Subpart B-How Does One Apply For An Award?

§ 700.10 What types of applications may one submit?

An eligible party listed in §700.2 may submit one or more of the following types of applications for awards under this program:

(a) An invitational application in response to an application notice that establishes one or more priorities in accordance with § 700.4 and 34 CFR 75.105.

(b) A field-initiated application in response to an application notice in accordance with 34 CFR 75.100.

(c) An unsolicited application as described in § 700.11.

(Authority: 20 U.S.C. 1221e)

$700.11 When may one submit an unsolicited application?

An applicant may submit an unsolicited application at any time during a fiscal year.

(Authority: 20 U.S.C. 1221e)

Subpart C-How Does the Secretary Make an Award?

§700.20 How does the Secretary evaluate an application?

(a) The Secretary evaluates separately invitational applications, fieldinitiated applications, and unsolicited applications.

(b) (1) The Secretary evaluates applications on the basis of the selection criteria in § 700.22.

(2) The Secretary awards up to 100 points, including a reserved 25 points to be distributed in accordance with paragraph (b)(4) of this section, based on the selection criteria in § 700.22.

(3) Subject to paragraph (b)(4) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading of the criterion.

(4) For each competition announced in the FEDERAL REGISTER for awards for invitational applications and fieldinitiated applications, the Secretary distributes the reserved 25 points among the criteria in § 700.22, as announced in a notice published in the FEDERAL REGISTER, and for unsolicited applications, the Secretary distributes the reserved 25 points in accordance with § 700.21(d).

(Authority: 20 U.S.C. 1221e)

8 700.21 What special procedures does the Secretary use to evaluate an unsolicited application?

(a) At any time during a fiscal year, the Secretary may accept and consider for funding unsolicited applications, for projects that do not meet a priority established in accordance with § 700.4 (a) and (b), and that have not been submitted under a competition for field-initiated applications for that fiscal year.

(b) Notwithstanding the provisions of 34 CFR 75.100, the Secretary may fund an unsolicited application without publishing an application notice in the FEDERAL REGISTER.

(c) The Secretary selects an unsolicited application for funding in accordance with the procedures in § 700.20.

(d) The Secretary assigns 15 of the reserved 25 points under § 700.20(b)(2) to the selection criteria in § 700.22(f)

(Significance) so that the maximum number of possible points for this criterion is 30 and 10 of the reserved points to the selection criterion in § 700.22(g) (Technical soundness) so that the maximum number of possible points for this criterion is 25.

(Authority: 20 U.S.C. 1221e)

8 700.22 What selection criteria does the Secretary use?

(a) Plan of operation (10 points). The Secretary reviews each application to determine the quality of the plan of operation for the project, including

(1) The extent to which the plan of management is effective and ensures proper and efficient administration of the project;

(2) The quality of the applicant's plans to use its resources and personnel to achieve each objective of the project; and

(3) The extent to which the applicant will equitably address the educational needs of students and educators in both public and private educational institutions.

(b) Quality of key personnel (20 points). (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including

(i) The qualifications of the principal investigator;

(ii) The qualifications of each of the other key personnel to be used in the project;

(iii) The time that each person referred to in paragraphs (b)(1) (i) and (ii) of this section will commit to the project; and

(iv) How the applicant, 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 condition.

(2) To determine personnel qualifications under paragraphs (b)(1) (i) and (ii) of this section, the Secretary considers

(i) Experience and training in fields related to the objectives of the project; and

(ii) Any other qualifications that pertain to the quality of the project.

(c) Budget and cost-effectiveness (5 points). The Secretary reviews each application to determine the extent to which

(1) The budget is adequate to support the project; and

(2) Costs are reasonable in relation to the objectives, design, and potential significance of the project.

(d) Evaluation plan (5 points). The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation

(1) Are appropriate to the project; and

(2) To the extent possible, are objective and produce data that are quantifiable.

(e) Adequacy of resources (5 points). The Secretary reviews each application to determine the adequacy of the resources that the applicant plans to devote to the project, including facilities, equipment, and supplies.

(f) Significance (15 points). (1) The Secretary reviews each application to determine the significance of the of the proposed project.

(2) The Secretary determines the project's potential to make a significant contribution to American education, as measured by factors such as

(i) Importance of the proposed project from the standpoint of basic knowledge or of problems in American education;

(ii) The likely magnitude of the addition that will be made to knowledge or educational practices if the project is successful, including the extent to which the proposed outcomes can be broadly applied.

(iii) The extent to which the project involves creative or innovative approaches that complement or are alternatives to existing approaches to the project's problem area; and

(iv) The extent to which the project is designed to yield products and outcomes that can be disseminated and utilized in other settings, such as information, materials, processes, or techniques.

(g) Technical soundness (15 points). (1) The Secretary reviews each appli

Secretary consider in making awards for invitational applications and field initiated applications?

(ii) The extent to which the application exhibits a thorough knowledge of current research and development concepts, theories, and outcomes and relates these to the proposed activity; and

(iii) The extent to which, where appropriate, the perspectives of a variety of disciplines are used.

(h) Applicant's commitment and capacity (0 points). The Secretary may assign points to this criterion pursuant to 700.20(b)(3). The Secretary determines the extent of the applicant's commitment to the project, its capacity to continue the project, and the likelihood that it will build upon the project when Federal assistance ends. (Approved by the Office of Management and Budget under control number 18500602)

(Authority: 20 U.S.C. 1221e)

§700.23 What additional procedures may the Secretary use to determine which applications will be selected for funding?

(a) After review of applications and preparation of a rank order of applications on the basis of the selection criteria in §700.22 and in accordance with 34 CFR 75.217(b) and (c), the Secretary selects highly rated applications for further consideration on the basis of the factors in 34 CFR 75.217(d).

(b) For field-initiated applications, the Secretary reviews each application chosen for further consideration to determine whether the proposed activities would address educational problems of national importance. The Secretary determines the relative importance of field-initiated applications and selects only those applications that propose activities that are of the greatest national importance.

(c) In determining the order in which applications chosen for further consideration may be selected for funding under 34 CFR 75.217(d), the Secretary may consider the recommendations of experts. (Authority: 20 U.S.C. 1221e)

In addition to the criteria in §§ 700.22 and 700.23(b), the Secretary may consider the following factors in selecting invitational applications and field-initiated applications for funding:

(a) The geographical distribution of projects funded under a particular competition or under this program.

(b) The diversity of activities or projects funded under a particular competition or under this program. (Authority: 20 U.S.C. 1221e)

Sec.

Subpart C-How Does the Secretary Make an Award?

706.20 How does the Secretary evaluate an application? 706.21 What additional procedures may the Secretary use to determine which applications will be selected for funding? 706.22 What additional factors may the Secretary consider in selecting an application for a planning award? 706.23 What additional factors may the Secretary use to select an application for an institutional operations award? AUTHORITY: 20 U.S.C. 1221e, unless otherwise noted.

SOURCE: 53 FR 30790, Aug. 15, 1988, unless otherwise noted.

Subpart A-General

§ 706.1 What are the Regional Educational Laboratories and Research and Development Centers Programs?

Under the Regional Laboratories and Research and Development Centers Programs, the Secretary provides support for planning, institutional operations, and special activities of regional educational laboratories and research and development centers. (Authority: 20 U.S.C. 1221e)

§ 706.2 Who is eligible for an award?

(a) The following parties are eligible to apply for awards for the planning of a laboratory or center:

(1) Public or private organizations, institutions or agencies.

(2) Individuals.

(b) The following parties are eligible to apply for awards for institutional operations:

(1) For regional educational laboratories, public agencies or private nonprofit organizations.

(2) For research and development centers, institutions of higher education, institutions of higher education in consort with public agencies or private nonprofit organizations or interstate agencies established by compact that operate subsidiary bodies established to conduct postsecondary educational research and development.

(c) In any fiscal year, the Secretary may make grants for special activities to regional educational laboratories or research and development centers that

receive institutional operations awards in the same fiscal year.

(Authority: 20 U.S.C. 1221e)

§ 706.3 What priorities may the Secretary establish?

(a) The Secretary may select funding priorities from a list of biennial research priorities published in the FEDERAL REGISTER for public comment pursuant to section 405(b)(4) of the Act, and published in final form in the FEDERAL REGISTER. These biennial research priorities may include one or more priorities from paragraph (b) of this section.

(b) The Secretary may also select one or more funding priorities by choosing from the following list of individual priorities or a combination of these priorities:

(1) Learning. (2) Teaching.

(3) Technology in education.

(4) Instructional processes and materials, including textbooks and computer software for instruction.

(5) Education and staff development for teachers, administrators and other education staff.

(6) Organization and management of schools, including effective education leadership.

(7) Evaluation and indicator measures, including testing, measurement, and standards of performance.

(8) Governance of education, including school board policies and practices. (9) Educational finance and productivity.

(10) Education and the law.

(11) Dissemination and knowledge utilization in education.

(12) Improvement in education, including State and local reform initiatives.

(13) Student achievement, including students' motivation to learn, their failure to learn, and their failure to attend school and graduate.

(14) Home, family, cultural, and community influences on education, including parental choice and involvement in schooling.

(15) Education, work, and careers. (16) Equity and excellence, including the effects of ability grouping. (17) Guidance and counseling.

(18) International education.

(19) English literacy, including reading, writing, and language skills. (20) Mathematics.

(21) Science.

(22) Foreign languages.

(23) Early childhood education.

(24) History and social sciences, including economics, geography, political science, sociology, anthropology, and psychology.

(25) Physical and health education. (26) Humanities, including music, art, literature and dance.

(27) Citizenship and character education.

(28) Elementary education.

(29) Secondary education.

(30) Early adolescent education. =(31) Adolescent education.

(32) Postsecondary education.

(33) Adult and continuing education. (34) Teachers.

(35) School professionals and personnel.

1 (36) Public and private educational institutions.

(37) School discipline and crime in the schools.

(38) Education of special populations, including the educationally disadvantaged or students-at-risk, those with limited English proficiency, the handicapped, immigrants, and the academically gifted and talented.

(39) Implementation and effects of educational policies.

# (Authority: 20 U.S.C. 1221e)

§ 706.4 What regulations apply?

(a) Grants. The following regulations apply to grants under this program:

(1) The Education Department General Administrative Regulations (EDGAR) in 34 CFR Part 74 (Administration of Grants), Part 75 (Direct Grant Programs), Part 77 (Definitions That Apply to Department Regulations), Part 78 (Education Appeal Board), and Part 80 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments).

(2) The regulations in this Part 706 and in 34 CFR Parts 707 and 708.

(b) Contracts. (1) The following regulations apply to contracts under this program:

(i) The Federal Acquisition Regulation (FAR) in 48 CFR Chapter 1.

(ii) The Education Department Acquisition Regulation (EDAR) in 48 CFR Chapter 34.

(2) Requirements substantially similar to the following sections of the regulations in this Part 706 and 34 CFR Parts 707 and 708 will be incorporated into the solicitation for a laboratory or center contract, to the extent that these sections are consistent with applicable regulations in the FAR and EDAR:

(i) Part 706. Sections 706.1, 706.5, 706.10, 706.11, 706.22 and 706.23.

(ii) Part 707. Sections 707.1, 707.2, 707.10, 707.11, 707.12, and 707.20.

(iii) Part 708. Sections 708.1, 708.10, 708.11, 708.12, and 708.20.

(Authority: 20 U.S.C. 1221e)

§ 706.5 What definitions apply?

(a) Definitions in EDGAR. The following terms used in these regulations are defined in 34 CFR 77.1:

Applicant Application Award Department EDGAR Grant Nonprofit Private Public Secretary State

(b) Other definitions. The following definitions also apply to this part: Act means the General Education Provisions Act, as amended.

Center means an educational research and development center authorized under section 405(d)(4)(A)(ii) of the Act.

Contract means a procurement contract entered into by the Federal government to purchase, rent, lease or otherwise obtain supplies or services from nonfederal sources.

Educational research means basic and applied research, development, planning, surveys, assessments, evaluations, investigations, experiments, and demonstrations in the field of education and related fields.

Institution of higher education means an institution of higher educa