Form CFDA 84.133 CFDA 84.133 Small Business Innovation Research Program Phase II Appl

The U.S. Department of Health and Human Services, Administration for Community Living (ACL), National Institute on Disability, Independent Living, and Rehabilitation Research (NIDILRR) invites FY2014 and FY2015 Phase I grantees to submit Phase II research applications under this program announcement entitled Small Business Innovation Research (SBIR), Phase II. The Administrator of the Administration for Community Living invites applications for new awards for Fiscal Year (FY) 2016 for the SBIR Program (CFDA93.433BI-2). 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. A note of caution that such arrangements may be permitted as long as they do not affect the small business size, status or eligibility of the prime awardees as provided for in Section F, “Definitions” – “Small Business Concern.”

NIDILRR’s mission is to generate new knowledge and to promote its effective use to improve the abilities of individuals with disabilities to perform activities of their choice in the community and to expand society’s capacity to provide full opportunities and accommodations for its citizens with disabilities. All SBIR projects funded by NIDILRR must address the needs of individuals with disabilities. (See 29 U.S.C. 760.) An application to NIDILRR’s SBIR program should present a sound approach to the investigation of an important technological, engineering or scientific question that it 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 and development (R&D) is the primary concern for all grants supported by NIDILRR.

The application's R&D must be responsive to NIDILRR’s SBIR program objectives, and it should also serve as the base for technological innovation, new commercial products, processes or services that may benefit the public. Applications must be confined principally to advanced concepts in educational and assistive technologies, scientific or engineering R&D.

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.

NIDILRR’s SBIR Program Description

The purposes of NIDILRR’s SBIR Program are 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 Health and Human Services / Administration for Community Living sponsored research results, and
improve the return on investment from Federally-funded research for economic and social benefits to the Nation.

Phase II –Phase II is intended to expand on the results of and to further pursue the development of Phase I projects. Phase II is the principal R&D effort. It requires a more comprehensive application, outlining the effort in detail including its commercial potential. All Phase I awardees with approaches that appear sufficiently promising are eligible to apply for Phase II. Applications are evaluated by a panel of experts using the review criteria that are published in this application kit.

Awards are for periods up to two years. This maximum amount includes both direct and indirect costs and fees. Applicants are allowed the option to distribute the funding for the two-year performance period in equal amounts for each budget period or to request an alternative distribution of funds. The second year of the award will be approved contingent upon submission of an annual performance report and the demonstration of adequate progress in the first year.

Authorization

In 1982, Congress enacted the Small Business Innovation Development Act of 1982 (SBIDA), Public Law 97-219, which established the SBIR Program. 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 Health and Human Services, to establish SBIR programs by reserving a statutory percentage of their extramural research and development budgets to be awarded to small business concerns for R/R&D 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. The SBIR Policy Directive guides the information and requirements set forth in this application package.

On December 31, 2011, the President signed into law the National Defense Authorization Act for Fiscal Year 2012 (Defense Authorization Act), Public Law 112-81. Section 5001, Division E of the Defense Authorization Act contains the SBIR/STTR Reauthorization Act of 2011, and extends the program termination date to 2017.

Funding for awards issued as a result of this solicitation comes from: Title II of the Rehabilitation Act of 1973, as amended.

Program Eligibility

The SBIR program is designed to support small, independent, US firms. To ensure that only these types of firms receive program funds, all awardees are required to certify at the time of award that the awardee firm meets the size, ownership, and control requirements of the programs. These requirements are stated in the Size Regulations and the SBIR Policy Directive.

Each organization submitting an application must qualify as a small business concern as defined by the Small Business Administration at the time of the award. 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. The R&D 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 budget for the grant.

Company Registry

Prior to applying to the SBIR program, all applicants must register on the SBIR Company Registry. This includes all small businesses that are majority-owned by multiple venture operating companies, hedge funds or private equity firms, and are applying for an award from an agency using Section 5107 authority.

The Company Registry is a new element of the SBIR data system and application process. Once you have registered, your company will be given an SBIR ID number that you will use when applying to any SBIR agency solicitation. SBA expects this to facilitate application and reduce the need for multiple data entry.

After registering, you must attach the completed registration form to every application.

SBIR Eligibility Checklist

For-profit small business concern.
More than 50% owned and controlled by individuals who are citizens of or permanent resident aliens in the U.S or more than 50% owned and controlled by one or more other small businesses each of which is more than 50% owned and controlled by individuals who are citizens of or permanent resident aliens in the U.S.
Small business located in the U.S.
Operates primarily within the United States or which makes a significant contribution to the U.S economy through payment of taxes or use of American products, materials or labor.
Principal investigator’s primary employment with small business during the project.
Together, with affiliates, the SBC has 500 or fewer employees.

For more information relating to eligibility, please visit the SBA’s webpage for Frequently Asked Questions related to eligibility.

Administration for Community Living 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.

Phase I – Phase II Transition Benchmark

For all Phase I applicants that have received 20 or more Phase I awards over the 10 year period that ends one year prior to the date of submission, the ratio of Phase II awards received to Phase I awards received during this period must be at least 0.25.

If it is determined that such a Phase I applicant does not meet this requirement, the applicant will not be eligible for an SBIR Phase I award for one year beginning at the time of the determination.

There is no Phase I – Phase II transition rate requirement for Phase I applicants that have received less than 20 Phase I awards over this period. If a Phase I awardee that received over 20 Phase I awards during this period did not receive the required percentage of Phase II awards, yet nevertheless successfully commercialized their Phase I technology, this applicant may submit their commercialization results for consideration in lieu of meeting this transition requirement.

Agency Contacts

Awarding Component Contact Information

Awarding Component

Program Office Contact

Grants Management Contact

Administration for Community Living

National Institute on Disability, Independent Living, and Rehabilitation Research (NIDILRR)

http://www.acl.gov/Programs/NIDILRR/Index.aspx

Brian Bard

Phone: (202) 245-7345

Email:

[email protected]

Patricia Barrett

Phone: (202) 245-6211

Email:

[email protected]

Definitions

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

Act

The Small Business Act (15 U.S.C. 631, et seq.), as amended.

Applicant

The organizational entity that qualifies as an SBC at all pertinent times 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 (available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=6c402a27c4315260fcd1139ddc65276d;rgn=div5;view=text;node=13%3A1.0.1.1.17;idno=13;cc=ecfr#13:1.0.1.1.17.1.267.3).

Awardee

The SBC receiving an SBIR funding agreement.

Commercialization

The process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of the products, processes, technologies, or services for sale to or use by the Federal government or commercial markets.

Covered Small Business Concern

A small business concern that:

(1) Was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms on the date on which it submitted an application in response to a solicitation under the SBIR program; and (2) Is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms on the date of the SBIR award.

Essentially Equivalent Work

Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.

Extramural Budget

The sum of the total obligations for R/R&D minus amounts obligated for R/R&D 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.

Funding Agreement

Any contract, grant, or cooperative agreement entered into between any Federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

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:

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

b) 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,

c) 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, 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

See 13 C.F.R. §121.103(h) (available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=ac17577b316179abf721d55ea31d3d74;rgn=div5;view=text;node=13%3A1.0.1.1.17;idno=13;cc=ecfr#13:1.0.1.1.17.1.267.3).

Manufacturing-Related

Relating to manufacturing processes, equipment and systems, or manufacturing workforce skills and protection (as defined in Executive Order 13329 available at http://www.gpo.gov/fdsys/pkg/FR-2004-02-26/pdf/04-4436.pdf).

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 (R/R&D)

Any activity that is:

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

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

3. 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

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 meets the requirements set forth in 13 C.F.R. §121.702 (available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=03878acee7c064a02cac0d870e00ef43;rgn=div8;view=text;node=13%3A1.0.1.1.17.1.273.45;idno=13;cc=ecfr).

Socially and Economically Disadvantaged Individual

See 13 C.F.R. §§ 124.103 & 124.104 (available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=0ad233d94d83ff8fc5bb36fb81d06c12&rgn=div8&view=text&node=13:1.0.1.1.19.1.288.7&idno=13).

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

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 (WOSB)

An SBC that is at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.

Fraud, Waste and Abuse

The Office of Inspector General (OIG) Hotline is available for anyone suspecting fraud, waste, or abuse involving U.S. Department of Health and Human Services funds or programs to provide their concern to the OIG. Complaints or concerns received through the Hotline are evaluated, consistent with established agency performance measures published in the OIG Annual Plan, and may be referred for OIG investigation, audit, inspection or other review.

Not all complaints filed with the OIG will generate an investigation, audit or inspection by the OIG. Matters may be referred to another office within the U.S. Department of Health & Human Services or to an external entity as appropriate.

Complaints may be submitted via e-mail 24 hours a day, seven days a week.
Click Here to Submit a Complaint in English or Español.

If you prefer, you may contact the Inspector General's Hotline by:

Calling the OIG Hotline's toll free number 1-800- HHS-TIPS [(800) 447-8477. Hotline Operators take calls during the hours of Monday and Wednesday 9:00 AM until 11:00 AM, Eastern Time; Tuesday and Thursday, 1:00 PM until 3:00 PM, Eastern Time except for holidays.

Downloading a hardcopy of the special complaint form, complete, and mail to:

Office of Inspector General
U.S. Department of Health & Human Services
ATTN: HOTLINE
PO Box 23489
Washington, DC 20026

Phone: (800) HHS-TIPS [(800) 447-8477]
Fax: (800) 223-8164 (Please include cover sheet)
TTY: (800) 377-4950

If you are a provider, HHS contractor, HHS grantee or subrecipient and want to self-disclose potential fraud in HHS programs, please visit the Self-Disclosure webpage.

Your report may be made anonymously or in confidence. For Law Enforcement Agencies in need of immediate assistance, please contact the nearest OIG field office. To report suspected fraud, waste or abuse involving other Inspector General agencies, click the following link for a directory https://www.ignet.gov/content/inspectors-general-directory.

Certifications and Statements

The applicant must respond to the following certifications and statements as required by the Small Business Administration. These certifications and statements must be uploaded to the application in Grants.gov under the section for “Other Narrative Forms”. Please see Section (VI)(C) for more information and specific uploading instructions.

Certifications

Small Business Certification

Does the applicant certify that it is a small business concern and meets the definition as stated in the program solicitation or that it will meet that definition at the time of award?

Yes No

Number of Employees including all affiliates (average for preceding 12 months): 

Socially and Economically Disadvantaged SBC Certification

Does the applicant qualify as a socially and economically disadvantaged SBC and meet the definition as stated in this program solicitation?

Yes No

Woman-owned SBC Certification

Does the applicant qualify as a woman-owned SBC and meet the definition as stated in this program solicitation?

Yes No

HUBZone-owned SBC Certification

Does the applicant 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/

Historical Black College or University or Minority Institution (HBCU/MI) Certification

Is a Historically Black College or University or Minority Institution (HBCU/MI) participating in this effort as a subcontractor?

Yes No

If yes, please provide the name of the entity proposed:

Primary Employment Certification

Is the primary employment (51 percent of more time) of the principal investigator with the proposing firm?

Yes No

Corporate Entity Certification

Is more than 50 percent of the firm owned or managed by a corporate entity?

Yes No

Manufacturing-Related Project Certification

If R&D from an eventual Phase II award leads to a completed product is it possible that this product will be manufactured (e.g. produced) on a wide scale basis?

Yes No

In cases where there is a tie in the award selection process, ED will give priority to projects that are manufacturing-related. (This “tie-breaker” specification allows the ED program to apply an additional preference without compromising the quality standards or established criteria of the program.)

Statements

The applicant must respond to the following statements required by the Small Business Administration.

Duplicate Research Statement

The applicant and/or principal investigator (choose one: has or has not) submitted proposals for essentially equivalent work under other Federal program solicitations.

The applicant and/or principal investigator (choose one: has or has not) received other Federal awards for essentially equivalent work. (For more information regarding how to identify proposals and/or awards, see Section (III)(E)(12), Technical Content (Project Narrative), Similar Proposals or Awards).

Disclosure Permission Statement

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

Yes No

Proposal Preparation Instructions and Requirements

Limitations on Length of Proposal

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 an SBIR Phase II application narrative of no more than 50 pages, excluding the abstract/summary, certifications, statements, table of contents, bibliography, any documentation of prior multiple Phase II awards, if applicable, and required forms.

You must limit the application narrative to the equivalent of no more than 50 pages, using the following standards:

A “page” is 8.5” × 11”, on one side only, with 1” margins at the top, bottom, and both sides.
Double space (no more than three lines per vertical inch) all text in the application narrative. You are not required to double space titles, headings, footnotes, references, captions, or text in charts, tables, figures, and graphs.
Use a font that is either 12 point or larger or no smaller than 10 pitch (characters per inch).
Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial.

Your application will be rejected if

you apply these standards and exceed the page limit.

In the interest of equity to all applicants, all of the application narrative must be in the 50 double-spaced pages. No appendices, other than the exclusion cited above, may be submitted and, if submitted, they will not be considered in the review of the application 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 R&D on the specific priority chosen.

Proposal Cover Sheet

The SF 424 is a standard cover sheet form that required for submission of applications. This application cover sheet requires basic identifying information about the applicant and the application. See Section VIII, “Submission Forms” for more information and instructions for completing this form.

Data Collection Requirement

Company Registry Requirements:

SBA maintains and manages a Company Registry to track ownership and affiliation requirements for all companies applying to the SBIR Program. The SBIR policy directive requires each SBC applying for a Phase I or Phase II award to register in the Company Registry prior to submitting an application.
The SBC must save its information from the registration in a .pdf document and will append this document to each application submitted.
All SBCs will report and/or update ownership information to SBA prior to each SBIR application submission or if any information changes prior to award.

Each Phase II awardee is required to update the appropriate information on the award in the database upon completion of the last deliverable under the funding agreement and is requested to voluntarily update the information in the database annually thereafter for a minimum period of 5 years.

Abstract or Summary

Applicants are required to include a one-page (single- or double-spaced) project summary of the proposed R&D including at least the following:

Name and address of SBC.
Name and title of principal investigator or project manager.
Agency name and CFDA number (93.433BI-2)
Title of project.
Technical abstract limited to two hundred words.
Summary of the anticipated results and implications of the approach and the potential commercial applications of the research.

Note: Nothing in this section should be proprietary or confidential.

Technical Content (Project Narrative)

The application narrative responds to the selection criteria found in Section (VI)(A) of this application package. The reviewers will use this section to evaluate your application.

Each applicant must limit their project narrative to the equivalent of no more than 50, double-spaced pages.

Be sure to:

Include a Table of Contents (this does not count toward the page limit).
Begin numbering the first page in Arabic numerals (“1”) and number the pages consecutively throughout the document.
Include all critical information in the project narrative, minimizing the need for additional appendices.
Include a complete bibliography listing all material that was referenced in the project narrative (this does not count toward the page limit).

In no more than 50, double-spaced pages, address the following areas:

Identification and Significance of the Problem or Opportunity

Make a clear statement of the specific technical problem or opportunity addressed and explain its importance.

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.

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.

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.

Commercialization Plan

A succinct commercialization plan must be included with each proposal for an SBIR Phase II award moving toward commercialization. The Commercialization Plan should be limited to 10 pages. Elements of a commercialization plan will include the following, as applicable:

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.

Company information. Outline focused objectives/core competencies; specialization area(s); products with significant sales; and history of previous Federal and non-Federal funding, regulatory experience, and subsequent commercialization. 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.

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. 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.)

Production and Marketing. Describe how the production of your product/service will occur (e.g., in-house manufacturing, contract manufacturing). Briefly describe your marketing and sales strategy. Outline milestones, target dates, analyses of market size, and estimated market share after first year sales and after 5 years. Explain your plan to obtain market share. Describe any strategic alliances, partnerships, or licensing agreements you have in place and to market and sell your product.

Intellectual Property. Provide patent status, technology lead, trade secrets or other demonstration of a plan to achieve sufficient protection to realize the commercialization stage and attain at least a temporal competitive advantage.

Financing. 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.

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; R&D limited partnerships; strategic alliances; research contracts; sales of prototypes (built as part of this project); public offering; state finance programs; non SBIR-funded R&D 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.

PLEASE NOTE: 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 will not be counted toward the narrative limitation of 50 pages.

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.

Assistance and mentoring. Plans for securing needed technical or business assistance through mentoring, partnering, or through arrangements with state assistance programs, SBDCs, Federally-funded research laboratories, Manufacturing Extension Partnership centers, or other assistance providers.

Related R/R&D

Describe significant R/R&D that is directly related to the proposal including any conducted by the project manager/principal investigator or by the proposing SBC. Describe how it relates to the proposed effort, and any planned coordination with outside sources. The applicant must persuade reviewers of his or her awareness of key, recent R/R&D conducted by others in the specific topic area.

Key Individuals and Bibliography of Directly Related Work

Identify key individuals involved in Phase II including their directly-related education, experience, and bibliographic information. Where vitae are extensive, summaries that focus on the most relevant experience or publications are desired and may be necessary to meet proposal 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.

Relationship with Future R/R&D

State the anticipated results of the proposed approach if the project is successful.
Discuss the significance of the Phase II effort in providing a foundation for Phase III.

Facilities

A detailed description, availability and location of instrumentation and physical facilities proposed for Phase II should be provided.

Consultants

Involvement of consultants in the project is permitted. If such involvement is intended, it should be described in detail. [NOTE: See Section (V)(G) for “Subcontracting Limits”.]

Potential Post-Grant Applications

Briefly describe:

Whether and by what means the proposed project appears to have potential commercial application.
Whether and by what means the proposed project appears to have potential use by the Federal Government (if, in fact, it does).

Similar Proposals or Awards

WARNING—While it is permissible with proposal notification to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent work. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award. If an applicant elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work under other Federal program solicitations, a statement must be included in each such proposal indicating:

The name and address of the agencies to which proposals were submitted or from which awards were received.
Date of proposal submission or date of award.
Title, number, and date of solicitations under which proposals were submitted or awards received.
The specific applicable research topics for each proposal submitted or award received.
Titles of research projects.
Name and title of principal investigator or project manager for each proposal submitted or award received.

Prior SBIR Phase II Awards

If your small business has received more than 15 Phase II awards in the prior 5 fiscal years, the SBC must submit in its Phase II proposal: name of the awarding agency; date of award; funding agreement number; amount of award; topic or subtopic title; follow-on agreement amount; source and date of commitment; and current commercialization status for each Phase II award. (This required proposal information will not be counted toward the proposal page limitation.)

Cost Breakdown/Proposed Budget

The application must include the submission of cost or budget data. Use the Budget Summary form (Form 424A) to present a complete budget summary for the proposed project dates. You must also provide a justification for this budget by including a detailed narrative description for each budget line item. This narrative will be uploaded separately from Form 424A. See Section (VI)(C), “Uploading Instructions,” for more information about uploading this narrative. See Section VIII, “Submission Forms” for instructions for completing Form 424A.

Indirect Costs: If your organization does not currently have a negotiated indirect cost rate and is applying for a grant, you may estimate the indirect cost rate using the most recent financial data such as audited financial statements or other financial reports. The indirect cost estimate, based on that information, should be included in your grant application. If the grant award is made and the U.S. Department of Health and Human Services provides the majority of federal funding to your organization, an indirect cost proposal (including supporting documentation) must be submitted to HHS within 90 days of award. More information on what you should know about indirect cost rates can be found at: http://www.psc.gov/search/search-results.php?q=indirect+cost&search=1

After receipt of the proposal, the office will begin the process of negotiating and approving a provisional indirect cost rate for your organization. Under our current regulations, a temporary indirect cost rate of 10% of direct salaries and wages may be allowed until an indirect cost rate has been approved.

Method of Selection and Evaluation Criteria

All Phase II proposals will be evaluated and judged on a competitive basis.

All applications will be screened to confirm completeness and determine responsiveness. Those applications not satisfying all the requirements will be returned to the proposing organization without review.
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.
In the evaluation and handling of applications, the Department will make every effort to protect the confidentiality of the application and any evaluations.

The Administration for Community Living will make awards based upon these evaluation criteria and the availability of funds.

Evaluation Criteria

The Secretary selects the following selection criteria in 34 CFR 350.54 to evaluate applications for new grants under this competition. The criteria are listed below with respective weights. The maximum total score for all of these criteria is 100 points.

(a) Importance of the problem. (10 points)

(1) The Secretary considers the importance of the problem.

(2) In determining the importance of the problem, the Secretary considers one or more of the following factors:

(i) The extent to which the applicant clearly describes the need and target population.

(iii) The extent to which the proposed activities address a significant need of one or more disabled populations.

(vii) The extent to which the proposed project will have beneficial impact on the target population.

(b) Design of development activities. (60 points)

(1)The Secretary considers the extent to which the design of development activities is likely to be effective in accomplishing the objectives of the project.

(2)(i) In determining the extent to which the design is likely to be effective in accomplishing the objectives of the project, the Secretary considers one or more of the following factors:

(ii) The extent to which the plan for development, clinical testing, and evaluation of new devices and technology is likely to yield significant products or techniques, including consideration of the extent to which—

(A) The proposed project will use the most effective and appropriate technology available in developing the new device or technique;

(B) The proposed development is based on a sound conceptual model that demonstrates an awareness of the state-of-the-art in technology;

(D) The new device or technique is likely to be cost-effective and useful;

(E) The new device or technique has the potential for commercial or private manufacture, marketing, and distribution of the product.

(F) The proposed development efforts include adequate quality controls and, as appropriate, repeated testing of products.

(c) Project staff. (15 points)

(1) The Secretary considers the quality of the project staff.

(2) In determining the quality of the project staff, the Secretary considers the extent to which the applicant encourages applications for employment from persons who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability.

(3) In addition, the Secretary considers one or more of the following:

(i) The extent to which the key personnel and other key staff have appropriate training and experience in disciplines required to conduct all proposed activities.

(ii) The extent to which the commitment of staff time is adequate to accomplish all the proposed activities of the project.

(d) Adequacy and reasonableness of the budget. (5 points)

(1) The Secretary considers the adequacy and the reasonableness of the proposed budget.

(2) In determining the adequacy and the reasonableness of the proposed budget, the Secretary considers one or more of the following factors:

(i) The extent to which the costs are reasonable in relation to the proposed project activities.

(ii) The extent to which the budget for the project, including any subcontracts, is adequately justified to support the proposed project activities.

(e) Adequacy and accessibility of resources. (10 points)

(1) The Secretary considers the adequacy and accessibility of the applicant’s resources to implement the proposed project.

(2) In determining the adequacy and accessibility of resources, the Secretary considers one or more of the following factors:

(i) The extent to which the applicant is committed to provide adequate facilities, equipment, other resources, including administrative support, and laboratories, if appropriate.

Release of Proposal Review Information

After final award decisions have been announced, the technical evaluations of the applicant's proposal will be provided to the applicant. No one other than the Principal Investigator may receive the technical evaluations. Applicants normally receive their evaluations within six (6) to eight (8) weeks following the announcement of the awards. The identity of the reviewers will not be disclosed.

Considerations

Reports

At the end of your project period, you must submit a final performance report, including financial information, as directed by the Administrator of the Administration for Community Living. If you receive a multi-year award, you must submit an annual performance report that provides the most current performance and financial expenditure information as directed by the Administrator of the Administration for Community Living under 45 CFR part 75. All NIDILRR grantees will submit their annual and final reports through NIDILRR’s online reporting system and as designated in the terms and conditions of your NOA. The Administrator of the Administration for Community Living may also require more frequent performance reports under 45 CFR part 75.

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.

Innovations, Inventions, and Patents

Proprietary Information

Information contained in unsuccessful proposals will remain the property of the applicant. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements. If proprietary information is provided by an applicant in a proposal, 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 on the title page of the proposal:

“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 proposal. 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 on pages___of this proposal.”

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

Rights Related to 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.

“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.”

Copyrights

With prior written permission from NIDILRR, the awardee normally may copyright and publish (consistent with appropriate national security considerations, if any) material developed with NIDILRR support. HHS receives a royalty-free license for the Federal Government and requires that each publication contain an appropriate acknowledgement and disclaimer statement.

Patents

Small business concerns normally may retain the principal worldwide patent rights to any invention developed with Government support. In such circumstances, 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 may require 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 minimum 4-year period (that may be extended by subsequent SBIR funding agreements) to allow the awardee a reasonable time to pursue a patent.

Invention Reporting

SBIR awardees must report inventions to the awarding agency within 2 months of the inventor's report to the awardee. The reporting of inventions may be accomplished by submitting paper documentation, including fax.

Cost-Sharing

Cost-sharing is permitted for proposals under this program solicitation; however, cost-sharing is not required. Cost-sharing will not be an evaluation factor in consideration of your Phase II proposal.

Profit or Fee

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 R/R&D work (SBIR ―Policy Directive). Questions pertaining to this area can be discussed with the Grants Management Contacts listed in Section (I)(E) “Agency Contacts.”

Phase II awards may include a reasonable profit/fee. Funds requested for a profit/fee must be included in the funds specified as requested in Section A--Budget Summary of the application forms. The budget cannot exceed the maximum amount allowable in any budget year. Applications that exceed the maximum amount allowable in any year will not be reviewed.

Joint Ventures or Limited Partnerships

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

Research and Analytical Work – Subcontracting Limits

For Phase II a minimum of one-half of the research and/or analytical 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.

Awardee Commitments

Upon award of a SBIR Phase II grant, the awardee will be required to make certain legal commitments through acceptance of numerous clauses in Phase II funding agreements. The outline that follows is illustrative of the types of clauses to which the grantee would be committed. This list is not a complete list of clauses to be included in Phase II funding agreements, and is not the specific wording of such clauses. Copies of complete terms and conditions are available upon request.

1. Standards of Work. Work performed under the funding agreement must conform to high professional standards.

2. Inspection. Work performed under the funding agreement is subject to Government inspection and evaluation at all times.

3. Examination of Records. The Comptroller General (or a duly authorized representative) must have the right to examine any pertinent records of the awardee involving transactions related to this funding agreement.

4. Default. The Government may terminate the funding agreement if the contractor fails to perform the work contracted.

5. Termination for Convenience. The funding agreement may be terminated at any time by the Government if it deems termination to be in its best interest, in which case the awardee will be compensated for work performed and for reasonable termination costs.

6. Disputes. Any dispute concerning the funding agreement that cannot be resolved by agreement must be decided by the contracting officer with right of appeal.

7. Contract Work Hours. The awardee may not require an employee to work more than 8 hours a day or 40 hours a week unless the employee is compensated accordingly (for example, overtime pay).

8. Equal Opportunity. The awardee will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin.

9. Affirmative Action for Veterans. The awardee will not discriminate against any employee or application for employment because he or she is a disabled veteran or veteran of the Vietnam era.

10. Affirmative Action for Handicapped. The awardee will not discriminate against any employee or applicant for employment because he or she is physically or mentally handicapped.

11. Officials Not To Benefit. No Government official must benefit personally from the SBIR funding agreement.

12. Covenant Against Contingent Fees. No person or agency has been employed to solicit or secure the funding agreement upon an understanding for compensation except bona fide employees or commercial agencies maintained by the awardee for the purpose of securing business.

13. Gratuities. The funding agreement may be terminated by the Government if any gratuities have been offered to any representative of the Government to secure the award.

14. Patent Infringement. The awardee must report each notice or claim of patent infringement based on the performance of the funding agreement.

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

Additional Information

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 and conditions of any resulting SBIR grant, then the terms and conditions of the grant are controlling.

Before award of an SBIR grant, the Government may request the applicant to submit certain organizational, management, personnel, and financial information to assure responsibility of the applicant.

The Government is not responsible for any monies expended by the applicant before award of any grant.

This program solicitation is not an offer by the Government and does not obligate the Government to make any specific number of awards. Also, awards under the SBIR Program are contingent upon the availability of funds.

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.

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.

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).

Submission of Proposals

Grants.gov Submission Requirement

PLEASE NOTE: Applications Under This Competition Must Be Submitted Electronically Using Grants.gov (www.grants.gov). Instructions for Grants.gov Submission process are found in Section IX. For more information about exceptions to this electronic requirement, please see Section (VI)(D),

Application Deadline

Applications received by Grants.gov are date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 11:59:00 p.m., Washington, DC time, on _______. Except as otherwise noted in this section, we will not accept your application if it is received--that is, date and time stamped by the Grants.gov system--after 11:59:00 p.m., Washington, DC time, on the application deadline date.

If you qualify for an exception to the electronic submission requirement and have obtained a waiver, applications for an award must be postmarked or hand delivered two weeks before the application deadline date. See below, Section (VI)(D), for more information.

Uploading Instructions

A combination of forms and narrative documents are required for a complete application. You will upload files to your application by heading. As a reminder, all attachments must be .PDF files, and they must be in a read-only, non-modifiable format. Application files uploaded in other formats will not be accepted by the Administration for Community Living, NIDILRR, for review.

The following five forms are required:

Application for Federal Assistance (SF-424)
Budget Information (SF 424A)
Assurances Non-Construction Programs (SF 424B)
Disclosure of Lobbying Activities (SF-LLL)
Grants.gov Lobbying Form

Note: For more information and specific instructions for completing forms, please see Section VIII, “Submission Forms”.

The following four narrative headings require uploaded attachments:

Abstract Narrative Form (accepts 1 attachment)
Project Narrative Form (accepts multiple attachments)
Other Narrative Form (accepts multiple attachments)
Budget Narrative Form (accepts multiple attachments)

Abstract Narrative Form

Attach the one-page abstract and include “Abstract” in the file name.

Project Narrative Form

Attach only the (50, double-spaced pages or less) project narrative and include “Project Narrative” in the file name. Again, this narrative can include a Table of Contents and Bibliography of referenced material; neither count toward the page limit.

Other Narrative Form

Attach all other files here, including certifications, statements, documentation of multiple Phase II awards, and legend, if applicable. If collaboration with another organization is involved in the proposed activity, the application should include a partnership agreement or letter of support. Use file names that indicate the content of the file.

Budget Narrative Form

This part requires an itemized budget breakdown for the project period and the basis for estimating the costs of personnel salaries, benefits, project staff travel, materials and supplies, consultants and subcontracts, indirect costs and any other projected expenditures.

Descriptions of purchases may be included but are not required. Attach the budget narrative/justification and include “Budget Narrative” in the file name.

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

Small Business Administration (SBA) www.sba.gov

SBIR.gov (formerly Tech-Net) www.sbir.gov

Administration for Community Living http://www.acl.gov

National Institute on Disability,

Independent Living, and

Rehabilitation Research http://www.acl.gov/Programs/NIDILRR/Index.aspx

National Rehabilitation Information Center www.naric.com

Submission Forms

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.

This section contains all of the following required forms and official instructions for each:

Application for Federal Assistance (SF-424)
Budget Information (SF 424A)
Assurances Non-Construction Programs (SF 424B)
Disclosure of Lobbying Activities (SF-LLL)
Grants.gov Lobbying Form

* Denotes that additional tips and guidelines for these three forms are included on the following pages for your reference.

Application for Federal Assistance (SF-424)

This application cover sheet requires basic identifying information about the applicant and the application.

Leave the following blocks blank or enter N/A:
- Block 4-Applicant Identifier
- Block 5a- Federal Entity Identifier
- Block 5b- Federal Award Identifier
- Block 6-Date Received by State
- Block 7-State Application Number

CFDA Number: In the title block of #11, please note the appropriate CFDA (93.433BI-2).

DUNS number:

Dun & Bradstreet, a global information services provider, has assigned DUNS numbers to over 43 million companies worldwide. The DUNS 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 DUNS 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 DUNS Number has been entered correctly.
Electronic submission via Grants.gov must use the DUNS number your organization used when it registered in SAM.
Check with your fiscal office to see if your institution has an assigned DUNS number before contacting Dun & Bradstreet. You can obtain your DUNS Number at no charge by calling 1‑800‑333‑0505 or by completing a DUNS Number Request Form. The form can be obtained via the Internet at the following URL: http://www.dnb.com/US/duns_update/index.html

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

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this section includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by NIDILRR / ACL. Please note: this is a document that is used by all grant competitions that utilize Grants.gov. For this particular competition, electronic submission is required.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov will be posted using Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at least Adobe Reader 10.1.14). (Please note that in early 2013, Grants.gov discovered an issue with the newest version of Adobe Reader XI but it was subsequently resolved.) Information on computer and operating system compatibility with Adobe and links to download the latest version is available on Grants.gov at this link: compatibility table. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) 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 involves many steps including registration on SAM (www.sam.gov) which may take approximately one week to complete, but could take upwards of several weeks to complete, depending upon the completeness and accuracy of the data entered into the SAM database by an applicant. 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. Please note that once your SAM registration is active, it will take 24-48 hours for the information to be available in Grants.gov, and before you can submit an application through Grants.gov. For detailed information on the Registration Steps, please go to: http://www.grants.gov/web/grants/register.html [Note: Your organization will need to update its SAM registration annually (formerly Central Contractor Registry (CCR)*.]

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 to Grants.gov before 11:59:00 p.m. Washington, DC time on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the same number used when your organization registered with the SAM (formerly CCR -Central Contractor Registry). If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time 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 11:59:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned. Once the Department receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My Application link.

If the date/time received is later than 11:59:00 p.m. Washington, D.C. time, on the deadline 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/web/grants/applicants/applicant-faqs/tracking-an-application.html. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/web/grants/support/technical-support/troubleshooting/encountering-error-messages.html. 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 email to confirm whether your application has been received timely and validated successfully.

http://www.grants.gov/web/grants/applicants/applicant-faqs.html.

Note: You will receive a series of confirmations both online and via email about the status of your application. Please do not rely solely on email 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 http://www.grants.gov/web/grants/about/contact-us.html, or access the Grants.gov Self-Service web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants

If electronic submission is required, you must submit an electronic application before 11:59:00 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 the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov.

Please go to http://www.grants.gov/web/grants/about/contact-us.html 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/web/grants/applicants/applicant-resources.html.

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

For MAC compatibility information, review the Operating System Platform Compatibility Table at the following Grants.gov link: http://www.grants.gov/web/grants/support/technical-support/recommended-software.html. 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.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants only include read-only, non-modifiable .PDF files in their application:

Ensure that you attach .PDF files only for any attachments to your application, and they must be in a read-only, non-modifiable format. PDF files are the only approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will not be read. If you need assistance converting your files to a .pdf format, please refer to the following Grants.gov webpage with links to conversion programs under the heading of additional resources: http://www.grants.gov/web/grants/support/technical-support/software/pdf-conversion-software.html

Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded files must be less than 50 characters, contain no spaces, no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the total size of your package before submission.

Electronic Notification for Grant Awards

If your application is successful, we send you a Notice of Award (NOA); or we may send you an email containing a link to access an electronic version of your NOA. The electronic signature and issuance of the NOA makes it crucial that your application include correct email addresses for both the project director and certifying representative.

Estimated Public Reporting Burden

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 50 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: Patricia Barrett, Management/Program Analyst, NIDILRR, U.S. Department of Health and Human Services, Administration for Community Living, Room 5142 PCP, 400 Maryland Ave., Washington, D.C. 20202.

File Type	application/vnd.openxmlformats-officedocument.wordprocessingml.document
Author	Vanessa Tesoriero;[email protected]
File Modified	0000-00-00
File Created	2021-01-24