2018.EDSBIR.PhaseI.FINAL.12.11.17.docx

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

PHASE I

PROGRAM SOLICITATION FOR FY 2018

REQUEST FOR PROPOSALS

RFP Number:

91990018R0006

PRIORITY 1: Education Technology Products For Use by Students or Teachers (or other Instructional Personnel) in Authentic Education Settings

PRIORITY 2: Education Technology Products For Use by Infants, Toddlers, or Students With or At Risk for Disabilities, or Teachers (or other Instructional Personnel, Related Services Providers, or Family Members) in Early Intervention or Special Education Settings

PRIORITY 3: Education Technology Products Used by School Administrators in Authentic Education Settings or in Early Intervention or Special Education Settings

ISSUE DATE: December 11, 2017

CLOSING DATE: January 25, 2018 2:00 p.m., Eastern Time

Additional SBIR Funding Opportunities for R/R&D of Education Technology Products

· The SBIR program at the National Science Foundation (NSF) accepts applications for the development of education technology products through its education topic area. For more information, see here.

PHASE I

TABLE OF CONTENTS Top

Section Page I. Program Overview……………………………… II. Definitions………………………………………………………………………………………

VII. Scientific and Technical Information Sources…………………………………… VIII. Phase I Proposal Checklist……………………………… IX. Priority Areas (3)………………………………….…………………………………….………………….. 39 X. Appendices to the Proposal

ED/IES SBIR 2018 Phase I RFP

U.S. DEPARTMENT OF EDUCATION

INSTITUTE OF EDUCATION SCIENCES

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SOLICITATION

FY 2018

PHASE I

REQUEST FOR PROPOSALS

RFP Number:

91990018R0006

I. PROGRAM OVERVIEW

A. Introduction The Small Business Innovation Research (SBIR) program, as established by law, is intended to meet the following goals: 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 Federally-supported research results; foster and encourage participation by socially and economically disadvantaged small business concerns and women-owned business concerns in the SBIR program; and improve the return on investment from Federally-funded research for economic and social benefits to the Nation.

The U.S. Department of Education (ED or Department) invites qualified small business firms to submit a Phase I proposal under this program solicitation. This solicitation is for proposals to develop an education technology product for use by: students or teachers (or other instructional personnel) in education; infants, toddlers, or students with or at risk for disabilities, or teachers (or other instructional personnel, related services providers, or family members) in early intervention or special education; or administrators in authentic education settings or in early intervention or special education settings.

Firms with strong research or research and development (R/R&D) capabilities in education technology in the priority areas listed within are encouraged to participate. Consultative or other arrangements between such firms and universities or other nonprofit organizations are permitted, but the small business must serve as the contractor.[footnoteRef:1] [1: Note: Such arrangements may be permitted as long as they do not affect the small business size, status, or eligibility of the prime awardee as provided for in Definitions – “Small Business Concern.”]

B. SBIR Program Description and Award Levels The SBIR program consists of three phases, as described below. The current solicitation is for submitting a Phase I proposal in 2018.

Phase I – Phase I is to determine, insofar as possible, the scientific or technical merit of ideas submitted under the SBIR program. The proposal should concentrate on R/R&D that will establish the feasibility of the technological approach, a prerequisite for further ED support in Phase II. Awards are for periods up to 8-months in amounts up to $200,000.

While the Phase I award may include a reasonable profit/fee, ED encourages sufficient funds to be budgeted to cover the cost for the research and development of the proposed prototype.

Phase II – Phase II is to expand on the results of and to further pursue the development of Phase I projects. Phase II is the principal R/R&D effort. It requires a more comprehensive plan that outlines the effort in detail and describes the commercial potential of the product or tool. Awards are for periods up to 2-years in amounts up to $900,000.

Phase III – Phase III is for the private-sector commercialization of products that were developed in Phase I and II. Note: ED/IES SBIR does not provide funding for Phase III efforts.

Note: The Department of Education’s SBIR program is not offering a Fast-Track (Phase I and II) option in FY 2018.

C. Authorization The “Small Business Reauthorization Act of 2011” (the “Act”) was enacted on December 31, 2011. The Act requires certain agencies, including ED, with an extramural budget for R/R&D in excess of $100,000,000 to establish SBIR programs by reserving a statutory percentage (not less than 3.0% of such budget in fiscal year 2018) of their extramural research and development budgets to be awarded to small business concerns for R/R&D through a uniform, highly competitive, three-phase process.

The Act further requires the Small Business Administration (SBA) to issue policy directives for the general conduct of the SBIR programs within the Federal Government. The most recent Small Business Innovation Research Policy Directive Notice was published in the “Federal Register” Vol. 77, No. 151 on January 8, 2014. It is also available at: https://www.federalregister.gov/articles/2014/01/08/2013-31374/small-business-innovation-research-program-policy-directive

The design of the Department of Education’s SBIR program is in accordance with the Small Business Administration (SBA) SBIR Program Policy Directive dated February 24, 2014. The SBIR policy directive guides the information and requirements set forth in this proposal package. Please go to https://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2-24-14.pdf to read the most recent SBIR Policy Directive issued by the Small Business Administration.

D. Offeror Eligibility Each organization submitting a proposal must qualify as a small business concern as defined by the SBA. The definition of a small business concern is included in “Definitions” (see Section II). 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 R/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 onethird of the total contract price.

Phase I to Phase II Transition Benchmark. Section 4(a) of the SBIR Policy Directive calls for each Federal agency participating in SBIR to set a Phase I to Phase II transition rate benchmark in response to Section 5165 of the SBIR Reauthorization Act of 2011. The rate is the minimum required ratio of past Phase II/Phase I awards that an awardee firm must maintain to be eligible for a new Phase I award from a particular agency. The benchmark will apply to those Phase I applicants that have received 20 or more Phase I awards Program-wide. Small businesses can view their transition rate on www.sbir.gov upon completion of registration. When logging in, the Phase I to Phase II transition rate will be displayed in the welcome screen. The ED SBIR benchmark uses a five-year period and counts an applicant’s total number of Phase I awards over the last five fiscal years, excluding the most recently completed fiscal year; and the total number of Phase II awards over the last five fiscal years, including the most recently completed year. The ED SBIR Phase I to II Transition Benchmark as published in the Federal Register is: For all SBIR Program Phase I contract applicants that have received 20 or more Phase I awards over the 5-year period, the ratio of Phase II awards received to Phase I awards received must be at least 0.25. Small Businesses that do not meet this benchmark are ineligible to submit a proposal to the ED SBIR program.

Commercialization Benchmark. The Commercialization Benchmark requirement applies only to Phase I offerors that have received more than 15 (16 or more) Phase II awards over the past 10 fiscal years, excluding the last two years. These companies must have achieved at least the minimum required levels of commercialization activity, resulting from their past Phase II work, in order to be eligible to receive a new Phase I award. The current Commercialization Benchmark requirement, agreed upon and established by all 11 SBIR agencies, is that the awardee applicant must have received, to date, an average of at least $100,000 of sales and/or investments per Phase II award received, or have received a number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards received during the period. Small Businesses that do not meet this benchmark are ineligible to submit a proposal to the ED SBIR program. For more information on the Benchmark Requirements for Phase I offerors, see here.

ED staff will examine all SBIR proposals with the above considerations in mind. If it appears that an offeror organization does not meet the eligibility requirements, ED will request an evaluation by the SBA. Under circumstances in which eligibility is unclear, ED will not make an SBIR award until the SBA provides a determination.

E. Key Dates and Award Information It is expected that ED will announce the Phase I awards on the Federal Business Opportunities website by approximately April 25, 2018. All offerors shall receive notification and reviewer evaluations from ED approximately two weeks after the announcement on the Federal Business Opportunities website. The project start date shall be May 1, 2018. Successful offerors have up to eight months to carry out the proposed Phase I effort.

ED is required under Public Law (P.L.) 106-554 to participate in the SBIR program. The Government’s obligation is contingent upon the availability of appropriated funds from which payments are made. ED is not bound by the estimates given in this solicitation. The number of Phase I awards shall be determined based on the number of high quality proposals that are submitted and the availability of funds.

G. Important Notices Award Limits: This Department has an award limit of $200,000 for Phase I in 2018. The Department is under no obligation to fund any specific proposal or make any specific number of awards in a given research priority area. The Department is not responsible for any monies expended by an offeror before an award.

H. 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. The U.S. Department of Education’s SBIR Program encourages innovative manufacturing-related projects, as defined by the Executive Order.

I. Report Fraud, Waste and Abuse The Office of Inspector General Hotline at the U.S. Department of Education accepts tips from all sources about potential fraud, waste, abuse, and mismanagement in Department of Education programs. The reporting individual should indicate that the fraud, waste, and/or abuse concerns an SBIR grant or contract, if relevant.

http://www2.ed.gov/about/offices/list/oig/hotline.html

J. AGENCY CONTACT

All questions must be directed in writing to Contract Specialist, Jessica Martin. Any responses would be posted as an amendment to the solicitation on FedBizOpps. The Government cannot guarantee that questions submitted after January 5, 2018, 2 P.M. ET, will receive a response.

Jessica Martin Email: Jessica.Martin@ed.gov

NOTE: Prior to the posting of the awards on the Federal Business Opportunities website, offerors are advised to not contact ED personnel with questions regarding the timing of the announcement.

II. DEFINITIONS

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

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

(b) Additionally Eligible State. A State in which the total value of funding agreements awarded to SBCs (as defined in this section) under all agency SBIR Programs is less than the total value of funding agreements awarded to SBCs in a majority of other States, as determined by SBA's Administrator in biennial fiscal years and based on the most recent statistics compiled by the Administrator.

(c) Applicant. The organizational entity that qualifies as an SBC at all pertinent times and that submits a contract proposal or a grant application for a funding agreement under the SBIR Program.

(d) Affiliate. This term has the same meaning as set forth in 13 CFR part 121—Small Business Size Regulations, §121.103, What is affiliation? Further information about SBA’s affiliation rules and a guide on affiliation is available at www.SBIR.gov and www.SBA.gov/size.

(e) Awardee. The organizational entity receiving an SBIR Phase I, Phase II, or Phase III award.

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

(g) Cooperative Agreement. A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative Agreement contains the responsibilities and respective obligations of the parties.

(h) Covered Small Business Concern. A small business concern that:

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

(2) is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms on the date of the SBIR award.

(i) Eligible State. A State: (1) where the total value of SBIR and Small Business Technology Transfer (STTR) Program awards made to recipient businesses in the State during fiscal year 1995 was less than $5,000,000 (as reflected in SBA's database of fiscal year 1995 awards); and (2) that certifies to SBA's Administrator that it will, upon receipt of assistance, provide matching funds from non-Federal sources in an amount that is not less than 50% of the amount of assistance provided.

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

(k) Extramural Budget. The sum of the total obligations for R/R&D minus amounts obligated for R/R&D activities by employees of a Federal agency in or through Government-owned, Government-operated facilities. For the Agency for International Development, the “extramural budget” must not include amounts obligated solely for general institutional support of international research centers or for grants to foreign countries. For the Department of Energy, the “extramural budget” must not include amounts obligated for atomic energy defense programs solely for weapons activities or for naval reactor programs. (Also see §7(i) of this Policy Directive for additional exemptions related to national security.)

(l) Feasibility. The practical extent to which a project can be performed successfully.

(m) Federal Agency. An executive agency as defined in 5 U.S.C. §105, and a military department as defined in 5 U.S.C. 102 (Department of the Army, Department of the Navy, Department of the Air Force), except that it does not include any agency within the Intelligence Community as defined in Executive Order 12333, §3.4(f), or its successor orders.

(n) Federal Laboratory. As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

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

(p) Funding Agreement Officer. A contracting officer, a grants officer, or a cooperative agreement officer.

(q) Grant or Contract. A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. A grant or contract is used whenever the Federal agency anticipates no substantial programmatic involvement with the awardee during performance.

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

(s) Intellectual Property. The separate and distinct types of intangible property that are referred to collectively as “intellectual property,” including but not limited to: (1) patents; (2) trademarks; (3) copyrights; (4) trade secrets; (5) SBIR technical data (as defined in this section); (6) ideas; (7) designs; (8) know-how; (9) business; (10) technical and research methods; (11) other types of intangible business assets; and (12) all types of intangible assets either proposed or generated by an SBC as a result of its participation in the SBIR Program.

(t) Joint Venture. See 13 C.F.R. §121.103(h).

(u) Key Individual. The principal investigator/project manager and any other person named as a “key” employee in a proposal submitted in response to a program solicitation.

(v) Principal Investigator/Project Manager. The one individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement.

(w) Program Solicitation. A formal solicitation for proposals issued by a Federal agency that notifies the small business community of its R/R&D needs and interests in broad and selected areas, as appropriate to the agency, and requests proposals from SBCs in response to these needs and interests. Announcements in the Federal Register or the GPE are not considered an SBIR Program solicitation.

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

(y) Research or Research and Development (R/R&D). Any activity that is:

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

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

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

(z) Small Business Concern (SBC). A concern that meets the requirements set forth in 13 C.F.R. §121.702.

(aa) Socially and Economically Disadvantaged SBC (SDB). See 13 CFR part 124, Subpart B.

(bb) Socially and Economically Disadvantaged Individual. See 13 C.F.R. §§ 124.103 & 124.104.

(cc) SBIR Participants. Business concerns that have received SBIR awards or that have submitted SBIR proposals/applications.

(dd) SBIR Technical Data. All data generated during the performance of an SBIR award.

(ee) SBIR Technical Data rights. The rights an SBIR awardee obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

(ff) Subcontract. Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement.

(gg) Technology Development Program.

(1) the Experimental Program to Stimulate Competitive Research of the National Science Foundation as established under 42 U.S.C. 1862g;

(2) the Defense Experimental Program to Stimulate Competitive Research of the Department of Defense;

(3) the Experimental Program to Stimulate Competitive Research of the Department of Energy;

(4) the Experimental Program to Stimulate Competitive Research of the Environmental Protection Agency;

(5) the Experimental Program to Stimulate Competitive Research of the National Aeronautics and Space Administration;

(6) the Institutional Development Award Program of the National Institutes of Health; and

(7) the Agriculture and Food Research Initiative (AFRI) of the Department of Agriculture.

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

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

III. CONTRACT PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Proposal Requirements The Department is concerned with the scientific and technical merit of all of the research it supports and the relevance of the research for improving the education system and student outcomes. Proposals to the Department under the SBIR program should present a sound scientific and technical approach to the R/R&D of an education technology product for the purpose of improving early childhood or student outcomes, or teacher or caregiver practices. The proposal must be self-contained and written with the care and thoroughness accorded to papers for publication.

Proposals submitted to the Department's SBIR program must be responsive to the Department's SBIR program priorities. The proposal should serve as the base for new commercial education technology products that may benefit the public. A firm must not propose market research, patent proposals, or litigation. Proposals for the development of proven concepts toward commercialization or for market research should not be submitted because such efforts are considered the responsibility of the private sector.

B. Protection of Information in Proposals It is the Department’s policy to use information included in proposals for evaluation purposes only and to protect such information from unauthorized use or disclosure. Although this policy does not require that the proposal bear a notice, protection can be assured only to the extent that the legend specified in the “Rights in Data – SBIR Program” 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. Content and Formatting Requirements This Phase I program solicitation is designed to reduce the investment of time and money required by small firms in preparing a proposal. The proposal will be rejected if it does not conform to the requirements listed below.

1. What to Include, Page Limitations, and Page Numbering

a. Section III.E. Project Narrative – Key Information, Abstract This section must be complete and included prior to the Project Narrative – Technical Content.

b. Section III.F. Project Narrative – Technical Content

Page Limitation. This section must be no more than 15 pages in length. Pages should be numbered consecutively beginning with the first page of this section numbered as "1."

References. All references or citations must be included within this 15-page section. References and citations outside of the 15-page section will not be reviewed. Offerors are encouraged to list the references as the final part of the 15-page narrative, and are encouraged to utilize the formatting citation style of the American Psychological Association (APA).

Figures, Charts, Tables, and Screen Shots. All figures, charts, graphs, tables, or screen shots (outside of what is requested in the Appendices) must be included in this 15-page section. Figures, charts, graphs, tables, or screen shots outside of the 15-page section that are not requested in the Appendices will not be reviewed.

c. Section X. Appendices Offerors must include the required information in Section X. Appendices B, C, E, F, and G are required for all offerors. Appendices A “Prior Phase II Awards” and D “Similar Awards or Proposals” are required for offerors with previous awards that fit the criteria listed within.

2. General Format To ensure that the text is easy for reviewers to read and that all offerors have the same amount of available space in which to describe their projects, offerors must adhere to the page, type size, and format specifications for the entire proposal narrative, including footnotes.

a. Page and margin specifications For the purpose of proposals submitted under this solicitation, a “page” is 8.5 inches x 11 inches, with 1 inch margins at the top, bottom, and both sides.

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

c. Type specifications (font specifications) Type must conform to the following requirements:

· The height of the letters must not be smaller than 12 point using Microsoft Word.

· Type density, including characters and spaces, should be no more than 15 characters per inch (cpi). For proportional spacing, the average for any representative section of text should not exceed 15 cpi.

· Type size must yield no more than 6 lines of type within a vertical inch.

· Standard black type must be used for text to permit photocopying.

· Offerors must check the type size using a standard device for measuring type size, rather than relying on the font selected for a particular word processing/printer combination.

D. Phase I Proposal Guidance To avoid any misunderstanding, offerors should be aware that proposals not satisfying all the required instructions will not be reviewed. Proposals may not be resubmitted with or without revision under this program solicitation.

E. Project Narrative –Key Information, Priorities, Abstract, Company Registry, Certifications, Statements and Legend

All of the “E. Project Narrative” components (1 through 3) must be included within pages i, ii, and iii of the Phase I proposal. No other cover pages are permitted to precede page i.

1. Key Information for the Phase I Proposal in response to Solicitation 91990018R0006

A) Project Title:

B) Name of the small business:

C) Small Business Address and Phone:

D) Company Website URL:

E) Typed name, title, contact information (address, phone, and email), signature, and date of signature for the Principal Investigator:

F) Typed name, title, contact information, signature, and date of signature for a representative authorized to represent the small business concern in negotiations:

G) List the names and professional affiliations for all key members of the project team

2. Priority Select one (not two or three) priority area. See Section IX for additional information on the Priority Areas.

PRIORITY 1: Education Technology Products For Use by Students or Teachers (or Other Instructional Personnel) in Authentic Education Settings

PRIORITY 2: Education Technology Products for Use by Infants, Toddlers, or Students With or At Risk for Disabilities, or Teachers (or other Instructional Personnel, Related Services Providers, or Family Members) in Authentic Early Intervention or Special Education Settings

PRIORITY 3: Education Technology Products For Use by School Administrators in Authentic Education Settings or Authentic Early Intervention or Special Education Settings

3. Abstract Provide an abstract with the following two components. Nothing in this section should be proprietary or confidential.

· Technical abstract limited to 200 words.

· A summary of the commercial potential of the product or tool if development were completed as described above limited to 100 words.

F. Project Narrative – Technical Content Note: The project narrative constitutes the main body of the Phase I proposal for Priority 1, Priority 2, and Priority 3 proposals. The project narrative must be titled "Project Narrative – Technical Content" and shall begin on page "1" and proceed to page “15”. (After page 15, offerors may continue numbering pages to the end of their proposal.)

1. Significance

a. Problem Describe the education problem (including its scope) that the proposed product is intended to address and justify the importance of investing in R/R&D to solve this problem.

b. The product, its implementation, and the intended outcomes Describe the product that would be fully developed, after the Phase I and Phase II projects are completed.

In this description:

· Specify the intended user of this product (e.g., middle school social studies students, high school chemistry teachers, parents of preschool children with Autism Spectrum Disorder, principals, school technology coordinators).

· List and describe the critical components of this product and any additional materials required to support implementation (e.g., handbooks). Describe how the product would function.

· Indicate the platform on which this product will operate (e.g., desktop, tablet, or smart phone). Make sure to note whether this product will stand-alone or whether it will function by integrating with an existing technology system.

· Describe how this product would be implemented in the intended authentic education setting (e.g., classroom, guidance counselor office, after school program) or authentic early intervention or special education setting (e.g., special education classroom, supplemental education service, home setting for students with or at risk for disabilities). For example, would this product replace, supplement, or be integrated within existing practices? Would the product alter typical instructional approaches or administrator practices?

· Indicate the expected level of resources (e.g., time, funds, schedules, equipment) needed to implement and use the product. Discuss why this product’s implementation will be feasible for users given their resource constraints.

· Specify the intended outcomes that are expected to result from the product’s use (e.g., improving student vocabulary or understanding of the causes of the Civil War, improving teacher instruction or reducing student problem behavior, reducing teacher time spent on administrative tasks, improving the selection of learning apps that a technology coordinator introduces to teachers to supplement instructional practice). For student learning outcomes, offerors should describe whether the intended outcomes align to meaningful and relevant standardized outcomes.

c. Theoretical and empirical support Briefly describe why the intended product would lead to the intended outcomes. In doing so, make sure to describe your underlying theory and any data from past studies to show that the product, and its components, can be expected to produce the desired results.

d. Related R/R&D by the project team Indicate whether the proposal is:

i. to develop an entirely new product,

ii. to develop and add new and unique components to a prototype that already exists and is functioning, or

iii. to develop and add new and unique components to a product that is already fully developed.

Describe previous R/R&D conducted by the project team that is directly related to the proposed product. Describe how this previous R/R&D guides and provides a foundation for the proposed effort.

i. For proposals to develop an entirely new product where no (or limited) previous technological development work has occurred, the offeror may include results from concept testing where users (e.g., students, teachers, service providers, administrators) provide feedback after viewing mock-ups detailing the proposed product and its intended implementation.

ii. For proposals to develop and add new and unique components to a prototype that already exists and is functioning, the offeror (1) must describe the prototype that currently exists and how the current prototype is functioning, (2) must detail prior research on the current prototype’s usability and initial feasibility, and (3) may include results from concept testing where users (e.g., students, teachers, service providers, administrators) provide feedback after viewing mock-ups detailing the proposed product and its intended implementation.

NEW: For proposals to develop and add new and unique components to a prototype that already exists and is functioning, the offeror may include a URL (Uniform Resource Locator) link to a video demonstration of that prototype. The videos should be posted to the YouTube (http://www.youtube.com/) platform during the review period between the submission deadline and 90-days after. If the video is posted on a website other than YouTube, it is possible reviewers will not be able to watch the video. Videos can be no longer than 4 minutes in duration. Reviewers will be instructed to stop viewing at 4 minutes.

iii. For proposals to develop and add new and unique components to a product that is already fully developed, the offeror (1) must describe the product that currently exists and how the current product is functioning, (2) must justify the need for the additional components, (3) must describe the research base for the product in its current form, including by citing peer-reviewed publications with empirical findings with evidence that the product in its current form shows promise for improving outcomes, and (3) may include results from concept testing where users (e.g., students, teachers, service providers, administrators) provide feedback after viewing mock-ups detailing the proposed product with the new component and its intended implementation.

NEW: For proposals to develop and add new and unique components to a product that is already fully developed, the offeror may include a URL (Uniform Resource Locator) link to a video demonstration of that prototype. The videos should be posted to the YouTube (http://www.youtube.com/) platform during the review period between the submission deadline and 90 days after. If the video is posted on a website other than YouTube, it is possible reviewers will not be able to watch the video. Videos can be no longer than 4 minutes in duration. Reviewers will be instructed to stop viewing at 4 minutes.

Key Terms Authentic Education Settings or Authentic Early Intervention or Special Education Settings: While authentic education settings or authentic early intervention or special education settings usually refers to schools, it may also represent the environment where the education technology product is being delivered. The authentic education setting varies by the intended user population. Refer to Section IX Priority Areas, for further specifications in regular and special education.

Usability: The extent to which the product (or prototype) functions as intended, and the extent to which the intended user understands or can learn to use the product (or prototype) effectively and efficiently, and is physically able to use the product (or prototype).

Feasibility: The extent to which the product can be implemented within the requirements and constraints of an authentic education setting.

Initial Feasibility: After using a prototype, the extent to which the user believes the full product concept could be implemented within the requirements and constraints of an authentic education setting, and the extent to which a user believes the product could have potential for improving user outcomes.

Fidelity of Implementation: The extent to which the product is being delivered as it was designed to be by end users in an authentic education setting.

Promise of Outcomes: The extent to which the pilot research shows improvement in student academic achievement or other outcomes of interest.

e. Uniqueness of proposed product & description of similar products or typical practices Describe why the proposed product would be unique in the field of education. In doing so, describe similar products or current typical practices in the proposed area. Summarize the relevant research that is available on these products or practices. Describe why the proposed product will be sufficiently different from and better than current products or practices. In doing so, describe shortcomings of the current products or practices and why the proposed product will not suffer from the same shortcomings.

f. Potential commercial application After the product is fully developed through Phase I and II R/R&D, briefly describe how it will be commercialized in the private sector marketplace. This description should include examples of how the product will be disseminated to potential end-users and revenue strategies to sustain the product over time. Describe how the letters in Appendix H provide initial evidence for a successful plan for the eventual commercialization of the product in the private marketplace.

NOTE: In Appendix H, offerors may include up to three (3) letters to endorse the significance of the product and the plans for its commercialization in the private market. See Appendix H in this document for further information on letters of endorsement.

2. Phase I Technical Objectives

a. Phase I R/R&D objectives State the specific objectives of the Phase I R/R&D effort. Clearly identify each of the critical components of the prototype that will be developed in Phase I and what work will be completed in order to have a fully functioning prototype. The Phase I R/R&D objectives should include activities to test the usability of the prototype and the initial feasibility of the product concept with the intended end-user.

b. Project timeline Explain how the proposed objectives will be accomplished within eight months. A timeline should be included.

3. Phase I work plan Offerors should provide a detailed plan of the technological R/R&D activities that will occur in Phase I, including what will be done, where it will be done, and how it will be carried out. The Phase I R/R&D plan should address the objectives detailed in Section III.F.2. (Phase I Technical Objectives). Offerors should make clear how the work plan addresses each of the objectives.

a. Development of the prototype As part of the plan, offerors should describe the R/R&D procedures through which a prototype will be developed and fully functioning. Offerors should describe the procedures that will be used to test and refine the prototype, and for concept testing where users (e.g., students, teachers, service providers) provide feedback after viewing mock-ups detailing the plans for the full product and its intended implementation. For Phase I research, offerors should describe how and when data will be collected, the characteristics of the sample users participating in the research (e.g., students, teachers), and the procedures for analyzing data and drawing conclusions from it.

b. Research on the usability of the prototype and the initial feasibility of the product concept At the end of the Phase I period, offerors should describe the research processes that will be used to demonstrate the usability (or functioning) of the prototype when it is used by the anticipated end user (e.g., student, teacher, guidance counselor, speech therapist, administrator). Offerors must also describe research to assess initial feasibility after the prototype is used and the end users are presented the plans or mock-ups for the full product.

Such research might involve conducting a small pilot test of the prototype being used in a classroom or school to determine the extent to which the intended user understands or can learn to use the prototype effectively and efficiently and is physically able to use the prototype (usability), and believes this product could be successfully implemented after using the prototype and seeing plans and mock-ups for the for the intended full product concept (initial feasibility).

Offerors might include a think-aloud study in which a small sample of intended end-users provides feedback on what they are thinking as they use the prototype and as they see additional plans for the fully developed product. Such studies can help developers, for example, identify instructions that are not clear, determine if users will click on links to obtain additional information, detect trouble spots that users have difficulty navigating, or determine if the full product concept is missing a necessary component that was not originally planned.

To describe the usability and initial feasibility research, offerors should include the following details:

Research questions. Offerors should pose clear, concise research questions. For example:

For Usability: Does the prototype function as intended? Are users able to follow the instructions for using the prototype?

For Initial Feasibility: After testing the prototype and seeing plans or mock-ups for the full development of the product, are users engaged by the prototype and the description of the full product? Do users believe the product could be successfully implemented and that the product could have potential for improving user outcomes?

Sample. Phase I Pilot studies should include a small sample of individuals who are similar to the intended user population. Describe the population (e.g., students, instructors, administrators) and the setting (e.g., laboratory, school, child-care facility) that will be used in the R/R&D activities to develop the prototype and to assess the usability and initial feasibility of the prototype.

NOTE: Offerors must include one letter of agreement from an authentic education setting for participation in research should the proposal be awarded. This letter should be no longer than one (1) page, and is to be included in Appendix B.

Measures. Describe the instruments that will be used to measure usability and initial feasibility and where appropriate, include information on reliability and validity of these instruments.

Procedures. Describe when and how data will be collected to determine the usability and initial feasibility. Include a clear and detailed description of the data analysis procedures, including the hypotheses to be tested and the outcome measures to be used. For quantitative data, specific statistical procedures must be described. For qualitative data, the specific methods used to index, summarize, and interpret data must be delineated.

In concluding this section, offerors should discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort.

c. Potential problems Describe any potential problem areas that are anticipated in Phase I and provide alternative strategies that would be considered in such circumstances.

4. Project Team – Biographical Summary of Each Key Project Team Member Within this section in the 15-page narrative, offerors must list and provide a short biographical summary for each member of the project team, including consultants.

In the summary provided for the principal investigator, describe educational qualifications and experience that are most relevant to the proposed project. Describe why this individual is capable of managing the proposed project.

In the summary of the qualifications of each of the remaining key personnel, describe the role of each individual in the project and their relevant experience. Demonstrate that the time commitment of key personnel is large enough to complete the work.

The project team should have expertise in the design and development of education technology products, education theory and practice, education (or special education) research, research methods for the development and research of education technology (including experience performing research in education settings), and in the commercialization of education or technology-related products. In addition, ED strongly encourages offerors interested in applying to this program to assemble research teams that have expertise in, instruction and the targeted content domain (e.g., history, early intervention, child development).

NOTE: While biographical summaries must be included within the 15-pages, Appendix C must also include two certifications and a 1-page résumé for each of the key personnel listed above in 4. Project Team.

5. Resources The conduct of advanced R/R&D may require the use of sophisticated instrumentation or computer facilities. The offeror must describe the adequacy of available support, including facilities, equipment, supplies, and other resources, from the proposing firm and from sub-contractors to carry out necessary Phase I R/R&D.

6. Cost Breakdown/Proposed Budget Offerors must provide Phase I budget information in Appendix E. The budget cannot exceed the maximum dollar amount of $200,000. Proposals with budgets exceeding $200,000 will be rejected prior to review. See Appendix E for formatting requirements. This budget information is not counted toward the 15-page limit of the project narrative.

7. Human Subjects Offerors must be familiar with the requirements of R&D involving human subjects in Appendix F, if applicable. See Appendix F for information. Human subjects information is not counted toward the 15-page limit of the project narrative.

8. Similar or Closely Related Awards or Proposals Offerors should include information on Similar or Closely Related Awards or Proposals (if applicable) in Appendix D. See Appendix D for information. This proposal information is not counted toward the 15-page limit of the project narrative.

WARNING

Although with prior notification it is permissible to submit identical or essentially equivalent proposals for consideration under numerous Federal program solicitations, it is unlawful to enter into contracts requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

9. Documentation and Status of Prior SBIR Phase II Awards Offerors are required to include information on Documentation and Status of Prior Phase II Awards (if applicable) in Appendix A. See Appendix A for information. This proposal information is not counted toward the 15-page limit of the project narrative.

Note:

All references or citations must be included within the 15-page Project Narrative section. References and citations outside of the 15-page section will not be considered.

IV. METHOD OF SELECTION AND EVALUATION CRITERIA

A. Introduction The goal of ED-supported R/R&D through the SBIR program is to contribute to the solution of education problems through the development of commercially viable products, and to provide reliable information about the promise of products for improving learning or instruction. Reviewers will assess several aspects of the proposal in order to judge the likelihood that the proposed R/R&D will meet this goal. In the evaluation and handling of proposals, ED will make every effort to protect the confidentiality of the proposal and any reviews of the proposal.

All Phase I proposals will potentially go through three stages of review: (1) Pre-review screening, (2) Triage evaluation, and (3) Full technical review.

1) Pre-Review Screening All Phase I proposals will proceed through a pre-review screening to determine responsiveness to the specific requirements of the…