[Federal Register Volume 59, Number 88 (Monday, May 9, 1994)]
[Unknown Section]
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From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11009]
[[Page Unknown]]
[Federal Register: May 9, 1994]
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Part V
Department of Education
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34 CFR Part 388
State Vocational Rehabilitation Unit In-Service Training; Proposed Rule
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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]
BILLING CODE 4000-01-P
