[Federal Register Volume 69, Number 61 (Tuesday, March 30, 2004)]
[Notices]
[Pages 16531-16535]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7083]


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DEPARTMENT OF EDUCATION


Office of Special Education and Rehabilitative Services; Overview 
Information; National Institute on Disability and Rehabilitation 
Research (NIDRR)--Small Business Innovative Research Program (SBIR); 
Notice Inviting Applications for New Awards for Fiscal Year (FY) 2004

Catalog of Federal Domestic Assistance (CFDA) Number: 84.133S-1.

DATES: Applications Available: March 31, 2004.
    Deadline for Notice of Intent to Apply: April 30, 2004.
    Deadline for Transmittal of Applications: June 1, 2004.
    Eligible Applicants: Small business concerns as defined by the 
Small Business Administration (SBA) at the time of the award. This 
definition is included in the application package.
    All technology, science, or engineering firms with strong research 
capabilities in any of the priority areas listed in this notice are 
encouraged to participate.
    Consultative or other arrangements between these firms and 
universities or other non-profit organizations are

[[Page 16532]]

permitted, but the small business concern 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 a 
SBIR award until the SBA makes a determination.
    Estimated Available Funds: $1,125,000 for new Phase I awards.

    Note: The estimated amount of funds available for new Phase I 
awards is based upon the estimated threshold SBIR allocation for 
OSERS, less prior commitments for Phase II continuation awards.


    Estimated Average Size of Awards: $75,000.
    Maximum Award: We will reject any application that proposes a 
budget exceeding $75,000 for a single budget period of 6 months. The 
Acting Deputy Assistant Secretary for Special Education and 
Rehabilitative Services may change the maximum amount through a notice 
published in the Federal Register.

    Note: Maximum award amount includes direct and indirect costs 
and fees.


    Estimated Number of Awards: 15.

    Note: The Department is not bound by any estimates in this 
notice.


    Project Period: Up to 6 months for Phase I.

Full Text of Announcement

I. Funding Opportunity Description

    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.

    Note: NIDRR supports the goals of President Bush's New Freedom 
Initiative (NFI). The NFI can be accessed on the Internet at the 
following site: http://www.whitehouse.gov/news/freedominitiative/freedominitiative.html.


    The goals of the SBIR program are in concert with NIDRR's 1999-2003 
Long-Range Plan (Plan). The Plan can be accessed on the Internet at the 
following site: http://www.ed.gov/rschstat/research/pubs/index.html.
    Through the implementation of the NFI and the Plan, NIDRR seeks 
to--(1) improve the quality and utility of disability and 
rehabilitation research; (2) foster an exchange of expertise, 
information, and training to facilitate the advancement of knowledge 
and understanding of the unique needs of traditionally underserved 
populations; (3) determine best strategies and programs to improve 
rehabilitation outcomes for underserved populations; (4) identify 
research gaps; (5) identify mechanisms of integrating research and 
practice; and (6) disseminate findings.
Background
    The Small Business Reauthorization Act (Act) of 2000 was enacted on 
December 21, 2000. The Act requires certain agencies, including the 
Department, 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 research and 
development (R/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 Department 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 
R/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 
of up to 2 years in amounts up to $500,000.
    Phase III: In Phase III, the small business must use non-SBIR 
capital to pursue commercial applications of the R/R&D. Also, under 
Phase III, Federal agencies may award non-SBIR follow-on funding for 
products or processes that meet the needs of those agencies.
    Priorities: SBIR projects are encouraged to look to the future by 
exploring uses of technology to ensure equal access to education, 
employment, and community environments and information. Under this 
competition we are particularly interested in applications that address 
one of the following priorities.
    Invitational Priorities: For FY 2004 these priorities are 
invitational priorities. Under 34 CFR 75.105(c)(1) we do not give an 
application that meets one of these invitational priorities a 
competitive or absolute preference over other applications. The 
invitational priorities relate to innovative research utilizing new 
technologies to address the needs of individuals with disabilities and 
their families.
    These priorities are:
    (1) Development of technology to support access, promote 
integration, or foster independence of individuals with disabilities in 
the community, workplace, or educational setting.
    (2) Development of technology to enhance sensory or motor function 
of individuals with disabilities.
    (3) Development of technology to support transition into post-
secondary educational or employment settings for individuals with 
disabilities.
    (4) Development of technology that promotes access to information 
in educational, employment and community settings.
    Each applicant should describe the approaches they expect to use to 
collect empirical evidence that demonstrates the effectiveness of the 
technology they are proposing in an effort to assess the efficacy and 
usefulness of the technology.

    Note: New technologies must adhere to universal design 
principles and Guidelines for More Accessible Design. Universal 
design is defined as ``the design of products and environments to be 
usable by all people, to the greatest extent possible, without the 
need for adaptation or specialized design'' (The Center for 
Universal Design, 1997. The Principles of Universal Design, Version 
2.0. Raleigh, NC: North Carolina State University. Web: http://www.design.ncsu.edu). Accessible design of consumer products will 
seek to minimize or alleviate barriers that reduce the ability of 
individuals with disabilities to effectively or safely use standard 
consumer products (For more information see--http://www.trace.wisc.edu/docs/consumer_product_guidelines/consumer.pcs/disabil.htm).


    Program Authority: The Small Business Reauthorization Act of 
2000, Pub. L. 106-554 (15 U.S.C. 631 and 638) and title II of the 
Rehabilitation Act of 1973, as amended, Pub. L. 105-220 (29 U.S.C. 
760-764).

    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 81, 82, 
84, 85, 97, 98 and 99.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: $1,125,000 for new Phase I awards.

    Note: The estimated amount of funds available for new Phase I 
awards is based upon the estimated threshold SBIR allocation

[[Page 16533]]

for OSERS, less prior commitments for Phase II continuation awards.


    Estimated Average Size of Awards: $75,000.
    Maximum Award: We will reject any application that proposes a 
budget exceeding $75,000 for a single budget period of 6 months. The 
Acting Deputy Assistant Secretary for Special Education and 
Rehabilitative Services may change the maximum amount through a notice 
published in the Federal Register.

    Note: Maximum award amount includes direct and indirect costs 
and fees.


    Estimated Number of Awards: 15.

    Note: The Department is not bound by any estimates in this 
notice.


    Project Period: Up to 6 months for Phase I.

III. Eligibility Information

    1. Eligible Applicants: Small business concerns as defined by the 
SBA at the time of the award. This definition is included in the 
application package.
    All technology, science, or engineering firms with strong research 
capabilities in any of the priority areas listed in this notice are 
encouraged to participate.
    Consultative or other arrangements between these firms and 
universities or other non-profit organizations are permitted, but the 
small business concern 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 a 
SBIR award until the SBA makes a determination.
    2. Cost Sharing or Matching: This program does not involve cost 
sharing or matching.

IV. Application and Submission Information

    1. Address to Request Application Package: You may obtain an 
application package via Internet or from the ED Publications Center (ED 
Pubs). To obtain a copy via Internet use the following address: http://www.ed.gov/fund/grant/apply/grantapps/index.html. To obtain an 
application package from ED Pubs, write or call the following: ED Pubs 
P.O. Box 1398, Jessup, MD 20794-1398. Telephone (toll free): 1-877-433-
7827. FAX: (301) 470-1244. If you use a telecommunications device for 
the deaf (TDD), you may call (toll free): 1-877-576-7734.
    You may also contact ED Pubs at its Web site: http://www.ed.gov/pubs/edpubs.html or you may contact ED Pubs at its e-mail address: 
[email protected].
    If you request an application from ED Pubs, be sure to identify 
this competition as follows: CFDA Number 84.133S-1.
    Individuals with disabilities may obtain a copy of the application 
package in an alternative format (e.g., Braille, large print, 
audiotape, or computer diskette) by contacting the program contact 
person listed under section VII of this notice.
    2. Content and Form of Application Submission: Requirements 
concerning the content of an application, together with the forms you 
must submit, are in the application package for this competition.
    Notice of Intent to Apply: Due to the open nature of the SBIR 
competition, and to assist with the selection of reviewers for this 
competition, NIDRR is requiring all potential applicants to submit a 
Letter of Intent (LOI). While the submission is mandatory, the content 
of the LOI will not be peer reviewed or otherwise used to rate an 
applicant's application. We will notify only those potential applicants 
who have failed to submit an LOI that meets the following requirements.
    Each LOI should be limited to a maximum of four pages and include 
the following information: (1) the title of the proposed project, which 
invitational priority will be addressed, the name of the company, the 
name of the Project Director or Principal Investigator (PI), and the 
names of partner institutions and entities; (2) a brief statement of 
the vision, goals, and objectives of the proposed project and a 
description of its activities at a sufficient level of detail to allow 
NIDRR to select potential peer reviewers; (3) a list of proposed 
project staff including the Project Director or PI and key personnel; 
(4) a list of individuals whose selection as a peer reviewer might 
constitute a conflict of interest due to involvement in proposal 
development, selection as an advisory board member, co-PI 
relationships, etc.; and (5) contact information for the Project 
Director or PI. Submission of a LOI is a prerequisite for eligibility 
to submit an application.
    NIDRR will accept a LOI via surface mail, e-mail, or facsimile by 
April 30, 2004. If a LOI is submitted via e-mail or facsimile, the 
applicant must also provide NIDRR with the original signed LOI within 
seven days after the date the e-mail or facsimile is submitted. The LOI 
must be sent to: Surface mail: Carol Cohen, U.S. Department of 
Education, 400 Maryland Avenue, SW., room 3420, Switzer Building, 
Washington, DC 20202-2645; or fax (202) 205-8515; or e-mail: 
[email protected].
    For further information regarding the LOI requirement contact Carol 
Cohen at (202) 205-5666.
    Page Limit: The application narrative (Part III of the application) 
is where you, the applicant, address the selection criteria that 
reviewers use to evaluate your application. You must limit Part III to 
the equivalent of no more than 25 pages, excluding any documentation of 
prior multiple Phase II awards, if applicable, and required forms, 
using the following standards:
     A ``page'' is 8.5 x 11, on 
one side only, with 1 margins at the top, bottom, and both 
sides.
     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.
     Use a font that is either 12-point or larger or 
no smaller than 10 pitch (characters per inch). Standard black type 
should be used to permit photocopying.
     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 page limit does not apply to the budget section, including the 
narrative budget justification; the one-page abstract; the resumes; the 
bibliography; the letters of support; certifications; statements; 
related application(s) or award(s); or documentation of multiple Phase 
II awards, if applicable.
    The application package will provide instructions for completing 
all components to be included in the application. Each application must 
include a 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 (subject to the 25-
page limit); and related application(s) or award(s) and documentation 
of multiple Phase II awards, if applicable.
    We will reject your application if--
     You apply these standards and exceed the page 
limit; or
     You apply other standards and exceed the 
equivalent of the page limit.
    3. Content Restrictions: If an applicant chooses to respond to the 
invitational priorities and an application is relevant to more than one 
priority, the applicant must decide which priority is most relevant to 
the application and submit the application under that priority only. 
There is no limitation on the number of different applications that an 
applicant

[[Page 16534]]

may submit under this competition. An applicant may submit separate 
applications on different topics, or different applications on the same 
priority. However, each application must respond to only one priority.
    4. Submission Dates and Times:
    Applications Available: March 31, 2004.
    Deadline for Notice of Intent To Apply: April 30, 2004.
    Deadline for Transmittal of Applications: June 1, 2004.
    The dates and times for the transmittal of applications by mail or 
by hand (including a courier service or commercial carrier) are in the 
application package for this competition. The application package also 
specifies the hours of operation of the e-Application Web site.
    We do not consider an application that does not comply with the 
deadline requirements.
    5. Intergovernmental Review: This program is not subject to 
Executive Order 12372 and the regulations in 34 CFR part 79.
    6. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    7. Other Submission Requirements: Instructions and requirements for 
the transmittal of applications by mail or by hand (including a courier 
service or commercial carrier) are in the application package for this 
competition.
    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.
    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 under the Small 
Business Innovative Research Program--CFDA Number 84.133S-1 be 
submitted electronically using the Electronic Grant Application System 
(e-Application) available through the Department's e-GRANTS system. The 
e-GRANTS system is accessible through its portal page at: http://e-grants.ed.gov.
    If you are unable to submit an application through the e-GRANTS 
system, you may submit a written request for a waiver of the electronic 
submission requirement. In your request, you should explain the reason 
or reasons that prevent you from using the Internet to submit your 
application. Address your request to: Carol Cohen, U.S. Department of 
Education, 400 Maryland Avenue, SW., room 3420, Switzer Building, 
Washington, DC 20202-2704. Please submit your request no later than two 
weeks before the application deadline date.
    If, within two weeks of the application deadline date, you are 
unable to submit an application electronically, you must submit a paper 
application by the application deadline date in accordance with the 
transmittal instructions in the application package. The paper 
application must include a written request for a waiver documenting the 
reasons that prevented you from using the Internet to submit your 
application.
    Pilot Project for Electronic Submission of Applications: We are 
continuing to expand our pilot project for electronic submission of 
applications to include additional formula grant programs and 
additional discretionary grant competitions. The Small Business 
Innovative Research Program--CFDA Number 84.133S-1 is one of the 
programs included in the pilot project. If you are an applicant under 
the Small Business Innovative Research Program, you must submit your 
application to us in electronic format or receive a waiver.
    The pilot project involves the use of e-Application. If you use e-
Application, you will be entering data online while completing your 
application. You may not e-mail an electronic copy of a grant 
application to us. The data you enter online will be saved into a 
database. We shall continue to evaluate the success of e-Application 
and solicit suggestions for its improvement.
    If you participate in e-Application, please note the following:
     When you enter the e-Application system, you 
will find information about its hours of operation. We strongly 
recommend that you do not wait until the application deadline date to 
initiate an e-Application package.
     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.
     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.
     Your e-Application must comply with any page 
limit requirements and content restrictions described in this notice.
     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).
     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.
     We may request that you give us original 
signatures on other forms at a later date.
    Application Deadline Date Extension in Case of System 
Unavailability: If you are prevented from submitting your application 
on the application deadline 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. We will grant this extension if--
    1. You are a registered user of e-Application and you have 
initiated an e-Application for this competition; and
    2. (a) The e-Application system is unavailable for 60 minutes or 
more between the hours of 8:30 a.m. and 3:30 p.m., Washington, DC time, 
on the application deadline date; or
    (b) The e-Application system is unavailable for any period of time 
during the last hour of operation (that is, for any period of time 
between 3:30 p.m. and 4:30 p.m., Washington, DC time) on the 
application deadline date.

[[Page 16535]]

    We must acknowledge and confirm these periods of unavailability 
before granting you an extension. To request this extension or to 
confirm our acknowledgement of any system unavailability, you may 
contact either (1) the person listed elsewhere in this notice under FOR 
FURTHER INFORMATION CONTACT (see VII. Agency Contact) or (2) the e-
GRANTS help desk at 1-888-336-8930.
    You may access the electronic grant application for the Small 
Business Innovative Research Program at: http://e-grants.ed.gov.

V. Application Review Information

    Selection Criteria: The selection criteria for this competition are 
in 34 CFR 75.210 of EDGAR. The specific selection criteria to be used 
for this competition are in the application package.

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN). We may also notify you informally.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: At the end of your project period, you must submit a 
final performance report, including financial information, as directed 
by the Secretary. If you receive a multi-year award, you must submit an 
annual performance report that provides the most current performance 
and financial expenditure information as specified by the Secretary in 
34 CFR 75.118.

    Note: NIDRR will provide information by letter to grantees on 
how and when to submit the report.


    4. Performance Measures: To evaluate the overall success of its 
research program, NIDRR assesses the quality of its funded projects 
through review of grantee performance and products. Each year, NIDRR 
examines, through expert peer review, a portion of its grantees to 
determine:
     The degree to which the grantees are conducting 
high-quality research, as reflected in the appropriateness of study 
designs, the rigor with which accepted standards of scientific and 
engineering methods are applied, and the degree to which the research 
builds on and contributes to the level of knowledge in the field;
     The number of new or improved tools, 
instruments, protocols, and technologies developed and published by 
grantees that are deemed to improve the measurement of disability and 
rehabilitation-related concepts and to contribute to changes or 
improvements in policy, practice, and outcomes for individuals with 
disabilities and their families; and
     The number of new or improved assistive and 
universally designed technologies, devices, and systems developed by 
grantees that are deemed to improve rehabilitation services and 
outcomes and enhance opportunities for participation by, and are 
successfully transferred to industry for potential commercialization.

VII. Agency Contact

FOR FURTHER INFORMATION CONTACT: Kristi E. Wilson, U.S. Department of 
Education, 400 Maryland Avenue, SW., room 3433, Switzer Building, 
Washington, DC 20202-2645. Telephone: (202) 260-0988 or by e-mail: 
[email protected].
    If you use a telecommunications device for the deaf (TDD), you may 
call the TDD number at (202) 205-4475 or 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 the program contact person listed in this 
section.

VIII. Other Information

    Electronic Access to This Document: You may view this document, as 
well as all other documents of this Department published in the Federal 
Register, in text or Adobe Portable Document Format (PDF) on the 
Internet at the following site: http://www.ed.gov/news/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: www.gpoaccess.gov/nara/index.html.


    Dated: March 24, 2004.
Troy R. Justesen,
Acting Deputy Assistant, Secretary for Special Education and 
Rehabilitative Services.
[FR Doc. 04-7083 Filed 3-29-04; 8:45 am]
BILLING CODE 4000-01-P