Office of Special Education and Rehabilitative Services; Notice of Final Priority

[Federal Register Volume 62, Number 125 (Monday, June 30, 1997)]

[Notices]

[Pages 35322-35326]

From the Federal Register Online via the Government Publishing Office [www.gpo.gov]

[FR Doc No: 97-17059]

[[Page 35321]]

_______________________________________________________________________

Part IV

Department of Education

_______________________________________________________________________

Office of Special Education and Rehabilitative Services; Final Priority

and FY 1997 New Awards Applications; Notices

Federal Register / Vol. 62, No. 125 / Monday, June 30, 1997 /

Notices

[[Page 35322]]

DEPARTMENT OF EDUCATION

Office of Special Education and Rehabilitative Services; Notice

of Final Priority

AGENCY: Department of Education.

SUMMARY: The Secretary announces a final priority for programs

administered by the Office of Special Education and Rehabilitative

Services (OSERS) under the Individuals with Disabilities Education Act

(IDEA). The Secretary may use this priority in Fiscal Year 1997 and

subsequent years. The Secretary takes this action to focus Federal

assistance on identified needs to improve results for children with

disabilities. This final priority is intended to ensure wide and

effective use of program funds.

EFFECTIVE DATE: This priority takes effect on July 30, 1997.

FOR FURTHER INFORMATION CONTACT: For further information on this final

priority contact the Grants and Contracts Services Team, 600

Independence Avenue, S.W., room 3317, Switzer Building, Washington,

D.C. 20202-2641. The preferred method for requesting information is to

FAX your request to: (202) 205-8717. Telephone: (202) 260-9182.

Individuals who use a telecommunications device for the deaf (TDD)

may call the TDD number: (202) 205-9860. Individuals with disabilities

may obtain a copy of this notice in an alternate format (e.g. Braille,

large print, audiotape, or computer diskette) by contacting the

Department as listed above.

SUPPLEMENTARY INFORMATION: This notice contains one final priority

authorized by the Individuals with Disabilities Education Act. This

final priority supports the National Education Goals by helping to

improve results for children with disabilities.

On March 24, 1997, the Secretary published a notice of proposed

priorities in the Federal Register (62 FR 13972).

The publication of this final priority does not preclude the

Secretary from proposing additional priorities, nor does it limit the

Secretary to funding only this priority, subject to meeting applicable

rulemaking requirements. Funding of particular projects depends on the

availability of funds, and the quality of the applications received.

Note: This notice of final priority does not solicit

applications. A notice inviting applications under this competition

is published in a separate notice in this issue of the Federal

Register.

Analysis of Comments and Changes

In response to the Secretary's invitation in the notice of proposed

priorities, twelve parties submitted comments. An analysis of the

comments and of the changes in the proposed priority follows. Technical

and other minor changes--as well as suggested changes the Secretary is

not legally authorized to make under the applicable statutory

authority--are not addressed.

Priority--Directed Research Projects

Focus 1--Beacons of Excellence.

Comment: One commenter recommended that Focus 1 be operated as a

five-year institute with sufficient funding to investigate both general

education and special education change.

Discussion: The Secretary notes that Focus 1 requires projects to

study schools achieving exemplary results for students with

disabilities in the context of efforts to achieve exemplary results for

all students. The Secretary anticipates that applicants would need to

investigate both the general education and special education practices

associated with achieving exemplary results for students with

disabilities. Decisions concerning the number of projects to fund,

project funding levels, and project durations are based on a

determination of the time and funding needed to carry out the intent of

a particular focus. The Secretary believes it is possible that some,

but not necessarily all, applicants may need more than three years to

complete project activities. However, the Secretary prefers, given the

diversity of approaches and of schools achieving exemplary results, to

fund multiple projects, rather than extend the project's duration in

this focus.

Changes: The phrase ``During the third year'' in the last sentence

of Focus 1 has been replaced with ``During the final year'' to allow

project periods to exceed three years if the extended time period is

justified.

Comment: One commenter recommended that Focus 1 support one project

to study reform at middle and high school levels, asserting that the

need for information is greater at these levels than at the elementary

level, where greater progress in reform has been made.

Discussion: The Secretary agrees that middle and high school levels

should be studied, and notes that Focus 1 allows projects to focus on

either secondary or elementary levels, or both. Further, the Secretary

believes it would be beneficial to support at least one project at both

the elementary and secondary school level. However, the Secretary does

not believe that it is necessary to have one project that includes both

levels.

Changes: The priority has been revised to reflect the Secretary's

plan to support at least one project at the elementary level and at

least one project at the secondary level.

Comment: One commenter asked if projects were required to study

multiple schools, or if a project could propose to study only one

school.

Discussion: It may be possible for an applicant to propose a

technically sound project involving the study of just one exemplary

school.

Changes: The phrase ``one or more'' has been added to the first

sentence to indicate that a project may propose to study just one

exemplary school.

Comment: One commenter suggested that Focus 1 require applicants to

identify in their proposals the exemplary schools they will study so

that reviewers can assess school quality as part of the proposal

evaluation focus and so that OSEP is assured that exemplary schools

agree to participate in the project.

Discussion: The Secretary is confident that researchers will

include criteria in their applications that will result in the

identification of exemplary schools, but that it is unlikely that many

applicants will be able to identify exemplary schools with sufficient

rigor prior to receiving funding. The commenter's suggested approach

could potentially weaken the competition and reduce the overall quality

of the projects funded under this focus.

Changes: None.

Comment: One commenter suggested that OSEP clarify whether Focus 1

includes ``promising'' practices as well as practices that have been

proven effective. The commenter further suggested that promising and

proven practices should be reported as separate categories.

Discussion: The distinction between ``promising'' and ``proven'' is

a relatively complex issue, as is the exact definition of ``practice,''

and the Secretary believes these issues go beyond the central purpose

of Focus 1. The projects must identify and study factors contributing

to exemplary learning results, not necessarily promising or proven

practices.

Changes: None.

Focus 2--Prevention and Early Intervention Services for Children With

Emotional and Behavioral Problems

Comment: One commenter expressed confusion as to the purpose of

Focus 2, and recommended that projects be required to identify factors

that prevent children from developing emotional and

[[Page 35323]]

behavioral problems, identify program factors designed to prevent the

problems, and describe the results of the intervention in terms of

outcomes for children.

Discussion: Focus 2 is broadly stated, intentionally, to welcome a

diversity of research foci that examine specific factors that

contribute to effectiveness. The only specific requirement for every

research project is that, in some way, each research project must

include an evaluation of the collaboration and coordination of

prevention and early intervention services. The areas of investigation

recommended by the commenter are permissible under Focus 2, as long as

the proposed research also includes an evaluation of collaboration and

coordination of prevention and early intervention services.

Changes: None.

Comment: One commenter recommended that Focus 2 specifically

identify the child's primary health care provider or medical home

provider as one of the service providers to be included in evaluating

the effectiveness of collaborative, community-based services.

Discussion: Focus 2 states that primary care and mental health

programs, where available, are additional programs appropriate for

study. Given the vast array of service providers applicants could

propose to study, the Secretary does not believe it is possible to

provide an all inclusive list and prefers to retain the broad language

of Focus 2.

Changes: None.

Focus 4--The Sustainability of Promising Innovations

Comment: Two commenters wrote in support of the importance of

allowing, as an integral component of Focus 4, the development of

approaches to build internal site capacity for maintaining effective

innovations beyond the term of external implementation support.

Discussion: The Secretary agrees that the development of site-based

approaches to build internal capacity to sustain promising and

effective innovations is a desirable outcome. However, the Secretary

emphasizes that the primary purpose of Focus 4 is to study the

sustainability of promising innovations and that, as such, any proposed

approach to site based capacity building should be an integral part of

the research design.

Change: None.

Comment: One commenter suggested expanding Focus 4 to include the

study of sustaining innovations designed to prevent inappropriate

referrals to and placement in special education.

Discussion: The Secretary agrees with the commenter on the

importance of effective approaches for preventing inappropriate

referrals to and placement in special education. The Secretary notes

that Focus 4 is primarily interested in issues of sustainability of

innovations that hold positive results for children with disabilities

within a school restructuring/reform context. This broad focus does not

preclude projects from including the study of inappropriate referrals

and placement as a component of a research plan.

Changes: None.

Comment: One commenter suggested that Focus 4 should consider the

interrelationships between the innovations being studied and the

overall educational system where they are used.

Discussion: The Secretary agrees with the importance of studying

the interrelationships among a variety of factors across different

levels of the system. The Secretary notes, however, that Focus 4 does

not preclude the study of interrelationships among factors, in fact

Focus 4 encourages that study. For example, Focus 4 projects may

address the extent of consonance or dissonance between critical

features of the innovations and existing (and emerging) school and

district practices and policies.

Changes: None.

Comment: One commenter recommended Focus 4 specify that promising

innovations may include policy implementation research as well as

practice-based research and model demonstrations.

Discussion: The Secretary agrees that policy implementation

research is important, but believes that Focus 4 does not preclude

those studies. The Secretary notes that, among the factors that may be

studied, item (f) includes school policy requirements and item (g)

includes school and district practices and policies.

Changes: None.

Comment: Two commenters expressed concerns regarding the

documentation of ongoing program effectiveness. One commenter asked if

the sustainability of programs or the effectiveness of programs is the

area of concentration. Another commenter recommended including

sustained changes in student results as part of the research design.

Discussion: The purpose of Focus 4 is to study the sustainability

of innovations that have documented positive results for children with

disabilities and, in doing so, requires the ongoing documentation of

results for children with disabilities as a component of the research

plan.

Changes: Focus 4 has been revised to clarify that sustained changes

in student results is part of the research design.

Comment: One commenter suggested the phrase ``results for students

with disabilities'' as used in Focus 4 be expanded to include factors

such as more substantial and ongoing parent involvement in individual

education plan (IEP) development that are important aspects of

providing an appropriate education for students with disabilities.

Discussion: The Secretary agrees that innovative approaches to

improving interactions among professionals and families and

facilitating least restrictive environment (LRE) placements are

important aspects of providing an appropriate education for children

with disabilities. The Secretary believes, however, that the ultimate

measure of the effectiveness of these approaches is the extent to which

they lead to positive results for children with disabilities. The

Secretary believes that the phrase ``positive results for students with

disabilities'' is inclusive of a wide range of possible important

results for students with disabilities including the attainment of

relevant and appropriate academic, social, behavioral, and functional

goals and objectives.

Changes: None.

General Comments

Comment: One commenter requested that all research focus areas

include the need for research in early intervention and school based

therapeutic interventions to meet the educational needs of children

with disabilities.

Discussion: The Secretary acknowledges that early intervention and

school based therapeutic interventions are often important elements in

improving results for children with disabilities. However, these

interventions are not pertinent to all of the focus areas. The various

focus areas do not preclude an applicant from proposing early

intervention and school based therapeutic interventions, where

appropriate. The Secretary believes it would be impossible to provide a

comprehensive list of potential intervention strategies in any focus

area. The Secretary prefers to maintain the broad language of the focus

areas, and allow applicants to propose and justify their particular

strategy.

Changes: None.

Comment: One commenter recommended that all research projects

should be capped at some reasonable indirect rate, and stated that an

indirect

[[Page 35324]]

cost rate between 8 to 12 percent is more than adequate.

Discussion: The subject of indirect cost rates for research

projects is beyond the scope of comments sought in the notice of

proposed priorities. Indirect cost rates are addressed in the Education

Department General Administrative Regulations (EDGAR), which are

currently under review.

Changes: None.

Priority

Under 34 CFR 75.105(c)(3), the Secretary gives an absolute

preference to applications that meet the following priority. The

Secretary will fund under this competition only applications that meet

this absolute priority:

Absolute Priority--Directed Research Projects

Background

The Office of Special Education Programs (OSEP) has, in prior

years, announced priorities for the support of research projects under

several of the programs authorized by the Individuals with Disabilities

Education Act. Separate research priorities (competitions) have been

announced under the Early Education Program for Children with

Disabilities, Program for Children with Severe Disabilities, Secondary

Education and Transitional Services for Youth with Disabilities

Program, Program for Children and Youth with Serious Emotional

Disturbance, and the Research in Education of Individuals with

Disabilities Program. The purpose of this priority is to group all

priorities for directed research and apply a single set of requirements

among the various competitions. By consolidating multiple priorities

and announcements into one priority, OSEP endeavors to avoid

unnecessary duplication and provide consistent information for all

research competitions. The program authority for each focus is listed

following each focus statement.

Priority

This priority provides support for projects that advance and

improve the knowledge base and improve the practice of professionals,

parents, and others providing early intervention, special education,

and related services, including professionals who work with children

with disabilities in regular education environments, to provide such

children effective instruction and enable them to learn successfully.

Under this priority, projects must support innovation, development,

exchange, and use of advancements in knowledge and practice designed to

contribute to the improvement of early intervention, instruction, and

learning of infants, toddlers, children, and youth with disabilities.

A research project must address one of the following focus areas:

Focus 1--Beacons of excellence. Research projects supported under

focus 1 must identify and study one or more schools achieving exemplary

results for students with disabilities in the context of efforts to

achieve exemplary results for all students. Projects must develop and

apply procedures and criteria to identify such schools, and to identify

factors contributing to exemplary learning results, and examine how

those factors and other factors relate to achieving exemplary learning

results for students with disabilities. Projects may focus on either

secondary or elementary levels, or both. The Secretary intends to award

at least one project at the elementary level and at least one project

at the secondary level. During the final year of the project, the

Secretary will determine whether or not to fund an optional six-month

period for extended dissemination activities arranged with OSEP.

Program Authority: Research in Education of Individuals with

Disabilities Program, 20 U.S.C. 1441.

Focus 2--Prevention and early intervention services for children

with emotional and behavioral problems. Many young children with

emotional and behavioral problems experience years of repeated

preschool and school failure, permanent damage to their self-esteem,

and escalation of their problems, before they receive appropriate

services. Research projects supported under this focus must identify,

examine, and document information about the specific factors that

contribute to effectiveness in collaborative, community-based,

prevention and early intervention services to prevent children with

emotional and behavioral problems from developing serious emotional

disturbance. The target population for these projects includes children

in preschool, kindergarten, and the primary grades (1-4), and their

families.

The research may focus, for example, on child find, screening,

early identification, assessment, pre-referral strategies, child and

family intervention and prevention services, and results. Research must

include but is not limited to services and programs funded under the

Individuals with Disabilities Education Act. Additional programs with

collaborative, community-based services appropriate for study may

include, where available, Head Start and Early Head Start programs,

other early childhood service programs, primary care and mental health

programs, child care center programs, and public and private preschools

and elementary school programs. Each research project must include an

evaluation of the collaboration and coordination of prevention and

early intervention services across multiple service providers and

agencies working with these children and their families.

Program Authority: Program for Children and Youth with Serious

Emotional Disturbance, 20 U.S.C. 1426.

Focus 3--Students approaching graduation and the supplemental

security income program. Many children and youth with disabilities

receiving special education services also receive Supplemental Security

Income (SSI). Administered by the Social Security Administration, the

SSI program provides cash assistance, Medicaid eligibility, and work

incentives such as the Impairment-Related Work Expense incentive and

the Plan for Achieving Self-Support. National data indicate that these

work incentives are under-utilized and that most working-age SSI

recipients are unemployed. To address this problem, the National

Academy of Social Insurance (1996) recommended that information about

the SSI work incentives should be incorporated in the transition

planning process required by the Individuals with Disabilities

Education Act. The SSI work incentives may therefore enhance the

employment results of transitioning youth with disabilities.

The purpose of focus 3 is to develop and test innovative strategies

for increasing the utilization of the SSI work incentives. Projects

must: (a) Examine the barriers to employment for young adults with

disabilities who are receiving SSI benefits; (b) develop innovative

strategies and materials for promoting the utilization of work

incentives through the transition planning process; and (c) apply

qualitative and quantitative research methods to determine the relative

efficacy of technical assistance strategies, toward improving work

incentive utilization developed under (b).

Program Authority: Secondary Education and Transitional Services

for Youth with Disabilities Program, 20 U.S.C. 1425.

Focus 4--The sustainability of promising innovations. A growing

body of practice-based research and model demonstration work in schools

and local districts, including projects

[[Page 35325]]

supported by the Office of Special Education Programs (OSEP), has

focussed on meeting the needs of, and improving the results for,

students with disabilities in schools and districts involved in reform

and restructuring initiatives. Some of this work is yielding promising

positive results for students with disabilities. However, little is

known about the extent to which the innovations developed and

implemented in these efforts are sustained in project sites beyond the

term of time-limited external support and assistance.

Focus 4 is designed to study the implementation of practices that

have been found to be effective in meeting the needs of students with

disabilities in reform/restructuring initiatives in local and district

schools. The practices must have been included as part of projects

designed to implement such practices. The study must address: (1) The

extent to which such practices have been sustained beyond the term of

the projects; and (2) factors that influence the determined level of

sustainability. Factors to be studied may include, but are not limited

to: (a) The nature of the innovations and the extent to which the

innovations have undergone adaptation or alteration over time; (b) the

type and extent of support strategies employed during initial

implementation stages and over time; (c) planned and unplanned changes

in school organizational and/or structural contexts; (d) the level of

penetration of the innovation; (e) the actual and perceived costs and

benefits for participants; (f) constancy of site leadership, school

staff, and school policy requirements; (g) the extent of consonance or

dissonance between critical features of the innovations and existing

(and emerging) school and district practices and policies; and (h)

resource access and allocation. Within focus 4, projects must provide

comprehensive descriptions of the targeted effective practices to be

studied, and convincing documentation of resulting positive results for

students with disabilities. Projects must focus research on issues of

sustainability and must incorporate in their research design the

continuing documentation of results for students with disabilities.

Within focus 4, the Secretary particularly encourages an in-depth case

study research design where the sites to be studied are the cases.

Program Authority: Research in Education of Individuals with

Disabilities Program, 20 U.S.C. 1441.

Focus 5--Educating children with severe disabilities in inclusive

settings. Focus 5 supports research projects to (a) identify new or

improved strategies to address the educational and related service

needs of children and youth with severe disabilities in inclusive

general education settings and extracurricular activities, and (b)

describe how the school inclusion strategies as identified in (a) are

aligned with systemic reform and school improvement strategies for all

students.

Additional research is needed to identify, describe, and examine:

(1) The efficacy and linkages of existing systemic reform and school

inclusion strategies, (2) how school systems provide supports and

collaborative teaming to meet the needs of students with severe

disabilities, and other diverse learners; (3) how standards and

authentic assessment practices are implemented for students with severe

disabilities and their impact on inclusive and systemic reform efforts,

(4) social support strategies that promote positive interactions among

students with severe disabilities and other students, and their same-

aged peers to foster cohesive school and classroom communities; and (5)

the types of peer-mediated strategies that actively involve all

students, including students with severe disabilities, in inclusive

educational programs.

To be considered for funding under focus 5, a research project

must--

(a) Identify specific interventions or strategies to be

investigated;

(b) Design the research activities in a manner that is likely to

improve services for all students in inclusive classrooms, including

students with severe disabilities;

(c) Conduct the research in schools pursuing systemic education

reform and school inclusion; and

(d) Use methodological procedures designed to produce findings

useful to program implementers and policy makers regarding the impact

and interaction effects of systemic reform and school inclusion

strategies in State and local contexts.

All projects funded under focus 5 must identify and describe how

these inclusion efforts benefit students with severe disabilities

including the reciprocal benefits of inclusive schooling for all

students.

Program Authority: Program for Children with Severe

Disabilities, 20 U.S.C. 1424.

Requirements for All Directed Research Projects

In addition to addressing focus (1), (2), (3), (4), or (5) above,

projects must:

(a) Apply rigorous research methods (qualitative and/or

quantitative) to identify approaches contributing to improved results

for children with disabilities;

(b) Provide a conceptual framework, based on extant research and

theory to serve as a basis for the issues to be studied, the research

design, and the target population;

(c) Prepare dissemination materials for both researcher and

practitioner audiences and develop linkages with U.S. Department of

Education dissemination and technical assistance providers, in

particular those supported under the Individuals with Disabilities

Education Act, to communicate research findings and distribute

products; and

(d) Budget for two trips annually to Washington, D.C., for: (1) a

two-day Research to Practice Division Project Directors' meeting; and

(2) another meeting to collaborate with the Research to Practice

Division project officer and the other projects funded under this

priority, and to share information and discuss findings and methods of

dissemination.

Selection Criteria for Evaluating Applications Under the Absolute

Priority--Directed Research Projects

The Secretary will use the following criteria to evaluate

applications under the absolute priority--Directed Research Projects.

The maximum score for all the criteria is 100 points.

(a) Importance (10 points). The Secretary reviews each application

to determine the importance of the project in leading to the

understanding of, remediation of, or compensation for, the problem or

issue that relates to the early intervention with or special education

of infants, toddlers, children, and youth with disabilities.

(b) Technical soundness (40 points). The Secretary reviews each

application to determine the technical soundness of the research,

including--

(1) The design;

(2) The proposed sample;

(3) Instrumentation; and

(4) Data analysis procedures.

(c) Plan of operation (10 points).

(1) The Secretary reviews each application to determine the quality

of the plan of operation for the project.

(2) The Secretary looks for--

(i) High quality in the design of the project;

(ii) An effective plan of management that insures proper and

efficient administration of the project;

(iii) A clear description of how the objectives of the project

relate to the purpose of the program; and

(iv) The way the applicant plans to use its resources and personnel

to achieve each objective.

(3) The quality of the evaluation plan for the project including

the extent to

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which the methods of evaluation are appropriate for the project and, to

the extent possible, are objective and produce data that are

quantifiable.

(Cross Reference: 34 CFR 75.590, Evaluation by the grantee.)

(d) Quality of key personnel (10 points).

(1) The Secretary reviews each application to determine the

qualifications of the key personnel that the applicant plans to use on

the project.

(2) The Secretary considers--

(i) The qualifications of the project director (if one is to be

used); and,

(ii) The qualifications of each of the other key personnel to be

used in the project; and

(iii) The time that each person referred to in paragraphs (d)(2)(i)

and (ii) of this section will commit to the project.

(3) To determine personnel qualifications, the Secretary considers

experience and training in fields related to the objectives of the

project, as well as other evidence that the applicant provides.

(e) Underrepresented populations (10 points). The Secretary reviews

each application for information that shows the extent to which the

applicant, as part of its nondiscriminatory employment practices,

employs members of underrepresented populations as project staff. The

Secretary looks for--

(1) Employees who are members of underrepresented populations,

including members of racial or ethnic minority groups and individuals

with disabilities; and

(2) Procedures to provide training and other necessary support to

retain and advance qualified personnel from underrepresented

populations.

(f) Adequacy of resources (5 points).

(1) The Secretary reviews each application to determine if the

applicant plans to devote adequate resources to the project.

(2) The Secretary considers the extent to which--

(i) The facilities that the applicant plans to use are adequate;

and

(ii) The equipment and supplies that the applicant plans to use are

adequate.

(g) Impact (5 points). The Secretary reviews each application to

determine the probable impact of the proposed research and development

products and the extent to which those products can be expected to have

a direct influence on infants, toddlers, children, and youth with

disabilities or personnel responsible for their education or early

intervention services.

(h) Organizational capability (5 points). The Secretary considers--

(1) The applicant's experience in special education or early

intervention services; and

(2) The ability of the applicant to disseminate the findings of the

project to appropriate groups to ensure that they can be used

effectively.

(i) Budget and cost effectiveness. (5 points)

(1) The Secretary reviews each application to determine if the

project has an adequate budget and is cost effective.

(2) The Secretary considers the extent to which--

(i) The budget for the project is adequate to support the project

activities; and

(ii) Costs are reasonable in relation to the objectives of the

project.

Intergovernmental Review

Except for Focus areas 1 and 4 in this priority, all other focus

areas included in this notice are subject to the requirements of

Executive Order 12372 and the regulations in 34 CFR Part 79. The

objective of the Executive order is to foster an intergovernmental

partnership and a strengthened federalism by relying on processes

developed by State and local governments for coordination and review of

proposed Federal financial assistance.

In accordance with the order, this document is intended to provide

early notification of the Department's specific plans and actions for

this program.

(Catalog of Federal Domestic Assistance Numbers: Research in

Education of Individuals with Disabilities Program, 84.023; Program

for Children with Severe Disabilities, 84.086; Program for Children

and Youth with Serious Emotional Disturbance, 84.238; and Secondary

Education and Transitional Services for Youth with Disabilities

Program, 84.158)

Dated: June 24, 1997.

Judith E. Heumann,

Assistant Secretary for Special Education and Rehabilitative Services.

[FR Doc. 97-17059 Filed 6-27-97; 8:45 am]

BILLING CODE 4000-01-P