[Federal Register Volume 67, Number 248 (Thursday, December 26, 2002)]
[Notices]
[Pages 78915-78934]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-32576]


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DEPARTMENT OF EDUCATION

[CFDA No.: 84.224C]


Office of Special Education and Rehabilitative Services; National 
Institute on Disability and Rehabilitation Research-Alternative 
Financing Program Technical Assistance (AFPTA); Notice Inviting 
Applications for Fiscal Year (FY) 2003

    Note to Applicants: This notice is a complete application package. 
Together with the statute authorizing the program and the Education 
Department General Administrative Regulations (EDGAR), this notice 
contains all of the information, application forms, and instructions 
you need to apply for a grant under this competition.
    Purpose of the Program: The purpose of the AFPTA is to award a 
grant to a public or private agency or organization to provide 
information and technical assistance to States participating in or 
interested in participating in the Alternative Financing Program (AFP).
    For FY 2003, the competition for one new award focuses on projects 
designed to meet the priority described in the PRIORITY section of this 
application notice. We intend this priority to provide technical 
assistance to the States and outlying areas to establish or maintain 
alternative financing projects to increase access to assistive 
technology (AT) services and devices for individuals with disabilities 
of all ages.
    Eligible Applicants: Parties eligible to apply for this grant are 
States; public or private agencies, including for-profit agencies; 
public or private organizations, including for-profit organizations; 
institutions of higher education; and Indian tribes and tribal 
organizations with sufficient documented experience, expertise, and 
capacity to assist States in the development and implementation of the 
Alternative Financing Program carried out under Title III of the AT 
Act.
    Applications Available: December 26, 2002.
    Deadline for Transmittal of Applications: January 27, 2003.
    Maximum Award Amount: $727,000 for year one; $304,000 for year two 
and, $304,000 for year three based on the availability of future 
appropriations.

    Note: We will reject any application that proposes a budget 
exceeding the maximum amount for each of the three 12 month budget 
periods.

    Estimated Number of Awards: 1.
    Project Period: Up to 36 months.

    Note: The Department is not bound by any estimates in this 
notice. Years two and three are subject to the availability of 
appropriation for this program.

    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR), 34 CFR parts 74, 75, 77, 80, 81, 
82, 85, 86 and 97.

Priority

    This competition focuses on projects designed to meet the 
Alternative Financing Program Technical Assistance (AFPTA) priority in 
the notice of final priority for this program, published elsewhere in 
this issue of the Federal Register.
    For FY 2003, this priority is an absolute priority. Under 34 CFR 
75.105(c)(3), we consider only applications that meet this priority.

Selection Criteria

    We use the following selection criteria to evaluate applications 
under this program (See 34 CFR 75.210). The maximum score for all of 
these criteria is 100 points. The maximum score for each criterion is 
indicated in parentheses.
    (a) Significance (10 points total).
    (1) The Secretary considers the significance of the proposed 
project; and
    (2) In determining the significance of the proposed project, the 
Secretary considers the extent to which the results of the proposed 
project are to be disseminated in ways that will enable others to use 
the information or strategies.
    (b) Quality of the project design (25 points total).
    (1) The Secretary considers the quality of the design of the 
proposed project; and
    (2) In determining the quality of the design of the proposed 
project, the Secretary considers the following factors:
    (i) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable 
(8 points).
    (ii) The extent to which the design of the proposed project is 
appropriate to, and will successfully address, the needs of the target 
population or other identified needs (8 points).
    (iii)The extent to which the proposed project represents an 
exceptional approach to the priority or priorities established for the 
competition (6 points).
    (iv) The extent to which the proposed project will be coordinated 
with similar or related efforts, and with other appropriate community, 
State, and Federal resources (3 points).
    (c) Quality of project services (15 points total).
    (1) The Secretary considers the quality of the services to be 
provided by the proposed project;
    (2) In determining the quality of the services to be provided by 
the proposed project, the Secretary considers the quality and 
sufficiency of strategies for ensuring equal access and treatment for 
eligible proposed project participants who are members of groups that 
have traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability (5 points); and
    (3) In addition, the Secretary considers the following factors:
    (i) The extent to which the services to be provided by the proposed 
project are appropriate to the needs of the intended recipients or 
beneficiaries of those services (5 points).
    (ii) The extent to which the technical assistance services to be 
provided by the proposed project involve the use of efficient 
strategies, including the use of technology, as appropriate, and the 
leveraging of non-project resources (5 points).
    (d) Quality of project personnel (15 points total).
    (1) The Secretary considers the quality of the personnel who will 
carry out the proposed project;

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    (2) In determining the quality of proposed project personnel, the 
Secretary considers the extent to which the applicant encourages 
applications for employment from persons who are members of groups that 
have traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability (5 points); and
    (3) In addition, the Secretary considers the following factors:
    (i) The qualifications, including relevant training and experience, 
of the project director or principal investigator (5 points).
    (ii) The qualifications, including relevant training and 
experience, of key project personnel (5 points).
    (e) Adequacy of resources (15 points total).
    (1) The Secretary considers the adequacy of resources for the 
proposed project.
    (2) In determining the adequacy of resources for the proposed 
project, the Secretary considers the following factors:
    (i) The adequacy of support, including facilities, equipment, 
supplies, and other resources, from the applicant organization or the 
lead applicant organization (8 points).
    (ii) The extent to which the costs are reasonable in relation to 
the objectives, design, and potential significance of the proposed 
project (7 points).
    (f) Quality of the management plan (10 points total).
    (1) The Secretary considers the quality of the management plan for 
the proposed project.
    (2) In determining the quality of the management plan for the 
proposed project, the Secretary considers the following factors:
    (i) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including clearly 
defined responsibilities, time lines, and milestones for accomplishing 
project tasks (5 points).
    (ii) The extent to which the time commitments of the project 
director and principal investigator and other key project personnel are 
appropriate and adequate to meet the objectives of the proposed project 
(5 points).
    (g) Quality of the project evaluation (10 points total).
    (1) The Secretary considers the quality of the evaluation to be 
conducted of the proposed project.
    (2) In determining the quality of the evaluation, the Secretary 
considers the following factors:
    (i) The extent to which the methods of evaluation are thorough, 
feasible, and appropriate to the goals, objectives, and outcomes of the 
proposed project (5 points).
    (ii) The extent to which the methods of evaluation include the use 
of objective performance measures that are clearly related to the 
intended outcomes of the project and will produce quantitative and 
qualitative data to the extent possible (5 points).

Application Forms and Instructions

    The Appendix to this notice contains forms and instructions, a 
statement regarding estimated public reporting burden, and various 
assurances and certifications. Please organize the parts and additional 
materials in the following order:
    [sbull] Part I: Application for Federal Assistance (ED 424 (Exp. 
11/30/2004)) and instructions.
    [sbull] Part II: Budget Form--Non-Construction Programs (ED 524) 
and instructions and definitions.
    [sbull] Part III: Application Narrative.
    [sbull] Part IV: Additional Materials
    [sbull] Estimated Public Reporting Burden.
    [sbull] Assurances--Non-Construction Programs (Standard Form 424B).
    [sbull] Certification Regarding Lobbying, Debarment, Suspension, 
and Other Responsibility Matters: and Drug-Free Work-Place Requirements 
(ED Form 80-0013).
    [sbull] 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.

    [sbull] Disclosure of Lobbying Activities (Standard Form LLL (if 
applicable) and instructions; and Disclosure Lobbying Activities 
Continuation Sheet (Standard Form LLL-A).
    If you apply in paper format, you may submit information on a 
photocopy 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. We will not 
award a grant unless we have received a completed application form.

Application Procedures

    You have a choice of submitting your applications either in a paper 
copy or electronic copy.
    The Secretary may reject without consideration or evaluation any 
application that proposes a project funding level that exceeds the 
stated maximum award amount per year (See 34 CFR 75.104(b)).
    The Secretary strongly recommends the following:
    (1) A one-page abstract;
    (2) An Application Narrative (i.e., Part III that addresses the 
selection criteria that will be used by reviewers in evaluating 
individual proposals) of no more 75 numbered, double-spaced (no more 
than 3 lines per vertical inch) 8.5' x 11'' pages (on one side only) 
with one inch margins (top, bottom, and sides). The application 
narrative page limit recommendation does not apply to: Part I--the 
electronically scannable form; Part II--the budget section (including 
the narrative budget justification); and Part IV--the assurances and 
certifications; and
    (3) A font no smaller than a 12-point font and an average character 
density no greater than 14 characters per inch.
    If you want to apply for a grant and be considered for funding, you 
must meet the following deadline requirements:

Instructions for Transmittal of Applications

    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.

Pilot Project for Electronic Submission of Applications

    In Fiscal Year 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 Alternative Financing Program 
Technical Assistance (AFPTA) (CFDA No. 84.224C) is one of the programs 
included in the pilot project. If you are an applicant under the AFPTA, 
you may submit your application to us in either electronic or paper 
format.
    The pilot project involves the use of the Electronic Grant 
Application System (e-Application) portion of the Grant Administration 
and Payment System (GAPS). 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. If you participate in this voluntary 
pilot project by submitting an application

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electronically, 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] Your participation is voluntary.
    [sbull] You will not receive any 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. When you enter the e-
Application system, you will find information about its hours of 
operation.
    [sbull] You may submit all documents electronically, including the 
Application for Federal 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 
Assistance (ED 424) to the Application Control Center after following 
these steps:
    (1) Print ED 424 from the e-Application system.
    (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 elect to participate in the e-Application pilot for the AFPTA and 
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 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.
    You may access the electronic grant application for the AFPTA at: 
http://e-grants.ed.gov.
    We have included additional information about the e-Application 
pilot project (see Parity Guidelines between Paper and Electronic 
Applications) elsewhere in this notice.
    If you want to apply for a grant and be considered for funding, you 
must meet the following deadline requirements:
    (A) If You Send Your Application by Mail: You must mail the 
original and two copies of the application on or before the deadline 
date. To help expedite our review of your application, we would 
appreciate your voluntarily including an additional seven copies of 
your application. Mail your application to: U.S. Department of 
Education, Application Control Center, Attention: (CFDA  
84.224C), 7th & D Streets, SW., Room 3671, Regional Office Building 3, 
Washington, DC 20202-4725.
    You 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.
    If you mail an application through the U.S. Postal Service, we do 
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.
    (B) If You Deliver Your Application by Hand: You or your courier 
must hand deliver the original and two copies of the application by 
4:30 p.m. (Washington, DC time) on or before the deadline date. To help 
expedite our review of your application, we would appreciate your 
voluntarily including an additional seven copies of your application. 
Deliver your application to: U.S. Department of Education, Application 
Control Center, Attention: (CFDA  84.224C), 7th & D Streets, 
SW., Room 3671, Regional Office Building 3, Washington, DC 20202-4725.
    The Application Control Center accepts application deliveries daily 
between 8:00 a.m. and 4:30 p.m. (Washington, DC time), except 
Saturdays, Sundays, and Federal holidays. The Center accepts 
application deliveries through the D Street entrance only. A person 
delivering an application must show identification to enter the 
building.
    (C) If You Submit Your Application Electronically: You must submit 
your grant application through the Internet using the software provided 
on the e-Grants Web site (http://e-grants.ed.gov) by 4:30 p.m. 
(Washington, DC time) on the deadline date.
    The regular hours of operation of the e-Grants Web site are 6:00 
a.m. until 12:00 midnight (Washington, DC time) Monday-Friday and 6:00 
a.m. until 7:00 p.m. Saturdays. The system is unavailable on the second 
Saturday of every month, Sundays, and Federal holidays. Please note 
that on Wednesdays the Web site is closed for maintenance at 7:00 p.m. 
(Washington, DC time).
    Notes:
    (1) The U.S. Postal Service does not uniformly provide a dated 
postmark. Before relying on this method, you should check with your 
local post office.
    (2) If you send your application by mail or if you or your courier 
deliver it by hand, the Application Control Center will mail a Grant 
Application Receipt Acknowledgment to you. If you do not receive the 
notification of application receipt within 15 days from the date of 
mailing the application, you should call the U.S. Department of 
Education Application Control Center at (202) 708-9493.
    (3) If your application is late, we will notify you that we will 
not consider the application.
    (4) You must indicate on the envelope and--if not provided by the 
Department--in Item 4 of the Application for Federal Education 
Assistance (ED 424 (exp. 11/30/2004)) the CFDA number--and suffix 
letter, if any--of the competition under which you are submitting your 
application.
    (5) If you submit your application through the Internet via the e-
Grants Web site, you will receive an automatic acknowledgment when we 
receive your application.
    For Further Information Contact: Carol Cohen, U.S. Department of 
Education, 400 Maryland Avenue, SW., room 3420, Switzer Building,

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Washington, DC 20202-2645. Telephone: (202) 205-5666 or via the 
Internet: [email protected].
    If you use a telecommunications device for the deaf (TDD), you may 
call the TDD number at (202) 205-4475.
    Individuals with disabilities may obtain this document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed under For Further 
Information Contact.

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 GPO Access at: http://www.access.gpo.gov/nara/index.html.


    Program Authority: 29 U.S.C. 3056.

    Dated: December 19, 2002.
Robert H. Pasternack,
Assistant Secretary for Special Education and Rehabilitative Services.


AppendixInstructions for Estimated Public Reporting Burden

    According to the Paperwork Reduction Act of 1995, you are not 
required to respond to a collection of information unless it displays a 
valid OMB control number. The valid OMB control number for this 
collection of information is 1820-0634. Expiration date: 10/31/2003. We 
estimate the time required to complete this collection of information 
to average 30 hours per response, including the time to review 
instructions, search existing data sources, gather the data needed, and 
complete and review the collection of information. If you have any 
comments concerning the accuracy of the time estimate or suggestions 
for improving this form, please write to: U.S. Department of Education, 
Washington, DC 20202-4651.
    If you have comments or concerns regarding the status of your 
submission of this form, write directly to: Donna Nangle, U.S. 
Department of Education, 400 Maryland Avenue, SW., room 3412, Switzer 
Building, Washington, DC 20202-2645.

Parity Guidelines Between Paper and Electronic Applications

    In FY 2003, the U.S. Department of Education is continuing to 
expand the pilot project that allows applicants to use an Internet-
based electronic system for submitting applications. This competition 
is among those that have an electronic submission option available to 
all applicants. The system, called e-APPLICATION, allows an applicant 
to submit a grant application to us electronically, using a current 
version of the applicant's Internet browser. To see e-APPLICATION visit 
the following address: http://e-grants.ed.gov.
    Users of e-APPLICATION, a data driven system, will be entering data 
on-line while completing their applications. This will be more 
interactive than just e-mailing a soft copy of a grant application to 
us. If you participate in this voluntary pilot project by submitting an 
application electronically, the data you enter on-line will go into a 
database and ultimately will be accessible in electronic form to our 
reviewers.
    This pilot project continues the Department's transition to an 
electronic grant award process. In addition to e-APPLICATION, the 
Department plans to expand the number of discretionary programs using 
the electronic peer review (e-READER) system and to increase the 
participation of discretionary programs offering grantees the use of 
the electronic annual performance reporting (e-REPORTS) system. To help 
ensure parity and a similar look between electronic and paper copies of 
grant applications, we are asking each applicant that submits a paper 
application to adhere to the following guidelines:
    [sbull] Submit your application on 8\1/2\'' by 11'' paper.
    [sbull] Leave a 1-inch margin on all sides.
    [sbull] Use consistent font throughout your document. You may also 
use boldface type, underlining, and italics. However, please do not use 
colored text.
    [sbull] Please use black and white, also, for illustrations, 
including charts, tables, graphs and pictures.
    [sbull] For the narrative component, your application should 
consist of the number and text of each selection criterion followed by 
the narrative. The text of the selection criterion, if included, does 
not count against any page limitation.
    [sbull] Place a page number at the bottom right of each page 
beginning with 1; and number your pages consecutively throughout your 
document.

Application Forms and Instructions

    Paper applicants are advised to reproduce and complete the 
application forms in this section. Paper applicants are required to 
submit an original and two copies of each application as provided in 
this section. However, paper applicants are encouraged to submit an 
additional seven copies of each application in order to facilitate the 
peer review process and minimize copying errors.

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 except as noted for unavailability of the e-APPLICATION 
system.

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 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.
    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,

[[Page 78919]]

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. No, you may not submit more 
than one application to this competition.

5. What is the Allowable Indirect Cost Rate?

    The limits on indirect costs vary according to the program and the 
type of application. The AFPTA does not place any limit on indirect 
costs.

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.

7. Can Individuals Apply for Grants?

    No. Only organizations are eligible to apply for grants under the 
AFPTA program.

8. 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.

9. 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.

10. 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. 02-32576 Filed 12-24-02; 8:45 am]
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