[Federal Register: May 13, 2002 (Volume 67, Number 92)]
[Notices]
[Page 32020-32022]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13my02-50]
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DEPARTMENT OF EDUCATION
[CFDA Nos. 84.133S and 84.305S]
Office of Special Education and Rehabilitative Services (OSERS)
and the Office of Educational Research and Improvement (OERI); Small
Business Innovation Research (SBIR) Program--Phase I Notice Inviting
Grant Applications for New Awards for Fiscal Year (FY) 2002
Note to Applicants: Beginning in FY 2002, OSERS and OERI are
switching from contracts to grants to conduct the Department's SBIR
Phase I competition.
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 2002, 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: May 15, 2002.
[[Page 32021]]
Deadline for Transmittal of Applications: July 10, 2002.
Estimated Available Funds: Up to $4,200,000 for new Phase I awards.
The estimated amount of funds available for new Phase I awards is
based upon the threshold SBIR allocation for OSERS and OERI, minus
prior commitments for Phase II continuation awards. The actual funds
available could be less, should either office make any new Phase II
awards (contracts) in FY 2002.
Estimated Average Size of Awards: Up to $75,000.
Maximum Award: We will reject any application that proposes a
budget exceeding $75,000 for a single budget period of 6 months.
Estimated Number of Awards: 40.
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 attachments
responding to the ``Assurances, Certifications, and Disclosures''
section of the application package. The following standards should be
used:
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
that 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 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); an abstract
or summary page; a description of the technical content, staff
qualifications, facilities and equipment, budget requirements (ED Form
524 or facsimile), and related application(s) or award(s); and
documentation of multiple Phase II awards.
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.
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 II of the Rehabilitation Act
of 1973, as amended, Pub. L. 105-220 (29 U.S.C. 760-764); The
Educational Research, Development, Dissemination, and Improvement Act
of 1994, Pub. L.
103-227 (20 U.S.C. 6001 et seq.
(b) Regulations--General Applicability. The Education Department
General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77,
81, 82, 85, 97, and 98.
(c) Regulations--Limited Applicability. For OERI, its program
regulations in 34 CFR part 700 (except for subpart D-Evaluation
Criteria).
Note on Peer Review Procedures: OSERS and OERI will apply their own
requirements. (1) For OSERS, the requirements are contained in 29
U.S.C. 760 and 762(f); (2) For OERI, the requirements are contained in
34 CFR part 700, subparts B and C.
Priorities
For FY 2002, we have selected 10 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 should be limited to one priority listed in this
notice. When an application is relevant to more than one priority, the
applicant should 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)
The following seven priorities relate to innovative research
utilizing new technologies (including nanotechnologies and
biotechnologies) to address the needs of individuals with disabilities
and their families.
Priority 1--Development of Technology to Support Access and
Integration of Individuals with Disabilities in the Community,
Workplace, or Educational Setting.
Priority 2--Research and Development of Technology to Improve the
Sensory or Motor Health of Individuals with Disabilities.
Priority 3--Research and Development of Assistive Technology to
Improve the Function of Individuals with Disabilities of All Ages.
Priority 4--Research and Development of Technology to Improve
School to Work Transition and Employment Outcomes for Individuals with
Disabilities.
Priority 5--Research in Positive Behavioral Supports or Behavioral
Health Care to Support Independent Living/Community Integration and
Participation in Educational and Vocational Activities.
Priority 6--Research and Development of Technology in Support of
Early Intervention for Infants, Toddlers, and Small Children.
Priority 7--Research and Development of Outcome Measurements
Related to Use of Disability and Rehabilitation Technologies in
Medical, Community, Home, Transportation, Educational, or Employment
Settings.
CFDA Number 84.305S: The Office of Educational Research and Improvement
(OERI)
The following three priorities focus on student achievement of at-
risk students in pre-kindergarten to postsecondary education and adult
learning.
Priority 8--Development and Adaptation of Innovative Technologies
to Improve Instruction, Learning, and Achievement in Reading,
Mathematics, and Sciences.
Priority 9--Development and Adaptation of Innovative Technologies
[[Page 32022]]
to Support High Standards and Accountability through Testing,
Assessment, and Evaluation.
Priority 10--Development and Adaptation of Innovative Technologies
to Improve the Involvement of Parents and Communities in Education and
to Use Resources Effectively for Student Learning and Education Reform.
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) Quality of Project Design (45 points).
(b) Significance (25 points).
(c) Quality of Project Personnel (20 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.
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 (beginning in FY 2003).
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 Priorities 1-7 (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 Priorities 8-10 (OERI): Ram Singh, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 514, Washington, DC 20208-
5573. Telephone (202) 219-2025 or via Internet: ram.singh@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 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:
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); and Pub. L. 103-227 (The
Educational Research, Development, Dissemination, and Improvement
Act of 1994).
Dated: May 8, 2002.
Robert H. Pasternack,
Assistant Secretary for Special Education and Rehabilitative Services.
Grover J. Whitehurst,
Assistant Secretary for Educational Research and Improvement.
[FR Doc. 02-11924 Filed 5-10-02; 8:45 am]
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