[Federal Register Volume 59, Number 150 (Friday, August 5, 1994)]
[Unknown Section]
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From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-19155]
[[Page Unknown]]
[Federal Register: August 5, 1994]
_______________________________________________________________________
Part V
Department of Education
_______________________________________________________________________
34 CFR Part 388
State Vocational Rehabilitation Unit In-Service Training; Final Rule
DEPARTMENT OF EDUCATION
34 CFR Part 388
RIN 1820-AB24
State Vocational Rehabilitation Unit In-Service Training
AGENCY: Department of Education.
ACTION: Final regulations.
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SUMMARY: The Secretary amends 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. These final 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.
EFFECTIVE DATE: These regulations take effect either 45 days after
publication in the Federal Register or later if the Congress takes
certain adjournments. If you want to know the effective date of these
regulations, call or write the Department of Education contact person.
A document announcing the effective date will be published in the
Federal Register.
FOR FURTHER INFORMATION CONTACT: Richard Melia, U.S. Department of
Education, 400 Maryland Avenue, S.W., Room 3422 Switzer Building,
Washington, D.C. 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 regulations implement 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), Pub. L. 102-569, enacted October
29, 1992.
This program supports the National Education Goal that, by the year
2000, every adult American will be literate and will possess the
knowledge and skills necessary to compete in a global economy and
exercise the rights and responsibilities of citizenship. The Department
supports a variety of training activities for vocational rehabilitation
personnel so that they may assist individuals with disabilities in
gaining the knowledge and skills to obtain employment and compete in a
global economy.
On May 9, 1994, the Secretary published a notice of proposed
rulemaking (NPRM) for the State Vocational Rehabilitation Unit In-
Service Training program in the Federal Register (59 FR 24000). The
major issues related to this program are discussed in the preamble to
the NPRM. Significant changes resulting from public comment since
publication of the NPRM include-- (1) eliminating the separate minimum
share for Guam, American Samoa, the Virgin Islands, the Commonwealth of
the Northern Mariana Islands, and the Republic of Palau; (2) removing
the requirement for an annual comprehensive needs assessment; (3)
deleting the requirement that distance learning be in connection with a
training course; and (4) deleting the requirement that distance
education for rehabilitation workers occur at individual job sites.
Analysis of Comments and Changes
In response to the Secretary's invitation in the NPRM, 16 parties
submitted comments on the proposed regulations. An analysis of the
comments and of the changes in the regulations since publication of the
NPRM follows.
Major issues are grouped according to subject, with appropriate
sections of the regulations referenced in parentheses. Other
substantive issues are discussed under the section of the regulations
to which they pertain. Technical and other minor changes are not
addressed.
Minimum Share and Matching Considerations (Secs. 388.21(a) and 388.30)
Comments: Five commenters suggested deleting Sec. 388.21(a)(4),
which provides a minimum share of not less than one-eighth of one
percent of the amounts made available for in-service training to Guam,
American Samoa, the Virgin Islands, the Commonwealth of the Northern
Mariana Islands, and the Republic of Palau. The commenters believe
agencies in the territories, some of which have as many employees as
small designated State agencies, should receive the same minimum share
of not less than one-third of one percent of the amounts made available
for the fiscal year as provided in Sec. 388.21(a)(3) to small agencies.
Discussion: The Secretary agrees that the same minimum share
provided to small designated State agencies is appropriate for the
specified territories. The Secretary also notes that the territories
are eligible to compete for the remaining funds to be allocated based
on the quality of the application as determined by competitive reviews
conducted by the Department using the selection criteria in Sec. 388.20
and the priorities in Sec. 388.22.
Changes: A revision has been made to Sec. 388.21(a) by deleting
paragraph (4) so that all grant recipients receive the same minimum
share of the sums made available for in-service training for the fiscal
year. A revision of Sec. 388.30, deleting paragraph (c), which provides
special matching considerations for the territories, also has been made
in the final regulations.
Program Purpose (Sec. 388.1)
Comments: Two commenters requested definitions for the terms
``succession planning'' and ``capacity building'' used in Sec. 388.1.
Discussion: The Secretary notes that these terms are found in the
statute, but are optional for State agencies to address in their in-
service training. There are alternative ways to address these concepts,
and the Secretary prefers not to define them, thus leaving the widest
possible discretion to State agencies.
Changes: None.
Comment: A commenter observed that Sec. 388.1 should be revised,
and the regulations changed throughout, to emphasize human resource
development in place of training. Peer reviewers should be oriented to
human resource development prior to their service as reviewers.
Discussion: The Secretary agrees that the term human resource
development is descriptive of many appropriate activities under this
program. However, the Rehabilitation Act of 1973, as amended, uses the
term ``in-service training,'' so that term is used in the regulations.
Changes: None.
Annual Needs Assessment (Sec. 388.20(a)(2)(iii))
Comments: Three commenters addressed the requirement in
Sec. 388.20(a)(2)(iii) for an annual needs assessment of in-service
training needs. The commenters believe an annual assessment is not
necessary and recommend a comprehensive needs assessment every three
years and a less comprehensive review annually.
Discussion: Although an assessment must be conducted during the
course of the project period, the Secretary agrees that a comprehensive
assessment is not needed annually.
Changes: A revision, deleting the word ``annual,'' has been made to
Sec. 388.20(a)(2)(iii) in the final regulations.
Project Length
Comments: Three commenters noted that the regulations do not
specify the length of projects. Recommendations of project periods of
36 and 60 months were made.
Discussion: The Secretary notes that regulations usually do not
specify project duration and instead leave flexibility for the
Secretary to determine an appropriate project period each time a
competition is announced.
Changes: None.
Allowable Costs (Sec. 388.31(d))
Comment: A commenter asked that the phrase ``in connection with a
distance learning training course'' be dropped from the description of
allowable telecommunications and technology fees in Sec. 388.31(d).
Discussion: The Secretary agrees that distance learning may include
valuable in-service training activities, such as a lecture or
technology demonstration, that are not part of a training course.
Changes: Section 388.31(d) has been revised by deleting the words
``in connection with a distance learning training course.''
Distance Education Priority (Sec. 388.22(b)(2))
Comment: A commenter noted that it was an unnecessary limitation to
require that distance education for rehabilitation workers be at their
job sites as stated in Sec. 388.22(b)(2). The commenter noted that it
may be necessary or efficient for an agency to gather a group of
employees at a central location removed from individual offices for
distance education.
Discussion: The Secretary agrees that there is no compelling reason
to require in this priority that training occur at an individual job
site.
Changes: Section 388.22(b)(2) has been revised by deleting the
words ``at their job sites.''
Comment: A commenter recommended dropping the priority in
Sec. 388.22(b)(2) for distance education on the grounds that there is
no evidence that distance education produces better results at less
cost.
Discussion: The Secretary believes that distance education is
needed in some States and wants to ensure that a mechanism exists to
demonstrate innovative approaches to learning.
Changes: None.
Enhanced Employment Outcomes for Specific Populations Priority
(Sec. 388.22(b)(3))
Comment: A commenter requested clarification of the heading for
Sec. 388.22(b)(3), which refers to ``specific populations'' although
the text that follows refers to ``all individuals or specified
groups.''
Discussion: The Secretary believes that it is up to the State
agency to determine whether in-service training to improve employment
outcomes will be targeted narrowly or broadly. Activities directed to
improving employment outcomes for all population groups or for a
specific target group are permitted under this priority.
Changes: None.
General
Comment: A commenter observed that the NPRM retains most of the
language in the current regulations and does not accurately reflect the
Rehabilitation Act Amendments of 1992 (the 1992 Amendments),
particularly provisions related to State and strategic plans.
Discussion: The Secretary believes that extensive changes have been
proposed in the current regulations and is confident that all
requirements in the 1992 Amendments have been implemented.
Changes: None.
Priorities (Sec. 388.22)
Comments: Two commenters supported reserving a portion of funds for
priorities, but believe this reserve should be divided between
priorities based on need and priorities based on responsiveness or
quality of the application and innovative approaches.
Discussion: The Secretary believes that the three priorities listed
in the proposed regulations address significant needs of State agencies
and that no further division of the priorities into categories is
needed.
Changes: None.
Comment: Regarding Sec. 388.22, which sets the Secretary's
priorities, a commenter asked if an application that addresses issues
or activities other than the three priorities listed can be eligible
for quality funds.
Discussion: The Secretary responds that only applications that
respond to the priorities already identified by the Secretary in the
regulations for this program or priorities established through future
rulemaking will be considered when allocating the quality funds.
Changes: None.
Basic State Agency Award Formula (Sec. 388.21)
Comments: Four commenters objected to the proposed formula in
Sec. 388.21 whereby 80 percent of the funds available would be
distributed based on the number of staff and 20 percent of the funds
available would be distributed based on quality. They believe that the
split penalizes States with small populations with limited capacity to
write grants. In the commenters' view, the distribution does not take
into account extra travel costs in a State with a large geographic
area, and a commenter suggested increasing the small State agency
minimum share.
Discussion: The Secretary believes that the proposed formula
maximizes the amount of funds available for basic awards while ensuring
that a reasonable amount is available for small agencies and for the
Secretary's priorities.
Changes: None.
Comment: A commenter noted that Sec. 388.21 does not state what the
minimum score is that an applicant must receive in order for its
application to be approved by the Secretary or how it is to be
computed.
Discussion: In order to make funding decisions, the Secretary sets
a minimum score for each competition after all applications have been
reviewed. The minimum score will be computed through an analysis of all
reviewed applications to determine those that are in the fundable
range.
Changes: None.
Selection Criteria (Sec. 388.20)
Comments: Two commenters recommended deleting Sec. 388.20(f)(1)(ii)
of the evaluation selection criteria that would judge in-service
training outcomes by the extent to which training results in improved
individual competency through licensure, certification, or award of
academic degrees or certificates. The commenters believe in-service
training to be short-term and job-based; therefore, reference to
improved individual competency through degree-based programs should be
dropped.
Discussion: The Secretary believes that, in response to the need to
increase the number of qualified rehabilitation personnel, academic
outcomes must be included among the measures of in-service training
programs.
Changes: None.
Reviewers' Qualifications
Comments: Three commenters observed that reviewers for in-service
proposals should be well qualified, represent diverse populations, and
be identified by name and program affiliation after the review is
completed. They commented that all applicants should receive reviewer
comments.
Discussion: The Secretary agrees that reviewers must be qualified
and representative of the diverse populations and agencies assisted
through in-service training. The Secretary does make summary
information available on characteristics of reviewers but believes the
specific reviewers of proposals should remain anonymous. All applicants
are provided with the reviewer comments on their applications when the
review is completed.
Changes: None.
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.
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: August 2, 1994.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.
The Secretary amends 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 in-service 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 a 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.
(Approved by the Office of Management and Budget under control
number 1820-0018.)
(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, S.W., 3211 Switzer
Building, Washington, D.C. 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.
(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 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.
(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.
(Authority: 29 U.S.C. 711(c), 770, and 771a)
[FR Doc. 94-19155 Filed 8-4-94; 8:45 am]
BILLING CODE 4000-01-P
