Application for Federal Assistance

U.S. DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

WASHINGTON, D.C. 20202-2575

FY 2008 APPLICATION KIT FOR NEW GRANTS

UNDER

THE NATIONAL INSTITUTE ON DISABILITY AND REHABILITATION RESEARCH

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

PHASE II

CFDA NUMBER: 84.133S-2

FORM APPROVED

OMB No. 1820-0685, EXP. DATE: 6/30/2009

ED FORM 424, OMB Approved: 1820-0685

DATED MATERIAL - OPEN IMMEDIATELY

CLOSING DATE:

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1820-0685. The time required to complete this information collection is estimated to average 75 hours per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4651. If you have comments or concerns regarding the status of your individual submission of this form, write directly to: Lynn Medley, Management/Program Analyst, NIDRR, Planning, Budget and Evaluation, U.S. Department of Education, Room 6027 PCP, 400 Maryland Ave., Washington, D.C. 20202.

TABLE OF CONTENTS

Grants.gov Submission Procedures and Tips for Applicants  Section A

PROGRAM OVERVIEW Section B

Introduction

Authorization

Applicant Eligibility

Key Dates and Award Information

Recent Changes in Legislation

AGENCY CONTACTS Section C

DEFINITIONS Section D

GRANT APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS Section E

Application Requirements

Protection of Information in Applications

Limitations on Length of Application

Phase II Application Guidance (Including Protection of Human Subjects Information)

DUNS Number Instructions

METHOD OF SELECTION AND EVALUATION CRITERIA Section F

Introduction

Evaluation Criteria for Phase II

Release of Grant Application Review Information

CONSIDERATIONS Section G

Reports

Government Performance and Results Act

Innovations, Inventions, and Patents

Subcontracting Limits – Research and Analytical Work

Joint Ventures or Limited Partnerships

Cost-Sharing

Profit/Fee

American Made Equipment and Products

Standard Terms and Conditions

Additional Information

APPLICATION TRANSMITTAL INSTRUCTIONS Section H

SCIENTIFIC AND TECHNICAL INFORMATION SOURCES Section I

CHECKLIST

SECTION A

Grants.gov Submission Procedures and Tips for Applicants

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education.

1. REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You may begin working on your application while completing the registration process, but you cannot submit an application until all the registration steps are complete. For detailed information on the registration steps, please go to: http://www.grants.gov/applicants/get_registered.jsp. [Note: Your organization will need to update its Central Contractor Registry (CCR) registration annually.]

2. SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection. The time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully before 4:30 p.m. on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when your organization registered with the CCR (Central Contractor Registry).

3. VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of Education receive your Grants.gov submission timely and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30 p.m. on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

If the date/time received is later than 4:30 p.m. Washington, D.C. time, on the closing date, your application is late. If your application has a status of “Received”, it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/help/submit_application_faqs.jsp#10. For more detailed information on why an application may be rejected, you can review Application Error Tips http://www.grants.gov/section910/ApplicationErrorTips.pdf. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or use the customer support available on the Web site: http://www.grants.gov/applicants/applicant_help.jsp.

If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register Notice and get a hard copy application postmarked by midnight on the deadline date.

If electronic submission is required, you must submit an electronic application before 4:30 p.m., unless you follow the procedures in the Federal Register Notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. (See the Federal Register Notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. You must provide on your application the DUNS number that was used when your organization registered with the CCR.

Please go to http://www.grants.gov/applicants/applicant_help.jsp for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the Grants.gov http://www.grants.gov/help/submit_application_faqs.jsp.

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you may want to consider following the instructions in the Federal Register Notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register Notice for detailed instructions.)

MAC Users

If you do not have a Windows operating System, you will need to use the Citrix solution discussed on Grants.gov or a Windows Emulation program to submit an application using Grants.gov. For additional information, review the FAQs for non-windows users http://www.grants.gov/resources/download_software.jsp#non_window. Also, to view white paper for Macintosh users published by Pure Edge go to the following link: http://www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf, and/or contact Grants.gov Customer Support (http://www.grants.gov/contactus/contactus.jsp) for more information. If electronic submission is required and you are concerned about your ability to submit electronically as a non-windows user, please follow instructions in the Federal Register Notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register Notice for detailed instructions.)

SECTION B

Program Overview

U.S. DEPARTMENT OF EDUCATION

SMALL BUSINESS INNOVATION RESEARCH (SBIR)

PROGRAM ANNOUNCEMENT for FY 2008

PHASE II

PROGRAM OVERVIEW

1. Introduction

The U.S. Department of Education (ED), Office of Special Education and Rehabilitative Services (OSERS), National Institute on Disability and Rehabilitative Research (NIDRR) invites small business firms to submit Phase II research applications under this program announcement entitled Small Business Innovative Research (SBIR). Phase I projects determine, insofar as is possible, the scientific or technical merit and feasibility of ideas submitted under the SBIR program. Phase II projects expand on the results of and further pursue the development of a Phase I project. Phase II is the principal research or research and development effort. It requires a more comprehensive application, outlining the effort in detail, including its commercial potential. Phase II applicants must be Phase I awardees with findings that appear sufficiently promising to warrant further research. Applications are evaluated by panels of experts based on criteria published in this program announcement. The Phase II funding vehicle is a grant. In Phase III, the small business grantees must use non-SBIR capital to pursue commercial applications of the research and 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.

Awards should not exceed a period of two (2) years with a maximum two (2)-year total of $500,000. Phase II awards may include a reasonable profit/fee as part of the amount of funds awarded per year. Applicants are allowed the option to distribute the $500,000 maximum award amount for a two (2)-year performance period in equal amounts for each budget period or to request an alternative distribution of funds. The Department of Education expects to make approximately five (5) Phase II grant awards.

The purpose of this program is to stimulate technological innovation in the private sector, strengthen the role of small business in meeting Federal research and research and development 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.

2. Authorization

P.L. 106-554, the “Small Business Reauthorization Act of 2000, H.R. 5667” (the “Act”) 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 research and development through a uniform, highly competitive, three-phase process. The Act further requires the Small Business Administration (SBA) to issue policy directives for the general conduct of the SBIR programs within the Federal Government.

Note. -- The Small Business Innovation Research Policy Directive Notice was published in the “Federal Register” / Vol. 67, No. 185 / Tuesday, September 24, 2002 / pages 60072 – 60098. It is also available from the Small Business Administration’s SBIR website at:

http://www.sba.gov/sbir/sbirpolicydirective.html

The SBIR policy directive guides the information and requirements set forth in this application package.

Funding for those awards issued as a result of this solicitation come from:

• Title II of the Rehabilitation Act of 1973, as amended, Pub. L. 105-220 (29 U.S.C. 760-764).

3. Applicant Eligibility

Each organization submitting an application must qualify as a small business concern as defined by the Small Business Administration. The complete definition is included in Section IV, “Definitions.”

Consultative or other arrangements between such firms and universities or other non‑profit organizations are permitted, but the small business must serve as the grantee.

In addition, the primary employment of the principal investigator must be with the small business firm at the time of award and during the conduct of the proposed research. That is, more than one-half of the principal investigator’s working time must be spent with the small business firm during the period of performance. Also, the research or research and development work must be performed in the United States. “United States” means the 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

Joint ventures are permitted, provided that the business entity created qualifies as a small business in accordance with the Small Business Act, 15 U.S.C. 631. For Phase II, the proposing firm must perform at least one-half of the research and/or analytic effort. Furthermore, the total of all consultant fees, facility leases or usage fees, and other subcontracts or purchase agreements may not exceed one‑half of the total funding agreement price.

All Phase I work must be completed by the closing date of this Program Announcement before a Phase II application is evaluated.

SBIR Eligibility Checklist

• For-profit small business concern.

• At least 51% U.S.-owned and independently operated.

• Small business located in the U.S.

• Principal investigator’s primary employment with small business during the project.

• 500 or fewer employees.

Department of Education staff will examine all SBIR grant applications with the above considerations in mind. 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 provides a determination.

3. Key Dates and Award Information

The Department of Education is required under P.L. 106-554 to participate in the Small Business Innovation Research (SBIR) program. The Government’s obligation under this award is contingent upon the availability of appropriated funds from which payments are made. The Department is not bound by the estimates given below.

The Department of Education expects to make approximately five (5) Phase II grant awards ranging from $250,000 to $500,000 for a two (2)-year project period beginning in 2008 for CFDA number 84.133S-2. The Department expects to announce awards no later than September. The project start date should be October 1, 2008. Successful applicants have up to 24 months to carry out the proposed Phase II effort.

OSERS is under no obligation to fund any specific application and is not responsible for any monies expended by the applicant before an award.

3. Changes in Legislation

The authorizing legislation (P.L. 106-554, the “Small Business Reauthorization Act of 2000, H.R. 5667” of the Consolidated Appropriations Act of 2001) was enacted on December 21, 2000. The law requires two (2) significant programmatic changes especially pertinent to Phase II applicants:

1. Commercialization Plan -- A succinct commercialization plan must be included with each proposal for an SBIR Phase II award moving toward commercialization. More specific information is included in this Phase II program announcement.

2. Data Collection Requirement – Each Phase II applicant will be required to provide information for the Small Business Administration’s (SBA) Tech-Net Database System. Phase II awardees are required to update the appropriate information on the award in the Tech-Net database upon completion of the last deliverable under the funding agreement. The firm is also requested to update voluntarily the information in the Tech-Net database annually thereafter for a minimum period of five (5)-years. (http://technet.sba.gov)

3. NIDRR Supports Manufacturing-Related Innovation (Executive Order 13329) – Executive Order 13329 states that continued technological innovation is critical to a strong manufacturing sector in the United States economy and ensures that Federal agencies assist the private sector in its manufacturing innovation efforts. The Department’s SBIR program encourages innovative research and development (R&D) projects that are manufacturing-related, as defined by Executive Order 13329. Manufacturing-related R&D encompasses improvements in existing methods or processes, or wholly new processes, machines or systems. Broadly speaking, the Department’s SBIR program encourages R&D in manufacturing through systems level technologies. The projects supported under the Department’s SBIR program encompass a range of manufacturing-related R&D, including projects leading to the manufacture of such items as artificial intelligence or information technology devices, software, and systems. For more information on Executive Order 13329, please visit the following Web site: http://www.sba.gov/sbir/execorder.html or contact Lynn Medley at: [email protected]

SECTION C

Agency Contacts

AGENCY CONTACTS

All questions about the OSERS/NIDRR SBIR program should be directed to:

 

Lynn Medley

Program/Management Analyst

US Department of Education

Rm. 6027 – PCP

400 Maryland Avenue Phone: (202) 245-7338

Washington, D.C. 20202 Email: [email protected]

The following table includes points of contact information for the ED awarding component:

AWARDING COMPONENT CONTACT INFORMATION
AWARDING COMPONENT	PROGRAM OFFICE CONTACT	GRANTS MANAGEMENT CONTACT
Office of Special Education and Rehabilitative Services (OSERS)/National Institute on Disability and Rehabilitation Research (NIDRR) http://www.ed.gov/about/offices/list/osers/index.html http://www.ed.gov/about/offices/list/osers/nidrr/index.html	Delores Watkins Phone: (202) 245-7568 Email: [email protected]	Lynn Medley Phone: (202) 245-7338 Email: [email protected]

Address questions pertaining to human subjects research issues to:

Coordinator, Protection of Human Subjects

Grants Policy and Oversight Staff

U.S. Department of Education

Room 7103 – PCP

550 12th Street, SW Phone: Jeffery Rodamar

Washington, DC 20204-4248 Email: 202-245-6153

 

SECTION D

Definitions

DEFINITIONS

The Small Business Administration (SBA) developed the following definitions relevant to the Small Business Innovation Research (SBIR) Program:

Applicant

The organizational entity that, at the time of award, will qualify as a Small Business Concern (SBC) and that submits a contract proposal or a grant application for a funding agreement under the SBIR Program.

Affiliate

This term has the same meaning as set forth in 13 CFR Part 121 - Small Business Size Regulations, §121.103.

Awardee

The SBC receiving an SBIR funding agreement.

Commercialization

The process of developing marketable products and/or services and producing and delivering products or services for sale (whether by the originating party or by others) to Government and/or commercial markets.

Essentially Equivalent Work

The "scientific overlap," which occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency;  (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

Extramural Budget

The sum of the total obligations for research or research and development minus amounts obligated for research or research and development activities by employees of a Federal agency in or through Government­-owned, Government-­operated facilities.

Feasibility

The practical extent to which a project is capable of being successfully performed.

Historically Underutilized Business Zone (HUBZone)

An SBC meeting the following criteria:

1. Located in a “historically underutilized business zone” or HUBZone area located in one or more of the following:

   1. A qualified census tract (as defined in section 42(d)(5)(C)(i)(l) of the Internal Revenue Code of 1986;

   2. A qualified “non-metropolitan county” (as defined in section 143(k)(2)(B) of the Internal Revenue Code of 1986) with a median household income of less than 80 percent of the State median household income or with an unemployment rate of not less than 140 percent of the Statewide average, based on US Department of Labor recent data; or,

   3. Lands within the boundaries of federally recognized Indian reservations.

2. Owned and controlled by one or more US Citizens; and,

3. At least 35% of its employees must reside in a HUBZone.

Innovation

Something new or improved, having marketable potential, including (1) development of new technologies, (2) refinement of existing technologies, or (3) development of new applications for existing technologies.

Intellectual Property

The separate and distinct types of intangible property that are referred to collectively as "intellectual property," including but not limited to:  patents, trademarks, copyrights, trade secrets, SBIR technical data (as defined in this section), ideas, designs, know-how, business, technical and research methods, and other types of intangible business assets, and including all types of intangible assets either proposed or generated by an SBC as a result of its participation in the SBIR Program.

Joint Venture

An association of persons or concerns with interests in any degree or proportion by way of contract, express or implied, consorting to engage in and carry out a single specific business venture for joint profit, for which purpose they combine their efforts, property, money, skill, or knowledge, but not on a continuing or permanent basis for conducting business generally.  A joint venture is viewed as a business entity in determining power to control its management, has its own Employer Identification Number as assigned by the Internal Revenue Service, and is eligible under the SBIR Program provided that the entity created qualifies as a "SBC" as defined in this section.

Manufacturing-Related

Relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection (as defined in Executive Order 13329).

Principal Investigator/Project Manager

The one individual designated by the applicant to provide the scientific and technical direction to the project that will be supported by the funding agreement.

Prototype

A model of something to be further developed, which includes designs, protocols, questionnaires, software, and devices.

Research or Research and Development

Any activity that is:

1. A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

1. A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

2. A systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

SBIR Technical Data

Means all data generated in the performance of any SBIR funding agreement.

SBIR Technical Data Rights

The rights an SBC obtains in data generated in the performance of any SBIR funding agreement that an awardee delivers to the Government during or upon completion of a Federally funded project, and to which the Government receives a license.

Small Business Concern

A concern that, on the date of award for both Phase I and Phase II funding agreements:

1. is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

2. is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture (as defined in this section) there can be no more than 49 percent  participation by foreign business entities in the joint venture;

3. is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and,

4. has, including its affiliates, not more than 500 employees.

Socially and Economically Disadvantaged Individual

A member of any of the following groups:

1. Black Americans;

2. Hispanic Americans;

3. Native Americans;

4. Asian Pacific Americans

5. Subcontinent Asian Americans;

6. Other groups designated from time to time by SBA to be socially disadvantaged; or any other individual found to be socially and economically disadvantaged by SBA pursuant to Section 8(a) of the Small Business Act, 15 U.S. C. 637(a).

Subcontract

Any agreement, other than one involving an employer/­employee relationship, entered into by an awardee of a funding agreement calling for supplies or services required solely for the performance of the original funding agreement.

United States

Means the 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

Woman-Owned Small Business Concern

A small business concern that is at least 51 percent owned and operated by a woman or women who also control an operate it. “Control” in this context means exercising the power to make policy decisions. “Operate” in this context means being actively involved in the day-to-day management.

SECTION E

Grant Application Preparation Instructions and Requirements

GRANT APPLICATION PREPARATION INSTRUCTIONS

AND REQUIREMENTS

Application Requirements

An application to OSERS/NIDRR under the SBIR program should present a sound approach to the investigation of an important disability, rehabilitation, education, technological, engineering or scientific question that is worthy of support under the stated criteria of this program announcement.

An application should be self-contained and written with the care and thoroughness accorded to papers for publication. The applicant should review the program announcement carefully to ensure that information and data essential for evaluation are included. The scientific and technical merit of the proposed research is the primary concern for all research supported by ED. [NOTE: The number of points weighted to this area is contained in the “Evaluation Criteria.”]

The application's research or research and development must be responsive to the OSERS program objectives, but it should also serve as the base for technological innovation, new commercial products, processes or services, and manufacturing that may benefit the public. Applications must be confined principally to advanced concepts in disability, rehabilitation, educational and assistive technologies, scientific or engineering research or research and development; or manufacturing-related Research and development encompassing improvements in existing methods or processes, or wholly new processes, machines or systems.

A firm must not propose market research, patent applications, or litigation. The research may be carried out through construction and evaluation of a laboratory prototype, where necessary.

Applications primarily for the development of proven concepts toward commercialization or for market research should not be submitted because such efforts are considered the responsibility of the private sector.

1. Protection of Information in Applications

It is ED policy to use information included in applications for evaluation purposes only, and to protect such information from unauthorized use or disclosure. While this policy does not require that the application bear a notice, protection can be assured only to the extent that the “Legend” specified in “Considerations” instructions for “Rights in Data Developed Under SBIR Funding Agreements” is applied to those data that constitute trade secrets or to other commercial or financial information that is confidential or privileged. Other information may be afforded protection to the extent permitted by law, but ED assumes no liability for use and disclosure of information to which the “Legend” has not been appropriately applied.

B. Limitations on Length of Application

This program announcement is designed to reduce the investment of time and money to small firms in preparing a formal application. Those who wish to respond must submit a SBIR Phase II application narrative of no more than 50 pages, excluding any supporting documentation regarding funding commitments (see “Project Narrative – DOCUMENTATION OF FUNDING/RESOURCE COMMITMENTS.”); and required forms.

The application must be clear, readily legible, and conform to 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 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 Department 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.

In the interest of equity to all applicants, all information must be in the 50 pages. No appendices or attachments (e.g., computer discs, videotapes, etc.), other than the exclusion cited above, may be submitted and, if submitted, they will not be considered in the review of the proposal for scientific and technical merit.

The application should be direct, concise, and informative. Promotional and other discussion not related to the project is discouraged. The application must be primarily directed at research or research and development on the specific proposed project.

2. Phase II Application Guidance

To avoid any misunderstanding, applicants should be aware that applications not satisfying all the required instructions will be returned to the proposing organization without review. Those applications may not be resubmitted with or without revision under this program announcement. All copies of the applications not accepted for evaluation will be returned.

 

1. REQUIRED FORMS. The instructions indicate that you can either submit your application electronically through the grants.gov system or you can mail (postmarked) or hand-deliver or by carrier services on original and two copies of your application on or before the application deadline date, to the address listed in Section VIII-Application Transmittal Instructions and Section XI Notice Inviting Applications.

2. ONLY THE PRIMARY INSTITUTION FILLS OUT THE REQUIRED FORMS. Any partner or collaborating groups will be a subcontractor to the primary. The only paperwork the subcontractor should complete is that required by the primary institution. You should include a letter of intent in the application from any collaborating group saying that if awarded what goals/duties they will be responsible for and the dollar amount associated with their involvement.

Application for Federal Assistance SF 424

1. Leave these blocks blank or enter N/A: block 4-Applicant Identifier, block 5-Applicant Identifier, block 5a- Federal Entity, block 5b- Federal Award Identifier, block 6-Date Received by State, and block 7,-State Application Number.

2. CFDA Number: In the title block of #11 on the SF 424 form, please note the appropriate CFDA. If applying via Grants.gov this area will populate automatically.

3. Legal Name: Block #8a is for the name of institution or entity that will be responsible for this grant if funded. If applying via Grants.gov this will match with information in the Central Contractor Registry (CCR).

4. DUNS number: It is important to verify with your fiscal office the DUNS number, which goes in Block #8c on the ED 424 form. If you do not have one, call 1-800-333-0505 to set one up. This number is required. If applying via Grants.gov you must enter the DUNS number for your organization used when it registered with the CCR.

5. Block #18a: The total amount of Federal funds requested includes both direct and indirect costs for the first year only. The totals on the ED 524 form must include direct and indirect costs and no year can be over the maximum amount.

6. Block #18b: The amount of cost share/matching that the applicant is providing. This amount should be on the “B” side of the ED 524 form and described in the budget narrative.

7. Block #18f: The amount of program income that is estimated to be generated by this application if funded. It should be described in the budget narrative.

8. EO 12372: Mark Block #19, the EO 12372 as no and not covered. This program is not covered.

ED Supplemental (If applying through Grants.gov

9. Project Director: Block #1, Project director information. The Project Director is the primary person responsible for meeting the goals and objectives of the grant.

10. Novice applicant: Block #2. Please leave Block #6 blank. Does not apply to NIDRR programs.

11. Human Subjects: Block #3. You must include a separate 7-point narrative for each site where the research is

being conducted. If you check “no”, please include a paragraph of why it is not required. IRB approval is not

required at the time of award, but must be in place before research begins.

ED 524

11. Budget Information: BE SURE TO CHECK THE MATH - the application will not be reviewed if the request for funds on block 18a of the SF 424 form, the ED 524 form or the budget justifications goes over the maximum amount for any year (direct and indirect costs). The funding amounts requested under individual budgetary line items on the Budget Summary page of the SF 424 form must be consistent with requested funding amounts specified in the budget narrative. A detailed budget narrative is needed for the total grant period.

 

1. Project Narrative – ABSTRACT, CERTIFICATIONS, STATEMENTS, and LEGEND

 

(1)) ABSTRACT. The applicant should provide an abstract with the following two components. Nothing in this section should be proprietary or confidential.

(1)   Technical Abstract of no more than 200 words.

(2)   Summary of Anticipated Results and Potential Commercial Applications of the research (for both Phases I and II).

b)      CERTIFICATIONS. The applicant should respond to the following certifications required by the Small Business Administration.

 

Small Business Certification --

Does the applicant certify that it is a SBC and meets the definition as stated in the program announcement or that it will meet that definition at the time of award?

¡ Yes ¡ No

 

[NOTE: The next three (3) items are for statistical purposes only.]

Socially and Economically Disadvantaged SBC Certification --

Do you qualify as a socially and economically disadvantaged SBC and meet the definition as stated in this program announcement?

¡ Yes ¡ No

 

Woman-owned SBC Certification --

Do you qualify as a woman-owned SBC and meet the definition as stated in this program announcement?

¡ Yes ¡ No

 

HUBZone-owned SBC Certification --

Do you qualify as a HUBZone-owned SBC and meet the definition as stated in this solicitation?

¡ Yes ¡ No

The website listed below contains information about the SBA’s HUBZone program:

http://www.sba.gov/hubzone/

3. STATEMENTS. The applicant should respond to the following statements required by the Small Business Administration.

Duplicate Research Statement --

Has the applicant and/or Principal Investigator submitted applications/proposals for essentially equivalent work under other Federal program announcements or received other Federal awards for essentially equivalent work?

¡ Yes ¡ No

If yes, identify applications/proposals and/or awards in “Project Narrative – RELATED APPLICATION(S) or AWARD(S).”

Disclosure Permission Statement –

Will you permit the Government to disclose the title and technical abstract page of your proposed project, plus the name, address, and telephone number of the corporate official of your firm, if your application does not result in an award, to concerns that may be interested in contacting you for further information?

¡ Yes ¡ No

4. LEGEND for PROPRIETARY INFORMATION. Information contained in unsuccessful applications will remain the property of the applicant. The Government may, however, retain copies of all applications. Public release of information in any application submitted will be subject to existing statutory and regulatory requirements.

If proprietary information provided by an applicant in an application, which constitutes a trade secret, proprietary commercial or financial information, confidential personal information, or data affecting the national security, it will be treated in confidence, to the extent permitted by law. This information must be clearly marked by the applicant with the term "confidential proprietary information” and the following legend must appear in this section of the application:

“These data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this application. If a funding agreement is awarded to this applicant as a result of or in connection with the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government’s right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages ______ of this application.”

Any other legend may be unacceptable to the Government and may constitute grounds for removing the application from further consideration, without assuming any liability for inadvertent disclosure. The Government will limit dissemination of such information to/within official channels.

3. Project Narrative – TECHNICAL CONTENT

The subcategories of this section directly correspond to the “Evaluation Criteria” listed in this Program Announcement. Please up-load under the “Project Narrative Attachment Form” in grants.gov.

1. Significance:

   1. Identification and Significance of the Problem or Opportunity. Make a clear statement of the specific research problem or opportunity addressed and why it is important.

   2. Related Research or Research and Development. Describe significant research or research and development that is directly related to the application, including any conducted by the principal investigator or by the applicant’s firm. Describe how it relates to the proposed effort, and describe any planned coordination with outside sources. The purpose of this section is to persuade reviewers of the applicant’s awareness of key recent developments in the specific priority area. It should also demonstrate that the proposed research differs significantly from existing technologies and does not substantially duplicate any ongoing or previous research by the small business or other researchers.

2. Quality of the Project Design:

   1. Phase II Technical Objectives. State the specific objectives of the Phase II research or research and development effort. The purpose is to demonstrate that the objectives are appropriate for a two-year research and development period.

   2. Phase I Results. Present a synopsis of the Phase I results. This should constitute a discussion of the overall background and technical approach, indicating how work accomplished in Phase I promises to lead to success in Phase II. The applicant should provide sufficient detail to demonstrate the level of accomplishment and the extent to which it shows that the Phase II effort is based on a feasible idea. Do not assume that the reviewers have read the Phase I final report.

   3. Phase II Work Plan. Include a detailed description of the Phase II research and development plan. The plan should indicate not only what will be done, but also how the research and development will be carried out. The adequacy of the work plan (and schedule) will be considered. Phase II research and development should address the technical objectives cited above. The methods planned to achieve each objective or task should be discussed in detail. The applicant should provide sufficient detail to indicate how the research objectives will be investigated.

THE “WORK PLAN” SHOULD BE AT LEAST ONE-THIRD OF THE APPLICATION.

4. Human Subjects in Research. If applicable, include a narrative of human subject involvement. Projects involving research on human subjects will require grantee compliance with the Department of Education’s Protection of Human Subjects Regulations, 34 CFR Part 97. Copies of the Department of Education’s regulations for the Protection of Human Subjects are available from:

Grants Policy and Oversight Staff (GPOS)

Office of the Chief Financial Officer

400 Maryland Avenue SW

Washington, DC 20202-4248

(202) 401-0085

This information is also available on the ED website at:

http://www.ed.gov/about/offices/list/ocfo/humansub.html

For a quick overview, see in particular “Information About the Protection of Human Subjects in Research Supported by the Department -- Overview.”

Please give thorough consideration for the need of any human subject involvement in the Phase II research and development work. All human subjects in research issues MUST be resolved prior to a grant award.

Unless all the proposed human subjects research meets one or more of the regulation’s exemptions, awardees involving human subjects will be requested to file an “Assurance of Compliance with the Regulations” and have the project’s research protocol reviewed and approved by an Institutional Review Board (IRB). The costs related to obtaining required Institutional Review Board reviews can be included as a direct cost, provided the costs are necessary and reasonable.

YOU DO NOT NEED AN ASSURANCE OR IRB APPROVAL AS A CONDITION OF APPLYING FOR THIS AWARD.

5. Protection of Pupil Rights Amendment (PPRA). This grant is subject to the Protection of Pupil Rights Amendment (PPRA), 20 U.S.C. 1232h, 34 CFR Part 98. PPRA is a law that governs the administration of certain Department-funded surveys. The law provides that a school district must obtain the prior written consent of a parent if the district “requires” a student to take a survey, i.e., the survey is not voluntary. In addition, the PPRA only applies to a survey if the survey asks certain types of questions (e.g., questions that reveal information about illegal behavior, psychological problems potentially embarrassing to the student, or sex behavior and attitudes). Grantees should be aware of the requirements of PPRA if they plan to use Departmental funds to develop surveys for elementary or secondary school students.

For additional information or technical assistance, you may call (202) 260-3887 (voice). Individuals who use TDD may call the Federal Information Relay Service at 1-800-877-8339. Or you may contact us at the following address:

Family Policy Compliance Office -- U.S. Department of Education
400 Maryland Avenue, SW -- Washington, D.C. 20202-4605

Information is also available on the ED website at:

http://www.ed.gov/policy/gen/guid/fpco/index.html

6. Commercialization Plan. All Phase II applications must include a succinct Commercialization Plan. The Commercialization Plan is limited to 10 pages. There is no requirement for applicants to use the maximum allowable pages allotted to the Commercialization Plan. Provide a description in each of the following areas:

1. Project Value, Expected Outcomes, and Impact. Describe, in layperson's terms, the proposed project and its key technology objectives. Clarify the need addressed, specifying weaknesses in the current approaches to meet this need. In addition, describe the commercial applications of the research and the innovation inherent in this application. Be sure to also specify the potential societal, educational, and/or scientific benefits of this work. Explain the non-commercial impacts to the overall significance of the project. Explain how the SBIR project integrates with the overall business plan of the company.

2. Company. Give a brief description of your company including corporate objectives, core competencies, present size (annual sales level and number and types of employees), history of previous Federal and non-Federal funding, regulatory experience, and subsequent commercialization, and any current products/services that have significant sales. Include a short description of the origins of the company. Indicate your vision for the future, how you will grow/maintain a sustainable business entity, and how you will meet critical management functions as your company evolves from a small technology research and development business to a successful commercial entity.

3. Market, Customer, and Competition. Describe the market and/or market segments you are targeting and provide a brief profile of the potential customer. Tell what significant advantages your innovation will bring to the market, e.g., better performance, lower cost, faster, more efficient or effective, new capability. Explain the hurdles you will have to overcome in order to gain market/customer acceptance of your innovation. Describe any strategic alliances, partnerships, or licensing agreements you have in place and to market and sell your product. Briefly describe your marketing and sales strategy. Give an overview of the current competitive landscape and any potential competitors over the next several years. (It is very important that you understand and know the competition.)

4. Intellectual Property (IP) Protection. Describe how you are going to protect the IP that results from your innovation. Also note other actions you may consider taking that will constitute at least a temporal barrier to others aiming to provide a solution similar to yours.

5. Finance Plan. Describe the necessary financing you will require, and when it will be required, as well as your plans to raise the requisite financing to launch your innovation into Phase III and begin the revenue stream. Plans for this financing stage may be demonstrated in one or more of the following ways:

• Letter of commitment of funding.

• Letter of intent or evidence of negotiations to provide funding, should the Phase II project be successful and the market need still exist.

• Letter of support for the project and/or some in-kind commitment, e.g., to test or evaluate the innovation.

• Specific steps you are going to take to secure Phase III funding.

6. Production and Marketing Plan. Describe how the production of your product/ service will occur (e.g., in-house manufacturing, contract manufacturing). Describe the steps you will take to market and sell your product/service. For example, explain plans for licensing, Internet sales, etc.

6. Revenue Stream. Explain how you plan to generate a revenue stream for your company should this project be a success. Examples of revenue stream generation include, but are not limited to, manufacture and direct sales, sales through value added resellers or other distributors, joint venture, licensing, service. Describe how your staffing will change to meet your revenue expectations.

Applicants are encouraged to seek commitment(s) of funds and/or resources from an investor or partner organization for commercialization of the product(s) or service(s) resulting from the SBIR award.

Your Phase III funding may be from any of a number of different sources including, but not limited to: SBIR firm itself; private investors or "angels"; venture capital firms; investment companies; joint ventures; RESEARCH AND DEVELOPMENT limited partnerships; strategic alliances; research contracts; sales of prototypes (built as part of this project); public offering; state finance programs; non SBIR-funded RESEARCH AND DEVELOPMENT or production commitments from a Federal agency with the intention that the results will be used by the United States government; or other industrial firms.

Documentation of such commitments should be included in the component “Project Narrative – DOCUMENTATION OF FUNDING/RESOURCE COMMITMENTS.”

3. Quality of Project Personnel:

1. Key Personnel and Bibliography of Directly Related Work. Identify key personnel involved in Phase II, including their education and directly related experience, or writings. Where vitae are extensive, summaries that focus on the most relevant experience or publications are desired. Such summaries may be necessary to meet the application size limitation. Also list all other commitments that senior personnel have during the proposed period of performance. It must be clear that the principal investigator will work more than half-time for the small business concern and that the firm will conduct a minimum of one-half of the research effort.

2. Consultants. Involvement of consultants in the planning and research stages of the project is permitted. If such involvement is intended, it should be described in detail. [NOTE: See “Considerations” section for “Subcontracting Limits.”]

4. Adequacy of Resources:

1. Facilities and Equipment:

The conduct of advanced research may require the use of sophisticated instrumentation or computer facilities. The applicant should provide a detailed description of the availability and location of the facilities and equipment necessary to carry out Phase II.

2. Budget:

Use Budget Summary form (ED Form 524), to present a complete budget summary for the proposed project dates. Questions pertaining to this area can be discussed with the Grants Management Contacts listed in the “Contacts” section.

Please provide a justification for this budget by including a detailed narrative description for each budget line item for each budget year. Attach this to the Budget Narrative form in grants.gov.

1. List all key personnel by name as well as by number of hours assigned to the project.

2. Equipment may be included in the Phase II budget. The inclusion of equipment will be carefully reviewed relative to need and appropriateness for the research proposed. Equipment is defined as an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost of $1,000 or more per unit. [NOTE: Title to equipment will be vested with ED unless it is determined that transfer of title to the applicant would be more cost effective than recovery of the equipment by ED.]

3. Budgets for travel funds must be justified and related to the needs of the project.

4. Cost sharing is permitted for proposals under this solicitation.

Phase II budgets should not exceed $500,000 for a two-year project, including subcontracts, indirect costs and fees, but excluding any proposed cost sharing.

5. The SBA has stated that SBIR funding agencies are to provide for a reasonable fee or profit on SBIR funding agreements, including grants, consistent with normal profit margins provided to profit-making firms for research or research and development work (SBIR “Policy Directive”).

4. Project Narrative – RELATED APPLICATION(S) or AWARD(S).

If an applicant elects to submit identical applications or applications containing a significant amount of essentially equivalent work under other Federal program announcements, a statement must be included in this application indicating (Please up-load this information under “Other Attachments Form” in grants.gov):

1. The name and address of agencies to which application(s) was/were submitted or from which SBIR award(s) was/were received.

2. The date(s) of application submission and date(s) of award.

3. The title, number and date of SBIR program announcement under which application(s) was/were submitted or award(s) received.

4. The applicable research priority in the program announcement for each SBIR application submitted or award received.

5. The titles of research projects.

6. The name and title of the principal investigator for each application submitted or award received.

WARNING

While it is permissible, with application notification, to submit identical or essentially equivalent applications for consideration under numerous Federal program announcements, it is unlawful to enter into funding agreements requiring essentially equivalent effort.

If there is any question concerning this it must be disclosed

to the soliciting agency or agencies before award.

5. Project Narrative – DOCUMENTATION OF FUNDING/RESOURCE COMMITMENTS.

Include any documentation of funds and/or resources commitment(s) from an investor or partner organization for commercialization of the product(s) or service(s) resulting from the SBIR award referenced in the Commercialization Plan.

[This required information will not be counted toward the application limitation of 50 pages.]

DUNS NUMBER INSTRUCTIONS

NOTE: Check with your fiscal office to see if your institution has an assigned DUNS before contacting Dun & Bradstreet

D‑U‑N‑S No.: Please provide the applicant's D‑U‑N‑S Number. You can obtain your D‑U‑N‑S Number at no charge by calling 1‑800‑333‑0505 or by completing a D‑U‑N‑S Number Request Form. The form can be obtained via the Internet at the following URL:

http://www.dnb.com/US/duns_update/index.html

The D‑U‑N‑S Number is a unique nine‑digit number that does not convey any information about the recipient. A built in check digit helps assure the accuracy of the D‑U‑N‑S Number. The ninth digit of each number is the check digit, which is mathematically related to the other digits. It lets computer systems determine if a D‑U‑N‑S Number has been entered correctly.

Dun & Bradstreet, a global information services provider, has assigned D‑U‑N‑S numbers to over 43 million companies worldwide.

Note: Electronic submission via Grants.gov must use DUNS number your organization used when it registered in the Central Contractor Registry.

SECTION F

Method of Selection and Evaluation Criteria

METHOD OF SELECTION AND EVALUATION CRITERIA

1. Introduction

Phase II applications will be judged on a competitive basis.

1. All applications will be screened to confirm that the required instructions were completed. Those applications not satisfying all the required instructions will be returned to the proposing organization without review.

2. Persons who are experts in the priority areas will evaluate applications meeting those requirements. Reviewers will include people outside the Federal Government. Each application will be judged on its own merit, according to the review criteria described below.

The Department of Education will make awards based upon these evaluation criteria and the availability of funds. In the evaluation and handling of applications, the Department will make every effort to protect the confidentiality of the application and any evaluations.

2. Evaluation Criteria for Phase II

The Secretary selects the following selection criteria in 34 CFR 75.210 to evaluate applications for new grants under this competition. The criteria below will receive the following weights. The maximum score for all of these criteria is 100 points. The weight for each criterion is indicated in parentheses. The Department of Education will make awards based upon these evaluation criteria and the availability of funds.

1. Significance (15 points)

 ( 5 points) The significance of the problem or issue to be addressed by the proposed project.

 ( 5 points) The likely utility of the products that will result from the proposed project, including the potential for their being used effectively in a variety of other settings.

 ( 5 points) The importance or magnitude of the results or outcomes likely to be attained by the proposed project.

2. Quality of the Project Design (60 points)

• (10 points) The extent to which the goals, objectives and outcomes to be achieved by the proposed project are clearly specified and measurable.

• (10 points) 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.

• (10 points) The extent to which there is a conceptual framework underlying the proposed research or demonstration activities and the quality of that framework.

• (10 points) The extent to which the design of the proposed project includes a thorough, high-quality review of the relevant literature, a high-quality plan for project implementation, and the use of appropriate methodological tools to ensure successful achievement of project objectives.

• (10 points) The quality of the methodology to be employed in the proposed project.

• (10 points) The extent to which the design of the proposed project reflects up-to-date knowledge from research and effective practice.

3. Quality of Project Personnel (15 points)

• ( 5 points) The qualifications, including relevant training and experience, of the project director or principal investigator.

• ( 5 points) The qualifications, including relevant training and experience, of key project personnel.

• ( 5 points) The qualifications, including relevant training and experience, of project consultants or subcontractors.

3. Adequacy of Resources (10 points)

• ( 4 points) The adequacy of support, including facilities, equipment, supplies, and other resources, from the applicant organization or the lead applicant organization.

• ( 2 points) The relevance and demonstrated commitment of each partner in the proposed project to the implementation and success of the project.

• ( 2 points) The extent to which the budget is adequate to support the proposed project.

• ( 2 points) The extent to which the costs are reasonable in relation to the objectives, design, and potential significance of the proposed project.

3. Release of Grant Application Review Information

After final award decisions are made the Principal Investigator will be sent the technical evaluations. No one other than the Principal Investigator (and appropriate ED staff) may receive the technical evaluations.

Applicants normally receive their evaluations within six to eight weeks following the announcement of the awards. The identity of the reviewers will not be disclosed.

SECTION G

Considerations

CONSIDERATIONS

1. Reports

Awardees are required to submit a final Phase II “Performance Report” to the NIDRR Contractor upon completion of the Phase II work. In the final performance report, grantees are required to include a comparison of actual accomplishments with the goals and objectives established for the period, the findings of the investigator, or both. Whenever appropriate and the output of programs or projects can be readily quantified, this quantitative data should be related to cost data for computation of unit costs. Reasons why established goals were not met, if appropriate.

This reporting mechanism is used to demonstrate that substantial progress has been made toward meeting the project objectives. Grantees are required to complete Project Objectives Information and Related Performance Measures Data (ED 524B - Project Status Chart), outlining specific project objectives identified and supported with project performance measures data and an explanation of progress. The information received in the final performance report will provide the Department of Education (ED) with documentation that will be used to determine whether recipients have made satisfactory progress.

Final reports must also include information about the budget and an explanation about budget expenditures. In addition, Phase II grantees must respond to the following: (1) describe how the progress made in Phase II will impact the manufacturing sector; (2) describe and provide evidence as to how the work accomplished in Phase II contributes to manufacturing or manufacturing related processes, equipment and systems; or workforce skills and protection; and (3) elaborate on the public benefits (e.g., social and economic) resulting from the progress made in Phase II.

2. Government Performance and Results Act

The Government Performance and Results Act (GPRA) of 1993 places new management expectations and requirements on Federal departments and agencies by creating a framework for more effective planning, budgeting, program evaluation, and fiscal accountability for Federal programs. The intent of the Act is to improve public confidence by holding departments and agencies accountable for achieving program results. Departments and agencies should clearly describe the goals and objectives of their programs, identify resources and actions needed to accomplish these goals and objectives, develop a means of measuring progress made, and regularly report on their achievement.

The purpose of the SBIR program is to stimulate technological innovation in the private sector, strengthen the role of small business in meeting Federal research or research and 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. Grantees are required to report on the progress of their work throughout the award period and submit final reports to the U.S. Department of Education.

2. Innovations, Inventions and Patents

1. Rights in Data Developed Under SBIR Funding Agreements

To preserve the SBIR data rights of the awardee, the Legend (or statements) used in the SBIR Data Rights clause included in the SBIR award must be affixed to any submissions of technical data developed under that SBIR award. If no Data Rights clause is included in the SBIR award, the following legend, at a minimum, should be affixed to any data submissions under that award.

LEGEND

These SBIR data are furnished with SBIR rights under Funding Agreement No. ___________ (and subcontract No. ___________ if appropriate), Awardee Name _________, Address, Expiration Period of SBIR Data Rights __________. The Government may not use, modify, reproduce, release, perform, display, or disclose technical data or computer software marked with this legend for (choose four (4) or five (5) years). After expiration of the (4‑ or 5-year period), the Government has a royalty‑free license to use, and to authorize others to use on its behalf, these data for Government purposes, and is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these data by third parties, except that any such data that is also protected and referenced under a subsequent SBIR award shall remain protected through the protection period of that subsequent SBIR award. Reproductions of these data or software must include this legend.”

2. Copyrights

With prior written permission of the Education Program Contact, the awardee normally may copyright and publish (consistent with appropriate national security considerations, if any) material developed with ED support. The Department of Education receives a royalty‑free license for the Federal Government and requires that each publication contain an appropriate acknowledgment and disclaimer statement.

3. Patents

Small business firms normally may retain the principal worldwide patent rights to any invention developed with Government support. The Government receives a royalty‑free license for Federal Government use, reserves the right to require the patent holder to license others in certain circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically. To the extent authorized by 35 U.S.C. 205, the Government will not make public any information disclosing a Government‑supported invention for a 4 year period (that may be extended by subsequent SBIR funding agreements) to allow the awardee a reasonable time to pursue a patent.

2. Subcontracting Limits – Research and Analytical Work

For Phase II, at least one-half of the research and/or analytic effort must be performed by the proposing small business concern unless otherwise approved in writing by the funding agreement officer after consultation with the agency SBIR Program Manager/Coordinator.

2. Joint Ventures or Limited Partnerships

Joint ventures and limited partnerships are permitted provided that the entity created qualifies as a small business concern as defined in this program announcement.

2. Cost-Sharing

Cost sharing is permitted for applications under this program announcement; however, cost sharing is not required. Cost sharing will not be an evaluation factor in consideration of your Phase II application.

2. Profit/Fee

Phase II grants may include a reasonable fee or profit on SBIR funding agreements, consistent with normal profit margins provided to profit-making firms for research or research and development work.

2. American Made Equipment and Products

When purchasing equipment or a product under the SBIR funding agreement, purchase only American-made items whenever possible.

2. Standard Terms and Conditions

Upon acceptance of an award, the grantee must comply with the terms and conditions contained or referenced in the Notice of Award document. These terms and conditions, constituting legal requirements, are imposed on an awardee by statute, regulations, administrative policy, or the award document itself.

2. Additional Information

1. This program announcement is intended for informational purposes and reflects current planning. If there is an inconsistency between the information contained herein and the terms of any resulting SBIR funding agreement, then the terms of the funding agreement are controlling.

2. In the interests of those with special needs, the applicant is encouraged to develop products that include alternate formats (e.g., closed- or open-captioning for films and/or videotapes, Braille, large print, audiotape).

3. The SBIR program is not a substitute for existing unsolicited application mechanisms. The Government shall not accept unsolicited applications under the SBIR program in either Phase I or Phase II.

4. If an award is made pursuant to an application submitted under this program announcement, the grantee will be required to certify that he or she has not previously been, nor is currently being, paid for essentially equivalent work by any agency of the Federal Government.

SECTION H

Application Transmittal Instructions

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education.

ATTENTION – Microsoft Vista and Word 2007 Users

Please note that Grants.gov does not currently support the new Microsoft Vista Operating system. The PureEdge software used by Grants.gov for forms is not compatible with Vista. Grants.gov will be reviewing this new product to determine if it can be supported in the future.

In addition, the new version of Microsoft Word saves documents with the extension .DOCX. The Grants.gov system does not process Microsoft Word documents with the extension .DOCX. When submitting Microsoft Word attachments to Grants.gov, please use the version of Microsoft Word that ends in .DOC. If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

• REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. For detailed information on the Registration Steps, please go to: http://www.grants.gov/applicants/get_registered.jsp. [Note: Your organization will need to update its Central Contractor Registry (CCR) registration annually.]

• SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully before 4:30 pm on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when your organization registered with the CCR (Central Contractor Registry).

• VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of Education receive your Grants.gov submission timely and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30 p.m. on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

If the date/time received is later than 4:30 p.m. Washington, D.C. time, on the closing date, your application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/help/submit_application_faqs.jsp#10. For more detailed information on why an application may be rejected, you can review Application Error Tips http://www.grants.gov/section910/ApplicationErrorTips.pdf. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or use the customer support available on the Web site: http://www.grants.gov/applicants/applicant_help.jsp.

If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date.

If electronic submission is required, you must submit an electronic application before 4:30 p.m., unless you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. You must provide on your application the DUNS number that was used when your organization registered with the CCR.

Please go to http://www.grants.gov/applicants/applicant_help.jsp for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the Grants.gov http://www.grants.gov/help/submit_application_faqs.jsp.

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

MAC Users

If you do not have a Windows operating System, you will need to use the Citrix solution discussed on Grants.gov or a Windows Emulation program to submit an application using Grants.gov. For additional information, review the FAQs for non-windows users http://www.grants.gov/resources/download_software.jsp#non_window. Also, to view white paper for Macintosh users published by Pure Edge go to the following link: http://www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf, and/or contact Grants.gov Customer Support (http://www.grants.gov/contactus/contactus.jsp) for more information. If electronic submission is required and you are concerned about your ability to submit electronically as a non-windows user, please follow instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

______________________________________________________________________________

NOTE:

We strongly suggest: (1) Read the instructions carefully; (2) Don’t wait until close to the due date to set up your account - It can take five or more days to register; (3) Review the application before sending final version to ensure that all information has been uploaded correctly and completely; and (4) Submit early.

Electronic applications must be uploaded on Grants.gov by 4:30 pm, Washington, D.C. time on the closing date and processed by Grants.gov successfully. Please allow several hours or a full day for this process, if there is a submission error time will be needed to correct the error and resubmit to meet the deadline. For additional information on electronic submission procedures, see the transmittal section of the Notice Inviting Applications.

______________________________________________________________________

ATTENTION – Microsoft Vista and Word Users

Please note that Grants.gov does not currently support the new Microsoft Vista

Operating system. The PureEdge software used by Grants.gov for forms is not

compatible with Vista.

In addition, the new version of Microsoft Word saves documents with the extension .DOCX. The Grants.gov system does not process Microsoft Word documents with the extension .DOCX. When submitting Microsoft Word attachments to Grants.gov, please use the version of Microsoft Word that ends in .DOC. If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

The application information will be uploaded in several areas: Application for Federal Assistance (SF-424); Budget Narrative Attachment Form (upload the budget justification); Other Narrative Attachment Form, ED Abstract Form (upload the abstract), and Project Narrative From (upload the project narrative addressing the selection criteria). You must attach any narrative sections of your application as files in a .DOC (document), .RTF (rich text), or .PDF (Portable Document) format, if you upload a file type other than these three file types, such as Excel, or submit a password protected file, we will not review that material.

UNSUBMIT: Please note that Grants.gov does not allow you to unsubmit your application if you find an error before the due date and time. You will have to submit another “new” application and notify NIDRR that you have submitted two applications and which one is the “correct” one to review.

APPLICATION TRANSMITTAL INSTRUCTIONS

 

Electronic Submission of Applications.

We have been accepting applications electronically through the Department’s e-Application system since FY 2000. In order to expand on those efforts and comply with the President’s Management Agenda, we are continuing to participate as a partner in the new government-wide Grants.gov Apply site in FY 2008. The Small Business Innovative Research Program-CFDA Number 84.133S-2 is one of the programs included in this project. We request your participation in Grants.gov.

If you choose to submit your application electronically, you must use the Grants.gov Apply site at http://www.Grants.gov. Through this site, you will be able to download a copy of the application package, complete it offline, and then upload and submit your application. You may not e-mail an electronic copy of a grant application to us.

You may access the electronic grant application for the Small Business Innovative Research Program-CFDA Number 84.133S-2 at: http://www.grants.gov You must search for the downloadable application package for this program by the CFDA number. Do not include the CFDA number’s alpha suffix in your search.

Please note the following:

• Your participation in Grants.gov is voluntary.

• When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation.

• Applications received by Grants.gov are time and date stamped. Your application must be fully uploaded and submitted, and must be date/time stamped by the Grants.gov system no later than 4:30 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not consider your application if it is date/time stamped by the Grants.gov system later than 4:30 p.m., Washington, DC time, on the application deadline date. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date/time stamped by the Grants.gov system after 4:30 p.m., Washington, DC time, on the application deadline date.

• The amount of time it can take to upload an application will vary depending on a variety of factors including the size of the application and the speed of your Internet connection. Therefore, we strongly recommend that you do not wait until the application deadline date to begin the application process through Grants.gov.

• You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in the application package for this competition to ensure that you submit your application in a timely manner to the Grants.gov system. You can also find the Education Submission Procedures pertaining to Grants.gov at http://e-Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf

• To submit your application via Grants.gov, you must complete all of the steps in the Grants.gov registration process (see http://www.grants.gov/applicants/get_registered.jsp). These steps include (1) registering your organization, (2) registering yourself as an Authorized Organization Representative (AOR), and (3) getting authorized as an AOR by your organization. Details on these steps are outlined in the Grants.gov 3-Step Registration Guide (see http://www.grants.gov/section910/Grants.govRegistrationBrochure.pdf. You also must provide on your application the same D-U-N-S Number used with this registration.

Please note that the registration process may take five or more business days to complete, and you must have completed all registration steps to allow you to successfully submit an application via Grants.gov.

• You will not receive additional point value because you submit your application in electronic format, nor will we penalize you if you submit your application in paper format.

• You may submit all documents electronically, including all information typically included on the following forms: Application for Federal Assistance (SF 424), the Department of Education Supplemental Information for SF 424, Budget Information--Non-Construction Programs (ED 524), and all necessary assurances and certifications. Please note that two of these forms--the SF 424 and the Department of Education Supplemental Information for SF 424--have replaced the ED 424 (Application for Federal Education Assistance). You must attach any narrative sections of your application as files in a .DOC (document), .RTF (rich text), or .PDF (Portable Document) format. If you upload a file type other than the three file types specified above or submit a password protected file, we will not review that material.

• Your electronic application must comply with any page limit requirements described in this notice.

• After you electronically submit your application, you will receive an automatic acknowledgment from Grants.gov that contains a Grants.gov tracking number. The Department will retrieve your application from Grants.gov and send you a second confirmation by e-mail that will include a PR/Award number (an ED-specified identifying number unique to your application).

• We may request that you provide us original signatures on forms at a later date.

Application Deadline Date Extension in Case of System Unavailability

If you are prevented from electronically submitting your application on the application deadline date because of technical problems with the Grants.gov system, we will grant you an extension until 4:30 p.m., Washington, DC time, the following business day to enable you to transmit your application electronically, or by hand delivery. You also may mail your application by following the mailing instructions as described elsewhere in this notice. If you submit an application after 4:30 p.m., Washington, DC time, on the deadline date, please contact the person listed elsewhere in this notice under For Further Information Contact, and provide an explanation of the technical problem you experienced with Grants.gov, along with the Grants.gov Support Desk Case Number (if available). We will accept your application if we can confirm that a technical problem occurred with the Grants.gov system and that that problem affected your ability to submit your application by 4:30 p.m., Washington, DC time, on the application deadline date. The Department will contact you after a determination is made on whether your application will be accepted.

Note: Extensions referred to in this section apply only to the unavailability of or technical problems with the Grants.gov system. We will not grant you an extension if you failed to fully register to submit your application to Grants.gov before the deadline date and time or if the technical problem you experienced is unrelated to the Grants.gov system.

b. Submission of Paper Applications by Mail.

If you submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, on or before the application deadline date, to the Department at the applicable following address:

By mail through the U.S. Postal Service:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.133S-2)

400 Maryland Avenue, SW.

Washington, DC 20202-4260

or

By mail through a commercial carrier:

U.S. Department of Education

Application Control Center – Stop 4260

Attention: (CFDA Number 84.133S-2)

7100 Old Landover Road

Landover, MD 20785-1506

Regardless of which address you use, you must show proof of mailing consisting of one of the following:

(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, or

4. Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:

(1) A private metered postmark, or

(2) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date, we will not consider your application.

Note: 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.

3. Submission of Paper Applications by Hand Delivery.

If you submit your application in paper format by hand delivery, you (or a courier service) must deliver the original and two copies of your application by hand, on or before the application deadline date, to the Department at the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.133S-2)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the Department:

(1) You must indicate on the envelope and — if not provided by the Department — in Item 11 of SF 424 the CFDA number – and suffix letter, if any – of the competition under which you are submitting your application.

(2) The Application Control Center will mail a grant application receipt acknowledgment to you. If you do not receive the grant application receipt acknowledgment within 15 business days from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245-6288.

SECTION I

Scientific And Technical Information Sources

SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

Certain sources can provide information that can be useful in preparing SBIR applications. The Internet sites listed below can provide you with helpful material and links to other sites.

 

SBIR Program-Related

 

SBIR State Support Entities http://www.ed.gov/programs/sbir/index.html

  (historical information)

Small Business Administration (SBA)

Office of Technology (SBIR) www.sba.gov/sbir/

 

 

Office of Special Education and Rehabilitative Services (OSERS)

 

OSERS Home Page www.ed.gov/offices/OSERS/

 

National Institute on Disability

and Rehabilitation Research http://www.ed.gov/about/offices/list/osers/nidrr/index.html

 

National Center for the Dissemination

of Disability Research www.ncddr.org/

 

  National Rehabilitation Information

Center www.naric.com

General

 

U.S. Department of Education http://www.ed.gov/

 

Education Department General

Administrative Regulations (EDGAR) http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html

 

Grants.gov www.grants.gov

 

U.S. Department of Education

Grant Application and Other Forms http://www.ed.gov/fund/grant/apply/appforms/appforms.html

U.S. Department of Education

Technology Initiatives http://www.ed.gov/about/offices/list/os/technology/index.html

 

Educational Resources Information Center http://www.eric.ed.gov/resources/index.html

 

Small Business Administration (SBA)

Technical Resources Network (TECH-Net) tech-net.sba.gov/

SECTION J

GRANT APPLICATION PACKAGE CHECKLIST

GRANT APPLICATION PACKAGE CHECKLIST

CLOSING DATE: MAY 13, 2008

CHECK:

Have you prepared the application according to the “type size” and “format” standards that must be observed throughout the application?

Does the application contain no more than 50 pages, excluding any supporting documentation regarding funding commitments (see “Project Narrative – DOCUMENTATION OF FUNDING/RESOURCE COMMITMENTS”); and required forms? The project narrative should be up-loaded under the “Project Narrative Attachment Form” of grants.gov

Has the SF Standard Form 424 been completed according to the instructions?

Are issues (and, if applicable, exemptions) relating to Research Activities Involving Human Subjects adequately addressed in item 3 of the ED Standard Form 424?

Has the Budget Summary Form (ED Form 524), been completed according to the instructions? The budget narrative should be up-loaded under the ”Budget Narrative Attachment Form” in grants.gov.

Have you included IN THE ABSTRACT FORM SECTION all the required components of the “Project Narrative -- ABSTRACT” section? This section should be up-loaded under the “ED Abstract Form” in grants.gov.

• Abstracts;

• Certifications;

• Statements; and,

• Legend

Have you addressed each of the components of the “Project Narrative – TECHNICAL CONTENT” IN THE NARRATIVE? Including –

• Significance:

• Quality of Project Design;

• Quality of Project Personnel; and,

• Adequacy of Resources

The project narrative should be up-loaded under the “Project Narrative Attachment Form” in grants.gov.

Is the Phase II “Work Plan” at least one-third of the application?

Have you included a succinct “Commercialization Plan”?