Disability and Rehabilitation Research Projects and Centers Program

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__C[email protected]

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 [email protected] 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