viding assistance or services to the adult blind) as the State evaluation and work adjustment agency for purposes of administering the State plan. (b) The State plan shall describe the organizational structure of the State agency and the administrative relationships which have been developed for the proper and efficient administration of the plan. (c) The State plan shall further provide (1) that the State agency shall be responsible for the selection of individuals to receive evaluation and work adjustment services, the scope of such services and the provision (either directly or by contract) of evaluation and work adjustment services under the plan and (2) that the State agency shall maintain fiscal and administrative responsibility and shall be accountable for all program funds. § 402.6 Cooperative and joint undertakings with other agencies. (a) The State plan shall provide that the State agency will cooperate, to the maximum extent possible, with other public and private agencies concerned with and serving disadvantaged individuals and will establish and maintain cooperative working relationships with such other public and private agencies in order to assure maximum utilization of resources for the disadvantaged. (b) (1) The State plan shall further provide that the State agency shall participate in joint service programs and other joint undertakings and activities designed to coordinate the services of the State agency with those of other public and private agencies serving the disadvantaged. To the maximum extent possible, such cooperative and joint undertakings shall be planned with reference to the Cooperative Area Manpower Planning System, and shall be reviewed annually in the light of significant program emphases. (2) Joint undertakings shall be evidenced by written agreements which shall provide, among other things, for reciprocal referral services and continuing liaison, and which shall (i) describe the nature and scope of the activities to be conducted and the roles of each agency participating in the joint undertaking; (ii) specify the duration of the agreement; (iii) provide that to the extent that evaluation and work adjustment services are provided in the joint undertaking, the criteria of the State agency for the selection of individuals to receive such services and for the provision of such services will be met; (iv) describe the arrangements for financing the joint undertaking; and (v) describe the means by which the effectiveness of such joint undertakings will be evaluated. (c) The State plan shall further provide that the State agency shall assign the highest priority to developing cooperative activities with those agencies sponsoring or administering a concentrated employment program, a work incentive program, or other related manpower programs with similar objectives. (d) In States where there is a separate vocational rehabilitation agency for the blind, the State plan shall provide that the State agency and the State agency for the blind will jointly plan programs and activities for disadvantaged individuals who are also blind in order to assure that such individuals receive the services most appropriate to their needs. Arrangements for services, consistent with the regulations in this part, which arise from such joint planning shall specify the respective roles of each agency and financial arrangements for providing evaluation and work adjustment services to blind disadvantaged individuals. § 402.9 Order of selection for services (a) The State plan shall set forth the criteria to be used in selecting those disadvantaged individuals to whom services will be provided when services cannot be provided to all disadvantaged individuals who apply. Such criteria shall assure that disadvantaged individuals who are clients or prospective clients of concentrated employment programs, work incentive programs, manpower agencies, public assistance agencies, or other agencies providing manpower development, training or employment services to the disadvantaged shall receive primary consideration in selection for services. (b) The State plan shall provide that evaluation and work adjustment services will be provided without regard to whether a disadvantaged individual is in financial need. The State plan shall provide, however, that an individual's financial need shall be a consideration in determining the priority for selection for services when services cannot be provided to all disadvantaged individuals who apply for them in order to give preference to those disadvantaged individuals who are in financial need. (a) The State plan shall provide that the State agency will make such reports in such form and containing such information as the Administrator may.reasonably require, and will comply with such provisions as the Administrator may find necessary to assure the correctness and verification of such reports. (b) The State plan shall further provide that all State agency records, statistics and other reports shall be maintained in such a manner as to distinguish handicapped individuals from other disadvantaged individuals served by the vocational evaluation and work adjustment program. To the extent practicable, such records, statistics and other reports will be compatible with reporting systems and methods utilized both by manpower agencies serving the disadvantaged and State vocational rehabilitation agencies. Subpart C-State Plan Content: § 402.20 Processing referrals and applications. The State plan shall describe the methods to be followed to assure the prompt processing of referrals and appli cations for evaluation and work adjustment services. § 402.21 Acceptance for evaluation and work adjustment services. (a) General provisions. The State plan shall describe the policies and methods which the State agency will follow in providing evaluation and work adjustment services to a disadvantaged individual. The State plan shall assure that services will be provided by the State agency without regard to sex, race, creed, color, or national origin of the disadvantaged individual. (b) Basic conditions. The State plan shall provide that acceptance or nonacceptance for evaluation and work adjustment services shall be based upon a preliminary screening to determine that: (1) The individual is disadvantaged; (2) the individual has a handicap to employment; and (3) the individual needs evaluation and work adjustment services. Such determination shall be in writing and shall include a statement of acceptance or nonacceptance for further evaluation and work adjustment services. (c) Notification of determination. The State plan shall provide that in those cases where individuals have been referred for services by another public or private agency, the State agency shall notify such other agency of its determination. Where individuals have made direct application for services, the State agency shall notify such individuals of its determination. § 402.22 Comprehensive diagnostic study. (a) The State plan shall provide that there will be a comprehensive and thorough diagnostic study of each disadvantaged individual which will consist of evaluation of those pertinent medical, psychological, vocational, educational, cultural, social, and environmental factors which bear on his handicap to employment and his rehabilitation potential. (b) The State plan shall provide that, in all cases, general medical information shall be obtained to appraise the current medical status of the disadvantaged individual. (c) The State plan shall further provide that, in all cases, such diagnostic study shall include, to the degree needed, an evaluation of the individual's educational achievements, work experience, vocational aptitudes and interests, intellectual abilities, personality characteristics, attitudes, personal and social adjustments, employment opportunities, motivation for additional services, and such other pertinent data as may be helpful in determining the nature and scope of services needed. § 402.23 Other evaluation and work adjustment services. (a) The State plan shall describe the other evaluation and work adjustment services to be furnished to disadvantaged individuals, as needed, in order: (1) To appraise an individual's patterns of work behavior and ability to acquire occupational skills and (2) to develop an individual's work attitudes, work habits, work tolerance, and social and other behavior patterns suitable to prepare him for job training and future job performance. (b) The State plan shall describe the provisions for furnishing, whenever appropriate, simulated or real work experience necessary to assess and develop a disadvantaged individual's capacities to perform adequately in a work environment. (c) The State plan shall describe the provisions for furnishing services to family members of a disadvantaged individual when the provision of such services is necessary for the effective evaluation and work adjustment of the disadvantaged individual. (d) The State plan shall describe the provisions for furnishing to a disadvantaged individual such other goods and services as are determined to be necessary for the effective evaluation and work adjustment of such an individual and as are necessary for ascertaining: (1) The nature of such an individual's handicap to employment and whether it may reasonably be expected that the individual can benefit from vocational rehabilitation services in the case where the disadvantaged individual is a handicapped individual, or other services in the case of other disadvantaged individuals. § 402.24 Recording of case data. (2) The State plan shall provide that the State agency will maintain records which will provide pertinent information about the individual and the services provided. For those individuals accepted for services on the basis of the preliminary screening, to the extent possible, such records shall include: (a) Data supporting the determination that the individual is disadvantaged and other data secured in the preliminary screening; (b) an enumeration and description of the evaluation and work adjustment services which have been provided to the disadvantaged individual (including any services provided to members of the disadvantaged individual's family and justification for the provision of such services); (c) a terminal report which includes a summary of pertinent findings and recommendations for further services or referral; and (d) the reasons and justifications for terminating services. § 402.25 Reports to other agencies. The State plan shall provide that, when indicated, other public or private agencies will be provided special progress reports concerning disadvantaged individuals, who have been referred by such other agencies for evaluation and work adjustment services, when such other agencies maintain a continuing relationship with the individual. The State agency shall also submit a comprehensive final report, describing the evaluation and work adjustment services provided to the disadvantaged individual and recommendations for additional services, to both the referring agency and to the public and private agencies to which the State agency has referred disadvantaged individuals for such additional services. § 402.26 Referral to other agencies. (a) The State plan shall provide that disadvantaged individuals who are found to be handicapped individuals shall be referred to the appropriate State vocational rehabilitation agency at such time as the State agency determines they will be served more effectively by vocational rehabilitation services. (b) The State plan shall provide that, if possible, before evaluation and work adjustment services are terminated, arrangements will be made to refer the individual to an appropriate agency in order that necessary additional services may be provided. In the event that such a referral has not been made, the case record shall indicate the reasons therefor. Subpart D-Financing of State Vocational Evaluation and Work Adjustment Programs § 402.30 Evaluation and work adjustment services. participation (a) Federal financial will be available in expenditures made under an approved State plan for providing the following evaluation and work adjustment services to disadvantaged individuals: (1) Vocational evaluation and related diagnostic services; (2) work adjustment services, including, as necessary, the utilization of simulated or real work experience; (3) outreach; (4) referral; (5) advocacy; (6) other goods or services necessary to ascertain the nature of the disadvantaged individual's handicap to employment and to determine those additional services from which the disadvantaged individual can be expected to benefit; (7) such services to family members of a disadvantaged individual as are necessary for the vocational evaluation and work adjustment of the disadvantaged individual; and (8) the administration of the vocational evaluation and work adjustment services program, including such minor alteration or renovation of existing buildings, equipment, and such other support as is necessary to increase the effective use of rehabilitation facilities providing evaluation and work adjustment services. (b) Federal financial participation will also be available in expenditures for evaluation and work adjustment services made under the State plan, which are furnished by the State agency for other agencies of the State serving disadvantaged individuals. (c) Federal financial participation will not be available in expenditures for the establishment or construction of rehabilitation facilities, or for the cost of any evaluation and work adjustment services for which payment has been made to the State agency by another public or private agency, or for which payment is made under any other part of this chapter. § 402.31 State and local funds. (a) In order to receive the Federal share of expenditures under the State plan, expenditures from State or local funds, including funds donated to the State, under such plan equal to the State's share must be made. Such funds may not consist of Federal funds or of non-Federal funds that are applied to match other Federal funds, except as may be specifically authorized by Congress. (b) For the purposes of this section, "State or local funds" means (1) funds made available by appropriation directly to the State agency, funds made available by allotment or transfer from a general departmental appropriation, or funds otherwise made available to the State agency by any unit of State or local government; (2) non-Federal funds donated to the State, which are deposited in the account of the State agency in accordance with State law, for expenditure by, and at the sole discretion of, the State agency: Provided, however, That such donations may be earmarked for meeting the State's share for providing particular services, for providing services for special groups which are identified on the basis of criteria which would be acceptable for the earmarking of public funds, or for use at a specific facility, or for carrying on types of administrative activities so identified: Provided further, That nothing in this paragraph shall authorize the further earmarking of funds for a particular individual or for members of a particular organization, and that Federal financial participation will not be available in expenditures that revert to the donor's use or facility where the donor is a private agency, organization, or individual. § 402.32 Allotment of Federal funds for evaluation and work adjustment services. (a) For each fiscal year each State shall be entitled to an allotment of an amount bearing the same ratio to the amount authorized by the act to be appropriated for that fiscal year for making grants to States for meeting the cost of evaluation and work adjustment services under section 15 of the act as the product of the population of the State and the allotment percentage bears to the sum of the corresponding products for all States. The allotment percentage shall be the same allotment percentage as is applied under the State plan for vocational rehabilitation services and shall be promulgated in the same manner (see § 401.85). (b) The allotment to any State for any fiscal year which is less than $50,000 (or such other amount as may be specified as a minimum allotment in the act appropriating sums for such year) shall be increased to that amount, the total, of the increase thereby required being derived by proportionately reducing the allotments of each of the remaining States, but with such adjustments as may be necessary to prevent the allotment of any such remaining States from being thereby reduced to less than that amount. § 402.33 Payments from allotments. The Administrator shall pay to each State an amount equal to the Federal share of the cost of evaluation and work adjustment services under its approved State plan. The Federal share for each State for the fiscal year ending June 30, 1969 and for each subsequent fiscal year shall be 90 per centum. The total of payments to a State for any fiscal year may not exceed its allotment under § 402.32 for such year. § 402.34 Method of computing and making payments. (a) Estimates. The Administrator shall prior to each fiscal quarter or other period prescribed by him, estimate the amount to be paid each State from its allotment for evaluation and work adjustment services under section 15 of the act. This estimate will be based on such records of the State and information furnished by it, and such other investigation, as the Administrator may find necessary. (b) Payments. The Administrator shall pay, from the allotment available therefor, the amount so estimated for such period. In making any such payment, such additions and subtractions will be made as the State's accounting for any prior period and audit thereof may indicate as necessary in balancing the Federal-State account for any such prior period. Payments shall be made prior to audit or settlement by the General Accounting Office, shall be made through the disbursing facilities of the Treasury Department, and shall be made in such installments as the Administrator may determine. 403.63 Project activities. 403.64 Application procedure. 403.65 Application content. 403.66 Prior assurances for contracts and agreements. 403.67 General provisions of contracts and arrangements. 403.68 Rates under contracts or arrange ments. |