[Federal Register Volume 62, Number 35 (Friday, February 21, 1997)]
[Notices]
[Pages 8137-8154]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-4318]


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DEPARTMENT OF EDUCATION

[CFDA Nos.: 84.133A and 84.133B]


Office of Special Education and Rehabilitative Services; National 
Institute on Disability and Rehabilitation Research; Notice Inviting 
Applications for New Awards Under Certain Programs for Fiscal Year 1997

    Note to Applicants: This notice is a complete application 
package. Together with the statute authorizing the programs and 
applicable regulations governing the programs, including the 
Education Department General Administrative Regulations (EDGAR), 
this notice contains information, application forms, and 
instructions needed to apply for a grant under these competitions.

    These programs support the National Education Goal that calls for 
all Americans to possess the knowledge and skills necessary to compete 
in a global economy and exercise the rights and responsibilities of 
citizenship.
    The estimated funding levels in this notice do not bind the 
Department of Education to make awards in any of these categories, or 
to any specific number of awards or funding levels, unless otherwise 
specified in statute.
    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR), 34 CFR Parts 74, 75, 77, 80, 81, 
82, 85, and 86; and the following program regulations:
    (a) Research and Demonstration Projects (R&D)--34 CFR Parts 350 and 
351;
    (b) Rehabilitation Research and Training Centers (RRTCs)--34 CFR 
Parts 350 and 352; and
    (c) The Notice of Final Funding Priorities published elsewhere in 
this issue of the Federal Register.
    Program Title: Research and Demonstration Projects.
    CFDA Number: 84.133A.
    Purpose of Program: The Research and Demonstration Projects program 
is designed to support discrete research, demonstration, training, and 
related projects to develop methods, procedures, and technology that 
maximize the full inclusion and integration into society, independent 
living, employment, family support, and economic and social self-
sufficiency of individuals with disabilities, especially those with the 
most severe disabilities. In addition, the R&D program supports 
discrete research, demonstration, and training projects that 
specifically address the implementation of Titles I, III, VI, VII, and 
VIII of the Rehabilitation Act, with emphasis on projects to improve 
the effectiveness of these programs and to meet the needs described in 
State Plans submitted to the Rehabilitation Services Administration by 
State vocational rehabilitation agencies.
    Selection Criteria: The Secretary uses the following selection 
criteria to evaluate applications under this program.
    (a) Potential Impact of Outcomes: Importance of Program (Weight 
3.0). The Secretary reviews each application to determine to what 
degree--
    (1) The proposed activity relates to the announced priority;
    (2) The research is likely to produce new and useful information 
(research activities only);
    (3) The need and target population are adequately defined;
    (4) The outcomes are likely to benefit the defined target 
population;
    (5) The training needs are clearly defined (training activities 
only);
    (6) The training methods and developed subject matter are likely to 
meet the defined need (training activities only); and
    (7) The need for information exists (utilization activities only).

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    (b) Potential Impact of Outcomes: Dissemination/Utilization (Weight 
3.0). The Secretary reviews each application to determine to what 
degree--
    (1) The research results are likely to become available to others 
working in the field (research activities only);
    (2) The means to disseminate and promote utilization by others are 
defined;
    (3) The training methods and content are to be packaged for 
dissemination and use by others (training activities only);
    (4) The utilization approach is likely to address the defined need 
(utilization activities only); and
    (5) There is likely to be widespread dissemination of the results, 
in a usable and effective manner, to all appropriate target 
populations, including individuals with disabilities and their family 
members.
    (c) Probability of Achieving Proposed Outcomes; Program/Project 
Design (Weight 5.0). The Secretary reviews each application to 
determine to what degree--
    (1) The objectives of the project(s) are clearly stated;
    (2) The hypothesis is sound and based on evidence (research 
activities only);
    (3) The project design/methodology is likely to achieve the 
objectives;
    (4) The measurement methodology and analysis is sound (research and 
development/demonstration activities only);
    (5) The conceptual model (if used) is sound (development/
demonstration activities only);
    (6) The sample populations are correct and significant (research 
and development/demonstration activities only);
    (7) The human subjects are sufficiently protected (research and 
development/demonstration activities only);
    (8) The device(s) or model system is to be developed in an 
appropriate environment;
    (9) The training content is comprehensive and at an appropriate 
level (training activities only);
    (10) The training methods are likely to be effective (training 
activities only);
    (11) The new materials (if developed) are likely to be of high 
quality and uniqueness (training activities only);
    (12) The target populations are linked to the project (utilization 
activities only);
    (13) The format of the dissemination medium is the best to achieve 
the desired result (utilization activities only); and
    (14) The materials to be used in the project and the materials to 
be disseminated are likely to be in formats that are accessible to the 
appropriate populations.
    (d) Probability of Achieving Proposed Outcomes: Key Personnel 
(Weight 4.0). The Secretary reviews each application to determine to 
what degree--
    (1) The principal investigator and other key staff have adequate 
training and/or experience and demonstrate appropriate potential to 
conduct the proposed research, demonstration, training, development, or 
dissemination activity;
    (2) The principal investigator and other key staff are familiar 
with pertinent literature and/or methods;
    (3) All required disciplines are effectively covered;
    (4) Commitments of staff time are adequate for the project; and
    (5) The applicant is likely, as part of its non-discriminatory 
employment practices, to encourage applications for employment from 
persons who are members of groups that traditionally have been 
underrepresented, such as--
    (i) Members of racial or ethnic minority groups;
    (ii) Women;
    (iii) Handicapped persons; and
    (iv) The elderly.
    (e) Probability of Achieving Proposed Outcomes: Evaluation Plan 
(Weight 1.0). The Secretary reviews each application to determine to 
what degree--
    (1) There is a mechanism to evaluate plans, progress and results;
    (2) The evaluation methods and objectives are likely to produce 
data that are quantifiable; and
    (3) The evaluation results, where relevant, are likely to be 
assessed in a service setting.
    (f) Program/Project Management: Plan of Operation (Weight 2.0). The 
Secretary reviews each application to determine to what degree--
    (1) There is an effective plan of operation that insures proper and 
efficient administration of the project(s);
    (2) The applicant's planned use of its resources and personnel is 
likely to achieve each objective;
    (3) Collaboration between institutions, if proposed, is likely to 
be effective; and
    (4) There is a clear description of how the applicant will include 
eligible project participants who have been traditionally 
underrepresented, such as--
    (i) Members of racial or ethnic minority groups;
    (ii) Women;
    (iii) Handicapped persons; and
    (iv) The elderly.
    (g) Program/Project Management: Adequacy of Resources (Weight 1.0). 
The Secretary reviews each application to determine to what degree--
    (1) The facilities planned for use are adequate;
    (2) The equipment and supplies planned for use are adequate; and
    (3) The commitment of the applicant to provide administrative 
support and adequate facilities is evident.
    (h) Program/Project Management: (Budget and Cost Effectiveness 
(Weight 1.0). The Secretary reviews each application to determine to 
what degree--
    (1) The budget for the project(s) is adequate to support the 
activities;
    (2) The costs are reasonable in relation to the objectives of the 
projects(s); and
    (3) The budget for subcontracts (if required) is detailed and 
appropriate.
    Eligible Applicants: Parties eligible to apply for grants under 
this program are public and private nonprofit and for-profit agencies 
and organizations, including institutions of higher education and 
Indian tribes and tribal organizations.

    Program Authority: 29 U.S.C. 761a and 762.

               Application Notice for Fiscal Year 1997 Research and Demonstration Projects 84.133A              
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                                                                                            Maximum             
                                                                               Estimated     award      Project 
            Funding priority                  Deadline for transmittal of      number of    amount      period  
                                                     applications               awards    (per year)   (months) 
                                                                                               *                
----------------------------------------------------------------------------------------------------------------
Improving Employment Practices Covered    April 8, 1997.....................           1    $250,000          48
 by Title I of the ADA.                                                                                         
----------------------------------------------------------------------------------------------------------------
Note: The Secretary will reject without consideration or evaluation any application that proposes a project     
  funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).                            


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    Program Title: Rehabilitation Research and Training Centers.
    CFDA Number: 84.133B.
    Purpose of Program: RRTCs conduct coordinated and advanced programs 
of research on disability and rehabilitation that will produce new 
knowledge that will improve rehabilitation methods and service delivery 
systems, alleviate or stabilize disabling conditions, and promote 
maximum social and economic independence for individuals with 
disabilities. RRTCs provide training to service providers at the pre-
service, in-service training, undergraduate, and graduate levels, to 
improve the quality and effectiveness of rehabilitation services. They 
also provide advanced research training to individuals with 
disabilities and those from minority backgrounds, engaged in research 
on disability and rehabilitation. RRTCs serve as national and regional 
technical assistance resources, and provide training for service 
providers, individuals with disabilities and families and 
representatives, and rehabilitation researchers.
    Selection Criteria: The Secretary uses the following selection 
criteria to evaluate applications under this program.
    (a) Relevance and importance of the research program (20 points). 
The Secretary reviews each application to determine to what degree--
    (l) The proposed activities are responsive to a priority 
established by the Secretary and address a significant need of a 
disabled target population and rehabilitation service providers;
    (2) The overall research program of the Center includes appropriate 
interdisciplinary and collaborative research activities, is likely to 
lead to new and useful knowledge in the priority area, and is likely to 
become a nationally recognized source of scientific knowledge; and
    (3) The applicant demonstrates that all component activities of the 
Center are related to the overall objective of the Center, and will 
build upon and complement each other to enhance the likelihood of 
solving significant rehabilitation problems.
    (b) Quality of the research design (35 points). The Secretary 
reviews each application to determine to what degree--
    (1) The applicant proposes a comprehensive research program for the 
entire project period, including at least three interrelated research 
projects;
    (2) The research design and methodology of each proposed activity 
are meritorious in that--
    (i) The literature review is appropriate and indicates familiarity 
with current research in the field;
    (ii) The research hypotheses are important and scientifically 
relevant;
    (iii) The sample populations are appropriate and significant;
    (iv) The data collection and measurement techniques are appropriate 
and likely to be effective;
    (v) The data analysis methods are appropriate; and
    (vi) The applicant assures that human subjects, animals, and the 
environment are adequately protected; and
    (3) The application discusses the anticipated research results and 
demonstrates how those results would satisfy the original hypotheses 
and could be used for planning future research, including generation of 
new hypotheses where applicable.
    (c) Quality of the training and dissemination program (25 points). 
The Secretary reviews each application to determine the degree to 
which--
    (1) The proposed plan for training and dissemination provides 
evidence that research results will be effectively disseminated and 
utilized based on the identification of appropriate and accessible 
target groups; the proposed training materials and methods are 
appropriate; the proposed activities are relevant to the regional and 
national needs of the rehabilitation field; and the training materials 
and dissemination packages will be developed in alternate media that 
are usable by people with various types of disabilities.
    (2) The proposed plan for training and dissemination provides for--
    (i) Advanced training in rehabilitation research;
    (ii) Training rehabilitation service personnel and other 
appropriate individuals to improve practitioner skills based on new 
knowledge derived from research;
    (iii) Training packages that make research results available to 
service providers, researchers, educators, individuals with 
disabilities, parents, and others;
    (iv) Technical assistance or consultation that is responsive to the 
concerns of service providers and consumers;
    (v) Dissemination of research findings through publication in 
professional journals, textbooks, and consumer and other publications, 
and through other appropriate media such as audiovisual materials and 
telecommunications.
    (vi) Widespread dissemination of findings and other appropriate 
materials to providers of rehabilitation and other relevant services to 
individuals with disabilities, family members of individuals with 
disabilities, and other authorized representatives, advocates, and 
organizations that provide information and support to individuals with 
disabilities and their families; and
    (vii) Dissemination of research findings and other materials in 
appropriate formats and accessible media for use by individuals with 
various disabilities.
    (d) Quality of the organization and management (20 points). The 
Secretary reviews each application to determine the degree to which--
    (1) The staffing plan for the Center provides evidence that the 
project director, research director, training director, principal 
investigators, and other personnel have appropriate training and 
experience in disciplines required to conduct the proposed activities; 
the commitment of staff time is adequate to conduct all proposed 
activities; and the Center, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
handicapping conditions;
    (2) The budgets for the Center and for each component project are 
reasonable, adequate, and cost-effective for the proposed activities;
    (3) The facilities, equipment, and other resources are adequate and 
are appropriately accessible to persons with disabilities;
    (4) The plan of operations is adequate to accomplish the Center's 
objectives and to ensure proper and efficient management of the Center;
    (5) The proposed relationships with Federal, State, and local 
rehabilitation service providers and consumer organizations are likely 
to ensure that the Center program is relevant and applicable to the 
needs of consumers and service providers;
    (6) The past performance and accomplishments of the applicant 
indicate an ability to complete successfully the proposed scope of 
work;
    (7) The application demonstrates appropriate commitment and support 
by the host institution and opportunities for interdisciplinary 
activities and collaboration with other institutions and organizations; 
and
    (8) The plan for evaluation of the Center provides for an annual 
assessment of the outcomes of the research, the impact of the training 
and dissemination activities on the target populations, and the extent 
to which the overall objectives have been accomplished.

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    Eligible Applicants: Institutions of higher education and public or 
private agencies and organizations collaborating with institutions of 
higher education, including Indian tribes and tribal organizations, are 
eligible to apply for awards under this program.

    Program Authority: 29 U.S.C. 762.


      Application Notice for Fiscal Year 1997 Rehabilitation Research and Training Centers CFDA No. 84.133B     
----------------------------------------------------------------------------------------------------------------
                                                                                            Maximum             
                                                                               Estimated     award      Project 
            Funding priority                  Deadline for transmittal of      number of    amount      period  
                                                     applications               awards       (per      (months) 
                                                                                            year)*              
----------------------------------------------------------------------------------------------------------------
Personal Assistance Services............  April 8, 1997.....................           1    $500,000          60
Vocational Rehabilitation Services for    April 8, 1997.....................           1     500,000          60
 Persons with Long-term Mental Illness.                                                                         
----------------------------------------------------------------------------------------------------------------
 Note: The Secretary will reject without consideration or evaluation any application that proposes a project    
  funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).                            

Instructions for Transmittal of Applications

    (a) If an applicant wants to apply for a grant, the applicant 
shall--
    (1) Mail the original and two copies of the application on or 
before the deadline date to: U.S. Department of Education, Application 
Control Center, Attention: (CFDA # [Applicant must insert number and 
letter]), Washington, D.C. 20202-4725, or
    (2) Hand deliver the original and two copies of the application by 
4:30 p.m. [Washington, D.C. time] on or before the deadline date to: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA # [Applicant must insert number and letter]), Room #3633, 
Regional Office Building #3, 7th and D Streets, S.W., Washington, D.C.
    (b) An applicant must show one of the following as proof of 
mailing:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary.
    (c) If an application is mailed through the U.S. Postal Service, 
the Secretary does not accept either of the following as proof of 
mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Notes: (1) The U.S. Postal Service does not uniformly provide a 
dated postmark. Before relying on this method, an applicant should 
check with its local post office.
    (2) An applicant wishing to know that its application has been 
received by the Department must include with the application a 
stamped self-addressed postcard containing the CFDA number and title 
of this program.
    (3) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 10 of the Application for 
Federal Assistance (Standard Form 424) the CFDA number--and letter, 
if any--of the competition under which the application is being 
submitted.

Application Forms and Instructions

    The appendix to this application is divided into four parts. These 
parts are organized in the same manner that the submitted application 
should be organized. These parts are as follows:
    PART I: Application for Federal Assistance (Standard Form 424 (Rev. 
4-88)) and instructions.
    PART II: Budget Form--Non-Construction Programs (Standard Form 
524A) and instructions.
    PART III: Application Narrative.
Additional Materials
    Estimated Public Reporting Burden.
    Assurances--Non-Construction Programs (Standard Form 424B).
    Certification Regarding Lobbying, Debarment, Suspension, and Other 
Responsibility Matters: and Drug-Free Work-Place Requirements (ED Form 
80-0013).
    Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014) 
and instructions.

    Note: ED Form GCS-014 is intended for the use of primary 
participants and should not be transmitted to the Department.

    Disclosure of Lobbying Activities (Standard Form LLL (if 
applicable) and instructions; and Disclosure Lobbying Activities 
Continuation Sheet (Standard Form LLL-A).
    An applicant may submit information on a photostatic copy of the 
application and budget forms, the assurances, and the certifications. 
However, the application form, the assurances, and the certifications 
must each have an original signature. No grant may be awarded unless a 
completed application form has been received.

FOR APPLICATIONS CONTACT: In request an application package, write the 
Grants and Contracts Service Team, U.S. Department of Education, 600 
Independence Avenue S.W., Switzer Building, 3317, Washington, D.C. 
20202, or call (202) 260-9182. Individuals who use a telecommunications 
device for the deaf (TDD) may call the TDD number at (202) 205-8133.
    Information about the Department's funding opportunities, including 
copies of application notices for discretionary grant competitions, can 
be viewed on the Department's electronic bulletin board (ED Board), 
telephone (202) 260-9950; on the Internet Gopher Server (at gopher://
gcs.ed.gov); or on the World Wide Web (at http://gcs.ed.gov). However, 
the official application notice for a discretionary grant competition 
is the notice published in the Federal Register.

    Program Authority: 29 U.S.C. 760-762.

    Dated: February 18, 1997.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.

Appendix

Application Forms and Instructions

    Applicants are advised to reproduce and complete the application 
forms in this Section. Applicants are required to submit an original 
and two copies of each application as provided in this Section.
Frequent Questions
    1. Can I Get an Extension of the Due Date?
    No! On rare occasions the Department of Education may extend a 
closing date for all applicants. If that occurs, a notice of the 
revised due date is published in the Federal Register. However, there 
are no extensions or exceptions to the due date made for individual 
applicants.
    2. What Should Be Included in the Application?
    The application should include a project narrative, vitae of key 
personnel, and a budget, as well as the Assurances forms included in 
this package. Vitae of staff or consultants should include the 
individual's title and role in the

[[Page 8141]]

proposed project, and other information that is specifically pertinent 
to this proposed project. The budgets for both the first year and all 
subsequent project years should be included.
    If collaboration with another organization is involved in the 
proposed activity, the application should include assurances of 
participation by the other parties, including written agreements or 
assurances of cooperation. It is not useful to include general letters 
of support or endorsement in the application.
    If the applicant proposes to use unique tests or other measurement 
instruments that are not widely known in the field, it would be helpful 
to include the instrument in the application.
    Many applications contain voluminous appendices that are not 
helpful and in many cases cannot even be mailed to the reviewers. It is 
generally not helpful to include such things as brochures, general 
capability statements of collaborating organizations, maps, copies of 
publications, or descriptions of other projects completed by the 
applicant.
    3. What Format Should Be Used for the Application?
    NIDRR generally advises applicants that they may organize the 
application to follow the selection criteria that will be used. The 
specific review criteria vary according to the specific program, and 
are contained in this Consolidated Application Package.
    4. May I Submit Applications to More Than One NIDRR Program 
Competition or More Than One Application to a Program?
    Yes, you may submit applications to any program for which they are 
responsive to the program requirements. You may submit the same 
application to as many competitions as you believe appropriate. You may 
also submit more than one application in any given competition.
    5. What Is the Allowable Indirect Cost Rate?
    The limits on indirect costs vary according to the program and the 
type of application.
    An applicant for a project in the R&D grant program is limited to 
the organization's approved indirect cost rate. If the organization 
does not have an approved indirect cost rate, the application should 
include an estimated actual rate.
    An applicant for a project in the RRTC program is limited to an 
indirect cost rate of 15 percent.
    6. Can Profitmaking Businesses Apply for Grants?
    Yes. However, for-profit organizations will not be able to collect 
a fee or profit on the grant, and in some programs will be required to 
share in the costs of the project.
    7. Can Individuals Apply for Grants?
    No. Only organizations are eligible to apply for grants under NIDRR 
programs. However, individuals are the only entities eligible to apply 
for fellowships.
    8. Can NIDRR Staff Advise me Whether My Project Is of Interest to 
NIDRR or Likely To Be Funded?
    No. NIDRR staff can advise you of the requirements of the program 
in which you propose to submit your application. However, staff cannot 
advise you of whether your subject area or proposed approach is likely 
to receive approval.
    9. How Do I Assure That My Application Will Be Referred to the Most 
Appropriate Panel for Review?
    Applicants should be sure that their applications are referred to 
the correct competition by clearly including the competition title and 
CFDA number, including alphabetical code, on the Standard Form 424, and 
including a project title that describes the project.
    10. How Soon After Submitting My Application Can I Find Out if it 
Will Be Funded?
    The time from closing date to grant award date varies from program 
to program. Generally speaking, NIDRR endeavors to have awards made 
within five to six months of the closing date. Unsuccessful applicants 
generally will be notified within that time frame as well. For the 
purpose of estimating a project start date, the applicant should 
estimate approximately six months from the closing date, but no later 
than the following September 30.
    11. Can I Call NIDRR To Find Out if My Application Is Being Funded?
    No. When NIDRR is able to release information on the status of 
grant applications, it will notify applicants by letter. The results of 
the peer review cannot be released except through this formal 
notification.
    12. If My Application is Successful, Can I Assume I will Get the 
Requested Budget Amount in Subsequent Years?
    No. Funding in subsequent years is subject to availability of funds 
and project performance.
    13. Will All Approved Applications Be Funded?
    No. It often happens that the peer review panels approve for 
funding more applications than NIDRR can fund within available 
resources. Applicants who are approved but not funded are encouraged to 
consider submitting similar applications in future competitions.

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[FR Doc. 97-4318 Filed 2-20-97; 8:45 am]
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