N.Y. Comp. Codes R. & Regs. tit. 18 § 300.11

Current through Register Vol. 46, No. 51, December 18, 2024

Section 300.11 - Research and demonstration projects

Social Services Law, §§ 36-a, 113

(a) Local social services districts are authorized to sponsor, conduct, and participate in the operation of such research or demonstration projects as the department may approve. These projects may be federally initiated, State initiated, or locally initiated, and may encompass either administrative and operational activities or program and services delivery activities or both. A research project is actively designed to discover or develop knowledge or data relating to a particular subject or practice. The activity encompasses at least one or more of the methods of scientific research, e.g., interview, survey, records review, statistical analysis, etc. A demonstration project is activity-designed to demonstrate, test or evaluate the feasibility or effectiveness of a new or innovative practice, technique, process, procedure or program. Any research or demonstration project that shall in any way effect a change in or conflict with the rules, regulations, bulletins, procedures, directives or guidelines of the department, or which shall involve the use of State funds either as direct expenditure or reimbursement, shall require the approval of the department prior to implementation of such project. The provisions of this section shall not be deemed to affect the ability of the local districts to ask for waivers pursuant to other sections of this regulation or to prohibit local districts from making submissions pursuant to 300.6 of this Part. No claims for State reimbursement of expenses incurred by a research or demonstration project, other than for a project initiated by the department, shall be submitted unless written permission has been secured from the department prior to initiation of such project.

(b) In order to comply with the requirements for department approval prior to a local district's initiation of a research or demonstration project, any local social services district which intends to sponsor, conduct or participate in any such project shall submit materials to the department as follows:

(1) Federal grant projects. When a local district wishes to conduct, sponsor or participate in a research or demonstration project funded or otherwise operated in conjunction with a Federal grant (such as, but not limited to, grants made pursuant to sections 1110 and 1115 of the Social Security Act, special purpose grants made pursuant to Federal law or appropriation grants made under the Law Enforcement Administration Act for the provision of social services, etc.), such local district shall notify the commissioner of the department, in writing, of its intent to conduct, sponsor or participate in such project. Prior to application for Federal grant funds, the local district shall submit to the department for approval a narrative description of such project, specifying the goals of such project, a list containing the departmental rules, regulations, bulletins, procedures and guidelines for which waivers are needed, and a statement projecting the fiscal effects of such project. Upon approval by the department, the local district shall furnish the department with copies of all materials and/or correspondence sent to or received from the grant-awarding agency or officer(s) relating to such project. The department may request such additional submittals as it deems necessary.

(2) Locally initiated projects. When a local social services district wishes to conduct, sponsor or participate in a research or demonstration project, such local district shall notify the commissioner of the department, in writing, of its intent to conduct, sponsor or participate in such project. Prior to initiating operation of a project which a local district wishes to sponsor, conduct or participate in, the local district shall submit to the department for approval a narrative description of such project specifying the goals of such project, a list containing the departmental rules, regulations, bulletins, procedures and guidelines for which waivers are needed, and a statement projecting the fiscal effects of such project. Upon approval by the department and upon implementation by the local district of any locally initiated research or demonstration project, the local district shall furnish the department with monthly reports of project progress. Upon completion of such project, the local district shall furnish the department with a final summation of the project, listing its key activities, a report of project results, findings or recommendations, and a statement assessing the fiscal effects of such project. The department may request such additional submittals as it deems necessary.

(c)State initiated projects.

The department may from time to time conduct, sponsor or participate in research or demonstration projects, including Federal grant projects awarded to the department. Local social services districts shall cooperate with the department in the conduct of such projects whenever the department shall request or require such participation and cooperation.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 300.11