[Federal Register: April 3, 2003 (Volume 68, Number 64)]
[Notices]
[Page 16271-16274]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03ap03-47]
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DEPARTMENT OF EDUCATION
[CFDA Nos. 84.133S and 84.017S]
Office of Special Education and Rehabilitative Services (OSERS)
and the Office of Postsecondary Education (OPE); Small Business
Innovation Research (SBIR) Program--Phase I Notice Inviting Grant
Applications for New Awards for Fiscal Year (FY) 2003
Purpose of Program: The purpose of this program is to stimulate
technological innovation in the private sector, strengthen the role of
small business in meeting Federal research or research and development
(R/R&D) needs, increase the commercial application of Department of
Education (ED) supported research results, and improve the return on
investment from Federally-funded research for economic and social
benefits to the Nation.
For FY 2003, we encourage applicants to present activities that
focus on the invitational priorities in the Priorities section of this
application notice.
Eligible Applicants: Each organization submitting an application
must qualify as a small business concern as defined by the Small
Business Administration (SBA) at the time of the award. This definition
is included in the application package.
Firms with strong research capabilities in educational and
assistive technologies, science, or engineering in any of the priority
areas listed are encouraged to participate. Consultative or other
arrangements between these firms and universities or other non-profit
organizations are permitted, but the small business must serve as the
grantee.
If it appears that an applicant organization does not meet the
eligibility requirements, we will request an evaluation by the SBA.
Under circumstances in which eligibility is unclear, we will not make
an SBIR award until the SBA makes a determination.
Applications Available: April 3, 2003.
Deadline for Transmittal of Applications: June 3, 2003.
Estimated Available Funds: Up to $4,176,000 for new Phase I awards.
The estimated amount of funds available for new Phase I awards is
based upon the estimated threshold SBIR allocation for OSERS and OPE,
minus prior commitments for Phase II continuation awards. The actual
funds available could be less, should an office make any new Phase II
awards in FY 2003.
Estimated Average Size of Awards: Up to $75,000 for Priority 1 and
$60,000 for Priority 2.
Maximum Award: We will reject any application that proposes a
budget exceeding $75,000 for Priority 1 or $60,000 for Priority 2 for a
project period of up to 6 months.
Estimated Number of Awards: 25.
Note: The Department is not bound by any estimates in this
notice.
Project Period: Up to 6 months.
Page Limits: The application narrative is where you, the applicant,
address the selection criteria that reviewers use to evaluate your
application. You must limit your application narrative to the
equivalent of no more than 25 pages, excluding any documentation of
prior multiple Phase II awards, if applicable; and required forms. The
following standards should be used:
[sbull] A ``page'' is 8.5'' x 11'', on one side only, with 1''
margins at the top, bottom, and both sides.
[sbull] Single space all text in the application narrative,
including titles, headings, footnotes, quotations, references, and
captions, as well as all text in charts, tables, figures, and graphs.
[sbull] Use a font that is either 12-point or larger or no smaller
that 10 pitch (characters per inch). Standard black type should be used
to permit photocopying.
[sbull] Draw all graphs, diagrams, tables, and charts in black ink.
Do not include glossy photographs or materials that cannot be
photocopied in the body of the application.
The application package will provide instructions for completing
all components to be included in the application. Each application must
include an application cover sheet (ED Standard Form 424); budget
requirements (ED Form 524) and other required forms; an abstract,
certifications, and statements; a technical content project narrative;
and related application(s) or award(s) and documentation of multiple
Phase II awards, if applicable.
We will reject your application if--
[sbull] You apply these standards and exceed the page limit; or
[sbull] You apply other standards and exceed the equivalent of the
page limit.
Applicable Statutes and Regulations
(a) Statutes. The Small Business Reauthorization Act of 2000, Pub.
L. 106-554 (15 U.S.C. 631 and 638); Title
[[Page 16272]]
II of the Rehabilitation Act of 1973, as amended, Pub. L. 105-220 (29
U.S.C. 760-764); Title VI, Section 605 of the Higher Education Act, as
amended (20 U.S.C 1125).
(b) Regulations--General Applicability. The Education Department
General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77,
81, 82, 85, 97, and 98.
Note on Peer Review Procedures: OSERS and OPE will apply
requirements that are contained in 29 U.S.C. 760 and 762(f).
Priorities
For FY 2003, we have selected 7 invitational priorities for the
SBIR program. SBIR projects are encouraged to look to the future by
exploring uses of technology to ensure equal access to education and
promote educational excellence throughout the Nation.
The application package will include a number of examples to
illustrate the kinds of activities that could be funded under each
priority. Specific examples are listed only as examples of advanced
applications or basic research of interest to us, and they are not to
be interpreted as exclusive. We intend to provide sufficient
flexibility to obtain the greatest degree of creativity and innovation
possible, consistent with overall SBIR and ED program objectives.
An application must be limited to one priority listed in this
notice. When an application is relevant to more than one priority, the
applicant must decide which priority is most relevant and submit it
under that priority only. However, there is no limitation on the number
of different applications that an applicant may submit under this
competition, even to the same priority. A firm may submit separate
applications on different priorities, or different applications on the
same priority, but each application should respond to only one
priority. Duplicate applications will be returned without review.
Invitational Priorities
We are particularly interested in applications that meet one of the
following priorities. Under 34 CFR 75.105(c)(1) we do not give an
application that meets one of these priorities a competitive or
absolute preference over other applications.
CFDA Number 84.133S: The Office of Special Education and Rehabilitative
Services (OSERS)
Priority 1--This priority supports research to develop methods,
procedures, and rehabilitation technology that maximize the full
inclusion and integration into society, employment, independent living,
family support, and economic and social self-sufficiency of individuals
with disabilities, especially individuals with the most significant
disabilities; or improve the effectiveness of services authorized under
the Rehabilitation Act of 1973, as amended.
The following six invitational priorities relate to innovative
research utilizing new technologies (including nanotechnologies and
biotechnologies) to address the needs of individuals with disabilities
and their families.
Invitational Priority 1--Development of Technology to Support
Access or Promote Integration of Individuals with Disabilities in the
Community, Workplace, or Educational Setting.
Invitational Priority 2--Development of Technology to Enhance
Sensory or Motor Function of Individuals with Disabilities.
Invitational Priority 3--Development of Technology to Improve
School to Work Transition and Employment Outcomes for Individuals with
Disabilities.
Invitational Priority 4--Development of Technology to Promote
Community Integration or Support Independent Living for Individuals
with Disabilities.
Invitational Priority 5--Development of Technology to Support Early
Intervention for Infants, Toddlers, and Small Children.
Invitational Priority 6--Development of Technology to Support
Service Delivery, Training, or Evaluation of Interventions in the
Clinical or Community-Based Rehabilitation Settings.
CFDA Number 84.017S: The Office of Postsecondary Education (OPE)
Priority 2--This priority supports research that contributes to
achieving the purposes of part A of Title VI of the Higher Education
Act--International Education Program.
Invitational Priority 7--Development of Interactive CD-ROMs in the
Pashto and Farsi (Iranian) Languages with Glossaries, for use in Multi-
Platforms (e.g., PC, Mac) at the 1 to 1+ Proficiency Levels according
to the ACTFL-ILR Proficiency Scales. The language materials must
include items drawn from native speakers and from mass information
media, including recent events and authentic cultural materials. The
overall objective would be the creation of highly practical
communicative instruments for the two languages.
Selection Criteria: Under 34 CFR 75.210, we use the following
selection criteria to evaluate applications for new grants under this
competition. The maximum score for all of these criteria is 100 points.
The maximum score for each criterion is indicated in parentheses.
(a) Significance (25 points).
(b) Quality of the Project Design (50 points).
(c) Quality of Project Personnel (15 points).
(d) Adequacy of Resources (10 points).
We will make awards based upon these selection criteria and the
availability of funds. In the evaluation and handling of applications,
we will make every effort to protect the confidentiality of the
application and any evaluations.
Application Procedures
The Government Paperwork Elimination Act (GPEA) of 1998, (Pub. L.
105-277) and the Federal Financial Assistance Management Improvement
Act of 1999, (Pub. L. 106-107) encourage us to undertake initiatives to
improve our grant processes. Enhancing the ability of individuals and
entities to conduct business with us electronically is a major part of
our response to these Acts. Therefore, we are taking steps to adopt the
Internet as our chief means of conducting transactions in order to
improve services to our customers and to simplify and expedite our
business processes.
Note: Some of the procedures in these instructions for
transmitting applications differ from those in the Education
Department General Administrative Regulations (EDGAR) (34 CFR
75.102). Under the Administrative Procedure Act (5 U.S.C. 553) the
Department generally offers interested parties the opportunity to
comment on proposed regulations. However, these amendments make
procedural changes only and do not establish new substantive policy.
Therefore, under 5 U.S.C. 553(b)(A), the Secretary has determined
that proposed rulemaking is not required.
We are requiring that applications for grants for FY 2003 under
Phase I SBIR program be submitted electronically using e-Application
available through the Education Department's e-GRANTS system. The e-
GRANTS system is accessible through its portal page at: http://e-grants.ed.gov
.
Applicants who are unable to submit an application through the e-
GRANTS system may apply for a waiver to the electronic submission
requirement. To apply for a waiver, applicants must explain the reason
or reasons that prevent them from using the Internet to submit their
applications. The reasons must be outlined in a letter addressed to:
Priority 1: Kristi Wilson, Office of Special Education and
Rehabilitative
[[Page 16273]]
Services, U.S. Department of Education, 330 ``C'' Street, SW., room
3433--MES, Washington, DC 20202-2704; and, for Priority 2: Jos[eacute]
Martinez, Office of Postsecondary Education, U.S. Department of
Education, 1990 K Street, NW., room 6016, Washington, DC 20006-8521. We
must receive your letter no later than two weeks before the closing
date.
Any application that receives a waiver to the electronic submission
requirement will be given the same consideration in the review process
as an electronic application.
Pilot Project for Electronic Submission of Applications
In FY 2003, the U.S. Department of Education is continuing to
expand its pilot project for electronic submission of applications to
include additional formula grant programs and additional discretionary
grant competitions. The FY 2003 Phase I SBIR program [CFDA 84.133S and
84.017S] is one of the programs included in the pilot project. If you
are an applicant under the Phase I SBIR program, you must submit your
application to us in electronic format or receive a waiver.
The pilot project involves the use of the Electronic Grant
Application System (e-Application). Users of e-Application will be
entering data on-line while completing their applications. You may not
e-mail a soft copy of a grant application to us. The data you enter on-
line will be saved into a database. We request your participation in e-
Application. We shall continue to evaluate its success and solicit
suggestions for improvement.
If you participate in e-Application, please note the following:
[sbull] You will not receive additional point value because you
submit a grant application in electronic format, nor will we penalize
you if you submit an application in paper format. (Submission of
applications in paper format is only acceptable if a waiver is granted
as described above.) When you enter the e-Application system, you will
find information about its hours of operation.
[sbull] You must submit all documents electronically, including the
Application for Federal Education Assistance (ED 424), Budget
Information--Non-Construction Programs (ED 524), and all necessary
assurances and certifications.
[sbull] After you electronically submit your application, you will
receive an automatic acknowledgement, which will include a PR/Award
number (an identifying number unique to your application).
[sbull] Within three working days after submitting your electronic
application, fax a signed copy of the Application for Federal Education
Assistance (ED 424) to the Application Control Center after following
these steps:
1. Print ED 424 from e-Application.
2. The institution's Authorizing Representative must sign this
form.
3. Place the PR/Award number in the upper right hand corner of the
hard copy signature page of the ED 424.
4. Fax the signed ED 424 to the Application Control Center at (202)
260-1349.
[sbull] We may request that you give us original signatures on all
other forms at a later date.
[sbull] Closing Date Extension in Case of System Unavailability: If
you are prevented from submitting your application on the closing date
because the e-Application system is unavailable, we will grant you an
extension of one business day in order to transmit your application
electronically, by mail, or by hand delivery. For us to grant this
extension--
1. You must be a registered user of e-Application, and have
initiated an e-Application for this competition; and
2. (a) The e-Application system must be unavailable for 60 minutes
or more between the hours of 8:30 a.m. and 3:30 p.m., Washington, DC
time, on the deadline date; or
(b) The e-Application system must be unavailable for any period of
time during the last hour of operation (that is, for any period of time
between 3:30 and 4:30 p.m., Washington, DC time) on the deadline date.
The Department must acknowledge and confirm these periods of
unavailability before granting you an extension. To request this
extension you must contact either (1) the person listed elsewhere in
this notice under FOR FURTHER INFORMATION CONTACT or (2) the e-GRANTS
help desk at 1-888-336-8930.
We have included additional information about the e-Application
pilot project (see Parity Guidelines between Paper and Electronic
Applications) in the application package.
SUPPLEMENTARY INFORMATION:
Background
The Small Business Reauthorization Act (the ``Act'') of 2000 was
enacted on December 21, 2000. The Act requires certain agencies,
including the Department of Education, to establish SBIR programs by
reserving a statutory percentage of their extramural research and
development budgets to be awarded to small business concerns for
research or R&D through a uniform, highly competitive three-phase
process.
The three phases of the SBIR program are:
Phase I: Phase I is to determine, insofar as possible, the
scientific or technical merit and feasibility of ideas submitted under
the SBIR program. The application should concentrate on research that
will significantly contribute to proving the scientific or technical
feasibility of the approach or concept and that would be prerequisite
to further ED support in Phase II.
Phase II: Phase II is to expand on the results of and to further
pursue the development of Phase I projects. Phase II is the principal
research or R&D effort. It requires a more comprehensive application,
outlining the effort in detail including the commercial potential.
Phase II applicants must be Phase I awardees with approaches that
appear sufficiently promising as a result of Phase I. Awards are for
periods up to 2 years in amounts up to $500,000 for Priority 1 awardees
and $300,000 for Priority 2 awardees.
Phase III: In Phase III, the small business must use non-SBIR
capital to pursue commercial applications of the research or research
and development. Also, under Phase III, Federal agencies may award non-
SBIR follow-on funding for products or processes that meet the needs of
those agencies.
For Applications and Further Information Contact: For General
Information: Lee Eiden, U.S. Department of Education, 555 New Jersey
Avenue, NW., room 508D, Washington, DC 20208-5644. Telephone (202) 219-
2004 or via Internet: lee.eiden@ed.gov. For Priority 1 (OSERS): Kristi Wilson, U.S. Department of
Education, 330 ``C'' Street, SW., room 3433, Washington, DC 20202-2572.
Telephone (202) 260-0988 or via Internet: kristi.wilson@ed.gov. For Priority 2 (OPE): Jos[eacute] Martinez, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 6016, 1990 K Street, NW.,
Washington, DC 20006-8521. Telephone (202) 502-7635 or via Internet:
jose.martinez@ed.gov. If you use a telecommunications device for the deaf (TDD), you may
call the Federal Information Relay Service (FIRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to either of the program contact persons listed
under For Applications and Further Information Contact.
Individuals with disabilities may obtain a copy of the application
package
[[Page 16274]]
in an alternative format by contacting one of the contact persons
listed under For Applications and Further Information Contact. However,
the Department is not able to reproduce in an alternative format the
standard forms included in the application package.
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or Adobe
Portable Document Format (PDF) on the Internet at the following site:
http://www.ed.gov/legislation/FedRegister.
To use PDF you must have Adobe Acrobat Reader, which is available
free at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in
the Washington, DC area at (202) 512-1530.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on the GPO Access at: http://www.access.gpo.gov/nara/index.html
.
Program Authority: Pub. L. 106-554 (The Small Business
Reauthorization Act of 2000); Pub. L. 105-220 (Title II of the
Rehabilitation Act of 1973, as amended, Title VI of the Higher
Education Act).
Dated: March 31, 2003.
Robert H. Pasternack,
Assistant Secretary for Special Education and Rehabilitative Services.
Sally L. Stroup,
Assistant Secretary for Postsecondary Education.
[FR Doc. 03-8130 Filed 4-2-03; 8:45 am]
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