REGULATIONS FOR STATE VR PROGRAM

**[§361.38 Protection, use, and release of personal
information]{.underline}.**

\(a\) [General provisions]{.underline}.

\(1\) The State agency and the State unit must adopt and implement
written policies and procedures to safeguard the confidentiality of all
personal information, including photographs and lists of names. These
policies and procedures must ensure that\--

\(i\) Specific safeguards are established to protect current and stored
personal information;

\(ii\) All applicants and eligible individuals and, as appropriate,
those individuals\' representatives, service providers, cooperating
agencies, and interested persons are informed through appropriate modes
of communication of the confidentiality of personal information and the
conditions for accessing and releasing this information;

\(iii\) All applicants or their representatives are informed about the
State unit\'s need to collect personal information and the policies
governing its use, including\--

\(A\) Identification of the authority under which information is
collected;

\(B\) Explanation of the principal purposes for which the State unit
intends to use or release the information;

\(C\) Explanation of whether providing requested information to the
State unit is mandatory or voluntary and the effects of not providing
requested information;

\(D\) Identification of those situations in which the State unit
requires or does not require informed written consent of the individual
before information may be released; and

\(E\) Identification of other agencies to which information is routinely
released;

\(iv\) An explanation of State policies and procedures affecting
personal information will be provided to each individual in that
individual\'s native language or through the appropriate mode of
communication; and

\(v\) These policies and procedures provide no fewer protections for
individuals than State laws and regulations.

\(2\) The State unit may establish reasonable fees to cover
extraordinary costs of duplicating records or making extensive searches
and must establish policies and procedures governing access to records.

\(b\) [State program use]{.underline}. All personal information in the
possession of the State agency or the designated State unit must be used
only for the purposes directly connected with the administration of the
vocational rehabilitation program. Information containing identifiable
personal information may not be shared with advisory or other bodies
that do not have official responsibility for administration of the
program. In the administration of the program, the State unit may obtain
personal information from service providers and cooperating agencies
under assurances that the information may not be further divulged,
except as provided under paragraphs (c), (d), and (e) of this section.

\(c\) [Release to applicants and eligible individuals]{.underline}.

\(1\) Except as provided in paragraphs (c)(2) and (c)(3) of this
section, if requested in writing by an applicant or eligible individual,
the State unit must make all requested information in that individual\'s
record of services accessible to and must release the information to the
individual or the individual\'s representative in a timely manner.

\(2\) Medical, psychological, or other information that the State unit
determines may be harmful to the individual may not be released directly
to the individual, but must be provided to the individual through a
third party chosen by the individual, which may include, among others,
an advocate, a family member, or a qualified medical or mental health
professional, unless a representative has been appointed by a court to
represent the individual, in which case the information must be released
to the court-appointed representative.

\(3\) If personal information has been obtained from another agency or
organization, it may be released only by, or under the conditions
established by, the other agency or organization.

\(4\) An applicant or eligible individual who believes that information
in the individual\'s record of services is inaccurate or misleading may
request that the designated State unit amend the information. If the
information is not amended, the request for an amendment must be
documented in the record of services, consistent with §361.47(a)(12).

\(d\) [Release for audit, evaluation, and research]{.underline}.
Personal information may be released to an organization, agency, or
individual engaged in audit, evaluation, or research only for purposes
directly connected with the administration of the vocational
rehabilitation program or for purposes that would significantly improve
the quality of life for applicants and eligible individuals and only if
the organization, agency, or individual assures that\--

\(1\) The information will be used only for the purposes for which it is
being provided;

\(2\) The information will be released only to persons officially
connected with the audit, evaluation, or research;

\(3\) The information will not be released to the involved individual;

\(4\) The information will be managed in a manner to safeguard
confidentiality; and

\(5\) The final product will not reveal any personal identifying
information without the informed written consent of the involved
individual or the individual\'s representative.

\(e\) [Release to other programs or authorities]{.underline}.

\(1\) Upon receiving the informed written consent of the individual or,
if appropriate, the individual\'s representative, the State unit may
release personal information to another agency or organization for its
program purposes only to the extent that the information may be released
to the involved individual or the individual\'s representative and only
to the extent that the other agency or organization demonstrates that
the information requested is necessary for its program.

\(2\) Medical or psychological information that the State unit
determines may be harmful to the individual may be released if the other
agency or organization assures the State unit that the information will
be used only for the purpose for which it is being provided and will not
be further released to the individual.

\(3\) The State unit must release personal information if required by
Federal law or regulations.

\(4\) The State unit must release personal information in response to
investigations in connection with law enforcement, fraud, or abuse,
unless expressly prohibited by Federal or State laws or regulations, and
in response to an order issued by a judge, magistrate, or other
authorized judicial officer.

\(5\) The State unit also may release personal information in order to
protect the individual or others if the individual poses a threat to his
or her safety or to the safety of others.

**[§361.39 State-imposed requirements]{.underline}**.

The designated State unit must, upon request, identify those regulations
and policies relating to the administration or operation of its
vocational rehabilitation program that are State-imposed, including any
regulations or policy based on State interpretation of any Federal law,
regulations, or guideline.

**[§361.40 Reports]{.underline}.**

\(a\) The State plan must assure that the designated State agency will
submit reports, including reports required under sections 13, 14, and
101(a)(10) of the Act\--

\(1\) In the form and level of detail and at the time required by the
Secretary regarding applicants for and eligible individuals receiving
services under this part; and

\(2\) In a manner that provides a complete count (other than the
information obtained through sampling consistent with section
101(a)(10)(E) of the Act) of the applicants and eligible individuals
to\--

\(i\) Permit the greatest possible cross-classification of data; and

\(ii\) Protect the confidentiality of the identity of each individual.

\(b\) The designated State agency must comply with any requirements
necessary to ensure the accuracy and verification of those reports.

# 

# **PROVISION AND SCOPE OF SERVICES**

**[§361.41 Processing referrals and applications]{.underline}.**

\(a\) [Referrals]{.underline}. The designated State unit must establish
and implement standards for the prompt and equitable handling of
referrals of individuals for vocational rehabilitation services,
including referrals of individuals made through the One-Stop service
delivery systems established under section 121 of the Workforce
Investment Act of 1998. The standards must include timelines for making
good faith efforts to inform these individuals of application
requirements and to gather information necessary to initiate an
assessment for determining eligibility and priority for services.

\(b\) [Applications]{.underline}.

\(1\) Once an individual has submitted an application for vocational
rehabilitation services, including applications made through common
intake procedures in One-Stop centers established under section 121 of
the Workforce Investment Act of 1998, an eligibility determination must
be made within 60 days, unless‑‑

\(i\) Exceptional and unforeseen circumstances beyond the control of the
designated State unit preclude making an eligibility determination
within 60 days and the designated State unit and the individual agree to
a specific extension of time; or

\(ii\) An exploration of the individual\'s abilities, capabilities, and
capacity to perform in work situations is carried out in accordance with
§361.42(e) or, if appropriate, an extended evaluation is carried out in
accordance with §361.42(f).

\(2\) An individual is considered to have submitted an application when
the individual or the individual\'s representative, as appropriate,\--

(i)(A) Has completed and signed an agency application form;

\(B\) Has completed a common intake application form in a One-Stop
center requesting vocational rehabilitation services; or

\(C\) Has otherwise requested services from the designated State unit;

\(ii\) Has provided to the designated State unit information necessary
to initiate an assessment to determine eligibility and priority for
services; and

\(iii\) Is available to complete the assessment process.

\(3\) The designated State unit must ensure that its application forms
are widely available throughout the State, particularly in the One-Stop
centers established under section 121 of the Workforce Investment Act of
1998.

**[§361.42 Assessment for determining eligibility and priority for
services]{.underline}.**

In order to determine whether an individual is eligible for vocational
rehabilitation services and the individual\'s priority under an order of
selection for services (if the State is operating under an order of
selection), the designated State unit must conduct an assessment for
determining eligibility and priority for services. The assessment must
be conducted in the most integrated setting possible, consistent with
the individual\'s needs and informed choice, and in accordance with the
following provisions:

\(a\) [Eligibility requirements]{.underline}.

\(1\) [Basic requirements]{.underline}. The designated State unit\'s
determination of an applicant\'s eligibility for vocational
rehabilitation services must be based only on the following
requirements:

\(i\) A determination by qualified personnel that the applicant has a
physical or mental impairment.

\(ii\) A determination by qualified personnel that the applicant\'s
physical or mental impairment constitutes or results in a substantial
impediment to employment for the applicant.

\(iii\) A determination by a qualified vocational rehabilitation
counselor employed by the designated State unit that the applicant
requires vocational rehabilitation services to prepare for, secure,
retain, or regain employment consistent with the applicant\'s unique
strengths, resources, priorities, concerns, abilities, capabilities,
interests, and informed choice.

\(iv\) A presumption, in accordance with paragraph (a)(2) of this
section, that the applicant can benefit in terms of an employment
outcome from the provision of vocational rehabilitation services.

\(2\) [Presumption of benefit]{.underline}. The designated State unit
must presume that an applicant who meets the eligibility requirements in
paragraphs (a)(1)(i) and (ii) of this section can benefit in terms of an
employment outcome unless it demonstrates, based on clear and convincing
evidence, that the applicant is incapable of benefiting in terms of an
employment outcome from vocational rehabilitation services due to the
severity of the applicant's disability.

\(3\) [Presumption of eligibility for Social Security recipients and
beneficiaries]{.underline}.

\(i\) Any applicant who has been determined eligible for Social Security
benefits under Title II or Title XVI of the Social Security Act is\--

\(A\) Presumed eligible for vocational rehabilitation services under
paragraphs (a)(1) and (2) of this section; and

\(B\) Considered an individual with a significant disability as defined
in §361.5(b)(31).

\(ii\) If an applicant for vocational rehabilitation services asserts
that he or she is eligible for Social Security benefits under Title II
or Title XVI of the Social Security Act (and, therefore, is presumed
eligible for vocational rehabilitation services under paragraph
(a)(3)(i)(A) of this section), but is unable to provide appropriate
evidence, such as an award letter, to support that assertion, the State
unit must verify the applicant's eligibility under Title II or Title XVI
of the Social Security Act by contacting the Social Security
Administration. This verification must be made within a reasonable
period of time that enables the State unit to determine the applicant's
eligibility for vocational rehabilitation services within 60 days of the
individual submitting an application for services in accordance with
§361.41(b)(2).

\(4\) [Achievement of an employment outcome]{.underline}. Any eligible
individual, including an individual whose eligibility for vocational
rehabilitation services is based on the individual being eligible for
Social Security benefits under Title II or Title XVI of the Social
Security Act, must intend to achieve an employment outcome that is
consistent with the applicant's unique strengths, resources, priorities,
concerns, abilities, capabilities, interests, and informed choice.

\(i\) The State unit is responsible for informing individuals, through
its application process for vocational rehabilitation services, that
individuals who receive services under the program must intend to
achieve an employment outcome.

\(ii\) The applicant's completion of the application process for
vocational rehabilitation services is sufficient evidence of the
individual's intent to achieve an employment outcome, and no additional
demonstration on the part of the applicant is required for purposes of
satisfying paragraph (a)(4) of this section.

\(5\) [Interpretation]{.underline}. Nothing in this section, including
paragraph (a)(3)(i), is to be construed to create an entitlement to any
vocational rehabilitation service.

\(b\) [Interim determination of eligibility]{.underline}.

\(1\) The designated State unit may initiate the provision of vocational
rehabilitation services for an applicant on the basis of an interim
determination of eligibility prior to the 60-day period described in
§361.41(b)(2).

\(2\) If a State chooses to make interim determinations of eligibility,
the designated State unit must\--

\(i\) Establish criteria and conditions for making those determinations;

\(ii\) Develop and implement procedures for making the determinations;
and

\(iii\) Determine the scope of services that may be provided pending the
final determination of eligibility.

\(3\) If a State elects to use an interim eligibility determination, the
designated State unit must make a final determination of eligibility
within 60 days of the individual submitting an application for services
in accordance with §361.41(b)(2).

\(c\) [Prohibited factors]{.underline}.

\(1\) The State plan must assure that the State unit will not impose, as
part of determining eligibility under this section, a duration of
residence requirement that excludes from services any applicant who is
present in the State.

\(2\) In making a determination of eligibility under this section, the
designated State unit also must ensure that\--

\(i\) No applicant or group of applicants is excluded or found
ineligible solely on the basis of the type of disability; and

\(ii\) The eligibility requirements are applied without regard to the\--

\(A\) Age, gender, race, color, or national origin of the applicant;

\(B\) Type of expected employment outcome;

\(C\) Source of referral for vocational rehabilitation services; and

\(D\) Particular service needs or anticipated cost of services required
by an applicant or the income level of an applicant or applicant\'s
family.

\(d\) [Review and assessment of data for eligibility
determination]{.underline}. Except as provided in paragraph (e) of this
section, the designated State unit\--

\(1\) Must base its determination of each of the basic eligibility
requirements in paragraph (a) of this section on\--

\(i\) A review and assessment of existing data, including counselor
observations, education records, information provided by the individual
or the individual\'s family, particularly information used by education
officials, and determinations made by officials of other agencies; and

\(ii\) To the extent existing data do not describe the current
functioning of the individual or are unavailable, insufficient, or
inappropriate to make an eligibility determination, an assessment of
additional data resulting from the provision of vocational
rehabilitation services, including trial work experiences, assistive
technology devices and services, personal assistance services, and any
other support services that are necessary to determine whether an
individual is eligible; and

\(2\) Must base its presumption under paragraph (a)(3)(i) of this
section that an applicant who has been determined eligible for Social
Security benefits under Title II or Title XVI of the Social Security Act
satisfies each of the basic eligibility requirements in paragraph (a) of
this section on determinations made by the Social Security
Administration.

\(e\) [Trial work experiences for individuals with significant
disabilities]{.underline}.

\(1\) Prior to any determination that an individual with a disability is
incapable of benefiting from vocational rehabilitation services in terms
of an employment outcome because of the severity of that individual\'s
disability, the designated State unit must conduct an exploration of the
individual's abilities, capabilities, and capacity to perform in
realistic work situations to determine whether or not there is clear and
convincing evidence to support such a determination.

(2)(i) The designated State unit must develop a written plan to assess
periodically the individual's abilities, capabilities, and capacity to
perform in work situations through the use of trial work experiences,
which must be provided in the most integrated setting possible,
consistent with the informed choice and rehabilitation needs of the
individual.

\(ii\) Trial work experiences include supported employment, on-the-job
training, and other experiences using realistic work settings.

\(iii\) Trial work experiences must be of sufficient variety and over a
sufficient period of time for the designated State unit to determine
that\--

\(A\) There is sufficient evidence to conclude that the individual can
benefit from the provision of vocational rehabilitation services in
terms of an employment outcome; or

\(B\) There is clear and convincing evidence that the individual is
incapable of benefiting from vocational rehabilitation services in terms
of an employment outcome due to the severity of the individual's
disability.

\(iv\) The designated State unit must provide appropriate supports,
including assistive technology devices and services and personal
assistance services, to accommodate the rehabilitation needs of the
individual during the trial work experiences.

\(f\) [Extended evaluation for certain individuals with significant
disabilities]{.underline}.

\(1\) Under limited circumstances if an individual cannot take advantage
of trial work experiences or if options for trial work experiences have
been exhausted before the State unit is able to make the determinations
described in paragraph (e)(2)(iii) of this section, the designated State
unit must conduct an extended evaluation to make these determinations.

\(2\) During the extended evaluation period, vocational rehabilitation
services must be provided in the most integrated setting possible,
consistent with the informed choice and rehabilitation needs of the
individual.

\(3\) During the extended evaluation period, the designated State unit
must develop a written plan for providing services necessary to make a
determination under paragraph (e)(2)(iii) of this section.

\(4\) During the extended evaluation period, the designated State unit
provides only those services that are necessary to make the
determinations described in paragraph (e)(2)(iii) of this section and
terminates extended evaluation services when the State unit is able to
make the determinations.

\(g\) [Data for determination of priority for services under an order of
selection]{.underline}. If the designated State unit is operating under
an order of selection for services, as provided in §361.36, the State
unit must base its priority assignments on\--

\(1\) A review of the data that was developed under paragraphs (d) and
(e) of this section to make the eligibility determination; and

\(2\) An assessment of additional data, to the extent necessary.

[NOTE to §361.42]{.underline}: [Clear and convincing
evidence]{.underline} means that the designated State unit shall have a
high degree of certainty before it can conclude that an individual is
incapable of benefiting from services in terms of an employment outcome.
The "clear and convincing" standard constitutes the highest standard
used in our civil system of law and is to be individually applied on a
case-by-case basis. The term [clear]{.underline} means unequivocal. For
example, the use of an intelligence test result alone would not
constitute clear and convincing evidence. Clear and convincing evidence
might include a description of assessments, including situational
assessments and supported employment assessments, from service providers
who have concluded that they would be unable to meet the individual's
needs due to the severity of the individual's disability. The
demonstration of "clear and convincing evidence" must include, if
appropriate, a functional assessment of skill development activities,
with any necessary supports (including assistive technology), in real
life settings. (S. Rep. No. 357, 102d Cong., 2d. Sess. 37-38 (1992))

**[§361.43 Procedures for ineligibility determination]{.underline}.**

If the State unit determines that an applicant is ineligible for
vocational rehabilitation services or determines that an individual
receiving services under an individualized plan for employment is no
longer eligible for services, the State unit must-

\(a\) Make the determination only after providing an opportunity for
full consultation with the individual or, as appropriate, with the
individual\'s representative;

\(b\) Inform the individual in writing, supplemented as necessary by
other appropriate modes of communication consistent with the informed
choice of the individual, of the ineligibility determination, including
the reasons for that determination, the requirements under this section,
and the means by which the individual may express and seek remedy for
any dissatisfaction, including the procedures for review of State unit
personnel determinations in accordance with §361.57;

\(c\) Provide the individual with a description of services available
from a client assistance program established under 34 CFR part 370 and
information on how to contact that program;

\(d\) Refer the individual\--

\(1\) To other programs that are part of the One-Stop service delivery
system under the Workforce Investment Act that can address the
individual\'s training or employment-related needs; or

\(2\) To local extended employment providers if the ineligibility
determination is based on a finding that the individual is incapable of
achieving an employment outcome as defined in §361.5(b)(16); and

\(e\) Review within 12 months and annually thereafter if requested by
the individual or, if appropriate, by the individual\'s representative
any ineligibility determination that is based on a finding that the
individual is incapable of achieving an employment outcome. This review
need not be conducted in situations in which the individual has refused
it, the individual is no longer present in the State, the individual\'s
whereabouts are unknown, or the individual\'s medical condition is
rapidly progressive or terminal.

**[§361.44 Closure without eligibility determination]{.underline}.**

The designated State unit may not close an applicant\'s record of
services prior to making an eligibility determination unless the
applicant declines to participate in, or is unavailable to complete, an
assessment for determining eligibility and priority for services, and
the State unit has made a reasonable number of attempts to contact the
applicant or, if appropriate, the applicant\'s representative to
encourage the applicant\'s participation.

**[§361.45 Development of the individualized plan for
employment]{.underline}.**

\(a\) [General requirements]{.underline}. The State plan must assure
that\--

\(1\) An individualized plan for employment (IPE) meeting the
requirements of this section and §361.46 is developed and implemented in
a timely manner for each individual determined to be eligible for
vocational rehabilitation services or, if the designated State unit is
operating under an order of selection in accordance with §361.36, for
each eligible individual to whom the State unit is able to provide
services; and

\(2\) Services will be provided in accordance with the provisions of the
IPE.

\(b\) [Purpose]{.underline}.

\(1\) The designated State unit must conduct an assessment for
determining vocational rehabilitation needs, if appropriate, for each
eligible individual or, if the State is operating under an order of
selection, for each eligible individual to whom the State is able to
provide services. The purpose of this assessment is to determine the
employment outcome, and the nature and scope of vocational
rehabilitation services to be included in the IPE.

\(2\) The IPE must be designed to achieve a specific employment outcome,
as defined in §361.5(b)(16), that is selected by the individual
consistent with the individual\'s unique strengths, resources,
priorities, concerns, abilities, capabilities, interests, and informed
choice.

\(c\) [Required information]{.underline}. The State unit must provide
the following information to each eligible individual or, as
appropriate, the individual's representative, in writing and, if
appropriate, in the native language or mode of communication of the
individual or the individual's representative:

\(1\) [Options for developing an IPE]{.underline}. Information on the
available options for developing the IPE, including the option that an
eligible individual or, as appropriate, the individual's representative
may develop all or part of the IPE\--

\(i\) Without assistance from the State unit or other entity; or

\(ii\) With assistance from\--

\(A\) A qualified vocational rehabilitation counselor employed by the
State unit;

\(B\) A qualified vocational rehabilitation counselor who is not
employed by the State unit; or

\(C\) Resources other than those in paragraph (A) or (B) of this
section.

\(2\) [Additional information]{.underline}. Additional information to
assist the eligible individual or, as appropriate, the individual's
representative in developing the IPE, including\--

\(i\) Information describing the full range of components that must be
included in an IPE;

\(ii\) As appropriate to each eligible individual\--

\(A\) An explanation of agency guidelines and criteria for determining
an eligible individual's financial commitments under an IPE;

\(B\) Information on the availability of assistance in completing State
unit forms required as part of the IPE; and

\(C\) Additional information that the eligible individual requests or
the State unit determines to be necessary to the development of the IPE;

\(iii\) A description of the rights and remedies available to the
individual, including, if appropriate, recourse to the processes
described in §361.57; and

\(iv\) A description of the availability of a client assistance program
established under 34 CFR part 370 and information on how to contact the
client assistance program.

\(d\) [Mandatory procedures]{.underline}. The designated State unit must
ensure that\--

\(1\) The IPE is a written document prepared on forms provided by the
State unit;

\(2\) The IPE is developed and implemented in a manner that gives
eligible individuals the opportunity to exercise informed choice,
consistent with §361.52, in selecting\--

\(i\) The employment outcome, including the employment setting;

\(ii\) The specific vocational rehabilitation services needed to achieve
the employment outcome, including the settings in which services will be
provided;

\(iii\) The entity or entities that will provide the vocational
rehabilitation services; and

\(iv\) The methods available for procuring the services;

\(3\) The IPE is\--

\(i\) Agreed to and signed by the eligible individual or, as
appropriate, the individual's representative; and

\(ii\) Approved and signed by a qualified vocational rehabilitation
counselor employed by the designated State unit;

\(4\) A copy of the IPE and a copy of any amendments to the IPE are
provided to the eligible individual or, as appropriate, to the
individual's representative, in writing and, if appropriate, in the
native language or mode of communication of the individual or, as
appropriate, the individual's representative;

\(5\) The IPE is reviewed at least annually by a qualified vocational
rehabilitation counselor and the eligible individual or, as appropriate,
the individual's representative to assess the eligible individual's
progress in achieving the identified employment outcome;

\(6\) The IPE is amended, as necessary, by the individual or, as
appropriate, the individual's representative, in collaboration with a
representative of the State unit or a qualified vocational
rehabilitation counselor (to the extent determined to be appropriate by
the individual), if there are substantive changes in the employment
outcome, the vocational rehabilitation services to be provided, or the
providers of the vocational rehabilitation services;

\(7\) Amendments to the IPE do not take effect until agreed to and
signed by the eligible individual or, as appropriate, the individual's
representative and by a qualified vocational rehabilitation counselor
employed by the designated State unit; and

\(8\) An IPE for a student with a disability receiving special education
services is developed\--

\(i\) In consideration of the student's IEP; and

\(ii\) In accordance with the plans, policies, procedures, and terms of
the interagency agreement required under §361.22.

\(e\) [Standards for developing the IPE]{.underline}. The designated
State unit must establish and implement standards for the prompt
development of IPEs for the individuals identified under paragraph (a)
of this section, including timelines that take into consideration the
needs of the individuals.

\(f\) [Data for preparing the IPE]{.underline}.

\(1\) [Preparation without comprehensive assessment]{.underline}. To the
extent possible, the employment outcome and the nature and scope of
rehabilitation services to be included in the individual\'s IPE must be
determined based on the data used for the assessment of eligibility and
priority for services under §361.42.

\(2\) [Preparation based on comprehensive assessment]{.underline}.

\(i\) If additional data are necessary to determine the employment
outcome and the nature and scope of services to be included in the IPE
of an eligible individual, the State unit must conduct a comprehensive
assessment of the unique strengths, resources, priorities, concerns,
abilities, capabilities, interests, and informed choice, including the
need for supported employment services, of the eligible individual, in
the most integrated setting possible, consistent with the informed
choice of the individual in accordance with the provisions of
§361.5(b)(6)(ii).

\(ii\) In preparing the comprehensive assessment, the State unit must
use, to the maximum extent possible and appropriate and in accordance
with confidentiality requirements, existing information that is current
as of the date of the development of the IPE, including\--

\(A\) Information available from other programs and providers,
particularly information used by education officials and the Social
Security Administration;

\(B\) Information provided by the individual and the individual\'s
family; and

\(C\) Information obtained under the assessment for determining the
individual\'s eligibility and vocational rehabilitation needs.

**[§361.46 Content of the individualized plan for
employment]{.underline}.**

\(a\) [Mandatory components]{.underline}. Regardless of the approach in
§361.45(c)(1) that an eligible individual selects for purposes of
developing the IPE, each IPE must include\--

\(1\) A description of the specific employment outcome, as defined in
§361.5(b)(16), that is chosen by the eligible individual and is
consistent with the individual's unique strengths, resources,
priorities, concerns, abilities, capabilities, career interests, and
informed choice.

\(2\) A description of the specific rehabilitation services under
§361.48 that are\--

\(i\) Needed to achieve the employment outcome, including, as
appropriate, the provision of assistive technology devices, assistive
technology services, and personal assistance services, including
training in the management of those services; and

\(ii\) Provided in the most integrated setting that is appropriate for
the services involved and is consistent with the informed choice of the
eligible individual;

\(3\) Timelines for the achievement of the employment outcome and for
the initiation of services;

\(4\) A description of the entity or entities chosen by the eligible
individual or, as appropriate, the individual's representative that will
provide the vocational rehabilitation services and the methods used to
procure those services;

\(5\) A description of the criteria that will be used to evaluate
progress toward achievement of the employment outcome; and

\(6\) The terms and conditions of the IPE, including, as appropriate,
information describing\--

\(i\) The responsibilities of the designated State unit;

\(ii\) The responsibilities of the eligible individual, including\--

\(A\) The responsibilities the individual will assume in relation to
achieving the employment outcome;

\(B\) If applicable, the extent of the individual\'s participation in
paying for the cost of services; and

\(C\) The responsibility of the individual with regard to applying for
and securing comparable services and benefits as described in §361.53;
and

\(iii\) The responsibilities of other entities as the result of
arrangements made pursuant to the comparable services or benefits
requirements in §361.53.

\(b\) [Supported employment requirements]{.underline}. An IPE for an
individual with a most significant disability for whom an employment
outcome in a supported employment setting has been determined to be
appropriate must\--

\(1\) Specify the supported employment services to be provided by the
designated State unit;

\(2\) Specify the expected extended services needed, which may include
natural supports;

\(3\) Identify the source of extended services or, to the extent that it
is not possible to identify the source of extended services at the time
the IPE is developed, include a description of the basis for concluding
that there is a reasonable expectation that those sources will become
available;

\(4\) Provide for periodic monitoring to ensure that the individual is
making satisfactory progress toward meeting the weekly work requirement
established in the IPE by the time of transition to extended services;

\(5\) Provide for the coordination of services provided under an IPE
with services provided under other individualized plans established
under other Federal or State programs;

\(6\) To the extent that job skills training is provided, identify that
the training will be provided on site; and

\(7\) Include placement in an integrated setting for the maximum number
of hours possible based on the unique strengths, resources, priorities,
concerns, abilities, capabilities, interests, and informed choice of
individuals with the most significant disabilities.

\(c\) [Post-employment services]{.underline}. The IPE for each
individual must contain, as determined to be necessary, statements
concerning\--

\(1\) The expected need for post-employment services prior to closing
the record of services of an individual who has achieved an employment
outcome;

\(2\) A description of the terms and conditions for the provision of any
post-employment services; and

\(3\) If appropriate, a statement of how post-employment services will
be provided or arranged through other entities as the result of
arrangements made pursuant to the comparable services or benefits
requirements in §361.53.

\(d\) [Coordination of services for students with disabilities who are
receiving special education services]{.underline}. The IPE for a student
with a disability who is receiving special education services must be
coordinated with the IEP for that individual in terms of the goals,
objectives, and services identified in the IEP.

**[§361.47 Record of services]{.underline}.**

\(a\) The designated State unit must maintain for each applicant and
eligible individual a record of services that includes, to the extent
pertinent, the following documentation:

\(1\) If an applicant has been determined to be an eligible individual,
documentation supporting that determination in accordance with the
requirements under §361.42.

\(2\) If an applicant or eligible individual receiving services under an
IPE has been determined to be ineligible, documentation supporting that
determination in accordance with the requirements under §361.43.

\(3\) Documentation that describes the justification for closing an
applicant's or eligible individual's record of services if that closure
is based on reasons other than ineligibility, including, as appropriate,
documentation indicating that the State unit has satisfied the
requirements in §361.44.

\(4\) If an individual has been determined to be an individual with a
significant disability or an individual with a most significant
disability, documentation supporting that determination.

\(5\) If an individual with a significant disability requires an
exploration of abilities, capabilities, and capacity to perform in
realistic work situations through the use of trial work experiences or,
as appropriate, an extended evaluation to determine whether the
individual is an eligible individual, documentation supporting the need
for, and the plan relating to, that exploration or, as appropriate,
extended evaluation and documentation regarding the periodic assessments
carried out during the trial work experiences or, as appropriate, the
extended evaluation, in accordance with the requirements under
§361.42(e) and (f).

\(6\) The IPE, and any amendments to the IPE, consistent with the
requirements under §361.46.

\(7\) Documentation describing the extent to which the applicant or
eligible individual exercised informed choice regarding the provision of
assessment services and the extent to which the eligible individual
exercised informed choice in the development of the IPE with respect to
the selection of the specific employment outcome, the specific
vocational rehabilitation services needed to achieve the employment
outcome, the entity to provide the services, the employment setting, the
settings in which the services will be provided, and the methods to
procure the services.

\(8\) In the event that an individual\'s IPE provides for vocational
rehabilitation services in a non-integrated setting, a justification to
support the non-integrated setting.

\(9\) In the event that an individual obtains competitive employment,
verification that the individual is compensated at or above the minimum
wage and that the individual's wage and level of benefits are not less
than that customarily paid by the employer for the same or similar work
performed by non-disabled individuals in accordance with
§361.5(b)(11)(ii).

\(10\) In the event that an individual obtains an employment outcome in
which the individual is compensated in accordance with section 14(c) of
the Fair Labor Standards Act or the designated State unit closes the
record of services of an individual in extended employment on the basis
that the individual is unable to achieve an employment outcome
consistent with §361.5(b)(16) or that an eligible individual through
informed choice chooses to remain in extended employment, documentation
of the results of the annual reviews required under §361.55, of the
individual's input into those reviews, and of the individual's or, if
appropriate, the individual's representative's acknowledgement that
those reviews were conducted.

\(11\) Documentation concerning any action or decision resulting from a
request by an individual under §361.57 for a review of determinations
made by designated State unit personnel.

\(12\) In the event that an applicant or eligible individual requests
under §361.38(c)(4) that documentation in the record of services be
amended and the documentation is not amended, documentation of the
request.

\(13\) In the event an individual is referred to another program through
the State unit's information and referral system under §361.37,
including other components of the statewide workforce investment system,
documentation on the nature and scope of services provided by the
designated State unit to the individual and on the referral itself,
consistent with the requirements of §361.37.

\(14\) In the event an individual's record of service is closed under
§361.56, documentation that demonstrates the services provided under the
individual's IPE contributed to the achievement of the employment
outcome.

\(15\) In the event an individual's record of service is closed under
§361.56, documentation verifying that the provisions of §361.56 have
been satisfied.

\(b\) The State unit, in consultation with the State Rehabilitation
Council if the State has a Council, must determine the type of
documentation that the State unit must maintain for each applicant and
eligible individual in order to meet the requirements in paragraph (a)
of this section.

**[§361.48 Scope of vocational rehabilitation services for individuals
with disabilities]{.underline}.**

As appropriate to the vocational rehabilitation needs of each individual
and consistent with each individual\'s informed choice, the designated
State unit must ensure that the following vocational rehabilitation
services are available to assist the individual with a disability in
preparing for, securing, retaining, or regaining an employment outcome
that is consistent with the individual's strengths, resources,
priorities, concerns, abilities, capabilities, interests, and informed
choice:

\(a\) Assessment for determining eligibility and priority for services
by qualified personnel, including, if appropriate, an assessment by
personnel skilled in rehabilitation technology, in accordance with
§361.42.

\(b\) Assessment for determining vocational rehabilitation needs by
qualified personnel, including, if appropriate, an assessment by
personnel skilled in rehabilitation technology, in accordance with
§361.45.

\(c\) Vocational rehabilitation counseling and guidance, including
information and support services to assist an individual in exercising
informed choice in accordance with §361.52.

\(d\) Referral and other services necessary to assist applicants and
eligible individuals to secure needed services from other agencies,
including other components of the statewide workforce investment system,
in accordance with §§361.23, 361.24, and 361.37, and to advise those
individuals about client assistance programs established under 34 CFR
part 370.

\(e\) In accordance with the definition in §361.5(b)(40), physical and
mental restoration services, to the extent that financial support is not
readily available from a source other than the designated State unit
(such as through health insurance or a comparable service or benefit as
defined in §361.5(b)(10)).

\(f\) Vocational and other training services, including personal and
vocational adjustment training, books, tools, and other training
materials, except that no training or training services in an
institution of higher education (universities, colleges, community or
junior colleges, vocational schools, technical institutes, or hospital
schools of nursing) may be paid for with funds under this part unless
maximum efforts have been made by the State unit and the individual to
secure grant assistance in whole or in part from other sources to pay
for that training.

\(g\) Maintenance, in accordance with the definition of that term in
§361.5(b)(35).

\(h\) Transportation in connection with the rendering of any vocational
rehabilitation service and in accordance with the definition of that
term in §361.5(b)(57).

\(i\) Vocational rehabilitation services to family members, as defined
in §361.5(b)(23), of an applicant or eligible individual if necessary to
enable the applicant or eligible individual to achieve an employment
outcome.

\(j\) Interpreter services, including sign language and oral interpreter
services, for individuals who are deaf or hard of hearing and tactile
interpreting services for individuals who are deaf-blind provided by
qualified personnel.

\(k\) Reader services, rehabilitation teaching services, and orientation
and mobility services for individuals who are blind.

\(l\) Job-related services, including job search and placement
assistance, job retention services, follow-up services, and follow-along
services.

\(m\) Supported employment services in accordance with the definition of
that term in §361.5(b)(54).

\(n\) Personal assistance services in accordance with the definition of
that term in §361.5(b)(39).

\(o\) Post-employment services in accordance with the definition of that
term in §361.5(b)(42).

\(p\) Occupational licenses, tools, equipment, initial stocks, and
supplies.

\(q\) Rehabilitation technology in accordance with the definition of
that term in §361.5(b)(45), including vehicular modification,
telecommunications, sensory, and other technological aids and devices.

\(r\) Transition services in accordance with the definition of that term
in §361.5(b)(55).

\(s\) Technical assistance and other consultation services to conduct
market analyses, develop business plans, and otherwise provide
resources, to the extent those resources are authorized to be provided
through the statewide workforce investment system, to eligible
individuals who are pursuing self-employment or telecommuting or
establishing a small business operation as an employment outcome.

\(t\) Other goods and services determined necessary for the individual
with a disability to achieve an employment outcome.

**[§361.49 Scope of vocational rehabilitation services for groups of
individuals with disabilities]{.underline}.**

\(a\) The designated State unit may also provide for the following
vocational rehabilitation services for the benefit of groups of
individuals with disabilities:

\(1\) The establishment, development, or improvement of a public or
other nonprofit community rehabilitation program that is used to provide
vocational rehabilitation services that promote integration and
competitive employment, including, under special circumstances, the
construction of a facility for a public or nonprofit community
rehabilitation program. Examples of \"special circumstances\" include
the destruction by natural disaster of the only available center serving
an area or a State determination that construction is necessary in a
rural area because no other public agencies or private nonprofit
organizations are currently able to provide vocational rehabilitation
services to individuals.

\(2\) Telecommunications systems that have the potential for
substantially improving vocational rehabilitation service delivery
methods and developing appropriate programming to meet the particular
needs of individuals with disabilities, including telephone, television,
video description services, satellite, tactile-vibratory devices, and
similar systems, as appropriate.

\(3\) Special services to provide nonvisual access to information for
individuals who are blind, including the use of telecommunications,
Braille, sound recordings, or other appropriate media; captioned
television, films, or video cassettes for individuals who are deaf or
hard of hearing; tactile materials for individuals who are deaf-blind;
and other special services that provide information through tactile,
vibratory, auditory, and visual media.

\(4\) Technical assistance and support services to businesses that are
not subject to Title I of the Americans with Disabilities Act of 1990
and that are seeking to employ individuals with disabilities.

\(5\) In the case of any small business enterprise operated by
individuals with significant disabilities under the supervision of the
designated State unit, including enterprises established under the
Randolph-Sheppard program, management services and supervision provided
by the State unit along with the acquisition by the State unit of
vending facilities or other equipment, initial stocks and supplies, and
initial operating expenses, in accordance with the following
requirements:

\(i\) \"Management services and supervision\" includes inspection,
quality control, consultation, accounting, regulating, in-service
training, and related services provided on a systematic basis to support
and improve small business enterprises operated by individuals with
significant disabilities. \"Management services and supervision\" may be
provided throughout the operation of the small business enterprise.

\(ii\) \"Initial stocks and supplies\" includes those items necessary to
the establishment of a new business enterprise during the initial
establishment period, which may not exceed 6 months.

\(iii\) Costs of establishing a small business enterprise may include
operational costs during the initial establishment period, which may not
exceed 6 months.

\(iv\) If the designated State unit provides for these services, it must
ensure that only individuals with significant disabilities will be
selected to participate in this supervised program.

\(v\) If the designated State unit provides for these services and
chooses to set aside funds from the proceeds of the operation of the
small business enterprises, the State unit must maintain a description
of the methods used in setting aside funds and the purposes for which
funds are set aside. Funds may be used only for small business
enterprises purposes, and benefits that are provided to operators from
set-aside funds must be provided on an equitable basis.

\(6\) Other services that promise to contribute substantially to the
rehabilitation of a group of individuals but that are not related
directly to the individualized plan for employment of any one
individual. Examples of those other services might include the purchase
or lease of a bus to provide transportation to a group of applicants or
eligible individuals or the purchase of equipment or instructional
materials that would benefit a group of applicants or eligible
individuals.

\(7\) Consultative and technical assistance services to assist
educational agencies in planning for the transition of students with
disabilities from school to post-school activities, including
employment.

\(b\) If the designated State unit provides for vocational
rehabilitation services for groups of individuals, it must\--

\(1\) Develop and maintain written policies covering the nature and
scope of each of the vocational rehabilitation services it provides and
the criteria under which each service is provided; and

\(2\) Maintain information to ensure the proper and efficient
administration of those services in the form and detail and at the time
required by the Secretary, including the types of services provided, the
costs of those services, and, to the extent feasible, estimates of the
numbers of individuals benefiting from those services.