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PART 381

—PROTECTION AND ADVOCACY OF INDIVIDUAL RIGHTS Subpart A

—General 381.1 What is the Protection and Advocacy of Individual Rights program? 381.2 Who is eligible for an award? 381.3 What activities may the Secretary fund? 381.4 What regulations apply? 381.5 What definitions apply? Subpart B

—How Does One Apply for an Award? 381.10 What are the application requirements? Subpart C

—How Does the Secretary Make an Award? 381.20 How does the Secretary evaluate an applicat ion? §381.22 How does the Secretary allocate funds under this program? Subpart D

—What Conditions Must Be Met After an Award? 381.30 How are services to be administered? 381.31 What are the requirements pertaining to the protection, use, and release of personal information? 381.32 What are the reporting requirements? 381.33 What are the requirements related to the use of funds provided under this part? AUTHORITY: Section 509 of the Rehabilitation Act of 1973, as amended; 29 U.S.C. 79 4e, unless otherwise noted. Subpart A

—General2

§381.1 What is the Protection and Advocacy of Individual Rights program? This program is designed to support a system in each State to protect the legal and human rights of eligible individuals with disabiliti es. (Authority: Section 509(a) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 794e(a)) §381.2 Who is eligible for an award? (a )(1) A protection and advocacy system that is established under part C of title I of the Developmental Disabilit ies Assistance and Bill of Rights Act of 2000 (DD Act ), 42 U.S.C. 15041 et seq., and that meets the requirements of §381.10 is eligible to apply for a grant award under this part . (2)(i) For any fiscal year in which the appropriation to carry out the activities of this part equals or exceeds $10,500,000, the eligible system serving the American Indian Consortium is eligible to apply for a grant award under this part . (ii) For purposes of this part, an eligible system is defined at §38 1.5(c). (iii) For purposes of this part, the American Indian Consortium means a consortium established as described in section 102 of the DD Act (42 U.S.C. 15002).3 (b) In any fiscal year in which the amount appropriated to carry out this part is less than $5,500,000, a protection and advocacy system from any State or from Guam, American Samoa, the United States Virgin Islands, or the Commonwealth of the Northern Mariana Islands, may apply for a grant under the Protecti on and Advocacy of Individual Rights (PAIR) program to plan for, develop outreach strategies for, and carry out a protection and advocacy program authorized under this part . ( c) In any fiscal year in which the amount appropriated to carry out this part is equal to or greater than $5,500,000, an eligible system from any State and from any of the jurisdictions named in paragraph (b) of this section may apply to receive the amount allotted pursuant to section 509(c)

- (e) of the Act . (Authority: Section 509(b ), (c), and (m ) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 794e(b ), (c), and (m )) §381.3 What activities may the Secretary fund? ( a) Funds made available under this part must be used for the following activities: ( 1) Establishing a system to protect, and advocate for, the rights of individuals with disabilities.4 ( 2) Pursui ng legal, administrative, and other appropriate remedies or approaches to ensure the protection of, and advocacy for, the rights of eligible individuals with disabilities within the State or the American Indian Consortium . ( 3) Providing information on and making referrals to programs and services addressing the needs of individuals with disabilities in the State or American Indian Consortium , including individuals with disabilities who are exiting from school programs. ( 4) Coordinating the protecti on and advocacy program provided through an eligible system with the advocacy programs under

— ( i) Section 112 of the Act (the Client Assistance Program (CAP)); ( ii) The Older Americans Act of 1965 (the State long

term care ombudsman program ) (42 U.S.C. 3001 et seq.); ( iii) Part C of the DD Act ; and ( iv) The Protection and Advocacy for Individuals with Mental Illness Act of 2000 (PAIMI ) ( 4 2 U.S.C. 10801
- 108 07) . ( 5) Developing a statement of objectives and priorities on an annual basis and a plan for achieving these objectives and priorities.5 ( 6) Providing to the public, including individuals with disabilities and, as appropriate, their representatives, an opportunity to comment on the objectives and priorities described in §381.10( a)(6 ). ( 7) Establishing a grievance procedure for clients or prospective clients of the eligible system to ensure that individuals with disabilities are afforded equal access to the services of the eligible system. ( b) Funds made available under this part also may be used to carry out any other activities consistent with the purpose of this part and the activities listed in paragraph (a) of this section. (Authority: Sec tion s 12 (c) and 509(f) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c)

and 794e(f)). §381.4 What regulations apply? The following regulations apply to the PAIR program: ( a) The Education Department General Administrative Regulations (EDGAR) as follows: ( 1) 34 CFR part 75 (Direct Grant Programs ) for purposes of an award made under § §381.20 or 381.22(a)(1) . ( 2 ) 34 CFR part 76 (State
-Administered Programs), if the appropriation for the PAIR program is equal to or6

greater than $5,500,000 and the eligible system is a State or local government agency, except for

— ( i) Section 76.103; ( ii) Sections 76.125 through 76.137; ( iii) Sections 76.300 through 76.401; ( iv) Section 76.704; ( v) Section 76.734; and ( vi) Section 76.740. ( 3 ) 34 CFR part 77 (Definitions that Apply to Department Regulations). ( 4 ) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities). ( 5) 34 CFR part 81 (General Education Provisions Act

— Enforcement). ( 6 ) 34 CFR part 82 (New Restrictions on Lobbying). ( b) 2 CFR part 180 (OMB Guidelines to Agencies on Debarment and Suspension (Nonprocurement)), as adopted at 2 CFR part 3485 . ( c ) 2 CFR part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ), as adopted at 2 CFR part 3474. ( d) The regulations in this part 381.7 (Authority: Sec tion s 12 (c) and 509 of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c) and 794e) §381.5 What definitions apply? ( a) Definitions in EDGAR at 34 CFR part 77. ( b) Definitions in 2 CFR part 200 s ubpart A. ( c) Other definitions . The following definitions also apply to this part: Act means the Rehabilitation Act of 1973, as amended. Advocacy means pleading an individual's cause or speaking or writing in support of an individual. Advocacy may be formal, as in the case of a lawyer representing an individual in a court of law or in formal administrative proceedings before government agencies (whether tribal, State, local , or Federal). Advocacy also may be informal, as in the case of a lawyer or non

- lawyer representing an individual in negotiations, mediation, or informal administrative proceedings before government agencies (whether tribal, Stat e, local , or Federal), or as in the case of a lawyer or non
- lawyer representing an individual's cause before private entities or organizations, or government agencies (whether tribal, State, local , or Federal). Advocacy may be on behalf of

—8 ( 1) A single individual, in which case it is individual advocacy; ( 2) More than one individual or a group or class of individuals, in which case it is systems (or systemic) advocacy; or ( 3) Oneself, in which case it is self advocacy. Eligible individual with a disabi lity means an individual who

— ( 1) Needs protection and advocacy services that are beyond the scope of services authorized to be provided by the CAP under section 112 of the Act ; and ( 2) Is ineligible for

— ( i) Protection and advocacy programs under part C of the DD Act ; and ( ii) Protection and advocacy programs under the PAIMI. Eligible system means a protection and advocacy system that is established under part C of the DD Act and that meets the requirements of §381.10 . Mediation means the act or process of using an independent third party to act as a mediator, intermediary, or conciliator to settle differences or disputes between persons or parties. The third party who acts as a mediator, intermediary, or conciliator must not be any entity or9

individual who is connected in any way with the eligible system or the agency, entity, or individual with whom the individual with a disability has a dispute. Mediation may involve the use of professional mediators or any other independent th ird party mutually agreed to by the parties to the dispute. State means, in addition to each of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the United States Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands, except for purposes of sections 509(c)(3)(B) and (c)(4) of the Act, in which case State does not mean or include Guam, American Samoa, the United States Virgin Islands, and the Commonwealth of the Northern Mariana Islands . (Authority: Sections 7(34), 12 (c) , and 509 of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 705(34), 709 (c) and 794e) Subpart B

—How Does One Apply for an Award? §381.10 What are the application requirements? ( a) Regardless of the amount of funds appropriated for the PAIR program in a fiscal year, an eligible system shall submit to the Secretary an applicat ion for assistance under this part at the time and in the form and manner10

determined by the Secretary that contains all information that the Secretary determines necessary, including assurances that the eligible system will

— ( 1) Have in effect a system to protect, and advocate for, the rights of eligible individuals with disabilities; ( 2) Have the same general authorities, including the authority to access records and program income, as in part C of title I of the DD Act ; ( 3) Have the authority to pursue legal, administrative, and other appropriate remedies or approaches to ensure the protection of, and advocacy for, the rights of eligible individuals with disabilities within the State and the American Indian Consortium ; ( 4) Provide information on and make referrals to programs and services addressing the needs of individuals with disabilities in the State and the American Indian Consortium , including individuals with disabilities who are exiting from school programs; ( 5) Develop a statement of objectives and priorities on an annual basis and a plan for achieving these objectives and priorities; ( 6) Provide to the public, including individuals with disabilities and, as appropriate, their representatives, an opportunity to comment on the obje ctives and priorities11

established by, and activities of, the eligible system including

— ( i) The objectives and priorities for the activities of the eligible system for each year and the rationale for the establishment of those objectives and priorities; and ( ii) The coordination of the PAIR program provided through eligible systems with the advocacy programs under

— ( A) Section 112 of the Act (CAP); ( B) The Older Americans Act of 1965 (the State long

term care ombudsman program); ( C) Part C of the DD Act ; and ( D) The PAIMI; ( 7) Establish a grievance procedure for clients or prospective clients of the eligible system to ensure that individuals with disabilities are afforded equal access to the services of the eligible system; ( 8) Use funds made available under this part to supplement and not supplant the non
- Federal funds that would otherwise be made available for the purpose for which Federal funds are provided; and ( 9) Implement procedures designed to ensure that, to the maximum extent po ssible, mediation (and other alternative dispute resolution) procedures, which include12

good faith negotiation, are used before resorting to formal administrative or legal remedies. ( b) To receive direct payment of funds under this part, an eligible system must provide to the Secretary, as part of its application for assistance, an assurance that direct payment is not prohibited by or inconsistent with tribal or State law, regulation, or policy. (Approved by the Office of Management and Budget under control number 1820
- 0018) (Authority: Sec tion s 12 (c) and 509(f) and (g)(1) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c) and 794e(f ) and (g)(1 )) Subpart C

—How Does the Secretary Make an Award? §381.20 How does the Secretary evaluate an app lication? In any fiscal year in which the amount appropriated for the PAIR program is less than $5,500,000, the Secretary evaluates applications under the procedures in 34 CFR part 75. (Authority: Sections 12(c) and 509(b) and (f) of the Rehabilitation Ac t of 1973, as amended; 29 U.S.C. 7 09 (c) and 794e(b) and (f)) §381.22 How does the Secretary allocate funds under this program?13 ( a) In any fiscal year in which the amount appropriated for this program is equal to or greater than $5,500,000

— ( 1) The Se cretary sets aside not less than 1.8 percent but not more than 2.2 percent of the amount appropriated to provide a grant, contract, or cooperative agreement for training and technical assistance to eligible systems carrying out activities under this part . ( 2) After the reservation required by paragraph (a)(1) of this section, the Secretary makes allotments from the remainder of the amount appropriated in accordance with section 509(c)(2)

- ( d ) of the Act. ( b) Notwithstanding any other provision of law, in any fiscal year in which the amount appropriated for this program is equal to or greater than $5,500,000, the Secretary pays directly to an eligible system that submits an application that meets the requirements of §381.10 the amount of the allotment to the State pursuant to section 509 of the Act, unless the State provides otherwise. ( c) For any fiscal year in which the amount appropriated to carry out this program equals or exceeds $10,500,000, the Secre tary shall reserve a portion, and use the portion to make a grant for the eligible system serving the American Indian Consortium. The Secretary shall make14

the grant in an amount of not less than $50,000 for the fiscal year. ( d) Reallotment . (1) For any fiscal year in which the amount appropriated to carry out this program equals or exceeds $5,500,000 and if the Secretary determines that any amount of an allotment to an eligible system within a State will not be expended by such system in carrying out the provisions of this part, the Secretary shall make such amount available to one or more of the eligible systems that the Secretary determines will be able to use additional amounts during such year for carrying out this part . ( 2) Any reallotment amount made available to an eligible system for any fiscal year shall, for the purposes of this section, be regarded as an increase in the eligible system’s allotment under this part for that fiscal year. (Authority: Sections 12(c) and 509(c)
- (e) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709(c) and 794e(c)
- (e)) Subpart D

—What Conditions Must Be Met After an Award? §381.30 How are services to be administered? ( a) Each eligible system shall carry out the protection and advocacy program autho rized under this part.15 ( b) An eligible system may not award a grant or make a subaward to another entity to carry out, in whole or in part, the protection and advocacy program authorized under this part. ( c) An eligible system may contract with another agency, entity, or individual to carry out the PAIR program in whole or in part, but only if the agency, entity, or individual with whom the eligible system has contracted

— ( 1) Does not provide services under the Act or does not provide treatment, services, or habilitation to persons with disabilities; and ( 2) Is independent of, and not connected financially or through a board of directors to, an entity or individual that provides services under the Act or that provides treatment, services, or hab ilitation to persons with disabilities. ( d) For purposes of paragraph (c) of this section, “services under the Act” and “treatment, services, or habilitation” does not include client assistance services under CAP, protection and advocacy services authoriz ed under the protection and advocacy programs under part C of the DD Act and the PAIMI, or any other protection and advocacy services.16 (Authority: Section 12 (c ) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c )) §381.31 What are the requirements pertaining to the protection, use, and release of personal information? ( a) All personal information about individuals served by any eligible system under this part, including lists of names, addresses, photographs, and records of evaluation, must be held confidential. ( b) The eligible system's use of information and records concerning individuals must be limited only to purposes directly connected with the protection and advocacy program, including program evaluation activities. Except as provided in paragraph (c) of this section, an eligible system may not disclose personal information about an individual, directly or indirectly, other than in the administration of the protection and advocacy program,

unless the consent of the individual to whom the information applies, or his or her guardian, parent, or other authorized representative or advocate (including the individual's advocate from the eligible system), has been obtained in writing. An eligible system may not produce any report, evaluation, or study that reveals any personally identifying information without the written consent of the individual or his or her representative.17 ( c) Except as limited in paragraph (d) of this section, the Secretary or other Federal or State officials responsible for enforcing legal requirements must be given complete access to all

— ( 1) Records of the eligible system receiving funds under this program; and ( 2) All individual case records of clients served under this pa rt without the consent of the client. ( d)(1) The privilege of a person or eligible system not to produce documents or provide information pursuant to paragraph (c) of this section is governed by the principles of common law as interpreted by the courts of the United States, except that, for purposes of any periodic audit, report, or evaluation of the performance of the eligible system established or assisted under this part, the Secretary does not require the eligible system to disclose the identity of, or any other personally identifiable information related to, any individual requesting assistance under the PAIR program. ( 2) However, notwithstanding paragraph (d)(1) of this section, if an audit, monitoring review, State plan assurance review, evaluation, or other investigation has already produced independent and reliable evidence that there is probable cause to believe that the eligible system18

has violated its legislative mandate or misused Federal funds, the eligible system shall disclose, if the Secret ary so requests, the identity of, or any other personally identifiable information (i.e., name, address, telephone number, social security number, or other official code or number by which an individual may be readily identified) related to, any individual requesting assistance under the PAIR program, in accordance with the principles of common law as interpreted by the courts of the United States. (Authority: Sec tion s 12 (c) and 509(h) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c) and 794e(h)) §381.32 What are the reporting requirements? Each eligible system shall provide to the Secretary, no later than 90 days after the end of each fiscal year, an annual report that includes information on the following: ( a) The types of services and activities undertaken by the eligible system and how these services and activities addressed the objectives and priorities developed pursuant to §381.10( a)(6 ). ( b) The total number of individuals, by race, color, national origin, gender, age, and disab ling condition, who requested services from the eligible system and the total number of individuals, by race, color, national origin,19

gender, age, and disabling condition, who were served by the eligible system. ( c) The types of disabilities represented b y individuals served by the eligible system. ( d) The types of issues being addressed on behalf of individuals served by the eligible system. ( e) Any other information that the Secretary may require. (Approved by the Office of Management and Budget under control number 1820
- 0018) (Authority: Sec tion s 12(c), 13, and 509( k ) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c), 71 0 , and 794e( k )) §381.33 What are the requirements related to the use of funds provided under this part? ( a) Funds made available under this part must be used to supplement and not supplant the non
- Federal funds that would otherwise be made available for the purpose for which Federal funds are provided under this part. ( b) In any State in which an eligible system is located within a State agency, that State or State agency may not use more than five percent of any allotment for the costs of administration of the eligible system supported under this part. For purposes of this paragraph, “costs of20

administration” inc lude, but are not limited to, administrative salaries (including salaries for clerical and support staff), supplies, depreciation or use allowances, the cost of operating and maintaining facilities, equipment, and grounds (e.g., rental of office space or e quipment, telephone, postage, maintenance agreements), and other similar types of costs that may be incurred by the State or State agency to administer the eligible system. ( c) Funds paid to an eligible system within a State for a fiscal year to carry out this program that are not expended or obligated prior to the end of that fiscal year remain available to the eligible system within a State for obligation during the succeeding f iscal year in accordance with section 509(g) of the Act and 34 CFR 76. 709 . ( d) For determining when an eligible system makes an obligation for various kinds of property or services, 34 CFR 75.707 and 76.707, as appropriate, apply to this program . If the appropriation for the PAIR program is less than $5,500,000, §75.707 applies. If the appropriation for the PAIR program is equal to or greater than $5,500,000, §76.707 applies. An eligible system is considered a State for purposes of §76.707.21 ( e) Program income . (1) Program income means gross income earned by the designated agency that is directly generated by an activity supported under this part. ( 2) Grantees are authorized to treat program income

as— ( i) A deduction from total allowable cost s charged to a Federal grant, in accordance with 2 CFR 200. 307(e)(1);

or ( ii) An addition to the grant funds to be used for additional allowable program expenditures, in accordance with 2 CFR 200.307(e)(2). ( 3 ) Any Federal funds, including reallotted funds, that are appropriated for a fiscal year to carry out a program under this part that are not obligated or expended prior to the beginning of the succeeding fiscal year, and any program income received during a fiscal year that is not obligated or expended prior to the beginning of the succeeding fiscal year in which the program income was received, remain available for obligation and expenditure by the grantee during that succeeding fiscal year. (Authority: Sec tion s 12 (c) , 19, and 509(f )(7), ( g), and ( i ) of the Rehabilitation Act of 1973, as amended ; 29 U.S.C. 709 (c ) , 716, and 794e(f )(7 ), (g), and ( i); and 20 U.S.C. 3474)