State Vocational Rehabilitation Unit In-Service Training; Proposed Rule

DEPARTMENT OF EDUCATION

34 CFR Part 388

RIN 1820-AB24

State Vocational Rehabilitation Unit In-Service Training

AGENCY: Department of Education.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Secretary proposes to amend the regulations governing the

State Vocational Rehabilitation Unit In-Service Training program. The

regulations are needed to implement changes made by the Rehabilitation

Act Amendments of 1992. The proposed regulations incorporate new

statutory requirements, reference changes in Education Department

General Administrative Regulations, incorporate new phraseology from

the Act, limit eligibility to designated State agencies, and provide

funding allocation information.

DATES: Comments must be received on or before June 8, 1994.

ADDRESSES: All comments concerning these proposed regulations should be

addressed to the Acting Commissioner, U.S. Department of Education, 400

Maryland Avenue SW., room 3038 Switzer Building, Washington, DC 20202-

2531.

A copy of any comments that concern information collection

requirements should also be sent to the Office of Management and Budget

at the address listed in the Paperwork Reduction Act section of this

preamble.

FOR FURTHER INFORMATION CONTACT: Richard Melia, U.S. Department of

Education, 400 Maryland Avenue SW., room 3422 Switzer Building,

Washington, DC 20202-2649. Telephone (202) 205-9400. Individuals who

use a telecommunications device for the deaf (TDD) may call the Federal

Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8

p.m., Eastern time, Monday through Friday.

SUPPLEMENTARY INFORMATION: These proposed regulations would implement

the changes to the State Vocational Rehabilitation Unit In-Service

Training program made to the Rehabilitation Act of 1973 (the Act) by

the Rehabilitation Act Amendments of 1992 (the Amendments), Public Law

102-569, enacted October 29, 1992.

The Amendments require that at least 15 percent of the sums

appropriated to carry out section 302 of the Act be allocated among

designated State agencies to be used, directly or indirectly, for

projects for in-service training of rehabilitation personnel. The

Secretary proposes to award funds to State agencies with approved

projects based on the number of full-time equivalent staff employed by

State rehabilitation agencies to ensure that all agencies have access

to support for in-service training. The Department proposes to

distribute 80 percent of the funds available to approved projects by

formula based on the number of staff in designated State units and

provide minimum shares to those small designated units. The remaining

funds will be allocated on the basis of quality of the application and

the extent to which an application addresses one or more specific

priorities established by these regulations in Sec. 388.22 and

announced in the application notice.

The current regulations do not address allocation of funds by

formula or on the basis of quality of the application. The Secretary

has determined that the language on allocation requires that a formula

be created by regulations. The Secretary reviewed a number of options

for the allocation of funds and determined that the fairest approach

would distribute funds based on the number of full-time equivalent

staff since the purpose of in-service training is the training of that

staff. Moreover, the Secretary reserved a minimum share for small

agencies, as is done in other rehabilitation formula programs, to

ensure that small agencies that lack training resources have sufficient

funds to provide training for their staff. The requirement to

distribute no less than eighty percent of the funds by formula was

based on the Secretary's assessment that the funds remaining after

formula allocation at that level would be an incentive for States to

prepare high-quality proposals addressing the Secretary's priorities.

The Department will continue to use the information reported

annually by designated State units to the Rehabilitation Services

Administration on Form RSA-2, (Annual Vocational Rehabilitation

Program/Cost Report), in determining allocations of funds based on the

number of person years for each designated State unit.

The State Vocational Rehabilitation Unit In-Service Training

program is one of six important programs in the Rehabilitation Training

program. The Department envisions these six programs as an integrated

response to the purpose for the rehabilitation training programs in

section 301 of the Act. The six programs are: Rehabilitation Long-Term

Training, Experimental and Innovative Training, State Vocational

Rehabilitation Unit In-Service Training, Rehabilitation Continuing

Education Programs, Rehabilitation Short-Term Training, and Training of

Interpreters for Individuals Who Are Deaf and Individuals Who Are Deaf-

Blind. These programs, as a whole, are designed to meet the need to

prepare qualified rehabilitation professionals to provide effective

rehabilitation services across the service continuum of programs under

the Rehabilitation Act to individuals with disabilities.

In addition to these proposed regulations for in-service training,

notices of proposed rulemaking (NPRMs) have been published for 34 CFR

Part 386, Rehabilitation Training: Rehabilitation Long-Term Training

(58 FR 52606), and for 34 CFR Part 396, Training of Interpreters for

Individuals Who Are Deaf and Individuals Who Are Deaf-Blind (59 FR

8350). Technical amendments to existing regulations for the remaining

three training programs (34 CFR Part 387, Experimental and Innovative

Training, 34 CFR Part 389, Rehabilitation Continuing Education

Programs, and 34 CFR Part 390, Rehabilitation Short-Term Training) and

general provisions for Rehabilitation Training (34 CFR Part 385) were

published on February 18, 1994 (58 FR 8330).

Designated State rehabilitation agencies, in developing their in-

service training programs, are expected to interact with and use the

resources of activities supported under the other rehabilitation

training programs. Likewise, the purpose of activities supported under

the other rehabilitation training programs is to support the work of

designated State rehabilitation agencies.

Funding for approved applications will be allocated by a

combination of award considerations: (1) A formula component that

reflects the number of staff employed by an agency. (2) A qualitative

component that awards funds based upon the overall ranking of the

application in the review process. The Secretary reserves funds to

support some or all of the proposals that have been awarded a rating of

80 points or more under the selection criteria in Sec. 388.20 and

address one or more priority areas identified in Sec. 388.22. The

formula component ensures that all agencies with an approved project

will receive a proportional share of the majority of available funds.

The Secretary believes that a minimum score is necessary to ensure that

all funded applications are of a high quality. The Secretary does not

anticipate setting a standard that any State unit will not be able to

meet. Nevertheless, if a State unit falls below the standard, the

Secretary's first recourse would be to work with the applicant under

the provisions of section 80.12 of the Education Department General

Administrative Regulations to determine special conditions or

restrictions in the award that correspond to the high risk conditions

identified in the review. Only if negotiations fail to resolve those

problems would an award not be made and the funds reallocated.

The Secretary expects that the quality component's minimum score

will ensure that only agencies with high quality proposals will receive

awards for the remaining amount not distributed by formula. The

application notice will identify which priorities are to be used for

the competition, and applicants must address the priority in their

proposal to be eligible to receive additional funding. The application

notice will publish a table presenting the formula allocation by State

unit.

In-service grants were awarded for one year to designated State

agencies in fiscal year (FY) 1993 through a competitive process

conducted under the existing regulations and a statement of policy. The

FY 1993 process awarded funds using a formula component and a

qualitative component similar to what is proposed in these regulations.

Based upon the experience in FY 1993 and consultation with the

leadership of designated State rehabilitation agencies, the proposed

regulations would change the basis on which qualitative funds are

allocated. Instead of awarding qualitative funds based on rank order

only, the Secretary would reserve funds over and above the formula for

proposals that receive a rating of 80 points or more and address one or

more priority areas established by the regulations and announced in the

application notice. The Secretary believes that model, high-quality in-

service training projects addressing the priority areas in Sec. 388.22

will benefit many States beyond the recipient program through

replication and dissemination of training approaches.

Executive Order 12866

1. Assessment of Costs and Benefits

These proposed regulations have been reviewed in accordance with

Executive Order 12866. Under the terms of the order the Secretary has

assessed the potential costs and benefits of this regulatory action.

The potential costs associated with the proposed regulations are

those resulting from statutory requirements and those determined by the

Secretary to be necessary for administering this program effectively

and efficiently. Burdens specifically associated with information

collection requirements, if any, are identified and explained elsewhere

in this preamble under the heading Paperwork Reduction Act of 1980.

In assessing the potential costs and benefits--both quantitative

and qualitative--of these proposed regulations, the Secretary has

determined that the benefits of the proposed regulations justify the

costs.

The Secretary has also determined that this regulatory action does

not unduly interfere with State, local, and tribal governments in the

exercise of their governmental functions.

To assist the Department in complying with the specific

requirements of Executive Order 12866, the Secretary invites comment on

whether there may be further opportunities to reduce any potential

costs or increase potential benefits resulting from these proposed

regulations without impeding the effective and efficient administration

of the program.

2. Clarity of the Regulations

Executive Order 12866 requires each agency to write regulations

that are easy to understand.

The Secretary invites comments on how to make these proposed

regulations easier to understand, including answers to questions such

as the following: (1) Are the requirements in the proposed regulations

clearly stated? (2) Do the regulations contain technical terms or other

wording that interferes with their clarity? (3) Does the format of the

regulations (grouping and order of sections, use of headings,

paragraphing, etc.) aid or reduce their clarity? Would the regulations

be easier to understand if they were divided into more (but shorter)

sections? (A ``section'' is preceded by the symbol ``Sec. '' and a

numbered heading; for example, Sec. 388.20 What selection criteria does

the Secretary use?) (4) Is the description of the regulations in the

``Supplementary Information'' section of this preamble helpful in

understanding the regulations? How could this description be more

helpful in making the regulations easier to understand? (5) What else

could the Department do to make the regulations easier to understand?

A copy of any comments that concern how the Department could make

these proposed regulations easier to understand should be sent to

Stanley M. Cohen, Regulations Quality Officer, U.S. Department of

Education, 400 Maryland Avenue SW. (room 5125, FOB-6), Washington, DC

20202-2241.

Regulatory Flexibility Act Certification

The Secretary certifies that these proposed regulations would not

have a significant economic impact on a substantial number of small

entities.

Because these proposed regulations would affect only States and

State agencies, the regulations would not have an impact on small

entities. States and State agencies are not defined as ``small

entities'' in the Regulatory Flexibility Act.

Paperwork Reduction Act of 1980

Section 388.20 contains information collection requirements. As

required by the Paperwork Reduction Act of 1980, the Department of

Education will submit a copy of these sections to the Office of

Management and Budget (OMB) for its review. (44 U.S.C. 3504(h))

State agencies that participate in the State Rehabilitation Unit

In-Service Training program would have to comply with the information

collection requirements in these proposed regulations. The Department

needs and uses the information to make grants and to report on the

training provided to recipients. Annual public reporting and

recordkeeping burden for this collection of information is estimated to

average 80 hours per response for 81 respondents, including the time

for reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. The aggregate burden is estimated to be 6480

hours.

Organizations and individuals desiring to submit comments on the

information collection requirements should direct them to the Office of

Information and Regulatory Affairs, OMB, room 3002, New Executive

Office Building, Washington, DC 20503; Attention: Daniel J. Chenok.

Intergovernmental Review

This program is subject to the requirements of Executive Order

12372 and the regulations in 34 CFR part 79. The objective of the

Executive order is to foster an intergovernmental partnership and

strengthened federalism by relying on processes developed by State and

local governments for coordination and review of proposed Federal

financial assistance.

In accordance with the order, this document is intended to provide

early notification of the Department's specific plans and actions for

this program.

Invitation to Comment

Interested persons are invited to submit comments and

recommendations regarding these proposed regulations.

All comments submitted in response to these proposed regulations

will be available for public inspection, during and after the comment

period, in room 3214, Mary E. Switzer Building, 330 C Street SW.,

Washington, DC, between the hours of 8:30 a.m. and 4 p.m., Monday

through Friday of each week except Federal holidays.

List of Subjects in 34 CFR Part 388

Grant programs--education, In-service training, Reporting and

recordkeeping requirements, Vocational rehabilitation.

(Catalog of Federal Domestic Assistance Number 84.265, State

Vocational Rehabilitation Unit In-Service Training)

Dated: March 25, 1994.

Howard R. Moses,

Acting Assistant Secretary for Special Education and Rehabilitative

Services.

The Secretary proposes to amend title 34 of the Code of Federal

Regulations by revising part 388 to read as follows:

PART 388--STATE VOCATIONAL REHABILITATION UNIT IN-SERVICE TRAINING

Subpart A--General

Sec.

388.1 What is the State Vocational Rehabilitation Unit In-Service

Training program?

388.2 Who is eligible for an award?

388.3 What types of projects are authorized?

388.4 What activities may the Secretary fund?

388.5 What regulations apply?

388.6 What definitions apply?

Subpart B--[Reserved]

Subpart C--How Does the Secretary Make an Award?

388.20 What selection criteria does the Secretary use?

388.21 How does the Secretary determine the amount of a basic State

award?

388.22 What priorities does the Secretary consider in making an

award?

Subpart D--What Conditions Must be Met After an Award?

388.30 What are the matching requirements?

388.31 What are the allowable costs?

Authority: 29 U.S.C. 711(c) and 774, unless otherwise noted.

Subpart A--General

Sec. 388.1 What is the State Vocational Rehabilitation Unit In-Service

Training program?

This program is designed to support projects for training State

vocational rehabilitation unit personnel in program areas essential to

the effective management of the unit's program of vocational

rehabilitation services or in skill areas that will enable staff

personnel to improve their ability to provide vocational rehabilitation

services leading to employment outcomes for individuals with

disabilities. The State Vocational Rehabilitation Unit In-Service

Training program responds to needs identified in the comprehensive

system of personnel development in section 101(a)(7) of the Act. The

program may include training designed--

(a) To address recruitment and retention of qualified

rehabilitation professionals;

(b) To provide for succession planning;

(c) To provide for leadership development and capacity building;

and

(d) For fiscal year 1994, to provide training on the amendments to

the Rehabilitation Act of 1973 made by the Rehabilitation Act

Amendments of 1992.

(Authority: 29 U.S.C. 771a(g)(3))

Sec. 388.2 Who is eligible for an award?

Each designated State agency is eligible to receive an award under

the basic State award program described in Sec. 388.21. If a designated

State agency does not apply for an award during an announced

competition, no funds may be made available for inservice training of

the staff of that designated State agency under this program until

there is a new competition for funding. At least 15 percent of the sums

appropriated to carry out section 302 of the Act must be allocated to

designated State agencies to be used, directly or indirectly, for

projects for in-service training of rehabilitation personnel.

(Authority: 29 U.S.C. 771a(g)(3))

Sec. 388.3 What types of projects are authorized?

State vocational rehabilitation unit in-service training projects

are concerned with the staff development and training of State

vocational rehabilitation unit personnel in order to ensure an improved

level of competence in serving State unit clients and to assist in

expanding and improving vocational rehabilitation services for

individuals with disabilities, especially those with severe

disabilities, to ensure employment outcomes.

(Authority: 29 U.S.C. 770 and 771a)

Sec. 388.4 What activities may the Secretary fund?

(a) Training activities supported under a State vocational

rehabilitation unit in-service training grant focus primarily on

program areas that are essential to the State unit's operation or on

skill areas that will enable staff personnel to improve their ability

to function on their job, or prepare for positions of greater

responsibility within the unit, or to correct deficiencies identified

in the State program. Projects may--

(1) Address recruitment and retention of qualified rehabilitation

professionals;

(2) Provide for succession planning;

(3) Provide for leadership development and capacity building; and

(4) For fiscal year 1994, provide training on the amendments to the

Rehabilitation Act of 1973 made by the Rehabilitation Act Amendments of

1992.

(b) Training methods may include--

(1) The development of State unit training institutes related to

the specific aspects of State unit administration or service provision;

(2) Group employee training at courses conducted in cooperation

with or by an educational institution;

(3) Individualized directed study in priority areas of State unit

service or practice;

(4) Employee access to current agency instructional resources for

books, films, videos, tapes, and other human resource development

resources;

(5) Distance learning through telecommunications; and

(6) Dissemination and information sharing with other designated

State agencies.

(Authority: 29 U.S.C. 770 and 771a)

Sec. 388.5 What regulations apply?

The following regulations apply to the State Vocational

Rehabilitation Unit In-Service Training program:

(a) The regulations in this part 388.

(b) The regulations in 34 CFR Part 385.

(Authority: 29 U.S.C. 770 and 771a)

Sec. 388.6 What definitions apply?

The definitions in 34 CFR Part 385 apply to this program.

(Authority: 29 U.S.C. 711(c) and 771(a)(g)(3))

Subpart B--[Reserved]

Subpart C--How Does the Secretary Make an Award?

Sec. 388.20 What selection criteria does the Secretary use?

The Secretary uses the following criteria to evaluate an

application:

(a) Evidence of need. (20 points)

(1) The Secretary reviews each application for information that

shows that the need for the in-service training has been adequately

justified.

(2) The Secretary looks for information that shows--

(i) The need for the in-service training project has been

adequately justified and relates to the mission of the State-Federal

rehabilitation service program and can be expected to improve the

competence of all State vocational rehabilitation personnel in

providing vocational rehabilitation services to individuals with

disabilities that will result in employment outcomes or otherwise

contribute to more effective management of the State unit program;

(ii) The State unit in-service training plan responds to needs

identified in the training needs assessment and the proposed training

relates to the unit's State plan, particularly the requirements in

section 101(a)(7) of the Act for each designated State unit to develop

a comprehensive system of personnel development; and

(iii) The State has conducted an annual needs assessment of the in-

service training needs for all of the State unit employees.

(b) Nature and scope of training program. (20 points)

(1) The Secretary reviews each application for information that

demonstrates the adequacy and scope of the proposed training program

content.

(2) The Secretary looks for information that shows--

(i) The objectives to be achieved by the project will address the

needs as determined by the assessment;

(ii) The scope and nature of the training activities will

accomplish the project objectives;

(iii) The training conducted can be measured and evaluated as to

how it accomplished the project objectives; and

(iv) The program primarily includes an integrated sequence of--

(A) Workshops, seminars, distance education, and other special

courses for new counselors and other classes of State unit personnel

concerned with State unit procedures and policies;

(B) Concentrated training activities focusing on improving State

unit staff skills in working with specific groups of individuals with

disabilities; and

(C) Directed individualized or group staff development activities

designed to enable selected staff to acquire special skills.

(c) Plan of operation. (25 points)

(1) The Secretary reviews each application for information that

shows the quality of the plan of operation for the project.

(2) The Secretary looks for information that shows--

(i) A clear description of how the project will achieve each

objective;

(ii) The way the applicant plans to use its resources and personnel

to achieve each objective;

(iii) An effective plan of management that ensures proper and

efficient administration of the project;

(iv) A clear description of how the applicant will provide equal

access and treatment for State agency personnel who are members of

groups that have been traditionally underrepresented, such as

individuals with disabilities, the elderly, women, and members of

racial or ethnic minority groups; and

(v) For FY 1994, a clear description of how the applicant will

provide training regarding the 1992 amendments to the Rehabilitation

Act of 1973.

(d) Quality of key personnel. (10 points)

(1) The Secretary reviews each application for information that

shows the quality of key personnel proposed for the project.

(2) The Secretary looks for information that shows--

(i) The qualifications of the project director;

(ii) The qualifications of each of the other key personnel,

including consultants, to be used in the project;

(iii) The time that each person referred to in paragraphs (d)(2)

(i) and (ii) of this section will commit to the project; and

(iv) The applicant, as part of its nondiscriminatory employment

practices, encourages applications for employment from persons who are

members of groups that have been traditionally underrepresented, such

as individuals with disabilities, the elderly, women, and members of

minority groups.

(e) Budget and cost effectiveness. (10 points)

(1) The Secretary reviews each application for information that

shows that the project has an adequate budget and is cost effective.

(2) The Secretary looks for information that shows--

(i) The budget for the project is adequate to support the project

activities;

(ii) Costs are reasonable in relation to the objectives of the

project; and

(iii) The budget clearly identifies activities to be conducted

under Sec. 388.21(a), as well as activities conducted under

Sec. 388.21(b), if applicable.

(f) Evaluation. (15 points)

(1) The Secretary reviews each application to determine the

usefulness of the proposed project training in improving services to

individuals with disabilities to ensure employment outcomes,

including--

(i) The extent to which training outcomes are objective; and

(ii) The extent to which the training will result in improved

individual competency recognized through licensure, certification, or

award of academic degrees or certificates.

(2) The Secretary looks for qualitative and quantitative measures

that show training methods and materials are appropriate for the

project and, to the extent possible, will be useful in determining how

in-service training improves the impact and effectiveness of services

to individuals with disabilities assisted under the Rehabilitation Act

to ensure employment outcomes.

(Authority: 29 U.S.C. 711(c), 770, and 771a)

Sec. 388.21 How does the Secretary determine the amount of a basic

State award?

(a) The Secretary distributes no more than 80 percent of the funds

available for these awards as follows:

(1) For each competition the Secretary will determine a minimum

score based upon the selection criteria in Sec. 388.20 that an

applicant must receive in order for its application to be approved by

the Secretary.

(2) Each designated State agency that submits an approved

application receives an amount based upon a formula that provides each

approved project an amount equal to the percentage that the designated

State agency's staff, as reported by total person years to the

Secretary on Form RSA-2, represents of all staff of all designated

State agencies, as reported to the Secretary on Form RSA-2 for the most

recent reporting period. A copy of Form RSA-2 may be obtained from the

Department of Education, 400 Maryland Avenue, SW., 3211 Switzer

Building, Washington, DC 22204-2735.

(3) No designated State agency with an approved project receives

less than one-third of one percent of the sums made available for the

fiscal year.

(4) Guam, American Samoa, the Virgin Islands, the Commonwealth of

the Northern Mariana Islands, and the Republic of Palau (until the

Compact of Free Association with Palau takes effect) are each allotted

not less than one-eighth of one percent of the amounts made available

for each fiscal year for submission of an application that is approved

for funding.

(b) After determining a designated State agency's award under

paragraph (a) of this section, the Secretary reserves the remaining

funds to be allocated based on the quality of the application as

determined by competitive reviews conducted by the Department using the

criteria in Sec. 388.20 and the priorities in Sec. 388.22.

(c) Prior to award, negotiations may be conducted with applicants

to resolve any problems or weaknesses in the application identified by

the review process.

(Authority: 29 U.S.C. 711(c), 770, and 771a)

Sec. 388.22 What priorities does the Secretary consider in making an

award?

(a) The Secretary reserves funds to support some or all of the

proposals that have been awarded a rating of 80 points or more under

the criteria described in Sec. 388.20.

(b) In making a final selection of proposals to support under this

program, the Secretary considers the extent to which proposals have

exceeded a rating of 80 points and address one or more of the following

priorities announced in the application notice:

(1) Development and dissemination of model in-service training

materials and practices. The proposed project demonstrates an effective

plan to develop and disseminate information on its State Vocational

Rehabilitation In-Service Training program, including the

identification of training approaches and successful practices, in

order to permit the replication of these programs by other State

vocational rehabilitation units.

(2) Distance education. The proposed project demonstrates

innovative strategies for training State vocational rehabilitation unit

personnel at their job sites through distance education methods, such

as interactive audio, video, computer technologies, or existing

telecommunications networks.

(3) Enhanced employment outcomes for specific populations. The

proposed project supports specialized training in the provision of

vocational rehabilitation or related services to individuals with

disabilities to increase the rehabilitation rate into competitive

employment for all individuals or specified target groups.

(Authority: 29 U.S.C. 711(c), 770, and 771a)

Subpart D--What Conditions Must be Met After an Award?

Sec. 388.30 What are the matching requirements?

(a) The Secretary may make grants for paying part of the costs of

projects under this program. Except as provided for in paragraphs (b)

and (c) of this section, the grantee shall provide at least 10 percent

of the total costs of the project.

(b) Grantees designated in Sec. 388.21(a)(3) to receive a minimum

share of one third of one percent of the sums made available for the

fiscal year shall provide at least four percent of the total costs of

the project.

(c) Grantees designated in Sec. 388.21(a)(4) to receive not less

than one-eighth of one percent of the amounts made available for each

fiscal year shall provide at least two percent of the total costs of

the project unless exempted by other applicable Federal laws or

regulations.

(Authority: 29 U.S.C. 711(c), 770, and 771a)

Sec. 388.31 What are the allowable costs?

In addition to those allowable costs established in 34 CFR 75.530

through 75.562 (Education Department General Administrative

Regulations), the following items are allowable under State vocational

rehabilitation unit in-service training projects:

(a) Trainee per diem costs.

(b) Trainee travel in connection with a training course.

(c) Trainee tuition and fees.

(d) Telecommunications and technology fees in connection with a

distance learning training course.

(Authority: 29 U.S.C. 711(c), 770, and 771a)

[FR Doc. 94-11009 Filed 5-6-94; 8:45 am]

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