[Federal Register: May 13, 2002 (Volume 67, Number 92)]
[Page 32020-32022]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



[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 
    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.

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    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 

    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 
     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 
    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.


    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 
    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 

CFDA Number 84.305S: The Office of Educational Research and Improvement 

    The following three priorities focus on student achievement of at-
risk students in pre-kindergarten to postsecondary education and adult 
    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.



    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 
    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.

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 
    Individuals with disabilities may obtain a copy of the application 
package in an alternative format by contacting one of the 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: 
    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://

    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]