[Federal Register Volume 61, Number 199 (Friday, October 11, 1996)]
[Proposed Rules]
[Pages 53560-53572]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-26214]
[[Page 53559]]
_______________________________________________________________________
Part IV
Department of Education
_______________________________________________________________________
34 CFR Part 350, et al.
Disability and Rehabilitation Research Projects and Centers Program;
Proposed Rule
Federal Register / Vol. 61, No. 199 / Friday, October 11, 1996 /
Proposed Rules
[[Page 53560]]
DEPARTMENT OF EDUCATION
34 CFR Parts 350, 351, 352, 353, 355, 357, and 360
RIN 1820-AB39
Disability and Rehabilitation Research Projects and Centers
Program
AGENCY: Department of Education.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: After reviewing the regulations governing the Disability and
Rehabilitation Research Programs, administered by the Department's
National Institute on Disability and Rehabilitation Research (NIDRR),
the Secretary proposes to amend these regulations. These proposed
amendments would consolidate the regulations for six programs into one
CFR part. As part of the Department's efforts to implement the
President's Regulatory Reinvention Initiative, the proposed amendments
would remove unnecessary regulations, clarify program requirements, and
improve the selection criteria.
DATES: Comments must be received on or before December 10, 1996.
ADDRESSES: All comments concerning these proposed regulations should be
addressed to David Esquith, U.S. Department of Education, 600
Independence Ave., SW., (Room 3424, Switzer Building), Washington, DC
20202-2601. Comments also may be sent through the Internet to
NIDRR__Consolidation@ed.gov
To ensure that public comments have maximum effect in developing
the final regulations, the Department urges that each comment clearly
identify the specific section or sections of the regulations that the
comment addresses and that the comments be in the same order as the
regulations.
Comments that concern information collection requirements must be
sent to the Office of Management and Budget at the address listed in
the Paperwork Reduction Act section of this preamble. A copy of those
comments may also be sent to the Department representative named in the
preceding paragraph.
FOR FURTHER INFORMATION CONTACT: David Esquith. Telephone: 202-205-8801
or by e-mail to david__esquith@ed.gov Individuals who use a
telecommunications device for the deaf (TDD) may call the TDD number at
202-205-8133. An electronic copy of this document may be found on the
Internet at the Department's home page at http://www.ed.gov in the
``News'' section.
SUPPLEMENTARY INFORMATION:
Background
In January of 1995, the Department developed its ``Principles for
Regulating'' (Principles) premised on the tenet that the Department
will regulate only when absolutely necessary. The Principles were
developed to ensure that the Department regulates in the most flexible,
most equitable, and least burdensome way possible. The President, on
March 4, 1995, announced the Regulatory Reinvention Initiative
(Initiative) to reform the Federal regulatory system. The Initiative
required all Federal agencies to review their regulations page by page.
Regulators were asked to eliminate obsolete regulations, revise
regulations to reward results rather than process, and streamline
regulations to achieve agency goals in the most efficient and least
intrusive way possible. Since March of 1995, the Department has been
reviewing thoroughly all of its regulations consistent with the
Initiative and the Principles.
Disability and Rehabilitation Research Projects and Centers Program
As a part of these efforts, the Department examined all of the
regulations governing NIDRR's existing Disability and Rehabilitation
Research Programs as authorized under Title II of the Rehabilitation
Act of 1973 (29 U.S.C. 760-762) (Act). After this examination, the
Secretary determined that the regulations in Parts 350 (General
Provisions), 351 (Research and Demonstration Projects), 352
(Rehabilitation Research and Training Centers), 353 (Rehabilitation
Engineering Research Centers), 355 (Knowledge Dissemination and
Utilization Programs), 357 (Field-Initiated Projects), and 360
(Research Training and Career Development Program) could be
consolidated and improved.
In addition to consolidating the regulations, the Secretary
proposes to have one program that governs many projects and centers,
the Disability and Rehabilitation Research Projects and Centers Program
(Program). The Program would contain three types of projects and two
types of centers. The proposed Disability and Rehabilitation Research
and Related Projects would encompass the current Research and
Demonstration Projects program (Part 351) and Knowledge Dissemination
and Utilization Programs (Part 355). The proposed Field-Initiated
Projects would be similar to the existing Field-Initiated Projects
program (Part 357), but the scope of projects that could be funded
under the new Field-Initiated Projects would change. The Advanced
Rehabilitation Research Training Project would be the new name for the
existing Research Training and Career Development Program (Part 360).
The Secretary would continue to fund Rehabilitation Research Training
Centers and Rehabilitation Engineering Research Centers under
requirements virtually identical to the current ones. The Secretary
believes that placing all these regulations in one CFR part would make
it easier for grantees to identify common requirements and to
understand the differences among all the projects and centers. By
making structural changes, removing unnecessary regulations, and
revising regulatory language, the Secretary would improve the existing
programs because he would clarify the differences among the programs
and revise the regulations to focus on obtaining the highest quality
results.
As part of its efforts to consolidate the regulations, the
Department proposes a new set of selection criteria for use in
evaluating all applications. This new approach would allow the
Secretary to reduce five different sets of selection criteria to one.
The following is a summary of the proposed regulatory provisions
the Secretary believes are necessary for implementing the statute, such
as interpretations of statutory text or standards and procedures for
operating the program. The Secretary also highlights significant
proposed changes from the regulations currently governing these
programs. The summary does not address provisions that merely restate
statutory language or that reflect editorial or technical changes to
existing regulations.
Purpose (Sec. 350.2)
This proposed section reiterates the statutory purpose in section
204(a) of the Act. In this proposed section, the Secretary would add to
the statutory language the clause ``including international
activities.'' This addition is meant only to point out that the
international activities are authorized by section 204(b)(6) of the
Act. The Secretary would not support any international activities
outside the scope of section 204(b)(6) of the Act.
Eligible entities (Sec. 350.3)
This provision is intended to reiterate the entities eligible for
an award listed in section 204(a) of the Act. The Secretary interprets
private agencies and organizations to include commercial agencies and
organizations.
[[Page 53561]]
Disability and Rehabilitation Research and Related Projects
(Sec. 350.10-Sec. 350.19)
The proposed regulations provide for the following three types of
projects:
Disability and Rehabilitation Research Projects
The Secretary intends the Disability and Rehabilitation Research
Projects to encompass the projects that are carried out under the
Research and Demonstration Projects program and the Knowledge,
Dissemination, and Utilization Programs. These proposed changes would
remove the existing restrictions on the combinations of activities that
the Department can fund and allow the Department to fund the broad
range of activities authorized under the Act. Under the proposed
Disability and Rehabilitation Research Projects, grantees would carry
out activities as proposed by the Secretary in one or more of seven
general categories of activities, i.e., research, development,
demonstration, training, dissemination, utilization, and technical
assistance. The Secretary proposes that grantees meet certain basic
requirements, which are based on current regulations, in carrying out
these activities. (see Secs. 350.13-350.19)
Field-Initiated Projects
Field-Initiated Projects would continue to fund projects proposed
by applicants rather than those proposed in response to a funding
priority published by the Department. The primary difference from the
existing Field-Initiated Projects program would be in the scope of
activities that a grantee could carry out. Under the existing
regulations, grantees can carry out research and demonstration
projects, knowledge dissemination projects, and development projects.
Under the proposed regulations, grantees could conduct research or
development activities.
The Secretary has several reasons for changing the scope of
activities that can be carried out as Field-Initiated Projects. There
are limited sources of funding for research and development activities,
and the Secretary believes it is necessary to direct more funds to
research and development activities. In addition, approximately only 10
percent of the Field-Initiated Projects that the Secretary currently
funds are dissemination projects. Moreover, demonstration and
dissemination activities would still be funded as Disability and
Rehabilitation Research Projects.
Advanced Rehabilitation Research Training Projects
Under the proposed regulations, the Advanced Rehabilitation
Research Training Projects would assist grantees to provide research
training and experience at an advanced level to individuals with
doctorates or similar advanced degrees. The Advanced Rehabilitation
Research Training Projects are virtually identical to the Research
Training and Career Development Program (Part 360). The Secretary
believes that changing the name of the program would help emphasize the
focus of the projects. Other than the procedures regarding the
selection criteria and for using the criteria, all the remaining
requirements governing the current program would be the same. In
addition, the current regulations of this program contain a list of
funding priorities. The Secretary would remove these priorities from
the regulations and publish a notice of proposed priorities with an
opportunity for public comment before establishing the priorities for
use in any competition.
Rehabilitation Research and Training Centers and Rehabilitation
Engineering Research Centers (Sec. 350.20-350.35)
As in the current regulations, most of the proposed regulations
governing the Rehabilitation Research and Training Centers are
restatements of statutory requirements. Should the Secretary retain
these restatements of statutory requirements? Are there other, better
means for providing this type of information?
The statutory requirements concerning collaboration are
incorporated into these regulations. Under section 204(b)(3)(A), only
those Rehabilitation Engineering Research Centers that are not operated
by specified organizations, i.e. institutions of higher education or
non-profit organizations, must operate in collaboration with one or
more of those types of organizations. The equivalent collaboration
requirement for Rehabilitation Research and Training Centers in section
204(b)(2)(A) of the Act states that these centers shall be operated in
collaboration with certain types of institutions or types of service
providers. For consistency with the collaboration requirement for
Rehabilitation Engineering Research Centers, in the proposed
regulations, the Secretary interprets section 204(b)(2)(A) to mean that
only those Rehabilitation Research and Training Centers that are not
operated by institutions of higher education or providers of
rehabilitation service or other appropriate services must be operated
in collaboration with these types of institutions or service providers.
Another difference from the existing regulations would be in the
interpretation of sections 204(b)(2)(B) (ii) and (iii) of the Act
governing Rehabilitation Research and Training Centers. Sections
352.10(b) (1)-(3) of the existing regulations, which contain the
requirements based on these statutory provisions, provide that training
activities may include training of students preparing to be
rehabilitation personnel and then restate the statutory language.
Section 204(b)(2)(B)(ii) of the Act requires training for individuals
to more effectively provide rehabilitation services. Section
204(b)(2)(B)(iii) requires training for rehabilitation research and
other rehabilitation personnel. The statutory language appears to
differentiate only between the types of people to be trained, and it is
unclear how training in these two statutory sections would differ. The
Secretary believes that these two sections were intended for different
purposes. Thus, the Secretary proposes, in Sec. 350.22 of the proposed
regulations, to interpret section 204(b)(2)(B)(ii) to assist
rehabilitation personnel and other individuals to more effectively
provide rehabilitation services, and section 204(b)(2)(B)(iii) to
assist rehabilitation research personnel and other rehabilitation
personnel to improve their capacity to conduct research. This
interpretation would distinguish the purposes of the training required
by these sections of the Act.
In implementing the statutory requirements governing cooperation
for Rehabilitation Engineering Research Centers (see Sec. 350.33), the
Secretary proposes to interpret section 204(b)(3)(C)(i) of the Act to
refer to the same programs in section 204(b)(3)(G)(i). Both of these
sections require cooperation with similar programs with one exception.
Section 204(b)(3)(G)(i) refers to national programs while section
204(b)(3)(C)(i) does not. The Secretary believes that the failure to
mention national programs in section 204(b)(3)(C)(i) should not be
interpreted to expressly exclude national programs from the scope of
the provision's coverage. By interpreting the two statutory provisions
to refer to the same programs, the Secretary would require cooperation
with all the programs, thus clarifying the minor inconsistency in the
statutory requirements.
[[Page 53562]]
Rehabilitation Engineering Research Center Advisory Committees
(Secs. 350.34-350.35)
The proposed regulations regarding advisory committees are
restatements of statutory provisions. The Secretary does not add
requirements beyond those in the statute so that Rehabilitation
Engineering Research Centers have broad flexibility to define the role
of an advisory committee. The Secretary believes that it would be
overly restrictive to prescribe one rule regarding the role of advisory
committees when the needs of each Rehabilitation Engineering Research
Center may differ significantly. Should the Secretary develop
regulations or guidelines regarding advisory committees or do those
affected by these regulations agree that flexibility regarding advisory
committees is better?
Composition of a peer review panel (Sec. 350.52)
The Secretary proposes to list in the regulations two additional
factors to be considered in selecting individuals to serve on peer
review panels. Currently, the Department through NIDRR considers the
following in selecting peer review panel members: (1) Whether the panel
includes individuals with disabilities, or parents, family members,
guardians, advocates, or authorized representatives of individuals with
disabilities, and (2) whether the panel includes individuals from
diverse populations. The Secretary has always considered individuals
from minority backgrounds to be included in diverse populations. The
Secretary considers these factors to convene peer review panels that
contain members who can better evaluate if an applicant is addressing
the needs of and represent the interests of individuals with
disabilities and individuals with disabilities from diverse
populations, including those from minority backgrounds. The Secretary
believes these two additional factors always should be considered.
Selection criteria and process for evaluating an application
(Sec. 350.53 and 350.54)
In developing these proposed selection criteria, the Department
reviewed the selection criteria for each of the Disability and
Rehabilitation Research Programs. The proposed selection criteria would
embody all the essential elements that currently are evaluated in each
program. To make the selection criteria useful in evaluating the many
different types of projects and centers under the Program, the
Secretary is proposing a menu of selection criteria to be used in
evaluating applications.
Using a menu of selection criteria would benefit applicants and
grantees by enabling the Secretary to tailor the criteria assessing
project design to the scope and purposes of the project or center. As a
result, the Secretary would be better able to evaluate the quality of a
proposed project or center. Another benefit of these changes would be
that applicants would have a better understanding of qualities that are
desired in all types of projects carrying out activities related to
disability and rehabilitation.
Moreover, peer reviewers currently decide whether to use those
selection criteria applying only to specified types of activities (for
example, see Secs. 350.34(a)-(c)), in evaluating proposed projects.
Sometimes peer reviewers have been confused about which selection
criteria to use in evaluating an application and may not have applied
the selection criteria most appropriate for a particular project. Under
this new approach, applicants and peer reviewers would know exactly
which selection criteria would be used in evaluating an application
because all of the criteria selected by the Secretary would apply.
Although applicants may no longer have a set of established selection
criteria that would be used every year, the Secretary believes that the
benefits of tailored selection criteria outweigh any disadvantages. Do
these benefits outweigh any disadvantages? Do those affected by these
regulations agree with using this new approach?
Under this approach, the Secretary would choose the combination of
selection criteria and factors that would be the most appropriate for a
particular competition in any given year. The Secretary expects the
selection criteria that would differ from competition to competition,
because they may be inappropriate for a particular competition, would
be those regarding project design, responsiveness to the absolute or
competitive priority, and collaboration.
The Secretary selects one or more factors listed under each
criterion, with one exception. There is one criterion that contains a
factor that would always be considered if the criterion is selected.
Under the ``quality of project staff'' criterion, the Secretary would
always evaluate the extent to which an applicant encourages
applications for employment from persons who are members of groups that
have been traditionally underrepresented. The Department's
consideration of this factor, which first appeared in the Education
Department General Administrative Regulations (EDGAR) in 1980,
continues to reflect the Department's mission to ensure equal access to
educational opportunities as embodied in the Department of Education
Organization Act and recently reaffirmed by Congress in section 427 of
the General Education Provisions Act.
The Secretary would select criteria and factors appropriate to the
type of project to be funded and the nature of the competition. For
example in a Development and Dissemination Project competition, the
Secretary could select, in part, ``Responsiveness to the absolute or
competitive priority'' (Sec. 350.54(b)), ``Design of development
activities'' (Sec. 350.54(d)), and ``Design of dissemination
activities'' (Sec. 350.54(g)). In addition, the Secretary would select
one or more factors. Under the ``Responsiveness to the absolute or
competitive priority'' criterion, the Secretary might choose all the
factors but under the design criteria might choose only one factor.
In the case of a competition for Field Initiated Projects, the
Secretary could choose the same or other criteria and factors. For
example, instead of the project design selection criteria chosen in the
first example, the Secretary could choose ``Design for research
activities'' (Sec. 350.54(c)) and further choose factors (i) ``The
extent to which the research activities constitute a coherent,
sustained approach to research in the field, including a substantial
addition to the state-of-the-art'' and (iii) ``The extent to which
anticipated research results are likely to satisfy the original
hypotheses and could be used for planning additional research,
including generation of new hypotheses where applicable.''
In addition to using criteria from the menu of selection criteria,
the Secretary could establish selection criteria based on statutory
provisions. Currently, under 34 CFR 75.209 of EDGAR, the Secretary has
authority to establish selection criteria for other programs based on
certain statutory provisions that apply to them. The Secretary would
incorporate a similar authority to establish selection criteria based
on certain statutory provisions in these proposed regulations. The
Secretary could use these criteria based on statutory provisions in
combination with criteria from the menu of selection criteria. The
Secretary anticipates using this authority only if the Act is amended,
and the Secretary needs to develop criteria to reflect new provisions
or a different focus of the statute. The proposed menu of selection
criteria is designed to evaluate
[[Page 53563]]
applications that meet the purposes and provisions of the current Act.
The Secretary would publish the chosen criteria and factors, and
any criteria based on statutory provisions in an application package or
a notice published in the Federal Register. Each application could
receive a maximum score of 100. The total number of points an
application could receive for a particular selection criterion would no
longer be established in regulations. Rather, the Secretary would
notify applicants of the maximum points for each selection criterion or
factor in the application package or the application notice published
in the Federal Register. If no point allocations are specified for the
factors, the Secretary would assign an equal maximum value to each
factor. In selecting from the menu a set of criteria and factors for a
particular competition, the Secretary would not solicit formal public
comment but expects to draw on input from grantees, program
beneficiaries, and other interested parties; feedback from peer
reviewers and program evaluators; discussions among Department
employees, grantees, and program beneficiaries; and meetings,
conferences, visits to grantees, and other forms of outreach and
exchange with the relevant communities.
Conducting activities (Sec. 350.60)
The Secretary proposes that, if a project or center carries out
more than one activity, the activities must be integrated because
experiences in carrying out one activity often are helpful in carrying
out another activity. The Secretary believes it is necessary to require
that activities are integrated to ensure that projects and centers are
of the highest quality and that activities culminate to achieve one
ultimate goal or purpose.
Evaluation requirements (Sec. 350.61)
The Secretary proposes to require grantees to establish performance
measures and to make periodic assessments of progress toward
implementing their plans of operation and achieving intended outcomes.
The Secretary believes that, by imposing these evaluation requirements,
the Department would be better able to determine whether a grantee is
achieving its intended outcomes, identify areas for improvement in a
project, and identify which priority areas to establish in the future.
These requirements would allow the Department to make grantees more
accountable for achieving high quality results.
Requirements for patent applicants (Sec. 350.66)
This proposed provision is not a new requirement. It applies to
grantees through Sec. 75.626 of EDGAR. The Secretary proposes to move
this section to these regulations because the Department is considering
removing Sec. 75.626 from EDGAR and would like to ensure that this
requirement applies to those applying for patents for inventions made
under a grant from the Program.
Executive Order 12866
Executive Order 12866 requires each agency to write regulations
that are easy to understand.
The Secretary invites comments on how to make these proposed
regulations easier to understand, including answers to questions such
as the following: (1) Are the requirements in the proposed regulations
clearly stated? (2) Do the regulations contain technical terms or other
wording that interferes with their clarity? (3) Does the format of the
regulations (grouping and order of sections, use of headings,
paragraphing, etc.) aid or reduce their clarity? Would the regulations
be easier to understand if they were divided into more (but shorter)
sections? (A ``section'' is preceded by the symbol ``Sec. '' and a
numbered heading; for example, Sec. 350.1 What is the Disability and
Rehabilitation Research Projects and Centers Program?). (4) Is the
description of the regulations in the ``Supplementary Information''
section of this preamble helpful in understanding the regulations? How
could this description be more helpful in making the regulations easier
to understand? (5) What else could the Department do to make the
regulations easier to understand?
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities.
These regulations could affect States and State agencies. States
and State agencies, however, are not defined as ``small entities'' in
the Regulatory Flexibility Act.
The small entities that could be affected by these regulations are
small tribal governments, institutions of higher education, local
educational agencies, community-based organizations, businesses,
hospitals, and nonprofit organizations receiving Federal funds under a
direct grant program. The proposed regulations, however, would not have
a significant economic impact on these entities because the regulations
would impose minimal requirements to ensure the proper expenditure of
program funds. The proposed changes from the existing regulations
governing these programs are minimal and would include further
clarification of the statute and an improved method for selecting
applications for funding, and thus, may alleviate burden.
Paperwork Reduction Act of 1995
Sections 350.40 and 350.54 contain information collection
requirements. As required by the Paperwork Reduction Act of 1995 (44
U.S.C. 3507(d)), the Department of Education has submitted a copy of
these sections to the Office of Management and Budget (OMB) for its
review.
Collection of Information: Disability and Rehabilitation Research
Projects and Centers Program.
State educational agencies, local educational agencies, and other
recipients may be affected by these regulations. The Department needs
and uses the information to select applications for funding. Annual
public reporting burden for this collection of information is estimated
to range from 15 to 120 hours per application for approximately 320
respondents, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Thus, the total
annual reporting and recordkeeping burden for this collection is
estimated to be 16,000 hours.
Organizations and individuals desiring to submit comments on the
information collection requirements should direct them to the Office of
Information and Regulatory Affairs, OMB, Room 10235, New Executive
Office Building, Washington, DC 20503; Attention: Wendy Taylor, Desk
Officer for the U.S. Department of Education.
The Department considers comments by the public on this proposed
collection of information in--
Evaluating whether the proposed collection of information
is necessary for the proper performance of the functions of the
Department, including whether the information will have a practical
utility;
Evaluating the accuracy of the Department's estimate of
the burden of the proposed collection of information,
[[Page 53564]]
including the validity of the methodology and assumptions used;
Enhancing the quality, usefulness, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other technological collection
techniques or other forms of information technology; e.g., permitting
electronic submission of responses.
OMB is required to make a decision concerning the collection of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment to OMB is best assured of having its full effect
if OMB receives it within 30 days of publication. This does not affect
the deadline for the public to comment to the Department on the
proposed regulations.
Invitation to Comment
Interested persons are invited to submit comments and
recommendations regarding these proposed regulations.
All comments submitted in response to these proposed regulations
will be available for public inspection, during and after the comment
period, in Room 3424, Switzer Building, 330 C Street, SW., Washington,
DC between the hours of 9 a.m. and 4:30 p.m., Monday through Friday
except for Federal holidays.
To assist the Department in complying with the specific
requirements of Executive Order 12866 and the Paperwork Reduction Act
of 1995 and their overall requirement of reducing regulatory burden,
the Secretary invites comment on whether there may be further
opportunities to reduce any regulatory burdens found in these proposed
regulations.
Assessment of Education Impact
The Secretary particularly requests comments on whether the
proposed regulations in this document would require transmission of
information that is being gathered by or is available from any other
agency or authority of the United States.
List of Subjects
34 CFR Part 350
Disabled, Grant programs--education, Minority groups, Research,
Vocational rehabilitation.
34 CFR Part 351
American Indians, Disabled, Grant programs--education, Medical
research, Minority groups, Research, Vocational rehabilitation.
34 CFR Part 352
American Indians, Disabled, Education of disabled, Grant programs--
education, Research, Training programs, Vocational rehabilitation.
34 CFR Part 353
American Indians, Disabled, Education of disabled, Grant programs--
education, Research, Science and technology, Training programs,
Vocational rehabilitation.
34 CFR Part 355
Disabled, Grant programs--education, Vocational rehabilitation.
34 CFR Part 357
Disabled, Education of disabled, Grant programs--education,
Research, Science and technology, Vocational rehabilitation.
34 CFR Part 360
Disabled, Education of disabled, Grant programs--education,
Research, Training programs, Vocational rehabilitation.
Dated: October 8, 1996.
Howard R. Moses,
Acting Assistant Secretary for Special Education and Rehabilitative
Services.
(Catalog of Federal Domestic Assistance Number 84.133, Disability
and Rehabilitation Research Projects and Centers Program)
PARTS 351, 352, 353, 355, 357, AND 360--[REMOVED]
1. The Secretary proposes to remove from Title 34 of the Code of
Federal Regulations parts 351, 352, 353, 355, 357, and 360.
2. The Secretary proposes to amend title 34 of the Code of Federal
Regulations by revising part 350 to read as follows:
PART 350--DISABILITY AND REHABILITATION RESEARCH PROJECTS AND
CENTERS PROGRAM
Subpart A--General
Sec.
350.1 What is the Disability and Rehabilitation Research Projects
and Centers Program?
350.2 What is the purpose of the Disability and Rehabilitation
Research Project and Centers Program?
350.3 Who is eligible for an award?
350.4 What regulations apply?
350.5 What definitions apply?
Subpart B--What Projects Does the Secretary Assist?
350.10 What are the general requirements for Disability and
Rehabilitation Research and Related Projects?
350.11 What are the general requirements for a Field-Initiated
Project?
350.12 What are the general requirements for an Advanced
Rehabilitation Research Training Project?
350.13 What must a grantee do in carrying out a research activity?
350.14 What must a grantee do in carrying out a training activity?
350.15 What must a grantee do in carrying out a demonstration
activity?
350.16 What must a grantee do in carrying out a development
activity?
350.17 What must a grantee do in carrying out a utilization
activity?
350.18 What must a grantee do in carrying out a dissemination
activity?
350.19 What must a grantee do in carrying out a technical
assistance activity?
Subpart C--What Rehabilitation Research and Training Centers Does the
Secretary Assist?
350.20 What general requirements must a Rehabilitation Research and
Training Center meet?
350.21 What collaboration must a Rehabilitation Research Training
Center engage in?
350.22 What activities must a Rehabilitation Research and Training
Center conduct?
350.23 What restriction exists on Rehabilitation Research and
Training Centers regarding indirect costs?
Subpart D--What Rehabilitation Engineering Research Centers Does the
Secretary Assist?
350.30 What requirements must a Rehabilitation Engineering Research
Center meet?
350.31 What collaboration must a Rehabilitation Engineering
Research Center engage in?
350.32 What activities must a Rehabilitation Engineering Research
Center conduct?
350.33 What cooperation requirements must a Rehabilitation
Engineering Research Center meet?
350.34 Which Rehabilitation Engineering Research Centers must have
an advisory committee?
350.35 What are the requirements for the composition of an advisory
committee?
Subpart E--How Does One Apply for an Award?
350.40 What is required of each applicant regarding the needs of
individuals with disabilities from minority backgrounds?
350.41 What State agency review must an applicant under the
Disability and Rehabilitation Research Projects and Centers Program
obtain?
[[Page 53565]]
Subpart F--How Does the Secretary Make an Award?
350.50 What is the peer review process for this Program?
350.51 What is the purpose of peer review?
350.52 What is the composition of a peer review panel?
350.53 How does the Secretary evaluate an application?
350.54 What selection criteria does the Secretary use in evaluating
an application?
350.55 What are the additional considerations for selecting Field-
Initiated Project applications for funding?
Subpart G--What Conditions Must be Met after an Award?
350.60 How must a grantee conduct activities?
350.61 What evaluation requirements must a grantee meet?
350.62 What are the matching requirements?
350.63 What are the requirements of a grantee relative to the
Client Assistance Program?
350.64 What is the required duration of the training in an Advanced
Rehabilitation Research Training Project?
350.65 What level of participation is required of trainees in an
Advanced Rehabilitation Research Training Project?
350.66 What must a grantee include in a patent application?
Authority: Sec. 204; 29 U.S.C. 761-762, unless otherwise noted.
Subpart A--General
Sec. 350.1 What is the Disability and Rehabilitation Research Projects
and Centers Program?
The Disability and Rehabilitation Research Projects and Centers
Program provides grants to establish and support--
(a) The following Disability and Rehabilitation Research and
Related Projects:
(1) Disability and Rehabilitation Research Projects.
(2) Field-Initiated Projects.
(3) Advanced Rehabilitation Research Training Projects; and
(b) The following Disability and Rehabilitation Research Centers:
(1) Rehabilitation Research and Training Centers.
(2) Rehabilitation Engineering Research Centers.
(Authority: Section 204; 29 U.S.C. 762)
Sec. 350.2 What is the purpose of the Disability and Rehabilitation
Research Project and Centers Program?
The purpose of the Disability and Rehabilitation Research Project
and Centers Program is to plan and conduct research, demonstration
projects, training, and related activities, including international
activities, to--
(a) Develop methods, procedures, and rehabilitation technology,
that maximize the full inclusion and integration into society,
employment, independent living, family support, and economic and social
self-sufficiency of individuals with disabilities, especially
individuals with the most severe disabilities; and
(b) Improve the effectiveness of services authorized under the Act.
(Authority: Section 204(a) and (b)(6); 29 U.S.C. 762(a) and (b)(6))
Sec. 350.3 Who is eligible for an award?
The following entities are eligible for an award under this
program:
(a) States.
(b) Public or private agencies, including for-profit agencies.
(c) Public or private organizations, including for-profit
organizations.
(d) Institutions of higher education.
(e) Indian tribes and tribal organizations.
(Authority: Section 204(a); 29 U.S.C. 762(a))
Sec. 350.4 What regulations apply?
The following regulations apply to the Disability and
Rehabilitation Research Projects and Centers Program:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR part 74 (Administration of Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non-profit
Organizations).
(2) 34 CFR part 75 (Direct Grant Programs).
(3) 34 CFR part 77 (Definitions that Apply to Department
Regulations).
(4) 34 CFR part 80 (Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments).
(5) 34 CFR part 81 (General Education Provisions Act--Enforcement).
(6) 34 CFR part 82 (New Restrictions on Lobbying).
(7) 34 CFR part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants)).
(8) 34 CFR part 86 (Drug-Free Schools and Campuses).
(b) The regulations in this part 350.
(c)(1) Subject to the additional requirement in paragraph (c)(2) of
this section, 34 CFR part 97 (Protection of Human Subjects).
(2) If an institutional review board (IRB) reviews research that
purposefully requires inclusion of children with disabilities or
individuals with mental disabilities as research subjects, the IRB must
have at least one member who is primarily concerned with the welfare of
these research subjects.
(Authority: 29 U.S.C. 761a, 762, 42 U.S.C. 300v-1(b))
Sec. 350.5 What definitions apply?
(a) The following definitions in 34 CFR part 77 apply to this
part--
Applicant
Application
Award
Budget
Department
EDGAR
Equipment
Facilities
Grant
Grantee
Nonprofit
Private
Project
Project period
Public
Recipient
Secretary
Supplies
State
(Authority: Section 202(i)(1); 29 U.S.C. 761a(i)(1))
(b) The following definitions also apply to this part.
Act means the Rehabilitation Act of 1973 (29 U.S.C. 701, et seq.),
as amended.
(Authority: Sec. 202(i)(1); (29 U.S.C. 761a(i)(1))
Assistive technology device means any item, piece of equipment, or
product system, whether acquired commercially or off the shelf,
modified, or customized, that is used to increase, maintain, or improve
functional capabilities of individuals with disabilities.
(Authority: Section 7(23); 29 U.S.C. 706(23))
Assistive technology service means any service that directly
assists an individual with a disability in the selection, acquisition,
or use of an assistive technology device, including--
(1) The evaluation of the needs of an individual with a disability,
including a functional evaluation of the individual in the individual's
customary environment;
(2) Purchasing, leasing, or otherwise providing for the acquisition
of assistive technology devices by individuals with disabilities;
(3) Selecting, designing, fitting, customizing, adapting, applying,
maintaining, repairing, or replacing assistive technology devices;
(4) Coordinating and using other therapies, interventions, or
services with assistive technology devices, such as those associated
with existing education and rehabilitation plans and programs;
[[Page 53566]]
(5) Training or technical assistance for individuals with
disabilities, or, if appropriate, their family members, guardians,
advocates, or authorized representatives; and
(6) Training or technical assistance for professionals (including
individuals providing education and rehabilitation services),
employers, or other individuals who provide services to employ, or are
otherwise substantially involved in the major life functions of,
individuals with disabilities.
(Authority: Section 7(24); 29 U.S.C. 706(24))
Disability means a physical or mental impairment that substantially
limits one or more major life activities.
(Authority: Section 202(i)(1); 29 U.S.C. 761a(i)(1))
Individual with a disability means any individual who:
(1) Has a physical or mental impairment that substantially limits
one or more of the individual's major life activities;
(2) Has a record of this impairment; or
(3) Is regarded as having this impairment.
(Authority: Section 7(8)(B); 29 U.S.C. 706(8)(B))
Individual with a severe disability means--
(1)(i) An individual with a disability who has a severe physical or
mental impairment that seriously limits one or more functional
capacities (such as mobility, communication, self-care, self-direction,
interpersonal skills, work tolerance, or work skills) in terms of an
employment outcome;
(ii) Whose vocational rehabilitation can be expected to require
multiple vocational rehabilitation services over an extended period of
time; and
(iii) Who has one or more physical or mental disabilities resulting
from amputation, arthritis, autism, blindness, burn injury, cancer,
cerebral palsy, cystic fibrosis, deafness, head injury, heart disease,
hemiplegia, hemophilia, respiratory or pulmonary dysfunction, mental
retardation, mental illness, multiple sclerosis, muscular dystrophy,
musculoskeletal disorders, neurological disorders (including stroke and
epilepsy), paraplegia, quadriplegia, other spinal cord impairments,
sickle cell anemia, specific learning disability, end-stage renal
disease, or another disability or combination of disabilities
determined on the basis of an assessment of rehabilitation needs to
cause comparable substantial functional limitation; or
(2) An individual with a severe mental or physical impairment whose
ability to function independently in the family or community or whose
ability to obtain, maintain, or advance in employment is substantially
limited and for whom the delivery of independent living services will
improve the ability to function, continue functioning, or move towards
functioning independently in the family or community or to continue in
employment, respectively.
(Authority: Section 7(15)(C); 29 U.S.C. 706(15)(C))
Personal assistance services means a range of services, provided by
one or more persons, designed to assist an individual with a disability
to perform daily living activities, on and off the job, that the
individual would typically perform if the individual did not have a
disability. These services must be designed to increase the
individual's control in life and ability to perform everyday activities
on and off the job.
(Authority: Section 12(c); 29 U.S.C. 711(c))
Rehabilitation technology means the systematic application of
technologies, engineering methodologies, or scientific principles to
meet the needs of and address the barriers confronted by individuals
with disabilities in such areas as education, rehabilitation,
employment, transportation, independent living, and recreation, and
includes rehabilitation engineering, assistive technology devices, and
assistive technology services.
(Authority: Section 7(13); 29 U.S.C. 706(13))
Research is classified on a continuum from basic to applied:
(1) Basic research is research in which the investigator is
concerned primarily with gaining new knowledge or understanding of a
subject without reference to any immediate application or utility.
(2) Applied research is research in which the investigator is
primarily interested in developing new knowledge, information or
understanding which can be applied to a predetermined rehabilitation
problem or need. Applied research builds on selected findings from
basic research.
(Authority: Section 202(i)(1); 29 U.S.C. 761a(i)(1))
State rehabilitation agency means the sole State agency designated
to administer (or supervise local administration of) the State plan for
vocational rehabilitation services. The term includes the State agency
for the blind, if designated as the State agency with respect to that
part of the plan relating to the vocational rehabilitation of blind
individuals.
(Authority: Section 101(a)(1)(A); 29 U.S.C. 721(a)(1)(A))
Target population means the group of individuals, organizations, or
other entities expected to be affected by the project. More than one
group may be involved since a project may affect those who receive
services, provide services, or administer services.
(Authority: Section 202(i)(1); 29 U.S.C. 761a(i)(1))
Subpart B--What Projects Does the Secretary Assist?
Sec. 350.10 What are the general requirements for Disability and
Rehabilitation Research Projects?
Disability and Rehabilitation Research Projects must meet the
following requirements:
(a) Carry out one or more of the following types of activities, as
specified in Secs. 350.13-350.19:
(1) Research.
(2) Development.
(3) Demonstration.
(4) Training.
(5) Dissemination.
(6) Utilization.
(7) Technical assistance.
(b) Further one or more of the purposes listed in Sec. 350.2.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.11 What are the general requirements for a Field-Initiated
Project?
A Field-Initiated Project must--
(a) Further one or more of the purposes in Sec. 350.2; and
(b) Carry out one of the following types of activities:
(1) Research.
(2) Development.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.12 What are the general requirements for an Advanced
Rehabilitation Research Training Project?
An Advanced Rehabilitation Research Training Project must--
(a) Provide research training and experience at an advanced level
to individuals with doctorates or similar advanced degrees who have
clinical or other relevant experience;
(b) Further one or more of the purposes in Sec. 350.2; and
(c) Carry out all of the following activities:
(1) Recruitment and selection of candidates for advanced research
training.
(2) Provision of a training program that includes didactic and
classroom instruction, is multidisciplinary, and emphasizes scientific
methodology, and may involve collaboration among institutions.
[[Page 53567]]
(3) Provision of research experience, laboratory experience or its
equivalent in a community-based research setting, and a practicum that
involve each individual in clinical research and in practical
activities with organizations representing individuals with
disabilities.
(4) Provision of academic mentorship or guidance, and opportunities
for scientific collaboration with qualified researchers at the host
university and other appropriate institutions.
(5) Provision of opportunities for participation in the development
of professional presentations and publications, and for attendance at
professional conferences and meetings as appropriate for the
individual's field of study and level of experience.
(Authority: Section 202(k); 29 U.S.C. 761a(k))
Sec. 350.13 What must a grantee do in carrying out a research
activity?
In carrying out a research activity under this program, a grantee
shall--
(a) Identify one or more hypotheses; and
(b) Based on the hypotheses identified, perform an intensive
systematic study directed toward--
(1) New or full scientific knowledge; or
(2) Understanding of the subject or problem studied.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.14 What must a grantee do in carrying out a training
activity?
In carrying out a training activity under this program, a grantee
shall conduct a planned and systematic sequence of supervised
instruction that is designed to impart predetermined skills and
knowledge.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.15 What must a grantee do in carrying out a demonstration
activity?
In carrying out a demonstration activity under this program, a
grantee shall apply results derived from previous research, testing, or
practice to determine the effectiveness of a new strategy or approach.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.16 What must a grantee do in carrying out a development
activity?
In carrying out a development activity under this program, a
grantee must use knowledge and understanding gained from research to
create materials, devices, systems, or methods beneficial to the target
population, including design and development of prototypes and
processes.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.17 What must a grantee do in carrying out a utilization
activity?
In carrying out a utilization activity under this program, a
grantee must relate research findings to practical applications in
planning, policy making, program administration, and delivery of
services to individuals with disabilities.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.18 What must a grantee do in carrying out a dissemination
activity?
In carrying out a dissemination activity under this program, a
grantee must systematically distribute information or knowledge through
a variety of ways to potential users or beneficiaries.
(Authority: Section 202; 29 U.S.C. 761a)
Sec. 350.19 What must a grantee do in carrying out a technical
assistance activity?
In carrying out a technical assistance activity under this program,
a grantee must provide expertise or information for use in problem-
solving.
(Authority: Section 202; 29 U.S.C. 761a)
Subpart C--What Rehabilitation Research and Training Centers Does
the Secretary Assist?
Sec. 350.20 What general requirements must a Rehabilitation Research
and Training Center meet?
A Rehabilitation Research and Training Center shall--
(a) Plan and conduct activities that further one or more of the
purposes listed in Sec. 350.2;
(b) Serve as a center of national excellence and as a national or
regional resource for providers and individuals with disabilities and
the parents, family members, guardians, advocates, or authorized
representatives of the individuals;
(c) Be of sufficient size, scope, and quality to effectively carry
out the activities in an efficient manner consistent with appropriate
State and Federal law; and
(d) Be able to carry out training activities either directly or
through another entity that can provide such training.
(Authority: Section 204(b) and (b)(2)(K); 29 U.S.C. 762(b) and
(b)(2)(K))
Sec. 350.21 What collaboration must a Rehabilitation Research and
Training Center engage in?
A Rehabilitation Research and Training Center must be operated by
or in collaboration with--
(a) One or more institutions of higher education; or
(b) One or more providers of rehabilitation or other appropriate
services.
(Authority: Section 204(b)(2); 29 U.S.C. 762(b)(2))
Sec. 350.22 What activities must a Rehabilitation Research and
Training Center conduct?
A Rehabilitation Research and Training Center shall--
(a) Carry out research activities by conducting coordinated and
advanced programs of research in rehabilitation targeted toward the
production of new knowledge that will--
(1) Improve rehabilitation methodology and service delivery
systems;
(2) Alleviate or stabilize disabling conditions; and
(3) Promote maximum social and economic independence of individuals
with disabilities;
(b) Conduct training activities by providing training (including
graduate, pre-service, and in-service training) to assist--
(1) Rehabilitation personnel and other individuals to more
effectively provide rehabilitation services; and
(2) Rehabilitation research personnel and other rehabilitation
personnel to improve their capacity to conduct research; and
(c) Conduct technical assistance activities by serving as an
informational and technical assistance resource for providers,
individuals with disabilities, and the parents, family members,
guardians, advocates, or authorized representatives of the individuals
with disabilities, through conferences, workshops, public education
programs, in-service training programs, and similar activities.
Sec. 350.23 What restriction exists on Rehabilitation Research and
Training Centers regarding indirect costs?
A host institution with which a Rehabilitation Research and
Training Center is affiliated may not collect more than fifteen percent
of the total grant award as indirect cost charges, notwithstanding the
provisions in 34 CFR 75.562.
(Authority: Section 204(b)(2)(O); 29 U.S.C. 762(b)(2)(O))
Subpart D--What Rehabilitation Engineering Research Centers Does
the Secretary Assist?
Sec. 350.30 What requirements must a Rehabilitation Engineering
Research Center meet?
A Rehabilitation Engineering Research Center shall plan and conduct
activities that--
(a) Further one or more of the purposes listed in Sec. 350.2; and
(b)(1) Lead to the development of methods, procedures, and devices
that
[[Page 53568]]
will benefit individuals with disabilities, especially those with the
most severe disabilities; or
(2) Involve rehabilitation technology and enhance opportunities for
meeting the needs of, and addressing the barriers confronted by,
individuals with disabilities in all aspects of their lives.
(Authority: Section 204(b)(3); 29 U.S.C. 762(b)(3))
Sec. 350.31 What collaboration must a Rehabilitation Engineering
Research Center engage in?
A Rehabilitation Engineering Research Center must be operated by or
in collaboration with--
(a) One or more institutions of higher education; or
(b) One or more nonprofit organizations.
(Authority: Section 204(b)(3); 29 U.S.C. 762(b)(3))
Sec. 350.32 What activities must a Rehabilitation Engineering Research
Center conduct?
A Rehabilitation Engineering Research Center shall--
(a) Conduct research or demonstration activities by using one or
more of the following strategies:
(1) Developing and disseminating innovative methods of applying
advanced technology, scientific achievement, and psychological and
social knowledge to solve rehabilitation problems and remove
environmental barriers through--
(i) Planning and conducting research, including cooperative
research with public or private agencies and organizations, designed to
produce new scientific knowledge and new or improved methods,
equipment, or devices; and
(ii) Studying and evaluating new or emerging technologies,
products, or environments and their effectiveness and benefits.
(2) Demonstrating and disseminating--
(i) Innovative models for the delivery to rural and urban areas of
cost-effective rehabilitation technology services that will promote the
use of assistive technology services; and
(ii) Other scientific research to assist in meeting the employment
and independent living needs of individuals with severe disabilities.
(3) Conducting research and demonstration activities that
facilitate service delivery systems change by demonstrating,
evaluating, documenting, and disseminating--
(i) Consumer-responsive and individual and family-centered
innovative models for the delivery, to both rural and urban areas, of
innovative, cost-effective rehabilitation technology services that
promote use of rehabilitation technology; and
(ii) Other scientific research to assist in meeting the employment
and independent living needs of, and addressing the barriers confronted
by individuals with disabilities, including individuals with severe
disabilities;
(b) To the extent consistent with the nature and type of research
or demonstration activities described in paragraph (a) of this section,
carry out research, training, and information dissemination activities
by--
(1) Providing training opportunities to individuals, including
individuals with disabilities, to enable them to become rehabilitation
technology researchers and practitioners of rehabilitation technology
in conjunction with institutions of higher education and nonprofit
organizations; and
(2) Responding, through research or demonstration activities, to
the needs of individuals with all types of disabilities who may benefit
from the application of technology within the subject area of focus of
the Center.
(c) Conduct orientation seminars for rehabilitation service
personnel to improve the application of rehabilitation technology;
(d) Conduct activities that specifically demonstrate means for
utilizing rehabilitation technology; and
(e) Provide technical assistance and consultation that are
responsive to concerns of service providers and consumers.
(Authority: Section 204(b)(3); 29 U.S.C. 762(b)(3))
Sec. 350.33 What cooperation requirements must a Rehabilitation
Engineering Research Center meet?
A Rehabilitation Engineering Research Center--
(a) Shall cooperate with State agencies and other local, State,
regional, and national programs and organizations developing or
delivering rehabilitation technology, including State programs funded
under the Technology-Related Assistance for Individuals With
Disabilities Act of 1988 (29 U.S.C. 2201 et seq. ); and
(b) To the extent consistent with the nature and type of research
or demonstration activities described in Sec. 350.32(a), shall
cooperate with the entities described in paragraph (a) of this section
to provide information to individuals with disabilities and their
parents, family members, guardians, advocates, or authorized
representatives, to--
(1) Increase awareness and understanding of how rehabilitation
technology can address their needs; and
(2) Increase awareness and understanding of the range of options,
programs, services, and resources available, including financing
options for the technology and services covered by the subject area of
focus of the Center.
(Authority: Section 204(b)(3) and (c); 29 U.S.C. 762(b)(3) and (c))
Sec. 350.34 Which Rehabilitation Engineering Research Centers must
have an advisory committee?
A Rehabilitation Engineering Research Center conducting research or
demonstration activities that facilitate service delivery systems
change must have an advisory committee.
(Authority: Section 204(b)(3)(D); 29 U.S.C. 762(b)(3)(D))
Sec. 350.35 What are the requirements for the composition of an
advisory committee?
The majority of a Rehabilitation Engineering Research Center
advisory committee's members must be comprised of individuals with
disabilities who are users of rehabilitation technology, or their
parents, family members, guardians, advocates, or authorized
representatives.
(Authority: Section 204(b)(3)(D); 29 U.S.C. 762(b)(3)(D))
Subpart E--How Does One Apply for an Award?
Sec. 350.40 What is required of each applicant regarding the needs of
individuals with disabilities from minority backgrounds?
(a) Unless the Secretary indicates otherwise in a notice published
in the Federal Register, an applicant for assistance under this program
must demonstrate in its application how it will address, in whole or in
part, the needs of individuals with disabilities from minority
backgrounds.
(b) The approaches an applicant may take to meet this requirement
may include one or more of the following:
(1) Proposing project objectives addressing the needs of
individuals with disabilities from minority backgrounds.
(2) Demonstrating that the project will address a problem that is
of particular significance to individuals with disabilities from
minority backgrounds.
(3) Demonstrating that individuals from minority backgrounds will
be included in study samples in sufficient numbers to generate
information pertinent to individuals with disabilities from minority
backgrounds.
[[Page 53569]]
(4) Drawing study samples and program participant rosters from
populations or areas that include individuals from minority
backgrounds.
(5) Providing outreach to individuals with disabilities from
minority backgrounds to ensure that they are aware of rehabilitation
services, clinical care, or training offered by the project.
(6) Disseminating materials to or otherwise increasing the access
to disability information among minority populations.
(Authority: Sections 21(b)(6); 29 U.S.C. 718b(b)(6))
Sec. 350.42 What State agency review must an applicant under the
Disability and Rehabilitation Research Projects and Centers Program
obtain?
(a) An applicant that proposes to conduct research, demonstrations,
or related activities that will either involve clients of the State
vocational rehabilitation agency as research subjects or study
vocational rehabilitation services or techniques under this program,
shall follow the requirements in 34 CFR 75.155-75.159.
(b) For the purposes of this Program, State as used in 34 CFR
75.155-75.159 means the State rehabilitation agency or agencies in the
primary State or States to be affected by the proposed activities.
(Authority: Sections 204(c) and 306(i); 29 U.S.C. 762(c) and 766(a))
Subpart F--How Does the Secretary Make an Award?
Sec. 350.50 What is the peer review process for this Program?
(a) The Secretary refers each application for a grant governed by
these regulations to a peer review panel established by the Secretary.
(b) Peer review panels review applications on the basis of the
applicable selection criteria in Sec. 350.54.
(Authority: Section 202(e); 29 U.S.C. 761a(e))
Sec. 350.51 What is the purpose of peer review?
The purpose of peer review is to insure that--
(a) Those activities supported by the National Institute on
Disability and Rehabilitation Research (NIDRR) are of the highest
scientific, administrative, and technical quality; and
(b) Activity results may be widely applied to appropriate target
populations and rehabilitation problems.
(Authority: Section 202(e); 29 U.S.C. 761a(e))
Sec. 350.52 What is the composition of a peer review panel?
(a) The Secretary selects as members of a peer review panel
scientists and other experts in rehabilitation or related fields who
are qualified, on the basis of training, knowledge, or experience, to
give expert advice on the merit of the applications under review.
(b) Applications for awards of $60,000 or more, except those for
the purposes of evaluation, dissemination of information, or
conferences, must be reviewed by a peer review panel that consists of a
majority of non-Federal members.
(c) In selecting members to serve on a peer review panel, the
Secretary takes into account all of the following factors:
(1) The level of formal scientific or technical education completed
by potential panel members.
(2)(i) The extent to which potential panel members have engaged in
scientific, technical, or administrative activities appropriate to the
category of applications that the panel will consider;
(ii) The roles of potential panel members in those activities; and
(iii) The quality of those activities.
(3) The recognition received by potential panel members as
reflected by awards and other honors from scientific and professional
agencies and organizations outside the Department.
(4) Whether the panel includes knowledgeable individuals with
disabilities, or parents, family members, guardians, advocates, or
authorized representatives of individuals with disabilities.
(5) Whether the panel includes individuals from diverse
populations.
(Authority: Sections 18 and 202(e); 29 U.S.C. 717 and 761a(e))
Sec. 350.53 How does the Secretary evaluate an application?
(a)(1)(i) The Secretary selects one or more of the selection
criteria in Sec. 350.54 to evaluate an application;
(ii) The Secretary establishes selection criteria based on
statutory provisions that apply to the Program which may include, but
are not limited to--
(A) Specific statutory selection criteria;
(B) Allowable activities;
(C) Application content requirements; or
(D) Other pre-award and post-award conditions; or
(iii) The Secretary uses a combination of selection criteria
established under paragraph (a)(1)(ii) of this section and selection
criteria in Sec. 350.54.
(2) For Field-Initiated Projects, the Secretary does not consider
Sec. 350.54(b) (Responsiveness to the Absolute or Competitive Priority)
in evaluating an application.
(b)(1) In considering selection criteria in Sec. 350.54, the
Secretary selects one or more of the factors listed in the criteria
except as provided for in paragraph (b)(2) of this section.
(2) Under Sec. 350.54, the Secretary always considers the factor in
paragraph (n)(2) of that section.
(c) The maximum possible score for an application is 100 points.
(d)(1) In the application package or a notice published in the
Federal Register, the Secretary informs applicants of--
(i)(A) The selection criteria chosen; and
(B) The maximum possible score for each of the selection criteria;
and
(ii)(A) The factors selected for considering the selection
criteria; and
(B) If points are assigned to each factor, the maximum possible
score for each factor under each criterion.
(2) If no points are assigned to each factor, the Secretary
evaluates each factor equally.
(e) For Field-Initiated Projects, in addition to the selection
criteria, the Secretary uses the additional considerations in selecting
applications for funding as described in Sec. 350.55.
(Authority: Section 202(e); 29 U.S.C. 761a(e))
Sec. 350.54 What selection criteria does the Secretary use in
evaluating an application?
In addition to criteria established under Sec. 350.53(a)(1)(ii),
the Secretary may select one or more of the following criteria in
evaluating an application:
(a) Importance of the problem.
(1) The Secretary considers the importance of the problem.
(2) In determining the importance of the problem, the Secretary
considers one or more of the following factors:
(i) The extent to which the applicant clearly describes the need
and target population.
(ii) The extent to which the proposed activities further the
purposes of the Act.
(iii) The extent to which the proposed activities address a
significant need of one or more disabled populations.
(iv) The extent to which the proposed activities address a
significant need of rehabilitation service providers.
(v) The extent to which the proposed activities address a
significant need of those who provide services to individuals with
disabilities.
(vi) The extent to which the applicant proposes to provide training
in a rehabilitation discipline or area of study in which there is a
shortage of qualified researchers, or to a trainee population in which
there is a need for more qualified researchers.
(vii) The extent to which the proposed project will have beneficial
impact on the target population.
[[Page 53570]]
(b) Responsiveness to an absolute or competitive priority.
(1) The Secretary considers the responsiveness of the application
to an absolute or competitive priority published in the Federal
Register.
(2) In determining the application's responsiveness to the absolute
or competitive priority, the Secretary considers one or more of the
following factors:
(i) The extent to which the applicant addresses all requirements of
the absolute or competitive priority.
(ii) The extent to which the applicant's proposed activities are
likely to achieve the purposes of the absolute or competitive priority.
(c) Design of research activities.
(1) The Secretary considers the extent to which the design of
research activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the research activities constitute a
coherent, sustained approach to research in the field, including a
substantial addition to the state-of-the-art.
(ii) The extent to which the methodology of each proposed research
activity is meritorious, including consideration of the extent to
which--
(A) The proposed design includes a comprehensive and informed
review of the current literature, demonstrating knowledge of the state-
of-the-art;
(B) Each research hypothesis is theoretically sound and based on
current knowledge;
(C) Each sample population is appropriate and of sufficient size;
(D) The data collection and measurement techniques are appropriate
and likely to be effective; and
(E) The data analysis methods are appropriate.
(iii) The extent to which anticipated research results are likely
to satisfy the original hypotheses and could be used for planning
additional research, including generation of new hypotheses where
applicable.
(d) Design of development activities.
(1) The Secretary considers the extent to which the design of
development activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the plan for development, clinical testing,
and evaluation of new devices and technology is likely to yield
significant products or techniques, including consideration of the
extent to which--
(A) The proposed project will use the most effective and
appropriate technology available in developing the new device or
technique;
(B) The proposed development is based on a sound conceptual model
that demonstrates an awareness of the state-of-the-art in technology;
(C) The new device or technique will be developed and tested in an
appropriate environment;
(D) The new device or technique is likely to be cost-effective and
useful;
(E) The new device or technique has the potential for commercial or
private manufacture, marketing, and distribution of the product; and
(F) The proposed development efforts include adequate quality
controls and, as appropriate, repeated testing of products.
(e) Design of demonstration activities.
(1) The Secretary considers the extent to which the design of
demonstration activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the proposed demonstration activities build
on previous research, testing, or practices.
(ii) The extent to which the proposed demonstration activities
include the use of proper methodological tools and theoretically sound
procedures to determine the effectiveness of the strategy or approach.
(iii) The extent to which the proposed demonstration activities
include innovative and effective strategies or approaches.
(iv) The extent to which the proposed demonstration activities are
likely to contribute to current knowledge and practice and be a
substantial addition to the state-of-the-art.
(v) The extent to which the proposed demonstration activities can
be applied and replicated in other settings.
(f) Design of training activities.
(1) The Secretary considers the extent to which the design of
training activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the proposed training materials are likely
to be effective, including consideration of their quality, clarity, and
variety.
(ii) The extent to which the proposed training methods are of
sufficient quality, intensity, and duration.
(iii) The extent to which the proposed training content--
(A) Covers all of the relevant aspects of the subject matter; and
(B) If relevant, is based on new knowledge derived from research
activities of the proposed project.
(iv) The extent to which the proposed training materials, methods,
and content are appropriate to the trainees, including consideration of
the skill level of the trainees and the subject matter of the
materials.
(v) The extent to which the proposed training materials and methods
are accessible to individuals with disabilities.
(vi) The extent to which the applicant's proposed recruitment
program is likely to be effective in recruiting highly qualified
trainees, including those who are individuals with disabilities.
(vii) The extent to which the applicant is able to carry out the
training activities, either directly or through another entity.
(viii) The extent to which the proposed didactic and classroom
training programs emphasize scientific methodology and are likely to
develop highly qualified researchers.
(ix) The extent to which the quality and extent of the academic
mentorship, guidance, and supervision to be provided to each individual
trainee are of a high level and are likely to develop highly qualified
researchers.
(x) The extent to which the type, extent, and quality of the
proposed clinical and laboratory research experience, including the
opportunity to participate in advanced-level research, are likely to
develop highly qualified researchers.
(xi) The extent to which the opportunities for collegial and
collaborative activities, exposure to outstanding scientists in the
field, and opportunities to participate in the preparation of scholarly
or scientific publications and presentations are extensive and
appropriate.
(g) Design of dissemination activities.
(1) The Secretary considers the extent to which the design of
dissemination activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the
[[Page 53571]]
project, the Secretary considers one or more of the following factors:
(i) The extent to which the content of the information to be
disseminated--
(A) Covers all of the relevant aspects of the subject matter; and
(B) If appropriate, is based on new knowledge derived from research
activities of the project.
(ii) The extent to which the materials to be disseminated are
likely to be effective and usable, including consideration of their
quality, clarity, variety, and format.
(iii) The extent to which the methods for dissemination are of
sufficient quality, intensity, and duration.
(iv) The extent to which the materials and information to be
disseminated and the methods for dissemination are appropriate to the
target population, including consideration of the familiarity of the
target population with the subject matter, format of the information,
and subject matter.
(v) The extent to which the information to be disseminated will be
accessible to individuals with disabilities.
(h) Design of utilization activities.
(1) The Secretary considers the extent to which the design of
utilization activities is likely to be effective in accomplishing the
objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the potential new users of the information
or technology have a practical use for the information and are likely
to adopt the practices or use the information or technology, including
new devices.
(ii) The extent to which the utilization strategies are likely to
be effective.
(iii) The extent to which the information or technology is likely
to be of use in other settings.
(i) Design of technical assistance activities.
(1) The Secretary considers the extent to which the design of
technical assistance activities is likely to be effective in
accomplishing the objectives of the project.
(2) In determining the extent to which the design is likely to be
effective in accomplishing the objectives of the project, the Secretary
considers one or more of the following factors:
(i) The extent to which the methods for providing technical
assistance are of sufficient quality, intensity, and duration.
(ii) The extent to which the information to be provided through
technical assistance covers all of the relevant aspects of the subject
matter.
(iii) The extent to which the technical assistance is appropriate
to the target population, including consideration of the knowledge
level of the target population, needs of the target population, and
format for providing information.
(iv) The extent to which the technical assistance is accessible to
individuals with disabilities.
(j) Plan of operation.
(1) The Secretary considers the quality of the plan of operation.
(2) In determining the quality of the plan of operation, the
Secretary considers one or more of the following factors:
(i) The adequacy of the plan of operation to achieve the objectives
of the proposed project on time and within budget, including clearly
defined responsibilities, and timelines for accomplishing project
tasks.
(ii) The adequacy of the plan of operation to provide for using
resources, equipment, and personnel to achieve each objective.
(k) Collaboration.
(1) The Secretary considers the quality of collaboration.
(2) In determining the quality of collaboration, the Secretary
considers one or more of the following factors:
(i) The extent to which the applicant's proposed collaboration with
one or more agencies, organizations, or institutions is likely to be
effective in achieving the relevant proposed activities of the project.
(ii) The extent to which agencies, organizations, or institutions
demonstrate a commitment to collaborate with the applicant.
(iii) The extent to which agencies, organizations, or institutions
that commit to collaborate with the applicant have the capacity to
carry out collaborative activities.
(l) Adequacy and reasonableness of the budget.
(1) The Secretary considers the adequacy and the reasonableness of
the proposed budget.
(2) In determining the adequacy and the reasonableness of the
proposed budget, the Secretary considers one or more of the following
factors:
(i) The extent to which the costs are reasonable in relation to the
proposed project activities.
(ii) The extent to which the budget for the project, including any
subcontracts, is adequately justified to support the proposed project
activities.
(iii) The extent to which the applicant is of sufficient size,
scope, and quality to effectively carry out the activities in an
efficient manner.
(m) Plan of evaluation.
(1) The Secretary considers the quality of the plan of evaluation.
(2) In determining the quality of the plan of evaluation, the
Secretary considers one or more of the following factors:
(i) The extent to which the plan of evaluation provides for
periodic assessment of progress toward--
(A) Implementing the plan of operation; and
(B) Achieving the project's intended outcomes and expected impacts.
(ii) The extent to which the plan of evaluation will be used to
improve the performance of the project through the feedback generated
by its periodic assessments.
(iii) The extent to which the plan of evaluation provides for
periodic assessment of a project's progress that is based on identified
performance measures that--
(A) Are clearly related to the intended outcomes of the project and
expected impacts on the target population; and
(B) Are objective, and quantifiable or qualitative, as appropriate.
(n) Project staff.
(1) The Secretary considers the quality of the project staff.
(2) In determining the quality of the project staff, the Secretary
considers the extent to which the applicant encourages applications for
employment from persons who are members of groups that have
traditionally been underrepresented based on race, color, national
origin, gender, age, or disability.
(3) In addition, the Secretary considers one or more of the
following:
(i) The extent to which the key personnel and other key staff have
appropriate training and experience in disciplines required to conduct
all proposed activities.
(ii) The extent to which the commitment of staff time is adequate
to accomplish all the proposed activities of the project.
(iii) The extent to which the key personnel are knowledgeable about
the methodology and literature of pertinent subject areas.
(iv) The extent to which the project staff includes outstanding
scientists in the field.
(v) The extent to which key personnel have up-to-date knowledge
from research or effective practice in the subject area covered in the
priority.
(o) Adequacy and accessibility of resources.
(1) The Secretary considers the adequacy and accessibility of the
applicant's resources to implement the proposed project.
[[Page 53572]]
(2) In determining the adequacy and accessibility of resources, the
Secretary considers one or more of the following factors:
(i) The extent to which the applicant is committed to provide
adequate facilities, equipment, other resources, including
administrative support, and laboratories, if appropriate.
(ii) The quality of an applicant's past performance in carrying out
a grant.
(iii) The extent to which the applicant has appropriate access to
clinical populations and organizations representing individuals with
disabilities to support advanced clinical rehabilitation research.
(iv) The extent to which the facilities, equipment, and other
resources are appropriately accessible to individuals with disabilities
who may use the facilities, equipment, and other resources of the
project.
(Authority: Sections 202 and 204; 29 U.S.C. 761a and 762)
Sec. 350.55 What are the additional considerations for selecting
Field-Initiated Project applications for funding?
(a) The Secretary reserves funds to support some or all of the
Field-Initiated Project applications that have been awarded points
totaling 80% or more of the maximum possible points under the
procedures described in Sec. 350.53.
(b) In making a final selection of applications to support as
Field-Initiated Projects, the Secretary considers the extent to which
applications that have been awarded a rating of 80% or more of the
maximum possible points and meet one or more of the following
conditions:
(1) The proposed project represents a unique opportunity to advance
rehabilitation knowledge to improve the lives of individuals with
disabilities.
(2) The proposed project complements research already planned or
funded by the NIDRR through annual priorities published in the Federal
Register or addresses the research in a new and promising way.
(Authority: Sections 202(g) and (i)(1); 29 U.S.C. 761a(g) and
761a(i)(1))
Subpart G--What Conditions Must be Met after an Award?
Sec. 350.60 How must a grantee conduct activities?
A grantee must--
(a) Conduct all activities in a manner that is accessible to and
usable by individuals with disabilities; and
(b) If a grantee carries out more than one activity, carry out
integrated activities.
(Authority: Sections 202 and 204(b)(2); 29 U.S.C. 761a and 762(b))
Sec. 350.61 What evaluation requirements must a grantee meet?
(a) A grantee must establish performance measures for use in its
evaluation that--
(1) Are clearly related to the--
(i) Intended outcomes of the project; and
(ii) Expected impacts on the target population; and
(2) To the extent possible are quantifiable, or are objective and
qualitative.
(b) A grantee must make periodic assessments of progress that will
provide the grantee with performance feedback related to--
(1) Progress in implementing the plan of operation; and
(2) Progress in achieving the intended outcomes and expected
impacts as assessed by the established performance measures.
(Authority: Sections 202 and 204; 29 U.S.C. 761a and 762)
Sec. 350.62 What are the matching requirements?
(a)(1) The Secretary may make grants to pay for part of the costs
of research and demonstration projects that bear directly on the
development of procedures, methods, and devices to assist the provision
of vocational and other rehabilitation services, and research training
and career development projects.
(2) Each grantee must participate in the costs of those projects.
(3) The specific amount of cost sharing to be borne by each
grantee--
(i) Is negotiated at the time of the award; and
(ii) Is not considered in the selection process.
(b)(1) The Secretary may make grants to pay for part or all of the
costs of--
(i) Establishment and support of Rehabilitation Research and
Training Centers and Rehabilitation Engineering Research Centers; and
(ii) Specialized research or demonstration activities described in
Section 204(b)(2)-(16) of the Act.
(2) The Secretary determines at the time of the award whether the
grantee must pay a portion of the project or center costs.
(Authority: Section 204; 29 U.S.C. 762)
Sec. 350.63 What are the requirements of a grantee relative to the
Client Assistance Program?
All Projects and Centers that provide services to individuals with
disabilities with funds awarded under this Program must--
(a) Advise those individuals who are applicants for or recipients
of services under the Act, or their parents, family members, guardians,
advocates, or authorized representatives, of the availability and
purposes of the Client Assistance Program (CAP) funded under the Act;
and
(b) Provide information on the means of seeking assistance under
the CAP.
(Authority: Section 20; 29 U.S.C. 718a)
Sec. 350.64 What is the required duration of the training in an
Advanced Rehabilitation Research Training Project?
A grantee for an Advanced Rehabilitation Research Training Project
shall provide training to individuals that is at least one academic
year, unless a longer training period is necessary to ensure that each
trainee is qualified to conduct independent research upon completion of
the course of training.
(Authority: Sections 202-204; 29 U.S.C. 760-762)
Sec. 350.65 What level of participation is required of trainees in an
Advanced Rehabilitation Research Training Project?
Individuals who are receiving training under an Advanced
Rehabilitation Research Training Project shall devote at least eighty
percent of their time to the activities of the training program during
the training period.
(Authority: Sections 202-204; 29 U.S.C. 760-762)
Sec. 350.66 What must a grantee include in a patent application?
Any patent application filed by a grantee for an invention made
under a grant must include the following statement in the first
paragraph:
``The invention described in this application was made under a
grant from the Department of Education.''
(Authority: 20 U.S.C. 1221e-3)
[FR Doc. 96-26214 Filed 10-10-96; 8:45 am]
BILLING CODE 4000-01-P
