U.S. DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

WASHINGTON, D.C. 20202-2575

**FY 2006 APPLICATION KIT FOR NEW GRANTS**

**UNDER**

**THE NATIONAL INSTITUTE ON DISABILITY AND REHABILITATION RESEARCH**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**PHASE I**

**CFDA NUMBER: 84.133S-1**

![](media/image1.png){width="4.0in" height="3.4270833333333335in"}

FORM APPROVED

OMB No. 1890-0012, EXP. DATE 03**/**2006

ED FORM 424, OMB Approved

**DATED MATERIAL - OPEN IMMEDIATELY**

**CLOSING DATE: MARCH 13, 2006**

**TABLE OF CONTENTS**

 

> **[DEAR APPLICANT LETTER]{.underline} Section I**
>
> **[PROGRAM OVERVIEW]{.underline} Section II**

 

> A.     Introduction
>
> B.     SBIR Program Description and Award Levels
>
> C.     Authorization
>
> D.     Applicant Eligibility
>
> E.     Application Limitations
>
> F.     Key Dates and Award Information

G.  Recent Changes in Legislation

 

> **[AGENCY CONTACT]{.underline} Section III**

 

> **[DEFINITIONS]{.underline} Section IV**

 

> **[GRANT APPLICATION PREPARATION INSTRUCTIONS AND
> REQUIREMENTS]{.underline} Section V**

 

> A.      Application Requirements (including REQUIRED FORMS)
>
> B.     Protection of Information in Applications
>
> C.     Limitations on Length of Application

D.  Phase I Application Guidance (including Protection of Human Subjects
    Information)

E.  DUNS

 

## **METHOD OF SELECTION AND EVALUATION CRITERIA Section VI**

** **

## A.      Introduction 

## B.     Evaluation Criteria for Phase I 

## C.     Release of Grant Application Review Information 

 

## **CONSIDERATIONS Section VII**

** **

> A.      Reports
>
> B.     Government Performance and Results Act
>
> C.     Innovations, Inventions, and Patents
>
> D.     Subcontracting Limits -- Research and Analytical Work
>
> E.     Joint Ventures or Limited Partnerships
>
> F.      Cost-Sharing
>
> G.     Profit/Fee
>
> H.     American Made Equipment and Products
>
> I.         Standard Terms and Conditions
>
> J.       Additional Information

 

## **GRANTS.GOV SUBMISSION PROCEDURES AND TIPS FOR APPLICANTS &**

## **APPLICATION TRANSMITTAL INSTRUCTIONS Section VIII**

 

## **PRIORITIES Section IX**

 

> [**SCIENTIFIC AND TECHNICAL INFORMATION SOURCES**]{.underline}
> **Section X**

 

> Application CHECKLIST
>
> **[NOTICE INVITING APPLICATION, Federal Register dated January 10,
> 2006]{.underline} Section XI**

**[FORM INSTRUCTIONS]{.underline}** **Section XII**

**SECTION I**

**DEAR APPLICANT LETTER**

###  January 10, 2006

> Dear Applicant:
>
> The Secretary invites applications for new awards for Fiscal Year (FY)
> 2006 for the Small Business Innovation Research (SBIR) Program (CFDA
> 84.133S-1) in the January 10, 2006 Federal Register. The purpose of
> this program is to stimulate technological innovation in the private
> sector, strengthen the role of small business in meeting Federal
> research or research and development (R/R&D) needs, increase the
> commercial application of Department of Education (ED) supported
> research results, and improve the return on investment from
> Federally-funded research for economic and social benefits to the
> Nation.
>
> It is anticipated that we will fund 15 awards under this program.
> Under this competition we are particularly interested in applications
> that address one of the five invitational priorities. The maximum
> amount in the 6-month budget period is \$75,000, which includes both
> direct and indirect costs and fee.
>
> [ELIGIBLE APPLICANTS]{.underline}:
>
> Small business concerns as defined by the Small Business
> Administration (SBA) at the time of the award. Each organization
> submitting an application must qualify as a small business concern as
> defined by the SBA at the time of the award. This definition is
> included in the application package. Firms with strong research
> capabilities in technologies, science, or engineering to any of the
> priority areas listed in this notice are encouraged to participate.
>
> [IMPORTANT APPLICATION PROCEDURES]{.underline}
>
> This application package contains application information different
> from previous years. As well as information and the required forms for
> potential applicants to apply and be considered for a FY 2006 grant
> award under the SBIR competition, including the published Federal
> Register notice dated January 10, 2006. Potential applicants are
> advised to read the materials carefully, particularly the information
> on the types of organizations that are eligible to apply for these
> grants, how to prepare an application, the dollar amount for the
> budget period, the protection of human subjects, and the selection and
> evaluation criteria (Section VI.) used by the reviewers to evaluate
> each application.
>
> Page 2 -- Dear Applicant
>
> **We encourage you to read section VIII \-- Grants.gov Submission
> Procedures and Tips for Applicants **
>
> These 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 one 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.
>
> The closing date (application deadline) is **[March 13,
> 2006]{.underline}**.
>
> [If you are submitting by paper]{.underline}
>
> Applications must be [postmarked]{.underline} by the closing date of
> March 13, 2006, if submitting in paper. Follow the Application
> Transmittal Instructions for submitting in paper or electronically
> found in section VIII. Please include an electronic copy (disk) with
> your application. NIDRR would appreciate that you include 9 additional
> copies of your application to facilitate the peer review process (12
> copies in all). In addition, NIDRR requests that you submit a disk
> copy of your application. Also, we would like to suggest that the
> original copy of the application be secured with a binder clip in
> order to facilitate any additional copying that might be required.
>
> [If you are submitting electronically]{.underline}
>
> We are encouraging you to submit your application electronically.
> Electronic copies must be uploaded on Grants.gov by 4:30 pm,
> Washington DC time on the closing date and then processed by
> Grants.gov successfully. For additional information on electronic
> submission procedures, see the Grants.gov Submission Procedures and
> Tips for Applicants - Section VIII. A copy of your application
> [must]{.underline} not be emailed directly to the Department. If you
> submit your application electronically, you must submit it
> electronically via Grants.gov. We strongly suggest that you carefully
> check your submission to ensure that you have attached the correct
> files in the appropriate fields.
>
> [PROGRAM RULES]{.underline}
>
> These grants are subject to (a) the requirements of Education
> Department General Administrative Regulations (EDGAR), 34 CFR part 75,
> 77, 81, 82, 85, 86, and 97, which set forth general rules affecting
> the submittal, review, grant award, and post-award administration for
> Department of Education grant programs and (b) the program regulations
> 34 CFR part 350.
>
> [TECHNICAL ASSISTANCE]{.underline}
>
> If you have any questions about the information in this application
> packet, please contact Lynn. Medley either by e-mail at
> lynn.medley@ed.gov or by telephone at (202) 245-7338. Individuals who
> use a telecommunications device (TDD) may call the Federal Relay
> Service (FRS) at 1-800-877-8339 between 8:00 a.m. and 4:00 p.m., EST,
> Monday through Friday.
>
> Page 3 -- Dear Applicant
>
> **[NOTE]{.underline}**: Please forward this entire application packet
> to the individual or office responsible for preparing the application
> as they will need the entire packet to complete the grant application.
>
> Thank you for your interest in this program.
>
> Sincerely,
>
> //Signed//
>
> Steven James Tingus, M.S., C.Phil.
>
> Director,
>
> National Institute on Disability
>
> and Rehabilitation Research
>
>  

**SECTION II**

> **PROGRAM OVERVIEW**

**II.  PROGRAM OVERVIEW**

 

**A.          [Introduction]{.underline}**

 

The **U.S. Department of Education (ED), Office of Special Education and
Rehabilitative Services (OSERS), National Institute on Disability and
Rehabilitation Research (NIDRR)** invites small business firms to submit
Phase I research applications under this program announcement entitled
**Small Business Innovation Research** **(SBIR)**. Firms with strong
research capabilities in educational and assistive technologies,
science, or engineering in any of the priority areas listed within are
encouraged to participate. 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.[^1]

 

The purpose of this program is to stimulate technological innovation in
the private sector, strengthen the role of small business in meeting
Federal research or research and development (R/R&D) needs, increase the
commercial application of Department of Education (ED) supported
research results, and improve the return on investment from
Federally-funded research for economic and social benefits to the
Nation.

 

  

**B.         [SBIR Program Description and Award Levels]{.underline}**

 

The three phases of the SBIR program are:

 

**[Phase I.]{.underline}** \-- Phase I is to determine, insofar as
possible, the scientific or technical merit and feasibility of ideas
submitted under the SBIR program. The application should concentrate on
research that will significantly contribute to proving the scientific or
technical feasibility of the approach or concept and that would be
prerequisite to further ED support in Phase II. Applications are
evaluated by panels of expert reviewers based on criteria published in
this program announcement. Awards are for periods **up to 6 months** in
amounts up to **\$75,000**, the maximum amount includes both direct and
indirect costs and fee**.** For FY 2006, ED anticipates making
approximately 15 grant awards for CFDA number 84.133S-1.

 

**[Phase II.]{.underline}** \-- Phase II is to expand on the results of
and to further pursue the development of Phase I projects. Phase II is
the principal research or R&D effort. It requires a more comprehensive
application, outlining the effort in detail including the commercial
potential. Phase II applicants must be Phase I awardees with approaches
that appear sufficiently promising as a result of Phase I. Once again,
applications are evaluated based on published criteria by panels of
experts.

>  

*Awards are for periods **up to 2 years** in the maximum amount of
\$500,000. for the 2-year performance period. This maximum amount should
include both direct and indirect costs and fee. Applicants are allowed
the option to distribute the \$500,000. maximum amount 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.*

 

Both Phase I and Phase II awards may include a reasonable profit/fee,
but cannot exceed the maximum amount in any budget year. Applications
that exceed the maximum amount in any year will not be reviewed.

**[Phase III.]{.underline}** -- In Phase III, the small business must
use non-SBIR capital to pursue commercial applications of the research
or research and development. Also, under Phase III, Federal agencies may
award non-SBIR follow-on funding for products or processes that meet the
needs of those agencies. NIDRR does not presently participate in Phase
III.

 

**C.         [Authorization]{.underline}**

 

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 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.

 

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 comes
from:

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

 

 

**D.         [Applicant Eligibility]{.underline}**

 

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**. The complete definition is
included in Section III, "Definitions."

 

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, for both Phase I
and Phase II the research or 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 I**, the proposing firm must
perform at least two-thirds 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‑third of the total funding agreement price.

 

######### **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.

 

**E.          [Application Limitations]{.underline}**

 

An application must be limited to one priority listed in this program
announcement. When an application is relevant to more than one priority,
the applicant must decide which priority is most relevant and submit it
under that priority only. However, there is no limitation on the number
of different applications that an applicant may submit under this
competition, even to the same priority. A firm may submit separate
applications on different priorities, or different applications on the
same priority, but each application should respond to only one priority.
Duplicate applications will be returned without review.

 

**F.          [Key Dates and Award Information]{.underline}**

 

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 15 Phase I
grant awards ranging up to \$75,000 in fiscal year 2006. *The Department
expects to announce awards by mid-August to mid-September, 2006*. The
project start date should be October 1, 2006. Successful applicants have
up to 6 months to carry out the proposed Phase I effort.

 

For planning purposes only, ED anticipates that approximately one‑third
of the Phase I awardees will receive Phase II awards, depending on the
results of the Phase I efforts, applicant evaluations and the
availability of funds. Only Phase I grantees are eligible to apply for a
Phase II award. The purpose of Phase II is to further develop ideas
explored during Phase I. Specific instructions for the preparation of
Phase II applications will be sent to qualifying Phase I awardees near
the completion of the Phase I work.

 

APPLICATIONS ARE DUE ON ENTER DATE.

 

 

 

 

 

 

 

**G.         [Recent Changes in Legislation]{.underline}**

 

**[Recent Changes in Legislation.]{.underline}** 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 will be
> included with the 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
    ([http://technet.sba.gov](http://technet.sba.gov/)).

**SECTION III**

**AGENCY CONTACT**

**III. AGENCY CONTACTS**

 

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

 

+-------------------------------+------------------+-------------------+
|                               |                  |                   |
|                               |                  |                   |
| # AWARDING                    |                  |                   |
| COMPONENT CONTACT INFORMATION |                  |                   |
|                               |                  |                   |
|                               |                  |                   |
+-------------------------------+------------------+-------------------+
|                               |                  | ** **             |
|                               |                  |                   |
|                               | **PROGRAM OFFICE | **GRANTS          |
|                               | CONTACT**        | MANAGEMENT        |
| ####### AWARDING COMPONENT    |                  | CONTACT**         |
+-------------------------------+------------------+-------------------+
|                               |                  |                   |
|                               |                  |                   |
| **Office of Special Education | **Lynn Medley**  | **Lynn Medley**   |
| and**                         |                  |                   |
|                               | Phone: (202)     | Phone: (202)      |
| **Rehabilitative Services**   | 245-7338         | 245-7338          |
|                               |                  |                   |
| **(OSERS)**                   | Email:           | Email:            |
|                               | <lyn             | <ly               |
| http://www.ed.gov/about/      | n.medley@ed.gov> | nn.medley@ed.gov> |
| offices/list/osers/index.html |                  |                   |
|                               |                  |                   |
|                               |                  |                   |
+-------------------------------+------------------+-------------------+
|                               |                  |                   |
+-------------------------------+------------------+-------------------+

 

 Address questions pertaining to **human subjects research issues** to:

 

> **Jeffery Rodamar**
>
> Protection of Human Subjects
>
> Grants Policy Oversight Staff
>
> U.S. Department of Education
>
> Room 7102 -- PCP
>
> 550 12th Street, SW **Phone:** (202) 245-6153
>
> Washington, DC 20204-4248 **Email:** <Jeffery.Rodamar@ed.gov>
>
>  

**SECTION IV**

**DEFINITIONS**

**IV. DEFINITIONS**

 

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

 

**[Applicant]{.underline}**

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]{.underline}**

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

 

**[Awardee]{.underline}**

The SBC receiving an SBIR funding agreement.

 

**[Commercialization]{.underline}**

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]{.underline}**

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]{.underline}**

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]{.underline}**

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

 

**[Historically Underutilized Business Zone (HUBZone)]{.underline}**

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]{.underline}**

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]{.underline}**

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]{.underline}**

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.

 

**[Principal Investigator/Project Manager]{.underline}**

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]{.underline}**

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

** **

**[Research or Research and Development (R/R&D)]{.underline}**

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]{.underline}**

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

 

**[SBIR Technical Data Rights]{.underline}**

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]{.underline}**

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]{.underline}**

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]{.underline}**

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]{.underline}**

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]{.underline}**

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 V**

**GRANT APPLICATION PREPARATION INSTRUCTIONS**

**AND REQUIREMENTS**

**V. GRANT APPLICATION PREPARATION INSTRUCTIONS AND REQUIREMENTS**

 

 **A. [Application Requirements]{.underline}**

 

An application to OSERS/NIDRR under the SBIR program should present a
sound approach to the investigation of an important education,
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 is the primary concern for all research
supported by OSERS. **\[NOTE: The number of points weighted to this area
is contained in the "Evaluation Criteria -- Section V (B)."\]**

The application\'s R/R&D 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 that may
benefit the public. Applications must be confined principally to
advanced concepts in educational and assistive technologies, scientific
or engineering research or research and development.

 

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.

 

 

 

 

 

 

**B.          [Protection of Information in Applications]{.underline}**

 

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.

 

**C.         [Limitations on Length of Application]{.underline}**

 

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 should submit a SBIR Phase I application narrative of
**no more than 25 pages,** excluding abstract/summary/certification, any
documentation of prior multiple Phase II awards, if applicable, 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.

In the interest of equity to all applicants, **all information must be
in the 25 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

 

 

**D.         [Phase I Application Guidance]{.underline}**

 

**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]{.underline}.** 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.

[ED 424 **(If applying by paper)**]{.underline}

> 1\. [CFDA Number]{.underline}: In the title block of #4 on the 424
> form, please note the appropriate CFDA.
>
> 2\. [DUNS number]{.underline}: It is important to verify with your
> fiscal office the DUNS number, which goes in Block #2 on the ED 424
> form. If you do not have one, call 1-800-333-0505 to set one up. This
> number is required.
>
> 3\. [Novice applicant]{.underline}. Please leave Block #6 blank. Does
> not apply to NIDRR programs.
>
> 4\. [EO 12372]{.underline}: Mark Block #11, the EO 12372 as no and not
> covered. This program is not covered.
>
> 5\. [Human Subjects]{.underline}: Remember to include a seven-point
> narrative on the protection of Human Subjects as it pertains to your
> grant if you check "yes" on ED 424 block number 13. You must include a
> separate narrative for each site where the research is being
> conducted. If you check "no" please include a paragraph of why it is
> not required.

[SF 424 and ED Supplemental **(If applying through
Grants.gov)**]{.underline}

1.  [DUNS \#]{.underline}: You must enter the DUNS number for your
    organization used when it registered with the Central Contractor
    Registry.

> 2\. [Legal Name]{.underline}: Block #8a is for the name of institution
> or entity. **Please note** the CFDA. 84.133S, will automatically
> populate on Block #11 of the SF 424.
>
> 3\. [Project Director]{.underline}: Project director information is on
> the ED supplemental form in Block #1. You are the person to contact,
> the project director and the authorized representative.
>
> 4\. [EO 12372]{.underline}: Mark Block #19, the EO 12372 as no and not
> covered.
>
> 5\. [Human Subjects]{.underline}: Block #3 on the ED Supplemental. You
> must include a separate narrative for each site where the research is
> being conducted. If you check "no", please include a paragraph of why
> it is not required

-   **ED Budget Form 524**

-   Include any profit/fee in Line 10 (Indirect Costs). Only columns
    "(a)" and "(f)" should be completed since the period of performance
    is for up to 6 months. The fee is not a "cost" and may be used by
    the small business concern for any purpose, including additional
    effort under the SBIR award. Therefore, the applicant should enter
    the request for profit/fee as a separate item in the narrative
    justification.

-   **SF 424B:** Assurances -- Non-Construction Programs

-   Grants.gov Lobbying Form: Certifications Regarding Lobbying or ED
    80-0013, if submitting by paper.

-   **ED 80-0014**: Certification Regarding Debarment, Suspension,
    Ineligibility and Voluntary Exclusion -- Lower Tier Covered
    Transaction

-   **SF LLL**: Disclosure of Lobbying Activities (Optional)

-   Survey on Ensuring Equal Opportunity for Applicants

>  

2.  **[Project Narrative -- ABSTRACT, CERTIFICATIONS, STATEMENTS, and
    LEGEND]{.underline}**

>  
>
> a\) **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/>

** **

> c)      **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**

 

> d)     **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.
>
>   

**[Project Narrative -- TECHNICAL CONTENT]{.underline}**

> The subcategories of this section directly correspond to the
> "Evaluation Criteria" listed in this Program Announcement.
>
> a)      **Significance:**
>
> i)        [Identification and Significance of the Problem or
> Opportunity.]{.underline} Make a clear statement of the specific
> research problem or opportunity addressed and why it is important.
>
> ii)       [Related Research or R&D.]{.underline} Describe significant
> research or R&D 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.
>
> iii)     [Potential Commercial Applications/Anticipated Societal
> Benefits.]{.underline} Briefly describe whether and by what means the
> proposed research also appears to have potential commercial
> application(s) and/or societal benefit(s). Also describe briefly
> whether and by what means the proposed project appears to have
> potential use by the Federal Government (if, in fact, it does).
>
> b)      **Quality of the Project Design:**
>
> i)        [Phase I Technical Objectives.]{.underline} State the
> specific objectives of the Phase I research or R&D effort, including
> the technical questions it will try to answer to determine the
> feasibility of the proposed approach.
>
> ii)       [Relationship with Future R&D.]{.underline} Discuss the
> significance of the Phase I effort in providing a foundation for the
> Phase II R&D effort. Also state the anticipated results of the
> proposed approach if Phases I and II are successful.
>
> iii)     [Phase I Work Plan.]{.underline} Include a detailed
> description of the Phase I research or R&D plan. The plan should
> indicate not only what will be done, but how the R&D will be carried
> out. Phase I research or R&D should address the objectives and the
> questions cited in 3 (b)(i) above. The methods planned to achieve each
> objective or task should be discussed in detail.
>
>  
>
> **THE "WORK PLAN" SHOULD BE AT LEAST ONE-THIRD OF THE APPLICATION.**
>
>  
>
> iv)     [Human Subjects in Research.]{.underline} **If applicable**,
> include a brief 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
>
> Washington, DC 20202-4248
>
> \(202\) 245-6154
>
>  
>
> 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 I feasibility 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.
>
>  
>
> v.       [Protection of Pupil Rights Amendment (PPRA).]{.underline}
> 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 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
>
>  
>
> c)      **Quality of Project Personnel:**
>
> i)        [Key Personnel and Bibliography of Directly Related
> Work.]{.underline} Identify key personnel involved in Phase I,
> 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.
>
> ii)       [Consultants.]{.underline} 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. \[NOTE: See
> "Considerations" section for "Subcontracting Limits."\]
>
> d)      **Adequacy of Resources:**
>
> i.         [Facilities and Equipment:]{.underline}

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 I.

> ii.       [Budget:]{.underline}

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.

>  
>
> 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").

 

4.      **[Project Narrative -- RELATED APPLICATION(S) or
AWARD(S)]{.underline}.**

>  
>
> 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:
>
> a)      The name and address of agencies to which application(s)
> was/were submitted or from which SBIR award(s) was/were received.
>
> b)      The date(s) of application submission and date(s) of award.
>
> c)      The title, number and date of SBIR program announcement under
> which application(s) was/were submitted or award(s) received.
>
> d)      The applicable research priority in the program announcement
> for each SBIR application submitted or award received.
>
> e)      The titles of research projects.
>
> f)        The name and title of the principal investigator for each
> application submitted or award received.
>
>  
>
>   

**[WARNING]{.underline}**

**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 issue, it must be disclosed**

**to the soliciting agency or agencies before award.**

>  
>
>  

5.      **[Project Narrative -- DOCUMENTATION OF MULTIPLE PHASE II
AWARDS.]{.underline}** A small business concern that submits a Phase I
application and has received more than 15 Phase II SBIR awards, as
totaled from all Federal agencies with SBIR programs, during the
preceding 5 fiscal years, **must** submit the following information for
each Phase II award:

-   the name of the awarding agency,

-   the date of the award,

-   the funding agreement number and award amount,

-   the priority/topic or subtitle,

-   the amount of the follow-on funding commitment, the source and the
    date of the commitment, and the current commercialization status.

> \[This required information **[will not be]{.underline}** counted
> toward the application limitation of 25 pages.\]
>
>  

E. **DUNS Number Instructions**. 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.

##### 

#####  

 

**SECTION VI**

##### METHOD OF SELECTION AND EVALUATION CRITERIA 

##### VI. METHOD OF SELECTION AND EVALUATION CRITERIA

 

 

**A.           [Introduction]{.underline}**

 

Phase I 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.

 

#### B.          Evaluation Criteria for Phase I

 

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** **(25 points)**

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

-   (10 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 (50 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.

-   (5 points) The quality of the methodology to be employed in the
    proposed project.

-   (5 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.

 

> **4.      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.

>  

 

**C.          [Release of Grant Application Review
Information]{.underline}**

 

**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 VII**

**CONSIDERATIONS**

 

##### VII. CONSIDERATIONS

 

**A.           [Reports]{.underline}**

 

A final Phase I "Performance Report" **must** be submitted to the
assigned Education Program Officer upon completion of the Phase I work.
The report should identify the purpose of the research, and include a
brief description of the research carried out, the research findings or
results, and the potential applications of the research. **This project
summary is to be submitted without restriction on publication and may be
published by ED.** The performance report should include performance and
financial expenditure information as required by the awarding Program
Office.

>  

**B.         [Government Performance and Results Act]{.underline}**

 

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 development (R/R&D) needs, increase the
commercial application of Department of Education (ED) supported
research results, and improve the return on investment from
Federally-funded research for economic and social benefits to the
Nation. 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.

 

**C.         [Innovations, Inventions and Patents]{.underline}**

 

> **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]{.underline}**
>
> 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.

 

**D.         [Subcontracting Limits -- Research and Analytical
Work]{.underline}**

 

For **Phase I**, at least **two‑thirds** 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.

 

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.

>  

**E.          [Joint Ventures or Limited Partnerships]{.underline}**

 

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

>  

**F.          [Cost-Sharing]{.underline}**

 

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 I
application.

>  

**G.         [Profit/Fee]{.underline}**

[ ]{.underline}

Both Phase I and 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 R/R&D work.

 

**H.         [American Made Equipment and Products]{.underline}**

 

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

 

**I.             [Standard Terms and Conditions]{.underline}**

 

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.

>  

**J.           [Additional Information]{.underline}**

>  
>
> 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 VIII**

##### GRANTS.GOV SUBMISSION PROCEDURES AND TIPS FOR APPLICANTS &

##### APPLICATION TRANSMITTAL INSTRUCTIONS 

# IMPORTANT -- PLEASE READ FIRST

**U.S. Department of Education**

***[Grants.gov Submission Procedures and Tips for
Applicants]{.underline}***

Please note that the Grants.gov site works differently than the U.S.
Department of Education's (Department) e-Application system. 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 is a one-time process
    that may take five or more 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 Get Started steps
    are complete. For detailed information on the Get Started Steps,
    please go to: <http://www.grants.gov/GetStarted>.

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, 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).**

3)  **VERIFY SUBMISSION IS OK** -- You will want to verify that
    Grants.gov and the Department 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
    Check Application Status 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/assets/ApplicationErrorTips.doc>. 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/CustomerSupport>.

If electronic submission is [optional]{.underline} 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]{.underline}, 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]{.underline}
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. (This
is different from e-Application, where you are working online and saving
data to the Department's database.) **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/ForApplicants> for help with
Grants.gov and click on the links in the lower right corner of the
screen under Applicant Tips and Tools. For additional tips related to
submitting grant applications, please refer to the Grants.gov Submit
Application Tips found on the Grants.gov homepage
[http://www.grants.gov](http://www.grants.gov/).

# 

# 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 a
Windows Emulation program to submit an application using Grants.gov. For
additional information, review the [PureEdge Support for
Macintosh](http://www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge.pdf)
white paper published by Pure Edge:
<http://www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge.pdf>,
and/or contact Grants.gov Customer Support
(<http://www.grants.gov/CustomerSupport>) for more information. **If you
do not have a Windows emulation program and electronic submission is
required, 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.)

##### VIII.                        APPLICATION TRANSMITTAL INSTRUCTIONS 

[Submission of Paper Applications by Mail]{.underline}.

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]{.underline}:

> U.S. Department of Education
>
> Application Control Center

# Attention: (CFDA Number 84.133S-1)

# 400 Maryland Avenue, SW.

Washington, DC 20202-4260

or

[By mail through a commercial carrier]{.underline}:

U.S. Department of Education

Application Control Center -- Stop 4260

> Attention: (CFDA Number 84.133S-1)
>
> 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]{.underline}: 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.

[Submission of Paper Applications by Hand Delivery]{.underline}.

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-1)
>
> 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]{.underline}:

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 4 of the Application for Federal Education
Assistance (ED 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 IX**

##### PRIORITIES 

##### 

##### IX.                        PRIORITIES

 

For fiscal year 2006, there is one priority (with five invitational
priorities) proposed by the **Office of Special Education and
Rehabilitative Services (OSERS)** under CFDA Number 84.133S with awards
up to \$75,000.

 

SBIR projects are encouraged to look to the future by exploring uses of
technology to ensure equal access to education and promote educational
excellence throughout the nation.

 

This application package includes a number of examples to illustrate the
kinds of activities that could be funded under the priority. **Specific
examples are listed only as examples of advanced applications or
research of interest**. It is OSERS's intention to provide sufficient
flexibility to obtain the greatest degree of creativity and innovation
possible, consistent with overall SBIR and OSERS's program objectives.

 

**PRIORITY 1**

This priority supports research to develop methods, procedures, and
rehabilitation technology that maximize the full inclusion and
integration into society, employment, independent living, family and
community support, and to promote economic and self-sufficiency of
individuals with disabilities, especially individuals with the most
significant disabilities; and improve the effectiveness of services
authorized under the Rehabilitation Act of 1973, as amended.

** **

The following **five invitational priorities** relate to innovative
research utilizing new technologies (including nanotechnologies and
biotechnologies) to address the needs of individuals with disabilities
and their families. We are particularly interested in applications that
meet one of the following priorities. Under 34 CFR 75.105(c)(1) we do
not give an application that meets one of these priorities a competitive
or absolute preference over other applications.

These priorities are:

\(1\) Development of technology to support access, promote integration,
or foster independence of individuals with disabilities in the
workplace, recreational activities, or educational settings.

\(2\) Development of technology to enhance sensory or motor function of
individuals with disabilities.

(3) Development of technology to support access to employment, promote
    sustained employment, and

promote employment advancement for individuals with disabilities.

\(4\) Development of accessible information technology including Web
access technology, software, and other systems and devices that promote
access to information in educational, employment, and community
settings, and voting technology that improves access for individuals
with disabilities.

\(5\) Development of technology to support independent access to health
care services in the community for individuals with disabilities.

Applicants should describe the approaches they expect to use to collect
empirical evidence that demonstrates the effectiveness of the technology
they are proposing in an effort to assess the efficacy and usefulness of
the technology.

##### 

#####  

**SECTION X**

##### SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 

##### 

##### X.                        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/](http://www.sba.gov/sbir/)

 

 

### [Office of Special Education and Rehabilitative Services (OSERS)]{.underline}

 

OSERS Home Page
[www.ed.gov/offices/OSERS/](http://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/](http://www.ncddr.org/)

 

  National Rehabilitation Information

Center [www.naric.com](http://www.naric.com/)

### [General]{.underline}

 

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

 

U.S. Department of Education

e-Grants System [e-grants.ed.gov/egWelcome.asp](http://e-grants.ed.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/](http://tech-net.sba.gov/)

**GRANT APPLICATION PACKAGE CHECKLIST**

** **

**CLOSING DATE: March 13, 2006**

** **

**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 25 pages, excluding** any
documentation of prior multiple Phase II awards, if applicable; and,
required forms?

 

Has the **ED Supplemental and 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 12 of
the **ED Supplemental Standard Form 424**?

 

 

Has the **Budget Summary Form (ED Form 524),** been completed according
to the instructions?

 

 

Have you included IN THE ABSTRACT FORM SECTION all the required
components of the **\-- ABSTRACT** section?

>          Abstracts;
>
>          Certifications;
>
>          Statements; and,
>
>          Legend
>
>  
>
> Have you addressed each of the components of the **"Technical Content
> and Work Plan" IN THE NARRATIVE** section**? [NOTE: 25 Page
> limit]{.underline}.** Including --
>
>          Significance:
>
>          Quality of Project Design;
>
>          Quality of Project Personnel; and,
>
>          Adequacy of Resources
>
>  Is the Phase I "Work Plan" at least one-third of the application?
>
>  
>
>  
>
> Have you provided notification of **"Related Application(s) or
> Award(s)"** and **"Documentation of Multiple Phase II Awards,"** if
> applicable IN THE OTHER SECTION?

**SECTION XI**

**NOTICE INVITING APPLICATION**

4000-01-U

DEPARTMENT OF EDUCATION

Office of Special Education and Rehabilitative Services

Overview Information

National Institute on Disability and Rehabilitation Research
(NIDRR)\--Small Business Innovative Research Program (SBIR)

Notice inviting applications for new awards for fiscal year (FY) 2006.

[Catalog of Federal Domestic Assistance (CFDA) Number]{.underline}:
84.133S-1

[Dates]{.underline}:

Applications Available: January 10, 2006.

Deadline for Transmittal of Applications: March 13, 2006.

[Eligible Applicants]{.underline}: Entities that are, at the time of
award, small business concerns as defined by the Small Business
Administration (SBA). This definition is included in the application
package.

All technology, science, or engineering firms with strong research
capabilities in any of the priority areas listed in this notice are
encouraged to participate.

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

If it appears that an applicant organization does not meet the
eligibility requirements, we will request an evaluation by the SBA.
Under circumstances in which eligibility is unclear, we will not make a
SBIR award until the SBA makes a determination.

[Estimated Available Funds]{.underline}: The Administration has
requested \$5,000,000 for the SBIR program for FY 2006, of which we
intend to use an estimated \$1,125,000 for new Phase I awards. The
actual level of funding, if any, depends on final congressional action.
However, we are inviting applications to allow enough time to complete
the grant process if Congress appropriates funds for this program.

[Note]{.underline}: The estimated amount of funds available for new
Phase I awards is based upon the estimated threshold SBIR allocation for
the Office of Special Education and Rehabilitative Services (OSERS),
minus prior commitments for Phase II continuation awards.

[Estimated Average Size of Awards]{.underline}: \$75,000.

[Maximum Award]{.underline}: We will reject any application that
proposes a budget exceeding \$75,000 for a single budget period of six
months. The Assistant Secretary for Special Education and Rehabilitative
Services may change the maximum amount through a notice published in the
[Federal Register]{.underline}.

[Note]{.underline}: Maximum award amount includes direct and indirect
costs and fees.

[Estimated Number of Awards]{.underline}: 15.

[Estimated Range of Awards]{.underline}: \$60,000 - \$75,000.

[Note]{.underline}: The Department is not bound by any estimates in this
notice.

[Project Period]{.underline}: Up to six months for Phase I.

Full Text of Announcement

I. Funding Opportunity Description

[Purpose of Program]{.underline}: The purpose of this program is to
stimulate technological innovation in the private sector, strengthen the
role of small business in meeting Federal research or research and
development (R/R&D) needs, increase the commercial application of
Department of Education (ED) supported research results, and improve the
return on investment from Federally funded research for economic and
social benefits to the Nation.

[Note]{.underline}: NIDRR supports the goals of President Bush's New
Freedom Initiative (NFI). The NFI can be accessed on the Internet at the
following site:

*http://www.whitehouse.gov/news/freedominitiative/freedominitiative.html*

The goals of the SBIR program are in concert with NIDRR's proposed
Long-Range Plan (Plan) published in the [Federal Register]{.underline}
on July 27, 2005 (70 FR 43521). The Plan is comprehensive and integrates
many issues relating to disability and rehabilitation research topics.
The Plan can be accessed on the Internet at the following site:

http://www.ed.gov/legislation/FedRegister/other/2005-3/072705d.html

Through the implementation of the NFI and the Plan, NIDRR seeks to \--
(1) Improve the quality and utility of disability and rehabilitation
research; (2) Foster an exchange of expertise, information, and training
to facilitate the advancement of knowledge and understanding of the
unique needs of traditionally underserved populations; (3) Determine
best strategies and programs to improve rehabilitation outcomes for
underserved populations; (4) Identify research gaps; (5) Identify
mechanisms of integrating research and practice; and (6) Disseminate
findings.

Executive Order 13329\--Manufacturing-Related Innovation

Executive Order 13329 states that continued technological innovation is
critical to a strong manufacturing sector of the United States economy
and directs Federal agencies to assist the private sector in its
manufacturing innovation efforts. ED's SBIR Program encourages
innovative R & D projects that are manufacturing related, as defined by
the Executive Order. Manufacturing-related R&D encompasses improvements
in existing methods or processes, or wholly new processes, machines or
systems. Broadly speaking, ED\'s SBIR program encourages R&D in
manufacturing through systems-level technologies, such as artificial
intelligence and other information technology devices, software,
systems, and product design. For more information on Executive Order
13329, please visit the following Web site:
http://www.sba.gov/sbir/execorder.html or contact Carol Cohen at:
Carol.Cohen@ed.gov

[Background]{.underline}

The Small Business Reauthorization Act of 2000 (Act) was enacted on
December 21, 2000. The Act requires certain agencies, including ED, to
establish SBIR programs by reserving a statutory percentage of their
extramural research and development budgets to be awarded to small
business concerns through a uniform, highly competitive three-phase
process.

The three phases of the SBIR program are:

[Phase I]{.underline}: Phase I projects determine, insofar as possible,
the scientific or technical merit and feasibility of ideas submitted
under the SBIR program. The application should concentrate on research
that will significantly contribute to proving the scientific or
technical feasibility of the approach or concept and that would be a
prerequisite to further ED support in Phase II.

[Phase II]{.underline}: Phase II projects expand on the results of and
further pursue the development of Phase I projects. Phase II is the
principal R/R&D effort. It requires a more comprehensive application,
outlining the effort in detail including the commercial potential. Phase
II applicants must be Phase I awardees with approaches that appear
sufficiently promising as a result of Phase I. Awards are for periods of
up to two years in amounts up to \$500,000.

[Phase III]{.underline}: In Phase III, the small business must use
non-SBIR capital to pursue commercial applications of the R/R&D. Also,
under Phase III, Federal agencies may award non-SBIR follow-on funding
for products or processes that meet the needs of those agencies.

All SBIR projects funded by NIDRR must address the needs of individuals
with disabilities and their families. 29 U.S.C. 762. Activities may
include exploring the uses of technology to ensure equal access to
education, employment, community environments, and information for
individuals with disabilities and improving the quality and utility of
disability and rehabilitation research.

[Priorities]{.underline}: Under this competition we are particularly
interested in applications that address one of the following priorities.

[Invitational Priorities]{.underline}: For FY 2006 these priorities are
invitational priorities. Under 34 CFR 75.105(c)(1) we do not give an
application that meets one of these invitational priorities a
competitive or absolute preference over other applications. The
invitational priorities relate to innovative research utilizing new
technologies to address the needs of individuals with disabilities and
their families.

These priorities are:

\(1\) Development of technology to support access, promote integration,
or foster independence of individuals with disabilities in the
workplace, recreational activities, or educational settings.

\(2\) Development of technology to enhance sensory or motor function of
individuals with disabilities.

\(3\) Development of technology to support access to employment, promote
sustained employment, and promote employment advancement for individuals
with disabilities.

\(4\) Development of accessible information technology including Web
access technology, software, and other systems and devices that promote
access to information in educational, employment, and community
settings, and voting technology that improves access for individuals
with disabilities.

\(5\) Development of technology to support independent access to health
care services in the community for individuals with disabilities.

Applicants should describe the approaches they expect to use to collect
empirical evidence that demonstrates the effectiveness of the technology
they are proposing in an effort to assess the efficacy and usefulness of
the technology.

[Note]{.underline}: NIDRR encourages applicants to adhere to universal
design principles and guidelines for more accessible designs. Universal
design is defined as "the design of products and environments to be
usable by all people, to the greatest extent possible, without the need
for adaptation or specialized design" (The Center for Universal Design,
1997, n.p.). Accessible design of consumer products minimizes or
alleviates barriers that reduce the ability of individuals with
disabilities to effectively or safely use standard consumer products.
(For more information see\--
http://www.trace.wisc.edu/docs/consumer_product_guidelines/consumer.pcs/disabil.htm.)

[Reference]{.underline}:

The Principles of Universal Design, Version 2.0. Raleigh, NC: North
Carolina State University. Web: www.design.ncsu.edu).

[Program Authority]{.underline}: The Small Business Reauthorization Act
of 2000, Pub. L. 106-554 (15 U.S.C. 631 and 638) and title II of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 760 et seq.).

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

II\. Award Information

[Type of Award]{.underline}: Discretionary grants.

[Estimated Available Funds]{.underline}: The Administration has
requested \$5,000,000 for the SBIR program for FY 2006, of which we
intend to use an estimated \$1,125,000 for new Phase I awards. The
actual level of funding, if any, depends on final congressional action.
However, we are inviting applications to allow enough time to complete
the grant process if Congress appropriates funds for this program.

[Note]{.underline}: The estimated amount of funds available for new
Phase I awards is based upon the estimated threshold SBIR allocation for
OSERS, minus prior commitments for Phase II continuation awards.

[Estimated Average Size of Awards]{.underline}: \$75,000.

[Estimated Range of Awards]{.underline}: \$60,000 - \$75,000.

[Maximum Award]{.underline}: We will reject any application that
proposes a budget exceeding \$75,000 for a single budget period of six
months. The Assistant Secretary for Special Education and Rehabilitative
Services may change the maximum amount through a notice published in the
[Federal Register]{.underline}.

[Note]{.underline}: Maximum award amount includes direct and indirect
costs and fee.

[Estimated Number of Awards]{.underline}: 15.

[Note]{.underline}: The Department is not bound by any estimates in this
notice.

[Project Period]{.underline}: Up to six months for Phase I.

III\. Eligibility Information

1\. [Eligible Applicants]{.underline}: Entities that are, at the time of
award, small business concerns as defined by the SBA. This definition is
included in the application package.

All technology, science, or engineering firms with strong research
capabilities in any of the priority areas listed in this notice are
encouraged to participate. Consultative or other arrangements between
these firms and universities or other non-profit organizations are
permitted, but the small business concern must serve as the grantee.

If it appears that an applicant organization does not meet the
eligibility requirements, we will request an evaluation by the SBA.
Under circumstances in which eligibility is unclear, we will not make an
SBIR award until the SBA makes a determination.

2\. [Cost Sharing or Matching]{.underline}: This program does not
involve cost sharing or matching.

IV\. Application and Submission Information

1\. [Address to Request Application Package]{.underline}: You may obtain
an application package via Internet or from the ED Publications Center
(ED Pubs). To obtain a copy via Internet use the following address:
http://www.ed.gov/fund/grant/apply/grantapps/index.html

To obtain a copy of the application package from ED Pubs, write or call
the following: ED Pubs, P.O. Box 1398, Jessup, MD 20794-1398. Telephone
(toll free): 1-877-433-7827. FAX: (301) 470-1244. If you use a
telecommunications device for the deaf (TDD), you may call (toll free):
1-877-576-7734.

You may also contact ED Pubs at its Web site:
www.ed.gov/pubs/edpubs.html or you may contact ED Pubs at its e-mail
address: edpubs@inet.ed.gov

If you request an application from ED Pubs, be sure to identify this
competition as follows: CFDA number 84.133S-1.

Individuals with disabilities may obtain a copy of the application
package in an alternative format (e.g., Braille, large print, audiotape,
or computer diskette) by contacting the program contact person listed
under [For Further Information Contact]{.underline} in section VII of
this notice.

2\. [Content and Form of Application Submission]{.underline}:
Requirements concerning the content of an application, together with the
forms you must submit, are in the application package for this
competition.

[Page Limit]{.underline}: The application narrative (Part III of the
application) is where you, the applicant, address the selection criteria
that reviewers use to evaluate your application. You must limit Part III
to the equivalent of no more than 25 pages, \[excluding any
documentation of prior multiple Phase II and III awards, if applicable,
and required forms, using the following standards:

-   A "page" is 8.5" x 11", on one side only, with 1" margins at the
    top, bottom, and both sides.

-   Single space all text in the application narrative, including
    titles, headings, footnotes, quotations, references, and captions,
    as well as all text in charts, tables, figures, and graphs.

-   Use a font that is either 12-point or larger or no smaller that 10
    pitch (characters per inch).

-   Draw all graphs, diagrams, tables, and charts in black ink. Do not
    include glossy photographs or materials that cannot be photocopied
    in the body of the application.

The page limit does not apply to Part II, the budget section, including
the narrative budget justification; the one-page abstract; the resumes;
the bibliography; the letters of support; certifications; statements;
related application(s) or award(s); or documentation of multiple Phase
II awards, if applicable.

We will reject your application if\--

-   You apply these standards and exceed the page

limit; or

-   You apply other standards and exceed the

equivalent of the page limit.

3\. [Content Restrictions]{.underline}: If an applicant chooses to
respond to more than one invitational priority, it must submit a
separate application for each priority. There is no limitation on the
number of different applications that an applicant may submit under this
competition. An applicant may submit separate applications on different
priorities, or different applications on the same priority. However, an
applicant may address only one priority in an application.

4\. [Submission Dates and Times]{.underline}:

Applications Available: January 10, 2006.

Deadline for Transmittal of Applications: March 13, 2006.

Applications for grants under this competition may be submitted
electronically using the Grants.gov Apply site (Grants.gov), or in paper
format by mail or hand delivery. For information (including dates and
times) about how to submit your application electronically, or by mail
or hand delivery, please refer to section IV. 7. [Other Submission
Requirements]{.underline} in this notice.

We do not consider an application that does not comply with the deadline
requirements.

5\. [Intergovernmental Review]{.underline}: This program is not subject
to Executive Order 12372 and the regulations in 34 CFR part 79.

6\. [Funding Restrictions]{.underline}: We reference regulations
outlining funding restrictions in the [Applicable
Regulations]{.underline} section of this notice.

7\. [Other Submission Requirements]{.underline}: Applications for grants
under this program may be submitted electronically or in paper format by
mail or hand delivery.

a\. [Electronic Submission of Applications]{.underline}.

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 2006. The Small Business Innovative Research
Program-CFDA Number 84.133S-1 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 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-1 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/GetStarted). 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/assets/GrantsgovCoBrandBrochure8X11.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 Application for Federal Education Assistance
(ED 424), Budget Information\--Non-Construction Programs (ED 524), and
all necessary assurances and certifications. If you choose to submit
your application electronically, 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]{.underline}, 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]{.underline}: 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]{.underline}.

*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]{.underline}:*

> U.S. Department of Education
>
> Application Control Center

# Attention: (CFDA Number 84.133S-1)

# 400 Maryland Avenue, SW.

Washington, DC 20202-4260

or

[By mail through a commercial carrier]{.underline}:

U.S. Department of Education

Application Control Center -- Stop 4260

> Attention: (CFDA Number 84.133S-1)
>
> 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]{.underline}: 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.

c\. [Submission of Paper Applications by Hand Delivery]{.underline}.

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-1)
>
> 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]{.underline}: 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 4 of the Application for Federal Education
Assistance (ED 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.

#### V. Application Review Information

[Selection Criteria]{.underline}: The selection criteria for this
competition are from 35 CFR 75.210 of EDGAR and are listed in the
application package.

VI\. Award Administration Information

1\. [Award Notices]{.underline}: If your application is successful, we
notify your U.S. Representative and U.S. Senators and send you a Grant
Award Notification (GAN). We may also notify you informally.

If your application is not evaluated or not selected

for funding, we notify you.

> 2\. [Administrative and National Policy Requirements]{.underline}:

We identify administrative and national policy requirements in the
application package and reference these and other requirements in the
[Applicable Regulations]{.underline} section of this notice.

We reference the regulations outlining the terms and conditions of an
award in the [Applicable Regulations]{.underline} section of this notice
and include these and other specific conditions in the GAN. The GAN also
incorporates your approved application as part of your binding
commitments under the grant.

3\. [Reporting]{.underline}: At the end of your project period, you must
submit a final performance report, including financial information, as
directed by the Secretary. If you receive a multi-year award, you must
submit an annual performance report that provides the most current
performance and financial expenditure information as specified by the
Secretary in 34 CFR 75.118.

[Note]{.underline}: NIDRR will provide information by letter to grantees
on how and when to submit the report.

4\. [Performance Measures]{.underline}: To evaluate the overall success
of its research program, NIDRR assesses the quality of its funded
projects through review of grantee performance and products. Each year,
NIDRR examines, through expert peer review, a portion of its grantees to
determine:

-   The degree to which the grantees are conducting high-quality
    research, as reflected in the appropriateness of study designs, the
    rigor with which accepted standards of scientific and engineering
    methods are applied, and the degree to which the research builds on
    and contributes to the level of knowledge in the field; and

-   The number of new or improved assistive and universally designed
    technologies, products, and devices developed by grantees that are
    deemed to improve rehabilitation services and outcomes, enhance
    opportunities for participation by individuals with disabilities and
    are successfully transferred to industry or other private entities
    for potential commercialization.

    VII\. Agency Contact

[For Further Information Contact]{.underline}: Carol G. Cohen, U.S.
Department of Education, 400 Maryland Avenue, SW., room 6035, Potomac
Center Plaza, Washington, DC 20202-2700.

Telephone: (202) 245-7303 or e-mail:

Carol.cohen@ed.gov

If you use a telecommunications device for the deaf (TDD), you may call
the TDD number at (202) 205-4475 or the Federal Relay Service (FRS) at
1-800-877-8339.

Individuals with disabilities may obtain this document in an alternative
format (e.g., Braille, large print, audiotape, or computer diskette) on
request to the program contact person listed in this section.

VIII\. Other Information

[Electronic Access to This Document]{.underline}: You may view this
document, as well as all other documents of this Department published in
the [Federal Register]{.underline}, in text or Adobe Portable Document
Format (PDF) on the Internet at the following site:
www.ed.gov/news/fedregister

To use PDF you must have Adobe Acrobat Reader, which is available free
at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in
the Washington, DC, area at (202) 512-1530.

[Note]{.underline}: The official version of this document is the
document published in the [Federal Register]{.underline}. Free Internet
access to the official edition of the [Federal Register]{.underline} and
the Code of Federal Regulations is available on GPO Access at:
www.gpoaccess.gov/nara/index.html

Dated: January 4, 2006

//Signed//

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> John H. Hager,
>
> [Assistant Secretary for]{.underline}
>
> [Special Education and Rehabilitative Services]{.underline}.

**SECTION XII**

## **FORM INSTRUCTIONS** 

## 

## INSTRUCTIONS FOR THE SF-424

Public reporting burden for this collection of information is estimated
to average 60 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other
aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0043), Washington, DC 20503.

**PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.**

> This is a standard form (including the continuation sheet) required
> for use as a cover sheet for submission of preapplications and
> applications and related information under discretionary programs.
> Some of the items are required and some are optional at the discretion
> of the applicant or the Federal agency (agency). Required items are
> identified with an asterisk on the form and are specified in the
> instructions below. In addition to the instructions provided below,
> applicants must consult agency instructions to determine specific
> requirements.

+---+----------+------------------+---+--------------------------------+
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| t |          |                  | t |                                |
| e |          |                  | e |                                |
| m |          |                  | m |                                |
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|   |     not  |                  |   |                                |
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|   |     this |                  |   |                                |
|   |     to   |                  |   |                                |
|   |          |                  |   |                                |
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|   |          |                  |   |                                |
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|   |          |                  |   |                                |
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|   |          |                  |   |                                |
|   |    date. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Catalog Of Federal Domestic  |
|   |          |                  | 1 | Assistance Number/Title:**     |
|   |          |                  | \ | Enter the Catalog of Federal   |
|   |          |                  | . | Domestic Assistance number and |
|   |          |                  |   | title of the program under     |
|   |          |                  |   | which assistance is requested, |
|   |          |                  |   | as found in the program        |
|   |          |                  |   | announcement, if applicable.   |
+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 2 | **Type   |                  | 1 | **Funding Opportunity          |
| \ | of       |                  | 2 | Number/Title:** (Required)     |
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|   | ation**: |                  | . | Number and title of the        |
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|   | Select   |                  |   | found in the program           |
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|   | A.       |                  |   |                                |
|   | Increase |                  |   |                                |
|   | Award B. |                  |   |                                |
|   | Decrease |                  |   |                                |
|   | Award    |                  |   |                                |
|   |          |                  |   |                                |
|   | C.       |                  |   |                                |
|   | Increase |                  |   |                                |
|   | Duration |                  |   |                                |
|   | D.       |                  |   |                                |
|   | Decrease |                  |   |                                |
|   | Duration |                  |   |                                |
|   |          |                  |   |                                |
|   | E. Other |                  |   |                                |
|   | (        |                  |   |                                |
|   | specify) |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Competition Identification   |
|   |          |                  | 3 | Number/Title:** Enter the      |
|   |          |                  | \ | Competition Identification     |
|   |          |                  | . | Number and title of the        |
|   |          |                  |   | competition under which        |
|   |          |                  |   | assistance is requested, if    |
|   |          |                  |   | applicable.                    |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Areas Affected By Project:** |
|   |          |                  | 4 | List the areas or entities     |
|   |          |                  | \ | using the categories (e.g.,    |
|   |          |                  | . | cities, counties, states,      |
|   |          |                  |   | etc.) specified in agency      |
|   |          |                  |   | instructions. Use the          |
|   |          |                  |   | continuation sheet to enter    |
|   |          |                  |   | additional areas, if needed.   |
+---+----------+------------------+---+--------------------------------+
| 3 | **Date   |                  | 1 | **Descriptive Title of         |
| \ | Rec      |                  | 5 | Applicant's Project:**         |
| . | eived:** |                  | \ | (Required) Enter a brief       |
|   | Leave    |                  | . | descriptive title of the       |
|   | this     |                  |   | project. If appropriate,       |
|   | field    |                  |   | attach a map showing project   |
|   | blank.   |                  |   | location (e.g., construction   |
|   | This     |                  |   | or real property projects).    |
|   | date     |                  |   | For preapplications, attach a  |
|   | will be  |                  |   | summary description of the     |
|   | assigned |                  |   | project.                       |
|   | by the   |                  |   |                                |
|   | Federal  |                  |   |                                |
|   | agency.  |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 4 | **A      |                  |   |                                |
| \ | pplicant |                  |   |                                |
| . | Ident    |                  |   |                                |
|   | ifier**: |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | entity   |                  |   |                                |
|   | id       |                  |   |                                |
|   | entifier |                  |   |                                |
|   | assigned |                  |   |                                |
|   | by the   |                  |   |                                |
|   | Federal  |                  |   |                                |
|   | agency,  |                  |   |                                |
|   | if any,  |                  |   |                                |
|   | or       |                  |   |                                |
|   | app      |                  |   |                                |
|   | licant's |                  |   |                                |
|   | control  |                  |   |                                |
|   | number,  |                  |   |                                |
|   | if       |                  |   |                                |
|   | app      |                  |   |                                |
|   | licable. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 5 | *        |                  | 1 | **Congressional Districts      |
| a | *Federal |                  | 6 | Of**: (Required) 16a. Enter    |
|   | Entity   |                  | \ | the applicant's Congressional  |
|   | Ident    |                  | . | District, and 16b. Enter all   |
|   | ifier**: |                  |   | District(s) affected by the    |
|   | Enter    |                  |   | program or project. Enter in   |
|   | the      |                  |   | the format: 2 characters State |
|   | number   |                  |   | Abbreviation -- 2-3 characters |
|   | assigned |                  |   | District Number, e.g., CA-12   |
|   | to your  |                  |   | for California 12^th^          |
|   | orga     |                  |   | district, NC-103 for North     |
|   | nization |                  |   | Carolina's 103^rd^ district.   |
|   | by the   |                  |   |                                |
|   | Federal  |                  |   | -   If all congressional       |
|   | Agency,  |                  |   |     districts in a state are   |
|   | if any.  |                  |   |     affected, enter "all" for  |
|   |          |                  |   |     the district number, e.g., |
|   |          |                  |   |     MD-all for all             |
|   |          |                  |   |     congressional districts in |
|   |          |                  |   |     Maryland.                  |
|   |          |                  |   |                                |
|   |          |                  |   | -   If nationwide, i.e. all    |
|   |          |                  |   |     districts within all       |
|   |          |                  |   |     states are affected, enter |
|   |          |                  |   |     US-all.                    |
|   |          |                  |   |                                |
|   |          |                  |   | -   If the program/project is  |
|   |          |                  |   |     outside the US, enter      |
|   |          |                  |   |     00-000.                    |
+---+----------+------------------+---+--------------------------------+
| 5 | *        |                  |   |                                |
| b | *Federal |                  |   |                                |
| . | Award    |                  |   |                                |
|   | Ident    |                  |   |                                |
|   | ifier**: |                  |   |                                |
|   | For new  |                  |   |                                |
|   | appl     |                  |   |                                |
|   | ications |                  |   |                                |
|   | leave    |                  |   |                                |
|   | blank.   |                  |   |                                |
|   | For a    |                  |   |                                |
|   | cont     |                  |   |                                |
|   | inuation |                  |   |                                |
|   | or       |                  |   |                                |
|   | revision |                  |   |                                |
|   | to an    |                  |   |                                |
|   | existing |                  |   |                                |
|   | award,   |                  |   |                                |
|   | enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | pr       |                  |   |                                |
|   | eviously |                  |   |                                |
|   | assigned |                  |   |                                |
|   | Federal  |                  |   |                                |
|   | award    |                  |   |                                |
|   | id       |                  |   |                                |
|   | entifier |                  |   |                                |
|   | number.  |                  |   |                                |
|   | If a     |                  |   |                                |
|   | c        |                  |   |                                |
|   | hanged/c |                  |   |                                |
|   | orrected |                  |   |                                |
|   | appl     |                  |   |                                |
|   | ication, |                  |   |                                |
|   | enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | Federal  |                  |   |                                |
|   | Id       |                  |   |                                |
|   | entifier |                  |   |                                |
|   | in       |                  |   |                                |
|   | ac       |                  |   |                                |
|   | cordance |                  |   |                                |
|   | with     |                  |   |                                |
|   | agency   |                  |   |                                |
|   | instr    |                  |   |                                |
|   | uctions. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 6 | **Date   |                  |   |                                |
| \ | Received |                  |   |                                |
| . | by       |                  |   |                                |
|   | State:** |                  |   |                                |
|   | Leave    |                  |   |                                |
|   | this     |                  |   |                                |
|   | field    |                  |   |                                |
|   | blank.   |                  |   |                                |
|   | This     |                  |   |                                |
|   | date     |                  |   |                                |
|   | will be  |                  |   |                                |
|   | assigned |                  |   |                                |
|   | by the   |                  |   |                                |
|   | State,   |                  |   |                                |
|   | if       |                  |   |                                |
|   | app      |                  |   |                                |
|   | licable. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 7 | **State  |                  |   |                                |
| \ | App      |                  |   |                                |
| . | lication |                  |   |                                |
|   | Ident    |                  |   |                                |
|   | ifier:** |                  |   |                                |
|   | Leave    |                  |   |                                |
|   | this     |                  |   |                                |
|   | field    |                  |   |                                |
|   | blank.   |                  |   |                                |
|   | This     |                  |   |                                |
|   | id       |                  |   |                                |
|   | entifier |                  |   |                                |
|   | will be  |                  |   |                                |
|   | assigned |                  |   |                                |
|   | by the   |                  |   |                                |
|   | State,   |                  |   |                                |
|   | if       |                  |   |                                |
|   | app      |                  |   |                                |
|   | licable. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 8 | **A      |                  |   |                                |
| \ | pplicant |                  |   |                                |
| . | Inform   |                  |   |                                |
|   | ation**: |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | f        |                  |   |                                |
|   | ollowing |                  |   |                                |
|   | in       |                  |   |                                |
|   | ac       |                  |   |                                |
|   | cordance |                  |   |                                |
|   | with     |                  |   |                                |
|   | agency   |                  |   |                                |
|   | instr    |                  |   |                                |
|   | uctions: |                  |   |                                |
|   |          |                  |   |                                |
|   | **a.     |                  |   |                                |
|   | Legal    |                  |   |                                |
|   | Name**:  |                  |   |                                |
|   | (Re      |                  |   |                                |
|   | quired): |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | legal    |                  |   |                                |
|   | name of  |                  |   |                                |
|   | a        |                  |   |                                |
|   | pplicant |                  |   |                                |
|   | that     |                  |   |                                |
|   | will     |                  |   |                                |
|   | u        |                  |   |                                |
|   | ndertake |                  |   |                                |
|   | the      |                  |   |                                |
|   | as       |                  |   |                                |
|   | sistance |                  |   |                                |
|   | a        |                  |   |                                |
|   | ctivity. |                  |   |                                |
|   | This is  |                  |   |                                |
|   | the name |                  |   |                                |
|   | that the |                  |   |                                |
|   | orga     |                  |   |                                |
|   | nization |                  |   |                                |
|   | has      |                  |   |                                |
|   | re       |                  |   |                                |
|   | gistered |                  |   |                                |
|   | with the |                  |   |                                |
|   | Central  |                  |   |                                |
|   | Co       |                  |   |                                |
|   | ntractor |                  |   |                                |
|   | R        |                  |   |                                |
|   | egistry. |                  |   |                                |
|   | Inf      |                  |   |                                |
|   | ormation |                  |   |                                |
|   | on       |                  |   |                                |
|   | reg      |                  |   |                                |
|   | istering |                  |   |                                |
|   | with CCR |                  |   |                                |
|   | may be   |                  |   |                                |
|   | obtained |                  |   |                                |
|   | by       |                  |   |                                |
|   | visiting |                  |   |                                |
|   | the      |                  |   |                                |
|   | Gr       |                  |   |                                |
|   | ants.gov |                  |   |                                |
|   | website. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Proposed Project Start and   |
|   |          |                  | 7 | End Dates**: (Required) Enter  |
|   |          |                  | \ | the proposed start date and    |
|   |          |                  | . | end date of the project.       |
+---+----------+------------------+---+--------------------------------+
|   | **b.     |                  |   |                                |
|   | E        |                  |   |                                |
|   | mployer/ |                  |   |                                |
|   | Taxpayer |                  |   |                                |
|   | Number   |                  |   |                                |
|   | (EIN     |                  |   |                                |
|   | /TIN):** |                  |   |                                |
|   | (Re      |                  |   |                                |
|   | quired): |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | Employer |                  |   |                                |
|   | or       |                  |   |                                |
|   | Taxpayer |                  |   |                                |
|   | Identi   |                  |   |                                |
|   | fication |                  |   |                                |
|   | Number   |                  |   |                                |
|   | (EIN or  |                  |   |                                |
|   | TIN) as  |                  |   |                                |
|   | assigned |                  |   |                                |
|   | by the   |                  |   |                                |
|   | Internal |                  |   |                                |
|   | Revenue  |                  |   |                                |
|   | Service. |                  |   |                                |
|   | If your  |                  |   |                                |
|   | orga     |                  |   |                                |
|   | nization |                  |   |                                |
|   | is not   |                  |   |                                |
|   | in the   |                  |   |                                |
|   | US,      |                  |   |                                |
|   | enter    |                  |   |                                |
|   | 44-      |                  |   |                                |
|   | 4444444. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Estimated Funding:**         |
|   |          |                  | 8 | (Required) Enter the amount    |
|   |          |                  | \ | requested or to be contributed |
|   |          |                  | . | during the first               |
|   |          |                  |   | funding/budget period by each  |
|   |          |                  |   | contributor. Value of in-kind  |
|   |          |                  |   | contributions should be        |
|   |          |                  |   | included on appropriate lines, |
|   |          |                  |   | as applicable. If the action   |
|   |          |                  |   | will result in a dollar change |
|   |          |                  |   | to an existing award, indicate |
|   |          |                  |   | only the amount of the change. |
|   |          |                  |   | For decreases, enclose the     |
|   |          |                  |   | amounts in parentheses.        |
+---+----------+------------------+---+--------------------------------+
|   | **c.     |                  |   |                                |
|   | Organi   |                  |   |                                |
|   | zational |                  |   |                                |
|   | DUNS**:  |                  |   |                                |
|   | (R       |                  |   |                                |
|   | equired) |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | organi   |                  |   |                                |
|   | zation's |                  |   |                                |
|   | DUNS or  |                  |   |                                |
|   | DUNS+4   |                  |   |                                |
|   | number   |                  |   |                                |
|   | received |                  |   |                                |
|   | from Dun |                  |   |                                |
|   | and      |                  |   |                                |
|   | Bra      |                  |   |                                |
|   | dstreet. |                  |   |                                |
|   | Inf      |                  |   |                                |
|   | ormation |                  |   |                                |
|   | on       |                  |   |                                |
|   | o        |                  |   |                                |
|   | btaining |                  |   |                                |
|   | a DUNS   |                  |   |                                |
|   | number   |                  |   |                                |
|   | may be   |                  |   |                                |
|   | obtained |                  |   |                                |
|   | by       |                  |   |                                |
|   | visiting |                  |   |                                |
|   | the      |                  |   |                                |
|   | Gr       |                  |   |                                |
|   | ants.gov |                  |   |                                |
|   | website. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   | **d.     |                  |   |                                |
|   | Ad       |                  |   |                                |
|   | dress**: |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the      |                  |   |                                |
|   | complete |                  |   |                                |
|   | address  |                  |   |                                |
|   | as       |                  |   |                                |
|   | follows: |                  |   |                                |
|   | Street   |                  |   |                                |
|   | address  |                  |   |                                |
|   | (Line 1  |                  |   |                                |
|   | re       |                  |   |                                |
|   | quired), |                  |   |                                |
|   | City     |                  |   |                                |
|   | (Re      |                  |   |                                |
|   | quired), |                  |   |                                |
|   | County,  |                  |   |                                |
|   | State    |                  |   |                                |
|   | (R       |                  |   |                                |
|   | equired, |                  |   |                                |
|   | if       |                  |   |                                |
|   | country  |                  |   |                                |
|   | is US),  |                  |   |                                |
|   | P        |                  |   |                                |
|   | rovince, |                  |   |                                |
|   | Country  |                  |   |                                |
|   | (Re      |                  |   |                                |
|   | quired), |                  |   |                                |
|   | Zi       |                  |   |                                |
|   | p/Postal |                  |   |                                |
|   | Code     |                  |   |                                |
|   | (R       |                  |   |                                |
|   | equired, |                  |   |                                |
|   | if       |                  |   |                                |
|   | country  |                  |   |                                |
|   | is US).  |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 1 | **Is Application Subject to    |
|   |          |                  | 9 | Review by State Under          |
|   |          |                  | \ | Executive Order 12372          |
|   |          |                  | . | Process?** Applicants should   |
|   |          |                  |   | contact the State Single Point |
|   |          |                  |   | of Contact (SPOC) for Federal  |
|   |          |                  |   | Executive Order 12372 to       |
|   |          |                  |   | determine whether the          |
|   |          |                  |   | application is subject to the  |
|   |          |                  |   | State intergovernmental review |
|   |          |                  |   | process. Select the            |
|   |          |                  |   | appropriate box. If "a." is    |
|   |          |                  |   | selected, enter the date the   |
|   |          |                  |   | application was submitted to   |
|   |          |                  |   | the State                      |
+---+----------+------------------+---+--------------------------------+
|   | **e.     |                  |   |                                |
|   | Organi   |                  |   |                                |
|   | zational |                  |   |                                |
|   | Unit:**  |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the name |                  |   |                                |
|   | of the   |                  |   |                                |
|   | primary  |                  |   |                                |
|   | organi   |                  |   |                                |
|   | zational |                  |   |                                |
|   | unit     |                  |   |                                |
|   | (and     |                  |   |                                |
|   | de       |                  |   |                                |
|   | partment |                  |   |                                |
|   | or       |                  |   |                                |
|   | d        |                  |   |                                |
|   | ivision, |                  |   |                                |
|   | if       |                  |   |                                |
|   | applica  |                  |   |                                |
|   | ble**)** |                  |   |                                |
|   | that     |                  |   |                                |
|   | will     |                  |   |                                |
|   | u        |                  |   |                                |
|   | ndertake |                  |   |                                |
|   | the      |                  |   |                                |
|   | as       |                  |   |                                |
|   | sistance |                  |   |                                |
|   | a        |                  |   |                                |
|   | ctivity, |                  |   |                                |
|   | if       |                  |   |                                |
|   | app      |                  |   |                                |
|   | licable. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   | **f.     |                  |   |                                |
|   | Name and |                  |   |                                |
|   | contact  |                  |   |                                |
|   | inf      |                  |   |                                |
|   | ormation |                  |   |                                |
|   | of       |                  |   |                                |
|   | person   |                  |   |                                |
|   | to be    |                  |   |                                |
|   | c        |                  |   |                                |
|   | ontacted |                  |   |                                |
|   | on       |                  |   |                                |
|   | matters  |                  |   |                                |
|   | i        |                  |   |                                |
|   | nvolving |                  |   |                                |
|   | this     |                  |   |                                |
|   | applic   |                  |   |                                |
|   | ation**: |                  |   |                                |
|   | Enter    |                  |   |                                |
|   | the name |                  |   |                                |
|   | (First   |                  |   |                                |
|   | and last |                  |   |                                |
|   | name     |                  |   |                                |
|   | re       |                  |   |                                |
|   | quired), |                  |   |                                |
|   | organi   |                  |   |                                |
|   | zational |                  |   |                                |
|   | aff      |                  |   |                                |
|   | iliation |                  |   |                                |
|   | (if      |                  |   |                                |
|   | af       |                  |   |                                |
|   | filiated |                  |   |                                |
|   | with an  |                  |   |                                |
|   | orga     |                  |   |                                |
|   | nization |                  |   |                                |
|   | other    |                  |   |                                |
|   | than the |                  |   |                                |
|   | a        |                  |   |                                |
|   | pplicant |                  |   |                                |
|   | organi   |                  |   |                                |
|   | zation), |                  |   |                                |
|   | t        |                  |   |                                |
|   | elephone |                  |   |                                |
|   | number   |                  |   |                                |
|   | (Re      |                  |   |                                |
|   | quired), |                  |   |                                |
|   | fax      |                  |   |                                |
|   | number,  |                  |   |                                |
|   | and      |                  |   |                                |
|   | email    |                  |   |                                |
|   | address  |                  |   |                                |
|   | (R       |                  |   |                                |
|   | equired) |                  |   |                                |
|   | of the   |                  |   |                                |
|   | person   |                  |   |                                |
|   | to       |                  |   |                                |
|   | contact  |                  |   |                                |
|   | on       |                  |   |                                |
|   | matters  |                  |   |                                |
|   | related  |                  |   |                                |
|   | to this  |                  |   |                                |
|   | appl     |                  |   |                                |
|   | ication. |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
|   |          |                  | 2 | **Is the Applicant Delinquent  |
|   |          |                  | 0 | on any Federal Debt?**         |
|   |          |                  | \ | (Required) Select the          |
|   |          |                  | . | appropriate box. This question |
|   |          |                  |   | applies to the applicant       |
|   |          |                  |   | organization, not the person   |
|   |          |                  |   | who signs as the authorized    |
|   |          |                  |   | representative. Categories of  |
|   |          |                  |   | debt include delinquent audit  |
|   |          |                  |   | disallowances, loans and       |
|   |          |                  |   | taxes.                         |
|   |          |                  |   |                                |
|   |          |                  |   | If yes, include an explanation |
|   |          |                  |   | on the continuation sheet.     |
+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+
| 9 | Type of  |                  | 2 | **Authorized Representative**: |
| \ | Ap       |                  | 1 | (Required) To be signed and    |
| . | plicant: |                  | \ | dated by the authorized        |
|   | (R       |                  | . | representative of the          |
|   | equired) |                  |   | applicant organization. Enter  |
|   |          |                  |   | the name (First and last name  |
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|   | a        |                  |   | (Required) of the person       |
|   | pplicant |                  |   | authorized to sign for the     |
|   | type(s)  |                  |   | applicant.                     |
|   | in       |                  |   |                                |
|   | ac       |                  |   | A copy of the governing body's |
|   | cordance |                  |   | authorization for you to sign  |
|   | with     |                  |   | this application as the        |
|   | agency   |                  |   | official representative must   |
|   | instr    |                  |   | be on file in the applicant's  |
|   | uctions. |                  |   | office. (Certain Federal       |
|   |          |                  |   | agencies may require that this |
|   |          |                  |   | authorization be submitted as  |
|   |          |                  |   | part of the application.)      |
+---+----------+------------------+---+--------------------------------+
|   | A        | L.  Nonprofit    |   |                                |
|   | .  State |     with 501C3   |   |                                |
|   |     Go   |     IRS Status   |   |                                |
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|   |          |     Institution  |   |                                |
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|   | ```      | M.  Nonprofit    |   |                                |
|   | A.       |     without      |   |                                |
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|   | C.       |                  |   |                                |
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|   |          |     Institutions |   |                                |
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+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
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+---+----------+------------------+---+--------------------------------+
|   |          |                  |   |                                |
+---+----------+------------------+---+--------------------------------+

# INSTRUCTIONS FOR

**DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424**

**1. Project Director.** Name, address, telephone and fax numbers, and
e-mail address of the person to be contacted on matters involving this
application.

**2. Novice Applicant.** Check **"Yes"** or "**No**" only if assistance
is being requested under a program that gives special consideration to
novice applicants. Otherwise, **leave blank.**

Check "**Yes"** if you meet the requirements for novice applicants
specified in the regulations in 34 CFR 75.225 and included on the
attached page entitled "Definitions for Department of Education
Supplemental Information for SF 424." By checking "Yes" the applicant
certifies that it meets these novice applicant requirements. Check
"**No**" if you do not meet the requirements for novice applicants**.**

**3. Human Subjects Research.** (See I. A. "Definitions" in attached
page entitled "Definitions for Department of Education Supplemental
Information For SF 424.")

**If Not Human Subjects Research.** Check "**No**" if research
activities involving human subjects are not planned at any time during
the proposed project period. The remaining parts of Item 3 are then not
applicable.

**If Human Subjects Research.** Check "**Yes**" if research activities
involving human subjects are planned at any time during the proposed
project period, either at the applicant organization or at any other
performance site or collaborating institution. Check "**Yes**" even if
the research is exempt from the regulations for the protection of human
subjects. (See I. B. "Exemptions" in attached page entitled "Definitions
for Department of Education Supplemental Information For SF 424.")

**3a. If Human Subjects Research is Exempt from the Human Subjects
Regulations.** Check "**Yes**" if all the research activities proposed
are designated to be exempt from the regulations. Insert the exemption
number(s) corresponding to one or more of the six exemption categories
listed in I. B. "Exemptions." In addition, follow the instructions in
II. A. "Exempt Research Narrative" in the attached page entitled
"Definitions for Department of Education Supplemental Information For SF
424."

**3a. If Human Subjects Research is Not Exempt from Human Subjects
Regulations.** Check "**No**" if some or all of the planned research
activities are covered (not exempt). In addition, follow the
instructions in II. B. "Nonexempt Research Narrative" in the page
entitled "Definitions for Department of Education Supplemental
Information For SF 424

**3a. Human Subjects Assurance Number.** If the applicant has an
approved Federal Wide (FWA) on file with the Office for Human Research
Protections (OHRP), U.S. Department of Health and Human Services, that
covers the specific activity, insert the number in the space provided.
If the applicant does not have an approved assurance on file with OHRP,
enter "None." In this case, the applicant, by signature on the SF-424,
is declaring that it will comply with 34 CFR 97 and proceed to obtain
the human subjects assurance upon request by the designated ED official.
If the application is recommended/selected for funding, the designated
ED official will request that the applicant obtain the assurance within
30 days after the specific formal request.

**Note about Institutional Review Board Approval.** ED does not require
certification of Institutional Review Board approval with the
application. However, if an application that involves non-exempt human
subjects research is recommended/selected for funding, the designated ED
official will request that the applicant obtain and send the
certification to ED within 30 days after the formal request.

## 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 1890-0017. The time required to complete this information collection is estimated to average between 15 and 45 minutes 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 estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12^th^ Street, S.W. Room 7076, Washington, D.C. 20202-4260.

##  

# DEFINITIONS FOR

# DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

# (Attachment to Instructions for Supplemental Information for SF 424)

**Definitions:**

**Novice Applicant (See 34 CFR 75.225**). For discretionary grant
programs under which the Secretary gives special consideration to novice
applications, a novice applicant means any applicant for a grant from ED
that---

-   Has never received a grant or subgrant under the program from which
    it seeks funding;

-   Has never been a member of a group application, submitted in
    accordance with 34 CFR 75.127-75.129, that received a grant under
    the program from which it seeks funding; and

-   Has not had an active discretionary grant from the Federal
    government in the five years before the deadline date for
    applications under the program. For the purposes of this
    requirement, a grant is active until the end of the grant's project
    or funding period, including any extensions of those periods that
    extend the grantee's authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR
75.127-75.129, a group includes only parties that meet the requirements
listed above.

#### PROTECTION OF HUMAN SUBJECTS IN RESEARCH

**I. Definitions and Exemptions**

**A. Definitions.**

A research activity involves human subjects if the activity is research,
as defined in the Department's regulations, and the research activity
will involve use of human subjects, as defined in the regulations.

---**Research**

The ED Regulations for the Protection of Human Subjects, Title 34, Code
of Federal Regulations, Part 97, define research as "a systematic
investigation, including research development, testing and evaluation,
designed to develop or contribute to generalizable knowledge." *If an
activity follows a deliberate plan whose purpose is to develop or
contribute to generalizable knowledge it is research.* Activities which
meet this definition constitute research whether or not they are
conducted or supported under a program that is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.

**---Human Subject**

The regulations define human subject as "a living individual about whom
an investigator (whether professional or student) conducting research
obtains (1) data through intervention or interaction with the
individual, or (2) identifiable private information." *(1) If an
activity involves obtaining information about a living person by
manipulating that person or that person's environment, as might occur
when a new instructional technique is tested, or by communicating or
interacting with the individual, as occurs with surveys and interviews,
the definition of human subject is met. (2) If an activity involves
obtaining private information about a living person in such a way that
the information can be linked to that individual (the identity of the
subject is or may be readily determined by the investigator or
associated with the information), the definition of human subject is
met.* \[Private information includes information about behavior that
occurs in a context in which an individual can reasonably expect that no
observation or recording is taking place, and information which has been
provided for specific purposes by an individual and which the individual
can reasonably expect will not be made public (for example, a school
health record).\]

**B. Exemptions.**

Research activities in which the **[only]{.underline}** involvement of
human subjects will be in one or more of the following six categories of
***exemptions*** are not covered by the regulations:

\(1\) Research conducted in established or commonly accepted educational
settings, involving normal educational practices, such as (a) research
on regular and special education instructional strategies, or (b)
research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods.

\(2\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless: (a) information
obtained is recorded in such a manner that human subjects can be
identified, directly or through identifiers linked to the subjects; and
(b) any disclosure of the human subjects' responses outside the research
could reasonably place the subjects at risk of criminal or civil
liability or be damaging to the subjects' financial standing,
employability, or reputation. ***If the subjects are children, exemption
2 applies only to research involving educational tests and observations
of public behavior when the investigator(s) do not participate in the
activities being observed. Exemption 2 does not apply if children are
surveyed or interviewed or if the research involves observation of
public behavior and the investigator(s) participate in the activities
being observed.*** \[Children are defined as persons who have not
attained the legal age for consent to treatments or procedures involved
in the research, under the applicable law or jurisdiction in which the
research will be conducted.\]

\(3\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior that is not exempt under
section (2) above, if the human subjects are elected or appointed public
officials or candidates for public office; or federal statute(s)
require(s) without exception that the confidentiality of the personally
identifiable information will be maintained throughout the research and
thereafter.

\(4\) Research involving the collection or study of existing data,
documents, records, pathological specimens, or diagnostic specimens, if
these sources are publicly available or if the information is recorded
by the investigator in a manner that subjects cannot be identified,
directly or through identifiers linked to the subjects.

\(5\) Research and demonstration projects which are conducted by or
subject to the approval of department or agency heads, and which are
designed to study, evaluate, or otherwise examine: (a) public benefit or
service programs; (b) procedures for obtaining benefits or services
under those programs; (c) possible changes in or alternatives to those
programs or procedures; or (d) possible changes in methods or levels of
payment for benefits or services under those programs.

\(6\) Taste and food quality evaluation and consumer acceptance studies,
(a) if wholesome foods without additives are consumed or (b) if a food
is consumed that contains a food ingredient at or below the level and
for a use found to be safe, or agricultural chemical or environmental
contaminant at or below the level found to be safe, by the Food and Drug
Administration or approved by the Environmental Protection Agency or the
Food Safety and Inspection Service of the U.S. Department of
Agriculture.

**II. Instructions for Exempt and Nonexempt Human Subjects Research
Narratives**

If the applicant marked "Yes" for Item 3 of Department of Education
Supplemental Information for SF 424, the applicant must provide a human
subjects "exempt research" or "nonexempt research" narrative. Insert the
narrative(s) in the space provided. If you have multiple projects and
need to provide more than one narrative, be sure to label each set of
responses as to the project they address.

**A. Exempt Research Narrative.**

If you marked "Yes" for item 3 a. and designated exemption numbers(s),
provide the "exempt research" narrative. The narrative must contain
sufficient information about the involvement of human subjects in the
proposed research to allow a determination by ED that the designated
exemption(s) are appropriate. The narrative must be succinct.

**B. Nonexempt Research Narrative.**

If you marked "No" for item 3 a. you must provide the "nonexempt
research" narrative. The narrative must address the following seven
points. Although no specific page limitation applies to this section of
the application, be succinct.

\(1\) **Human Subjects Involvement and Characteristics**: Provide a
detailed description of the proposed involvement of human subjects.
Describe the characteristics of the subject population, including their
anticipated number, age range, and health status. Identify the criteria
for inclusion or exclusion of any subpopulation. Explain the rationale
for the involvement of special classes of subjects, such as children,
children with disabilities, adults with disabilities, persons with
mental disabilities, pregnant women, prisoners, institutionalized
individuals, or others who are likely to be vulnerable

\(2\) **Sources of Materials**: Identify the sources of research
material obtained from individually identifiable living human subjects
in the form of specimens, records, or data. Indicate whether the
material or data will be obtained specifically for research purposes or
whether use will be made of existing specimens, records, or data.

\(3\) **Recruitment and Informed Consent**: Describe plans for the
recruitment of subjects and the consent procedures to be followed.
Include the circumstances under which consent will be sought and
obtained, who will seek it, the nature of the information to be provided
to prospective subjects, and the method of documenting consent. State if
the Institutional Review Board (IRB) has authorized a modification or
waiver of the elements of consent or the requirement for documentation
of consent.

\(4\) **Potential Risks**: Describe potential risks (physical,
psychological, social, legal, or other) and assess their likelihood and
seriousness. Where appropriate, describe alternative treatments and
procedures that might be advantageous to the subjects.

\(5\) **Protection Against Risk**: Describe the procedures for
protecting against or minimizing potential risks, including risks to
confidentiality, and assess their likely effectiveness. Where
appropriate, discuss provisions for ensuring necessary medical or
professional intervention in the event of adverse effects to the
subjects. Also, where appropriate, describe the provisions for
monitoring the data collected to ensure the safety of the subjects.

\(6\) **Importance of the Knowledge to be Gained**: Discuss the
importance of the knowledge gained or to be gained as a result of the
proposed research. Discuss why the risks to subjects are reasonable in
relation to the anticipated benefits to subjects and in relation to the
importance of the knowledge that may reasonably be expected to result.

\(7\) **Collaborating Site(s)**: If research involving human subjects
will take place at collaborating site(s) or other performance site(s),
name the sites and briefly describe their involvement or role in the
research.

***Copies of the Department of Education's Regulations for the
Protection of Human Subjects, 34 CFR Part 97 and other pertinent
materials on the protection of human subjects in research are available
from the Grants Policy and Oversight Staff, Office of the Chief
Financial Officer, U.S. Department of Education, Washington, D.C.
20202-4250, telephone: (202) 245-6120, and on the U.S. Department of
Education's Protection of Human Subjects in Research Web Site:
http://www.ed.gov/about/offices/list/OCFO/humansub.html***

NOTE: The **State Applicant Identifier** on the SF 424 is for State Use
only. Please complete it on the OMB Standard 424 in the upper right
corner of the form (if applicable).

##  

## 

# DEFINITIONS FOR

# DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

# (Attachment to Instructions for Supplemental Information for SF 424)

**Definitions:**

**Novice Applicant (See 34 CFR 75.225**). For discretionary grant
programs under which the Secretary gives special consideration to novice
applications, a novice applicant means any applicant for a grant from ED
that---

-   Has never received a grant or subgrant under the program from which
    it seeks funding;

-   Has never been a member of a group application, submitted in
    accordance with 34 CFR 75.127-75.129, that received a grant under
    the program from which it seeks funding; and

-   Has not had an active discretionary grant from the Federal
    government in the five years before the deadline date for
    applications under the program. For the purposes of this
    requirement, a grant is active until the end of the grant's project
    or funding period, including any extensions of those periods that
    extend the grantee's authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR
75.127-75.129, a group includes only parties that meet the requirements
listed above.

#### PROTECTION OF HUMAN SUBJECTS IN RESEARCH

**I. Definitions and Exemptions**

**A. Definitions.**

A research activity involves human subjects if the activity is research,
as defined in the Department's regulations, and the research activity
will involve use of human subjects, as defined in the regulations.

---**Research**

The ED Regulations for the Protection of Human Subjects, Title 34, Code
of Federal Regulations, Part 97, define research as "a systematic
investigation, including research development, testing and evaluation,
designed to develop or contribute to generalizable knowledge." *If an
activity follows a deliberate plan whose purpose is to develop or
contribute to generalizable knowledge it is research.* Activities which
meet this definition constitute research whether or not they are
conducted or supported under a program that is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.

**---Human Subject**

The regulations define human subject as "a living individual about whom
an investigator (whether professional or student) conducting research
obtains (1) data through intervention or interaction with the
individual, or (2) identifiable private information." *(1) If an
activity involves obtaining information about a living person by
manipulating that person or that person's environment, as might occur
when a new instructional technique is tested, or by communicating or
interacting with the individual, as occurs with surveys and interviews,
the definition of human subject is met. (2) If an activity involves
obtaining private information about a living person in such a way that
the information can be linked to that individual (the identity of the
subject is or may be readily determined by the investigator or
associated with the information), the definition of human subject is
met.* \[Private information includes information about behavior that
occurs in a context in which an individual can reasonably expect that no
observation or recording is taking place, and information which has been
provided for specific purposes by an individual and which the individual
can reasonably expect will not be made public (for example, a school
health record).\]

**B. Exemptions.**

Research activities in which the **[only]{.underline}** involvement of
human subjects will be in one or more of the following six categories of
***exemptions*** are not covered by the regulations:

\(1\) Research conducted in established or commonly accepted educational
settings, involving normal educational practices, such as (a) research
on regular and special education instructional strategies, or (b)
research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods.

\(2\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless: (a) information
obtained is recorded in such a manner that human subjects can be
identified, directly or through identifiers linked to the subjects; and
(b) any disclosure of the human subjects' responses outside the research
could reasonably place the subjects at risk of criminal or civil
liability or be damaging to the subjects' financial standing,
employability, or reputation. ***If the subjects are children, exemption
2 applies only to research involving educational tests and observations
of public behavior when the investigator(s) do not participate in the
activities being observed. Exemption 2 does not apply if children are
surveyed or interviewed or if the research involves observation of
public behavior and the investigator(s) participate in the activities
being observed.*** \[Children are defined as persons who have not
attained the legal age for consent to treatments or procedures involved
in the research, under the applicable law or jurisdiction in which the
research will be conducted.\]

\(3\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior that is not exempt under
section (2) above, if the human subjects are elected or appointed public
officials or candidates for public office; or federal statute(s)
require(s) without exception that the confidentiality of the personally
identifiable information will be maintained throughout the research and
thereafter.

\(4\) Research involving the collection or study of existing data,
documents, records, pathological specimens, or diagnostic specimens, if
these sources are publicly available or if the information is recorded
by the investigator in a manner that subjects cannot be identified,
directly or through identifiers linked to the subjects.

\(5\) Research and demonstration projects which are conducted by or
subject to the approval of department or agency heads, and which are
designed to study, evaluate, or otherwise examine: (a) public benefit or
service programs; (b) procedures for obtaining benefits or services
under those programs; (c) possible changes in or alternatives to those
programs or procedures; or (d) possible changes in methods or levels of
payment for benefits or services under those programs.

\(6\) Taste and food quality evaluation and consumer acceptance studies,
(a) if wholesome foods without additives are consumed or (b) if a food
is consumed that contains a food ingredient at or below the level and
for a use found to be safe, or agricultural chemical or environmental
contaminant at or below the level found to be safe, by the Food and Drug
Administration or approved by the Environmental Protection Agency or the
Food Safety and Inspection Service of the U.S. Department of
Agriculture.

**II. Instructions for Exempt and Nonexempt Human Subjects Research
Narratives**

If the applicant marked "Yes" for Item 3 of Department of Education
Supplemental Information for SF 424, the applicant must provide a human
subjects "exempt research" or "nonexempt research" narrative. Insert the
narrative(s) in the space provided. If you have multiple projects and
need to provide more than one narrative, be sure to label each set of
responses as to the project they address.

**A. Exempt Research Narrative.**

If you marked "Yes" for item 3 a. and designated exemption numbers(s),
provide the "exempt research" narrative. The narrative must contain
sufficient information about the involvement of human subjects in the
proposed research to allow a determination by ED that the designated
exemption(s) are appropriate. The narrative must be succinct.

**B. Nonexempt Research Narrative.**

If you marked "No" for item 3 a. you must provide the "nonexempt
research" narrative. The narrative must address the following seven
points. Although no specific page limitation applies to this section of
the application, be succinct.

\(1\) **Human Subjects Involvement and Characteristics**: Provide a
detailed description of the proposed involvement of human subjects.
Describe the characteristics of the subject population, including their
anticipated number, age range, and health status. Identify the criteria
for inclusion or exclusion of any subpopulation. Explain the rationale
for the involvement of special classes of subjects, such as children,
children with disabilities, adults with disabilities, persons with
mental disabilities, pregnant women, prisoners, institutionalized
individuals, or others who are likely to be vulnerable

\(2\) **Sources of Materials**: Identify the sources of research
material obtained from individually identifiable living human subjects
in the form of specimens, records, or data. Indicate whether the
material or data will be obtained specifically for research purposes or
whether use will be made of existing specimens, records, or data.

\(3\) **Recruitment and Informed Consent**: Describe plans for the
recruitment of subjects and the consent procedures to be followed.
Include the circumstances under which consent will be sought and
obtained, who will seek it, the nature of the information to be provided
to prospective subjects, and the method of documenting consent. State if
the Institutional Review Board (IRB) has authorized a modification or
waiver of the elements of consent or the requirement for documentation
of consent.

\(4\) **Potential Risks**: Describe potential risks (physical,
psychological, social, legal, or other) and assess their likelihood and
seriousness. Where appropriate, describe alternative treatments and
procedures that might be advantageous to the subjects.

\(5\) **Protection Against Risk**: Describe the procedures for
protecting against or minimizing potential risks, including risks to
confidentiality, and assess their likely effectiveness. Where
appropriate, discuss provisions for ensuring necessary medical or
professional intervention in the event of adverse effects to the
subjects. Also, where appropriate, describe the provisions for
monitoring the data collected to ensure the safety of the subjects.

\(6\) **Importance of the Knowledge to be Gained**: Discuss the
importance of the knowledge gained or to be gained as a result of the
proposed research. Discuss why the risks to subjects are reasonable in
relation to the anticipated benefits to subjects and in relation to the
importance of the knowledge that may reasonably be expected to result.

\(7\) **Collaborating Site(s)**: If research involving human subjects
will take place at collaborating site(s) or other performance site(s),
name the sites and briefly describe their involvement or role in the
research.

***Copies of the Department of Education's Regulations for the
Protection of Human Subjects, 34 CFR Part 97 and other pertinent
materials on the protection of human subjects in research are available
from the Grants Policy and Oversight Staff, Office of the Chief
Financial Officer, U.S. Department of Education, Washington, D.C.
20202-4250, telephone: (202) 245-6120, and on the U.S. Department of
Education's Protection of Human Subjects in Research Web Site:
/www.ed.gov/about/offices/list/OCFO/humansub.html***

NOTE: The **State Applicant Identifier** on the SF 424 is for State Use
only. Please complete it on the OMB Standard 424 in the upper right
corner of the form (if applicable).

**Instructions for ED 524**

[General Instructions]{.underline}

This form is used to apply to individual U.S. Department of Education
(ED) discretionary grant programs. Unless directed otherwise, provide
the same budget information for each year of the multi-year funding
request. Pay attention to applicable program specific instructions, if
attached. Please consult with your Business Office prior to submitting
this form.

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a breakdown by the
applicable budget categories shown in lines 1-11.

Lines 1-11, columns (a)-(e): For each project year for which funding is
requested, show the total amount requested for each applicable budget
category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If funding is requested for only one project year, leave this
column blank.

Line 12, columns (a)-(e): Show the total budget request for each project
year for which funding is requested.

Line 12, column (f): Show the total amount requested for all project
years. If funding is requested for only one year, leave this space
blank.

Indirect Cost Information:\
If you are requesting reimbursement for indirect costs on line 10, this
information is to be completed by your Business Office. (1): Indicate
whether or not your organization has an Indirect Cost Rate Agreement
that was approved by the Federal government. (2): If you checked "yes"
in (1), indicate in (2) the beginning and ending dates covered by the
Indirect Cost Rate Agreement. In addition, indicate whether ED or
another Federal agency (Other) issued the approved agreement. If you
check "Other," specify the name of the Federal agency that issued the
approved agreement. (3): If you are applying for a grant under a
Restricted Rate Program (34 CFR 75.563 or 76.563), indicate whether you
are using a restricted indirect cost rate that is included on your
approved Indirect Cost Rate Agreement or whether you are using a
restricted indirect cost rate that complies with 34 CFR 76.564(c)(2).
Note: State or Local government agencies may not use the provision for a
restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check
only one response. Leave blank, if this item is not applicable.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide matching funds or
other non-Federal resources to the project, these should be shown for
each applicable budget category on lines 1‑11 of Section B.

Lines 1-11, columns (a)-(e): For each project year, for which matching
funds or other contributions are provided, show the total contribution
for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If non-Federal contributions are provided for only one year,
leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution
for each project year.

Line 12, column (f): Show the total amount to be contributed for all
years of the multi-year project. If non-Federal contributions are
provided for only one year, leave this space blank.

Section C - Budget Narrative \[Attach separate sheet(s)\]

Pay attention to applicable program specific instructions,\
if attached.

1.  Provide an itemized budget breakdown, and justification by project
    year, for each budget category listed in Sections A and B. For grant
    projects that will be divided into two or more separately budgeted
    major activities or sub-projects, show for each budget category of a
    project year the breakdown of the specific expenses attributable to
    each sub-project or activity.

2.  If applicable to this program, provide the rate and base on which
    fringe benefits are calculated.

3.  If you are requesting reimbursement for indirect costs on line 10,
    this information is to be completed by your Business Office. Specify
    the estimated amount of the base to which the indirect cost rate is
    applied and the total indirect expense. Depending on the grant
    program to which you are applying and/or your approved Indirect Cost
    Rate Agreement, some direct cost budget categories in your grant
    application budget may not be included in the base and multiplied by
    your indirect cost rate. For example, you must multiply the indirect
    cost rates of "Training grants\" (34 CFR 75.562) and grants under
    programs with "Supplement not Supplant" requirements (\"Restricted
    Rate\" programs) by a "modified total direct cost" (MTDC) base (34
    CFR 75.563 or 76.563). Please indicate which costs are included and
    which costs are excluded from the base to which the indirect cost
    rate is applied.

> When calculating indirect costs (line 10) for \"Training grants\" or
> grants under \"Restricted Rate\" programs, you must refer to the
> information and examples on ED's website at:
> http://www.ed.gov/fund/grant/apply/appforms/appforms.html.
>
> You may also contact (202) 377-3838 for additional information
> regarding calculating indirect cost rates or general indirect cost
> rate information.

4.  Provide other explanations or comments you deem necessary.

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 1890-0004. The time required
to complete this information collection is estimated to vary from 13 to
22 hours per response, with an average of 17.5 hours per response,
including the time to review instructions, search existing data sources,
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 (insert program office), U.S. Department
of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.

**INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING
ACTIVITIES**

This disclosure form shall be completed by the reporting entity, whether
subawardee or prime Federal recipient, at the initiation or receipt of a
covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is
required for each payment or agreement to make payment to any lobbying
entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with a covered
Federal action. Complete all items that apply for both the initial
filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional
information.

1\. Identify the type of covered Federal action for which lobbying
activity is and/or has been secured to influence the outcome of a
covered Federal action.

2\. Identify the status of the covered Federal action.

3\. Identify the appropriate classification of this report. If this is a
followup report caused by a material change to the information
previously reported, enter the year and quarter in which the change
occurred. Enter the date of the last previously submitted report by this
reporting entity for this covered Federal action.

4\. Enter the full name, address, city, State and zip code of the
reporting entity. Include Congressional District, if known. Check the
appropriate classification of the reporting entity that designates if it
is, or expects to be, a prime or subaward recipient. Identify the tier
of the subawardee, e.g., the first subawardee of the prime is the 1st
tier. Subawards include but are not limited to subcontracts, subgrants
and contract awards under grants.

5\. If the organization filing the report in item 4 checks "Subawardee,"
then enter the full name, address, city, State and zip code of the prime
Federal recipient. Include Congressional District, if known.

6\. Enter the name of the federal agency making the award or loan
commitment. Include at least one organizational level below agency name,
if known. For example, Department of Transportation, United States Coast
Guard.

7\. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements,
loans, and loan commitments.

8\. Enter the most appropriate Federal identifying number available for
the Federal action identified in item 1 (e.g., Request for Proposal
(RFP) number; Invitations for Bid (IFB) number; grant announcement
number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Included prefixes, e.g., "RFP-DE-90-001."

9\. For a covered Federal action where there has been an award or loan
commitment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime entity identified in item 4 or 5.

10\. (a) Enter the full name, address, city, State and zip code of the
lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by
the reporting entity identified in item 4 to influence the covered
Federal action.

> \(b\) Enter the full names of the individual(s) performing services,
> and include full address if different from 10(a). Enter Last Name,
> First Name, and Middle Initial (MI).

11\. The certifying official shall sign and date the form, print his/her
name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are
required to respond to a collection of information unless it displays a
valid OMB control Number. The valid OMB control number for this
information collection is OMB No. 0348-0046. Public reporting burden for
this collection of information is estimated to average 10 minutes per
response, including time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503

 

# 

# [Estimated Public Reporting Burden]{.underline}

 

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 1890-0012. The time required
to complete this information collection is estimated to average 40 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:** Kristi E.
Wilson, Ph.D., SBIR Program Officer, National Institute on Disability
and Rehabilitation Research, U.S. Department of Education, Room 3433,
MES Building, 400 Maryland Avenue, Washington, D.C. 20202.

 

**GRANT APPLICATION RECEIPT ACKNOWLEDGEMENT**

**If you fail to receive the notification of application within fifteen
(15) days from the closing date, call:**

> **U.S. Department of Education**

**Application Control Center**

**(202) 245-6288**

**GRANT AND CONTRACT FUNDING INFORMATION**

**The Department of Education provides information about grant and
contract opportunities electronically in several ways:**

**ED Internet Home Page <http://www.ed.gov/> (WWW address)**

[^1]: ^ ^   ^?^ 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
    Definitions -- "Small Business Concern."