services will be provided; (h) the reason and justification for closing the case, including the employment status of the client, and, if the case is closed as employed, the basis on which the employment was determined to be suitable; and (i) data supporting the provision of followup services after case closure to assist the individual to maintain his employment.

STATE PLAN CONTENT: SERVICES § 401.41 Scope of agency program. (a) The State plan shall as a minimum provide that evaluation, including diagnostic and related services, counseling, and guidance, training (including personal and vocational adjustment training), maintenance, physical resto

The State plan shall provide that the State agency will establish and maintain standards for the various types of facilities and personnel utilized in providing services to handicaped individuals, and shall describe the general content of such standards and the bases on which they were developed. The State plan shall also set forth the methods to be employed for maintaining such standards in accessible form for agency personnel.

§ 401.43 Rates of payment.

The State plan shall provide for the establishment of rates of payment for diagnostic services, training, physical restoration, or other services purchased for clients, describe the policies used in arriving at such rates, and provide that the State agency will maintain in accessible form information justifying such rates of payment. The State plan shall further provide that individual or other vendors providing any services authorized by the State agency to a handicapped individual or members of his family shall agree not to make any charge to or accept any payment from the individual or his family for such services unless the amount of such charge or payment is previously known to and, where applicable, approved by the State agency.

§ 401.44 Evaluation, including diagnostic and related services.

The State plan shall provide for evaluation, including diagnostic and related services incidental to the determination of eligibility for vocational rehabilitation services and the nature and scope of services to be provided. The State plan shall also describe the diagnostic and related services to be provided for this purpose.

§ 401.45 Counseling and guidance.

The State plan shall set forth the standards and policies established for maintaining a counseling relationship

throughout a handicapped individual's program of services which will assure (a) adequate counseling services to the individual in connection with his vocational potentialities and the health, personal and social problems related to his vocational adjustment; and (b) necessary guidance for him to develop an understanding of his capacities and limitation, in selecting a suitable occupational goal, and in using appropriately the medical services, training, and other rehabilitation services needed to achieve the best possible vocational adjustment. The State plan shall also provide for the securing of reports from agencies, institutions and individuals providing vocational rehabilitation services and for other methods of evaluating the progress in each case which will aid the counselor in his contacts with the handicapped individual.

§ 401.46 Physical restoration services.

(a) The State plan shall set forth policies that the State agency will follow in furnishing physical restoration services to handicapped individuals to the extent necessary to determine their rehabilitation potential or achieve their vocational rehabilitation. The State plan shall further specify that, with respect to those cases for which the State agency wishes Federal financial participation in expenditures for physical restoration services to handicapped individuals, the following additional criteria are met in each case: (1) Physical restoration services may be expected to eliminate or substantially reduce the handicapping condition within a reasonable period of time; and (2) the clinical status of the individual's condition is stable or slowly progressive, except when physical restoration services are provided under an extended evaluation plan in order to determine the rehabilitation potential of a handicapped individual.

(b) The State plan shall further specify that eye glasses and visual services may be prescribed and may be provided by either a physician skilled in diseases of the eye or by an optometrist, as authorized under State law.

tional, personal adjustment training, and other rehabilitation training which contributes to the individual's vocational adjustment; it covers training provided directly by the State agency or procured from other public or private training facilities. The State plan shall also include the State agency's policies with respect to the provision of tools and training materials including books.

§ 401.48 Maintenance.

The State plan shall specify the policies established for provision of maintenance and shall provide that maintenance will be furnished only in order to enable an individual to derive the full benefit of other vocational rehabilitation services being provided. As needed in the individual case, maintenance may be provided at any time in connection with vocational rehabilitation services from the date of initiation of such services, including diagnostic services, to a reasonable period following placement.

The State plan shall provide that the State agency will assume responsibility for placement of individuals accepted for service. The State plan shall set forth the standards established for determining if the client is suitably employed and for such followup services as are necessary, prior to case closure, for assuring that the vocational rehabilitation objective of the client has been achieved. § 401.50 Follow-up services.

The State plan shall provide for follow-up services after placement and case closure to assist former clients in need of such services to maintain themselves in employment. The State plan shall (a) specify the criteria to be used in selecting individuals to receive followup services; (b) specify the nature and scope of followup services to be provided; and (c) state whether they will be provided directly, by contract, or otherwise. § 401.51

Transportation.

The State plan shall set forth the policies with respect to furnishing transportation incidental to provision of evaluation or other vocational rehabilitation services under the State plan. Transportation means the necessary travel and related costs in connection with transporting handicapped individuals and, where necessary, members of their family, for the purpose of providing

§ 401.54

Recruitment and training services for new employment opportunities.

The State plan shall set forth the policies that the State agency will follow in furnishing (directly or by contract) recruitment and training services to provide eligible individuals or groups thereof with new employment opportunities in the fields of rehabilitation, health, welfare, public safety, law enforcement and other appropriate service employment. § 401.55 Tools, equipment, initial stocks and supplies, occupational licenses. The State plan shall describe the policies governing the provision of tools, equipment, initial stocks (including livestock) and supplies; and equipment, initial stocks and supplies for vending stands. The State plan shall further describe the conditions governing the provision of occupational licenses. § 401.56

Other goods and services.

(a) The State plan shall set forth the policies that the State agency will follow in providing other goods and services necessary to render a handicapped individual fit to engage in a gainful occupation or to determine his rehabilitation potential.

(b) The State plan may provide that the agency will furnish short periods of medical care for acute conditions arising in the course of vocational rehabilitation, which, if not cared for, would constitute a hazard to the achievement of the vocational rehabilitation objective, or the completion of the extended evaluation to determine rehabilitation potential.

§ 401.57 Small business enterprises for the severely handicapped.

(a) The State plan may provide for management services and supervision provided to small business enterprises (including vending stands) operated by the severely handicapped, and may also provide for establishing such small business enterprises. If the State plan so provides, it shall, to the extent pertinent, (1) describe the types of small business enterprises to be established under the program; (2) describe the policies governing the acquisition of vending stands or other equipment and initial stocks (including livestock) and supplies for such businesses; (3) describe the policies governing the management and supervision of the program; (4) describe how management and supervision will be accomplished either by the State agency, or by some other organization as the nominee of such agency, subject to its control, and (5) provide that only those persons defined as severely handicapped in the State plan will be selected to participate in this supervised program.

(b) If the State plan provides for management services and supervision for small business enterprises, and if the State agency elects to set-aside funds from the proceeds of the operation of such enterprises, the State plan shall describe the methods used in setting aside such funds, and the purposes for which such funds are set-aside. Such funds may be used only for small business enterprise program purposes and any benefits for operators must be provided on an equitable basis.

§ 401.58 Establishment of rehabilitation facilities.

The State plan may provide for the establishment of public or other nonprofit rehabilitation facilities. If the State plan so provides, it shall:

(a) Provide that the State agency will determine that needs for individual rehabilitation facilities exist prior to their establishment and that such establish