UNITED STATED DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

REHABILITATION SERVICES ADMINISTRATION

WASHINGTON, D.C. 20202

TECHNICAL ASSISTANCE CIRCULAR

RSA-TAC-FY-93-02

RSM-

DATE: May 12, 1993

ADDRESSEES: STATE VOCATIONAL REHABILITATION AGENCIES (GENERAL)

STATE VOCATIONAL REHABILITATION AGENCIES (BLIND)

CLIENT ASSISTANCE PROGRAMS

RSA DISCRETIONARY GRANTEES

REGIONAL REHABILITATION CONTINUING EDUCATION

PROGRAMS

RSA SENIOR MANAGEMENT TEAM

SUBJECT: Implementation of Part C of Title I, Innovation and Expansion
Grants, of the Rehabilitation Act of 1973, as Amended

CITATIONS IN LAW and REGULATION:

A. Statutory Citations

Rehabilitation Act of 1973, as amended

1.Section 7(7)(B)

2.Section 101(a)(5)

3.Section 101(a)(15)

4.Section 101(a)(19)

5.Section 101(a)(23)

6.Section 101(a)(32)

7.Section 101(a)(34)

8.Section 101(a)(36)(A)(ii)

9.Section 105(c)

10.Section 107(a)(2)(d)

11.Section 108

12.Section 111(a)(1)

13.Section 120

14.Section 121

15.Section 122

16.Section 123

17.Section 124

B. Regulatory Citations

1\. Education Department General Administrative Regulations

34 CFR Part 80

BACKGROUND:

The Rehabilitation Act Amendments of 1992 (the 1992

Amendments) fundamentally redesigned the innovation and expansion grant
program under Part C of title I, the Rehabilitation Act of 1973, as
amended. Effective October 1, 1993, States are required to submit a
written strategic plan for developing and using innovative approaches
for achieving long-term success in expanding and improving VR services,
including supported employment service. A State must submit a strategic
plan to the commissioner in order to qualify for funding under Part B of
title I of the Act (Vocational Rehabilitation Programs and Client
Assistance Programs) and under Part C of title I of the Act (Innovation
and Expansion Grants). Prior to the 1992 amendments, the Act did not
contain a requirement for the development of a strategic plan.

The 1992 Amendments also mandate a new requirement that

States use at least 1.5 percent of their Part B allotment

for one or more of the specific activities described in Part

C as innovation and expansion program examples.

This Technical Assistance Circular provides guidance on

the development of the strategic plan and on the required 1.5 percent
set aside.

A. SUBMITTAL REQUIREMENTS:

1.To comply with the requirements of Section 101(a) of the Act for the
submittal of the State VR Services plan including the supplement for the
Supported Employment Services Program under Section 635 of the Act, the
State agency must assure that it has developed and implemented a
strategic plan. This requirement is effective October 1, 1993.

(Section 101(a)(34) and 120 of the Act)

2.The strategic plan and State plan covering a 3-year period and its
subsequent annual updates may be submitted separately from the State
plan but both are interrelated with the State plan and annual updates
submitted under Section 101 and the supplement to the State plan
submitted under Part C of Title VI. Specific instructions regarding
submittal of the Strategic plan will be provided in a separate issuance.

(Section 101(a)19, 122(a) and 635 of the Act.)

B. LINKAGES:

The requirements for the content of, and process for developing the
strategic plan are found in title I, Part C of the Act. Other references
in the Act and linkages to the strategic plan include:

1.Section 101(a)(19) - This section requires that the continuing
statewide studies required under Section 101(a)(15), as well as the
annual evaluation of the effectiveness of the VR services program in
meeting the goals and priorities set forth in the plan will be utilized
for developing and updating the strategic plan.

2.Section 101(a)(34) - Requires the State to assure that the State has
developed and implemented a strategic plan for expanding and improving
VR services for individuals with disabilities on a statewide basis in
accordance with Part C of Title I. This Section also requires the State
to assure that it will use at least 1.5 percent of its allotment under
Part B of Title I for uses described in Section 123 of the Act.

3.Section 101(a)(5) - Specifies that the State plan contain the plans,
policies, and methods to be followed in carrying out the State plan and
in its administration and supervision, including the results of a
comprehensive Statewide assessment of the rehabilitation needs of
individuals with severe disabilities residing in the State. The plan
must also contain the State\'s response to the assessment, a description
of the method to be used to expand and improve services to individuals
with the most severe disabilities, including individuals served under
Part C of Title VI of this Act, a description of the method to be used
to utilize community rehabilitation programs to the maximum extent
feasible, and an explanation of the methods by which the State will
provide VR to all individuals with disabilities within the State who are
eligible for such services. Please note that Section 101(a)(5) and
Section 101(a)(15) require similar evaluation studies. Section 121(b)(2)
requires the strategic plan to include specific goals and objectives for
expanding and improving the system for providing services under the
State VR Services program.

4.Section 101(a)(32) - Requires the State to describe the manner in
which it will modify the policies and procedures of the State based on
consumer satisfaction surveys conducted by the State Rehabilitation
Advisory Council. Information obtained from these surveys can be
utilized in making programmatic decisions reflected in the strategic
plan.

5.Section 105(c)(2) - Describes the responsibilities of the State
Rehabilitation Advisory Council to advise the designated State agency
and the designated State unit, and at the discretion of the designated
State agency, assist in the preparation of applications, the State plan,
the strategic plan and amendments to the plans, reports, needs
assessments, and evaluations required by Title I of the Act.

C. PROCESS FOR DEVELOPING THE STRATEGIC PLAN:

1.The 1992 Amendments require that public forums be held prior to the
development of the strategic plan to gather input from individuals with
disabilities and other interested parties. The requirement to provide
opportunity for public input in the development of the strategic plan is
similar to that in Section 101(a)(23), which requires State agencies to
conduct public meetings throughout the State, after appropriate and
sufficient notice, to allow interested groups and organizations and
other interested parties an opportunity to comment on the VR State plan
before development of the plan by the State. (Section 122(b) and
101(a)(23)(a) of the Act)

The 1992 Amendments require that prior to developing both the State VR
plan and the strategic plan, the State must hold public forums to allow
interested individuals, groups, organizations and all segments of the
public an opportunity to comment on these plans. States may wish to
develop their strategic plans concurrently with their three year VR
State plans and annual updates. It is suggested that to insure the best
use of resources and non-duplication of effort, public forums should
consider both plans at the same time.

(Section 101(a)(23)(a) and 122(b) of the Act.)

Since public forums are required prior to the development of both the
State plan and the strategic plan it is important to conduct these
forums early enough to allow for the orderly development of both plans.
In the planning process for these forums, time for appropriate and
sufficient public notice must be provided. RSA experience suggests that
a prior notice of at least 30 days is necessary to insure adequate
public participation.

Public forums should be planned in such a manner as to encourage broad
participation. In larger States at least two public forums are
suggested. The location of sites should allow reasonable access to the
State\'s population.

2.The State agency must meet with, solicit, and seriously consider
recommendations from members of the State Rehabilitation Advisory
Council and the Statewide Independent Living Council on the development
and implementation of the strategic plan and any amendments to the plan.
This requirement necessitates the establishment of the State
Rehabilitation Advisory Council in a timely manner. If any
recommendations of the Councils are rejected, a written explanation of
the rejection must be included in the strategic plan.

(Section 122(b)(c) and 101(a)(36)(A)(ii) of the Act.)

RSA review of the innovation and expansion grant (the carrying out of
the strategic plan) as required by Section 107(a)(2)(d) will include an
analysis of the reasons why any recommendations from the councils were
rejected by the State agency. To facilitate this review the State agency
should provide clear, concise reasons for its rejection. The reasons
should be consistent with law, regulation and sound administrative
practice.

(Section 107(a)(2)(d) of the Act.)

3.A procedure must be developed by the State agency to ensure regular
and ongoing comment is received and considered from the councils as the
plan is being implemented.

(Section 122(d) of the Act.)

4.The strategic plan must be widely disseminated to individuals with
disabilities, disability organizations, rehabilitation professionals,
and other interested persons.

(Section 122(e) of the Act).

D. REQUIRED STRATEGIC PLAN CONTENT AND ASSESSMENT CRITERIA:

The strategic plan shall include:

1.A statement of the mission, philosophy, values, and principles of the
VR program in the State.

a\. The plan must contain a statement on the mission, philosophy, values
and principles of the vocational rehabilitation program that is
consistent with the findings, purpose and policy contained in Section
2(a), (b), and (c) of the Act.

b\. The statement must also be consistent with the purposes of Titles I
and VI, Part C of the Act.

2.Specific goals and objectives for expanding and improving the system
for providing VR services.

a\. The plan must contain specific and measurable goals and objectives,
including resource allocations, believed to be instrumental in expanding
and improving the State agency\'s system for providing the VR program.

b\. The plan must also contain programs, projects and activities clearly
identified as additional to the current efforts to provide VR services
to eligible individuals with disabilities.

3.Specific multifaceted and systemic approaches for accomplishing the
objectives, including interagency coordination and cooperation, that
build upon state-of- the-art practices and research findings, and that
implement the State plan and the supplement to the State plan submitted
under Part C of Title VI of the Act.

a\. The plan describes a number of delineated and interrelated
approaches to achieve the plan\'s objectives.

b\. The approaches represent a systemic strategy or strategies to
achieve the plan\'s objectives.

c\. An integral element of the plan provides for interagency
coordination and cooperation with specified agencies.

d\. The plan identifies state-of-the-art practices and research findings
used in the development of strategies and approaches.

e\. The plan\'s strategies and approaches expand upon and do not
supplant provisions of the State plan and the supplement submitted under
Part C of Title VI.

4.A description of the specific programs, projects, and activities
funded under this part and how the programs, projects and activities
accomplish the objectives.

a\. The plan specifies the purpose, nature, and scope of each program,
project, and activity.

b\. The plan describes how each program, project and activity will
result in the achievement of the plan\'s corresponding objectives.

5.Specific criteria for determining whether the objectives have been
achieved.

a\. The plan specifies how the results of the programs, projects and
activities will be measured and documented.

b\. The plan describes how the achievements under the plan will be
communicated to the staff, constituency and other interested parties.

6.An assurance that the State will conduct an annual evaluation to
determine the extent to which the objectives have been achieved, and if
not achieved, the reasons that they were not achieved and a description
of alternative approaches that will be taken.

a\. The plan contains an assurance that an annual evaluation will be
conducted. It is suggested that the annual evaluation be conducted at
such time as to permit the consideration of findings in the development
of the State plan and its annual updates.

b\. The plan contains an assurance that the annual evaluation includes
an assessment to determine:

i\. The extent to which the objectives have been achieved; and

ii\. If specific objectives have not been achieved, the reasons that the
objectives have not been achieved.

c\. If the annual evaluation determines that specific objectives have
not been achieved, the plan provides a description of alternative
approaches that will be taken. Changes in the strategic plan should be
made at such time so as to allow appropriate changes to be made in the
State plan and its annual updates if necessary.

(Section 121 of the Act)

E. FUNDS AVAILABLE:

1.The term \"Federal Share\" means 90 percent for the purposes of Part C
of Title I.

(Section 7(7)(B) of the Act)

2.There are two funding sources for Innovation and Expansion Grants:

a.A minimum of 1.5% shall be utilized from the State\'s VR allotment.

b.Funds appropriated specifically for Part C pursuant to an
authorization of appropriations in Section 100 (b)(2).

3.At least 1.5 percent of the allotment of the State under Part B,
Vocational Rehabilitation Services program must be utilized for the
purposes described in Section 123. In those States that have two State
agencies, the directors of these agencies should consult with each other
to assure the full 1.5 percent of the total state allotment is expended
for these purposes. This authority is effective October 1, 1993.

(Section 101(a)(34)(b) and 111(a)(1) of the Act)

4.No funds have been appropriated under Section 100 (b)(2) of the Act to
carryout Part C, Innovation and Expansion for FY 1993. If, in the
future, a specific appropriation is made, the State shall receive an
allotment of \$200,000 or 1/3 of one percent of the sums made available
for the fiscal year for which the allotment is made, whichever is
greater, except that Guam, American Samoa, the United States Virgin
Islands, the Commonwealth of the Northern Mariana Islands, and the
Republic of Palau shall be allotted not less than 1/8 of 1 percent of
the amount made available for the purposes of this part. The Republic of
Palau may receive an allotment under this Section only until the Compact
of Free Association with Palau takes effect.

Whenever the Commissioner determines that any amount of an allotment to
a State for any fiscal year will not be expended by such State in
carrying out the provisions of this part, the Commissioner shall make
such amounts available for carrying out the purposes of part C of Title
I to one or more of the States that the Commissioner determines will be
able to use additional amounts during such year for carrying out such
provisions. Any amount made available to a State for any fiscal year
shall be regarded as an increase in the allotment for such year.

(Section 124 of the Act)

5.Social Security reimbursement payments for expenditures under the
vocational rehabilitation program can also be utilized to develop and
implement the strategic plan. (Section 108 of the Act)

6.State agencies must have an accounting system sufficient to receive
and expend funds authorized for the purposes of Part C of Title I,
Innovation and Expansion grants consistent with 34 CFR Part 80.

F. USE OF SUCH FUNDS:

1.A State may use funds made available under Part C directly or by
grant, contract or other arrangement.

(Section 123 of the Act)

A State may utilize funds from the State VR allotment set-aside only for
the activities specified in Section 123 of the Act. Funds appropriated
for Part C may be used for the specific purposes identified but can also
be used for other purposes as long as they are consistent with the
purposes of the Innovation and Expansion Grant Program.

2.A State may use these funds to carry out:

A State may utilize funds from the State VR allotment set aside only for
the activities specified Section 123 of the Act. Funds appropriated for
Part C may be used for the specific purposes identified but can also be
used for other purposes as long as they are consistent with the purposes
of the Innovation and Expansion Grant Program.

a\. Programs to initiate and expand employment opportunities for
individuals with severe disabilities in integrated settings that allow
for the use of on-the-job training to promote the intent of Title I of
the ADA;

b\. Programs or activities to improve the provision of, and expand,
employment services in integrated settings to individuals with sensory,
cognitive, physical and mental impairments who have traditionally not
been served by the State vocational rehabilitation agency;

c\. Programs and activities to maximize the ability of individuals with
disabilities to use rehabilitation technology in employment settings;

d\. Programs and activities that assist employers in accommodating,
evaluating, training or placing individuals with disabilities in the
workplace of the employer consistent with provisions of this Act and
Title I of the Americans with Disabilities Act, including short term
technical assistance or other effective strategies;

e\. Programs and activities that expand and improve the extent and type
of client involvement in the review and selection of the training and
employment goals of the client;

f\. Programs and activities that expand and improve opportunities for
career advancement for individuals with severe disabilities;

g\. Programs, projects, and activities designed to initiate, expand, or
improve working relationships between VR services provided under this
title and independent living services provided under Title VII;

h\. Programs, projects, and activities designed to improve functioning
of the system for delivering VR services and to improve coordination and
working relationships with other State and local agencies, business,
industry, labor, community rehabilitation programs, and centers for
independent living, including projects designed to:

i\. Increase the ease of access to, timeliness of, and quality of VR
services through the development and implementation of policies,
procedures, and systems and interagency mechanisms for providing VR
services;

ii\. Improve the working relationships between State VR agencies, and
other State agencies, centers for independent living, community
rehabilitation programs, educational agencies involved in higher
education, adult basic education, and continuing education, and
businesses, industry, and labor organizations in order to create and
facilitate cooperation in:

(a). Planning and implementing services and

(b). The development of an integrated system of community based VR
service that includes appropriate transitions between service systems;
and

iii\. Improve the ability of professionals, clients, advocates,
business, industry, and labor to work in cooperative partnerships to
improve the quality of VR services and job and career opportunities for
individuals with disabilities;

i\. Support efforts to ensure that the annual evaluation of the
effectiveness of the program in meeting the goals and objectives set
forth in the State plan, including the system for evaluating the
performance of rehabilitation counselors, coordinators, and other
personnel used in the State, facilitates and does not impede the
accomplishment of the purpose and policy of the VR services program;

j\. Support the initiation, expansion, and improvement of a
comprehensive system of personnel development;

k\. Support the provision of training and technical assistance to
clients, business, industry, labor, community rehabilitation programs,
and others regarding the implementation of the amendments made by the
1992 Amendments, of Title V of the Act, and of the ADA; and

l\. Support the funding of the State Rehabilitation Advisory Council and
the Statewide Independent Living Council established under Section 705.

(Section 123 of the Act)

INQUIRIES: RSA Regional Commissioners

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

William L. Smith

Acting Commissioner of Rehabilitation Services Administration

[Technical Assistance Circular - Part C of Title I, Innovation and
Expansion Grants]{.underline}

This Technical Assistance Circular (TAC) is being resubmitted after
revision. It will be a valuable resource to State agencies in the
development of their strategic plan. Please note the following:

▪This TAC identifies in a single, well organized document, not only the
requirements found in Title I Part C, but also references to the
strategic plan in other Sections of the Act.

▪The \"Background\" Section has been revised to more clearly reflect the
differences between the new I&E authority and the old authority.

▪Guidance has been added regarding appropriate and sufficient notice for
a public forum.

▪The TAC identifies content and assessment criteria which can be
utilized to determine compliance.

▪The content and assessment criteria have been modified to more clearly
indicate that resource allocation is a content requirement.

▪Additional information and guidance has been added regarding funding
requirements.