Amendment 0001 Responses to Questions Received.pdf

Request for Proposals 91990020R0006 Small Business Innovation Research Program Phase I Amendment 0001

Closing Date: March 3, 11:00 a.m. ET

U.S. Department of Education’s (Department or ED) responses to clarification questions submitted by February 10, 11:00 A.M. ET:

WARNING! Offerors must note that there are email attachment size restrictions. The Department of Education cannot accept attachments larger than 25 MB. The Government is not responsible for attachment size restrictions that may exist on offerors' email servers! Offerors are advised to check with their provider for information on email size restrictions and plan accordingly.

If offerors attempt to submit a proposal to Tracey.Perry@ed.gov and receive an error message, they MUST contact Tracey Perry (or Thomas.Smith@ed.gov) PRIOR TO THE CLOSING OF THE SOLICITATION during standard business hours (8:00 A.M. ET to 5:00 P.M. ET, Monday through Friday). The solicitation closes promptly at 11:00 a.m. ET, on March 3, 2020. Late proposals will not be accepted.

1. I read that this program only accepts applications once a year. Is that correct? If so, is this entry period always in January or does that time frame fluctuate?

ED/IES SBIR operates one program per year. For more than a decade the submission deadline has been in winter or early spring year.

2. What do I need to present in order to be seriously considered for funding?

Information in reply to this question is stated in many areas in the solicitation.

3. Upon receiving funding. Are there any restrictions on how I can use that funding in regard to the project? For example, using it for documented employee/contractor wages, research expeditions, equipment purchases, etc.

Information in reply to this question is stated in many areas in the solicitation.

4. It lists 5 priority areas. Does that mean Priority Area 1 is of higher priority than the rest and so on and so forth?

No, there is no correspondence between the priority areas and their importance.

5. Does our project seem to fit priority area 3? Our product is a system dynamics simulation model that can be used to evaluate potential interventions and policies to close the academic achievement gap.

The offeror must determine the best fit for a proposal. Applicants can provide a rationale for why that priority area is selected if necessary.

6. Is it required that the product eventually be offered for financial gain (i.e., commercialization)? While the potential may exist to sell our model, we would rather make it a free resource for researchers, education administrators, and policy makers to aide their efforts to close the achievement gap. Is this acceptable or do we need to develop a commercial purpose?

There is no requirement for any product (once developed and commercialized) to yield a financial gain.

The solicitation indicates that proposals must present plans for there to be a viable plan for the product to be sustained over time. Hence, products given away for free would need to demonstrate a plan for sustainability.

7. Can this be a potential user of the product (public school system administration) or a university that may assist in the development of the product?

The offeror must determine who is involved in developing, testing, or using the product.

8. Under what circumstances may qualify to apply Phase II directly. Do we have a fast track at this point?

ED/IES SBIR does not offer a direct to phase II program.

9. Does this program only accept RFP for young students (k‐12)?

The program accepts proposals outside of the K‐12 range, information in reply to this question is stated in the Priority Areas starting on page 44.

10. What site or portal we would use to apply for this grant?

Check the Submission Guidelines on page 40 for how to submit the proposal.

11. Can a CEO be paid for work if they are not in the US and US citizens?

All offeror’s with any questions about eligibility should review the eligibility requirements on SBIR.gov here https://www.sbir.gov/faqs/eligibility‐requirements. Companies must be American owned and operated. The PI must be with the small business 51% of the time.

12. Can a company do any work in Australia on the grant?

All work must be performed in the US unless a waiver is granted by the Contracting Officer.

13. Can I still apply for this grant if I did not submit a letter of intent?

ED/IES SBIR does not have a letter of intent as part of its process.

14. If I apply and fail to receive the funding (the proposal is rejected), can I resubmit the following year?

Yes, offerors can submit a proposal the following year, although proposals each year are considered new. There is no such thing as a resubmission to the ED/IES SBIR program.

15. If I resubmit the following year will educational technology still be a priority?

ED/IES SBIR focuses on education technology, so yes.

16. Will the basic timetable be the same?

The timeline for FY2021 is not available yet, although the program has followed a similar timeline the past decade with the release of the RFP in late fall early winter and the submission date.

17. Will resubmitted proposals be considered the same way as a first submission or are they less likely to be funded?

Offerors can submit the same or an updated proposal from one year to the next. The review will not consider whether or not a proposal was submitted a previous year. Every review is new each year.

18. On page 28 of the RFP asks, as part of the Evaluation Criteria: "Is the Phase I research design appropriate for demonstrating the usability of the prototype and the initial feasibility of the product concept by the end of Phase I, as well as for demonstrating the initial reliability and validity of the newly developed prototype by the end of Phase I? “What kind of evidence are you seeking for this?

Each offeror must determine what design is appropriate for the research that is proposed for the research and development, iterative refinements, and research to test the prototype.

19. On page 60 of the SBIR Phase I Program Solicitation ‐‐ Is this only approved (awarded) proposals? Or must pending and rejected proposals be listed too?

Appendix D requests information on any similar or closely related proposals that are currently under review, or any awards that were made, for similar or closely related proposals.

20. If pending and rejected proposals must be listed, what should be listed as the “date of award”?

The “date of award” is only required for similar proposals that received an award. There is not a requirement to list proposals for similar or closely related proposed that were already rejected.

21. Is this only SBIR proposals, or other programs too?

Appendix D applies to any proposals to SBIR or any government funding program that are similar or closely related.

22. What’s the difference between “the title” and “the titles of research projects”?

Title if one proposal, titles if more than one.

23. On pages 70‐71, a SBA Company Registry .pdf file is requested. Is the attached file the correct file?

The example provided at the top of page 71 is a blank form that SBA has provided in the past. SBA may update the appearance of the registration form without notice.

24. Is there an agent that I can contact for assistance throughout the process?

An agent does not exist in terms of what appears to be the spirit of the question submitted. Questions may be directed to Tracey.Perry@ed.gov.

25. When I called a number provided on an SBIR site link, a representative suggested that new applicants should hire an agent for a fee of $500. Is that your recommendation as well?

The Department is not aware of any such program and does not have a recommendation either way.

26. For the Part 1, Appendix C ‐ Key Information, do I need to specify the names of the additional programmers, since we have not chosen who will be selected, in the 2. For the Appendix C, do I need to specify the names of the additional programmers, since again, we do not know who will be chosen.

There is not a requirement to specify the names of all team members – although listing names and qualifications can help reviewers in determining the nature and qualifications of the team that is proposed to do the work during the project.

27. Based on the Program Solicitation for FY 2020 Request for Proposals document, I am assuming that the term “contractor” is always synonymous with the company that applied for and is awarded the grant. I am also assuming that the company applying for the grant should create a login under the “contractor login”. Is that assumption correct?

Yes.

28. How much of a product is expected to be completed in Phase I?

The offeror determines what can be accomplished in Phase I in terms of developing a prototype of an education technology product.

29. My ideal program will ultimately include a set number of modules that will instruct for my planned area of focus. If I can only afford the production of 40% of those modules in Phase I, the research would only be conducted on 40% of the ideal product. Since that would not meet the research requirements (66% of the research , I am assuming that I should limit the scope of this grant to only those modules I can complete. Is that a correct assumption?

The only guidance that can be provided is that the small business is required to spend at least 2/3 of the budget in house, with a maximum of 1/3 that can go to a consultant or outside partner. The 2/3 requirement for the research refers to what actually occurs in Phase I. It is not related to how much research may be required for the total completion of the project.

30. If necessary, is technical assistance provided in obtaining a DUNS # and other similar ID numbers?

If your organization does not yet have a DUNS number, or no one knows it, visit the Dun & Bradstreet (D&B) website or call 1‐866‐705‐5711. Offerors are reminded that registering for a DUNS number is FREE OF CHARGE. Websites soliciting a fee or charge to acquire a DUNS number may be a scam or fraudulent. Registering with SAM.gov should satisfy most other similar ID requirements. Further questions may be directed to Tracey.Perry@ed.gov.

31. At what part of the processes are commercial sales expected to begin?

Small business concerns may begin commercialization at any time for new technologies developed through the ED/IES SBIR program, including before the end of a project period.

32. When should the research study begin?

Awardees must determine the timing for research during any project period

33. It appears that contractors will be required to describe the research they will conduct at the end of

Phase I, but that the research will not actually begin to be conducted until Phase II. Is that correct?

(b. p.21)

Research is to be conducted during the Phase I period as described in the solicitation. Research is also required during the Phase II period.

34. What is meant by p.33 “SBIR Phase I: At least two‐thirds of the research” and “SBIR Phase II: at least half of the research”?

A small business is required to spend at minimum of 2/3 of the budget in house during Phase I, with a maximum of 1/3 that can go to a consultant or outside partner.

35. Can all of the research be conducted in Phase II?

Research is required in Phase I and II. Please review the solicitation for information on the research that is required in Phase I.

36. On p.74 under (10), there is a box for checking: Deviation approved in writing by the funding agreement officer: %. Can this approval be obtained prior to sending in an application? If so, how would someone go about getting that pre‐approval?

The funding agreement officer (Contracting Officer) will not entertain requests to deviate from the requirement prior to award. The offeror should describe the request for deviation in their proposal. If the proposal is recommended for award, at that time the Contracting Officer will review the deviation request. Offerors should be cautioned that: 1) even if recommended for award, a deviation may still not be approved; and 2) it is possible that a request for deviation may be viewed negatively by the review panel, particularly if excessive.

37. On p.35 (lines 4 and 5) it states, “Contractors shall be paid upon completion of the final project summary report, normally 8 months after project start.” Then, in the next paragraph, it states, “Contractors shall receive three payments during the Phase I contract performance period…disbursed as follows: 33% of the Phase One contract price is reserved for the initial payment; 33% …for the interim report; 33% …after acceptance of the final report. These statements seem contradictory to me. Would you mind clarifying the payment process?

Three payments will be made, after an initial, interim, and final report. The payment after the final report will conclude all of the payments for the Phase I.

38. In the event that salaries are allowable, would they be awarded only at the completion of the final report or in the three payment periods as described in the latter paragraph (lines 7‐15 of page 35)?

Following the guidelines in the solicitation, the awardee determines how the budget is allocated.

39. In reference to pp. 35‐36: “The government receives a royalty‐free license for Federal Government use”—Can you clarify this for me in terms of how they might use my product (instructional videos)?

Is this solely for the purpose of cataloging the items?

While the government does have a royalty‐free license through innovations developed through the SBIR program, the Department has never used this license in its history. No further information can be provided.

40. Does p. 39 H mean that the Federal Government will charge a fee or retain some of the profits when the company makes profit?

The small business retains all the rights and profits from products out of the ED/IES SBIR program.

41. I understand that the budget is not to exceed $200,000…excluding cost sharing. (p.61 lines 14 & 15).

Should I include expenses that will be paid by the company owner (i.e. web marketing) in the narrative portion of the budget and leave that off of the itemized contract budget so as not to appear as though I’m exceeding the limit?

That is correct, the budget must not exceed $200,000. The narrative can describe any additional costs.

42. I’m assuming that costs incurred by the company (owner) should be included in the narrative because when they relate to such explanations as potential commercial application that will result from Phase I.

See the response to question 41.

43. How do I differentiate between indirect costs (where payment is provided for services) and subcontractors? (subcontractor definition on p.83, but indirect costs were less clear to me with respect to services paid for)

If payment is provided directly for a service, it is considered a direct cost. An example of an indirect cost would be General and Administrative (G&A) costs that are calculated based on an appropriate rate. It is not expected that every line provided in the budget template on page 62 will apply to all offerors.

44. If only 1/3 of the contract can be spent on subcontractors or purchase agreements and other indirect costs, is the rest allocated for salaries only?

The 2/3 of the budget by the company can cover any allowable expenses incurred by the small business.

45. Are there any exceptions to the 1/3 of total budget rule with respect to subcontractors or indirect costs? If so, how much is considered appropriate for developer salary/income? How much for salary/income of artists? How much for salary/income of technical coordinator?

No guidance can be provided to this question, offerors determine appropriate costs.

46. Are there any exceptions to the 1/3 of total budget rule with respect to subcontractors or indirect costs?

No.

47. Do legal fees account for indirect costs?

No. See the response to question 43.

48. If I pay for an artist to provide artwork, is the artist considered to be a subcontractor or an indirect cost?

If the artist is not an employee of the small business, the payment would fall within the 1/3 of the budget allowed outside of the small business.

49. If I pay for the research to be conducted by an independent organization, is that organization considered to be a subcontractor or is this expense considered an indirect cost?

If an item is budgeted for work outside of the small business, it would be considered to be within the 1/3 of the budget that is allowed outside of the small business.

50. Is the “Principal” the same as the “Principal Investigator”?

The questions cannot be answered without context for where the “Principal” without “Investigator” was listed in the solicitation.

51. Am I correct in assuming that the “Principal Investigator” will be responsible for overseeing that the research is completed to specifications, but that she does not have to be the same person(s) that is conducting, preparing, and analyzing the research? I assuming that the “Principal Investigator” is the person in charge of overseeing and managing the project, but having direct involvement in conducting or compiling research data.]

The primary role for the Principal Investigator is to lead the project and the team. There is no requirement for the Principal Investigator to be a researcher or not, or for how the specific role that the Principal Investigator will serve relating to research on the project.

52. Am I correct in understanding that the only individuals who would need to undergo security checks are the Principal Investigator and all those involved in the research process?

Any team member will need clearance if they work 30 of more days on the project, and in the same location as students or have access to student data.

53. Am I correct in understanding that the following persons will not need to undergo security checks as defined on pp. 92‐96 under G.18: (* None will have access to sensitive information regarding research or students) the artists, the video production company (no children in video, only company president), the technology director, the CFO?

See the response to #52. The determination for who is required to proceed through the data security process will be made by the Contracting Office Representative.

54. When including the appendices, are there templates available that can be added to the 15 page document? If not, do I cut and paste for requests such as the Appendix G Whistleblower Rights and Requirements 41 U.S.C. 4712 section 3.908 and then include the boxed response (yes)?

Yes, offerors are free to cut and paste Appendices and then to include responses within the tables or sections.

55. What font would you recommend?

See the guidelines in the solicitation.

56. When listing the professional affiliation of an artist who is self‐employed, do I simply write “self‐ employed”?

The offeror is responsible to determine the answer to this question. Writing “self‐employed” could be appropriate.

57. When writing the narrative, is it best to use the outline numbers and letters along with the titles that are used when describing the Project Narrative? (i.e. 1. Significance, a.Problem,…) Yes, that is recommended.

58. Is it advisable to add or combine titles that are not combined in the Narrative directions (e.g.

Problem and Product Advantages)?

The offeror must determine the answer to this question, but should consider a reviewer who is reading the proposal.

59. Would it be permissible to use some of the program's funds to run a small professional development workshop for teachers who will be beta testing our kit? This will enable us to make sure they understand the technology fully before presenting it to students.

Iterative research is part of the research process that is detailed in the solicitation.

60. We are collaborating with researchers at two Universities. I will serve as the Principal Investigator per the stated requirements of the solicitation. One of the researchers has asked to be named “Co‐

Principal Investigator”. I assume this will not be consistent with the solicitation. Instead, could this person be described in our proposal as the Academic Principal Investigator?

There is only one Principal Investigator. Offerors can provide titles for other members as desired.

61. Is the requirement that the Principal Investigator spends half of his/her time on work with the small business or does this individual have to literally be an employee of the small business?

See the eligibility requirements. The Principal Investigator must be an employee of and spend 51% of the time with the small business during the project.

62. If the Principal Investigator is a University researcher, do we need a special exemption if the

University will still be their full‐time employer, but they agree to spend 51% of their time on this project? Can you speak to how successful grantees have structured the relationship between the small business and a University researcher in the past?

See the answer to #61. From the SBIR‐STTR Policy Directive 2019

(https://www.sbir.gov/about/about‐sbir#sbir‐policy‐directive) page 84, “For both Phase I and Phase

II, the primary employment of the Principal Investigator must be with the SBC at the time of award and during the conduct of the proposed project. Primary employment means that more than one‐ half of the Principal Investigator’s employment time is spent in the employ of the SBC. This precludes full‐time employment with another organization. Occasionally, deviations from this requirement may occur, and must be approved in writing by the Funding Agreement officer…”

Please see the response to question 36 regarding deviation requests.

63. Do contractors/partners need to register on SAM and SBA? Or is it just the submitting entity?

The SBC must register. Subcontractors need not register.

64. On page 14 of the RFP, the type specifications say: “Standard black type must be used for text to permit copying” Does standard black type mean no bold type, no italics, and no color on charts or graphs?

No, type can be bold or italic.

65. "CPI" (Characters Per Inch), as per the RFP, states "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."This isn't usually possible unless we're using a mono‐spaced font. What do you recommend?

Do not use a font smaller than 12 point using Microsoft Word.

66. Is the grant specifically for K‐12 products, or are higher education products also eligible?

The offeror should refer to the Priority Areas for the specifications.

67. On page 16, it references a video demonstration, as well as in a few other sections. Are these all referring to the same video? Essentially, our question is whether we are able to just submit one video or multiple?

Only one video demonstration is permitted to be included per the requirements detailed in the solicitation.

68. My understanding is that all senior level employees to be funded in part or whole by the grant must be listed by name and include resumes and signed certifications. These employees and contractors are to be identified as "key" members of the team. My question is what needs to be submitted for junior level staff. For example, we may request funding to support an entry level software developer on the project team. Does this person: 1) Need to be identified by name in the budget or is title alone (Ex. "Junior Developer") sufficient? 2) Need to be marked as a "key" member of the team regardless of seniority or number of hours? 3) Need to include a resume and signed certifications in the same way that "key" members must?

The offeror must determine what team members are included or not include as key members. The budget can list titles or positions without names.

69. Whether lack of participation from university faculty / national lab researchers would diminish our chances in any significant way. The reason for asking is that on the Department of Agriculture's SBIR program page, they state that "Participation by university faculty or government scientists in SBIR projects is strongly encouraged." We did not find the same statement on the Department of Education's SBIR page, but we want to verify this before continuing to work on the application.

Guidance on what team members constitute a strong team is provided in the solicitation. The offeror must determine what individuals to include on the project team.

70. Asking whether the following project would be competitive in the SBIR Phase 1 competition

(#91990020R0006) in Priority Area 4. Currently, the complete system is only available as an iPad app, although we have demonstrated the effectiveness of very simple web‐based versions. Our plan is to re‐program the whole system to make it web‐based and thereby usable on other tablets, phones, and desktop computers. Our question is whether an application to IES for funds to support re‐programming is likely to be competitive.

No guidance can be provided on what concepts would be considered a competitive proposal.

71. In the near future, in an effort to make our company more eligible for investor funding, we are considering restructuring our business as a Delaware C corporation, and then register to do business legally in via "foreign location". Is this in violation of the solicitation's requirements?

Offeror’s with questions should review the eligibility requirements on SBIR.gov here https://www.sbir.gov/faqs/eligibility‐requirements. Companies must be American owned and operated.

72. Can proposals be submitted from outside the U.S.?

Proposals are submitted via email. Please review the Eligibility Requirements on SBIR.gov.

73. Referring to Appendix D, what does “similar” mean? If we have a prior grant to develop a curriculum and pedagogy, and now we want to modernize this curriculum through virtual reality, is this considered similar?

Offerors must determine if a proposal is similar or closely related, and if yes, are required to disclose this information in Appendix D.

74. Is travel permitted? G. 25 says “Funds are not authorized for the use of travel (p. 106).” But the budget spreadsheet template includes a line for Travel (p. 62). If yes, what type of travel is permitted? Is there a mandatory meeting in DC for grant recipients?

Travel is permitted. There is no meeting for Phase I awardees of ED/IES SBIR.

75. Does the 12 point font size (RFA p. 14) also apply to the one‐page resumes to be included in

Appendix C (RFA p. 59)?

76. Can teams from outside the US submit a proposal? If the answer to the above question is yes, then we would like to know the following: Can there be multiple collaborators? Under Priority Area 5, Must the proposed product be intended for the US audience only? Can non‐profit organizations apply for this grant? Can non‐profit organizations that have a for‐profit branch apply for this grant?

Offerors must be American‐owned and operated. While the product must be developed to first and foremost improve education in the United States – products could be used anywhere. Non‐profit organizations cannot be the small business that submits a proposal.

77. We had previously drafted a grant proposal for a company, but they, unfortunately, have not identified funds for us, and hence they shared the ED/IES SBIR opportunity. Could we please submit the proposal as it stands today (of course abiding by requested naming conventions)? Or do we need to retrofit this to meet all of the ED/IES SBIR requirements?

No guidance can be provided in response to this question.

78. On page 49 of the RPP, it defines Priority 4 as: "Priority Area 4 includes proposals for the R&D and evaluation of new innovative education technology products to ready existing evidence‐based interventions (or tools, products, or approaches) to be used at scale in schools, as well as for planning for commercialization at scale in schools." However, on page 12, under proposal requirements, the RFP notes, "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." I understand the exclusion of market research, however, this statement seems to imply that efforts toward commercialization cannot be supported. But, Priority Area 4 specifically includes "planning for commercialization..." I would appreciate it if you could help me resolve this apparent contradiction.

In this case, offerors should follow the guidance listed in Priority 4 focused on readying existing evidence‐based interventions for use in schools, including planning for commercialization. In the case that is presented, an “evidence‐based intervention that needs to be readied for wide scale distribution” is not considered to be the same as a “proven” concept.

79. For Priority Area 4, does “evidence‐based” mean that the evidence must be published research, or can it, or at least some of it, be yet unpublished data?

Offerors who submit a proposal to Priority 4 may provide a rationale for why an intervention is considered evidence‐based or not.

80. There appears to be some tension between Priority Area 4 and p 12 of the RFP which reads:

Proposals for the development of proven concepts toward commercialization…should not be submitted… Can you clarify when an intervention is “evidence‐based,” yet not a “proven concept?”

See the response to #78.

81. Regarding the required letter of agreement from an educational setting (Appendix B) can this be from an instructor willing to use the prototype with his/her students, or does it need to be from the institution?

Appendix B in the solicitation states that the letters must come from “an education setting or an early intervention or special education setting.”

82. We have obtained DUNS, EIN, SBC control ID and registered with SAM. Please let me know if we missed anything we have to register or obtain from any system.

It does not appear so. Registering with SAM will also generate a CAGE Code. If selected for award, and the Department has a question regarding the offeror’s registration, the offeror will be contacted.

83. We are a woman‐owned (and minority‐owned) small business. For the grant, is it necessary to apply for the WOSB certification at SBA.gov? Is there a place to submit the WOSB certification during the grant application? Please advise.

The RFP does not require certification within socio‐economic categories, although offerors may do so in their SAM registration. Any socio‐economic data provided as part of the proposal will be considered informational only.

84. Can you please provide me with a list of all the certifications or letters I have to submit along with the proposal in order to be qualified for the review?

No further guidance can be provided beyond what is already stated in the solicitation.

85. I work for an Ed‐Tech company that is primarily based in the UK, but we also have an e‐commerce entity registered in the US (no physical presence in the US though). We were thus wondering if we are eligible to apply for this grant provided that we will appoint a Principal Investigator for the project that is based in the US? If we are eligible to apply, could we apply to test a product that is NOT going to be developed in the US provided that we will use the grant to perform an efficacy study for this product that will be conducted in the US?

Offeror’s with questions should review the eligibility requirements on SBIR.gov here https://www.sbir.gov/faqs/eligibility‐requirements. Companies must be American owned and operated, and all work must be done in the United Stated unless approved by the contracting officer.

86. The RFP does not require an IRB for research with students until after a grant is awarded. However, some educational settings (as required in Appendix B) want an IRB. How do you suggest this be handled? Would it be acceptable to obtain a commitment that is subject to a future IRB, as appropriate?

No guidance can be provided except that the offeror must determine the most appropriate approach for securing a letter of commitment in Appendix B. The Department’s Security

Requirements clause exceeds the requirements of an IRB.

87. Page 94 of the solicitation states that a waiver may be granted in accordance with “Contractor

Vetting Security Requirements”. How would I go about applying for this waiver for one of my team members whom I'm hoping could perform a Moderate Risk Level position and in what circumstances would it be granted?

A waiver consideration would not be considered unless the offeror were selected for award. It has been the Department’s experience that waiver requests are lengthy (possibly precluding any meaningful time to participate, given the length of the contract) and far from guaranteed.

88. The product we plan to build is intended to be only for postsecondary education. We just want to double‐check that projects with that focus will be considered.

Language in the Priority Areas on page 45 indicates that proposals for postsecondary education are allowable.

89. Page 3 of the RFP reads: 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. Is this intended to prohibit a firm from assembling a qualified team of experts specifically for the proposed project, or is that permitted?

No, this is not intended to prohibit a firm from assembling a qualified team of experts for the proposed project.

90. Could you advise what is the recent level of competition/success rate of the Department of

Education SBIR Program Phase I proposals?

This year the Department anticipates making approximately 20 Phase I awards, which is 5 more than the previous year. Typically, the Department receives between 200 and 250 proposals. It would not be surprising if the number of proposals received exceeds 250.

91. Would augmented reality to teach a particular subject be an appropriate topic for this response?

Page 46 of the solicitation does note augmented reality as an example of an emerging technology.

92. I cannot find supporting evidence that the Principal Investigator is required to have a PhD. However, the SBIR RFP does state: "3. Project Team, Company/Resources, and Budget (30 points) Does the principal investigator have the appropriate experience and training to oversee and manage the proposed project? " "Appropriate experience" is vague but my guess is a background without a PhD is not enough. Is this correct?

There is no requirement for the Principal Investigator to have a Ph.D. The offeror must demonstrate why the Principal Investigator has the appropriate experience to direct the project.

93. In the image below it looks like "H" is in the spreadsheet. Should "H" be there or should it be associated with "Key Members" and the other letters for the following sections be pushed to: i ‐

R&D, J‐video, K ‐ Priority and L ‐ Abstract?

The “H” in that spreadsheet was a typo. Please disregard.

94. Our LLC is registered as a service‐disabled veteran owned business. Would you recommend submitting as a SDVO business, or a woman‐owned business?

Please see the response to question 83. Although there is no requirement to identify socio‐economic categories for this RFP, generally speaking in Government contracting an offeror would certify all categories that would apply. In other words, an offeror can be both SDVOSB and a WOSB.

95. Can an owner, or partial owner, of the business be the Principal Investigator?

Yes, provided the other eligibility requirements are met.

96. I see that you are asking for letter of agreement for future research from a school or similar setting.

Would a letter of agreement from a speech therapist’s private clinic work for this requirement? Of course, the program would be tested with children in the same population that speech‐language pathologists(SLPs) would work with in a school (i.e., K‐3, language delay or disorder). Could the owner of the clinic also be on our team, or would that present a conflict of interest? If that doesn’t work, how about letters from several individual SLPs agreeing to trial the prototype with their students?

Offerors must determine what letters to include in Appendix B based on the instructions provided:

“offerors should provide one letter of agreement from an education setting or an early intervention or special education setting to participate in the Phase I research.” Offerors can determine who the members of the team will be. No response can be provided on whether a conflict of interest would be present or not.

97. Would you suggest that we have a specific web designer and other subcontractors lined up prior to submission of the proposal?

The offeror must determine the team that will be assembled for a proposal and when.

98. What is a reasonable fee for the Principal Investigator? I’ve read both 7% and also whatever the market rate for your services would be.

The offeror must determine the fee and provide a justification if necessary.

99. Our CTO/tech expert is a Canadian citizen and currently lives in Toronto. Can we use him on this project? He would not be building the actual product, just overseeing.

Offeror’s with questions should review the eligibility requirements on SBIR.gov here https://www.sbir.gov/faqs/eligibility‐requirements. All work must be done in the United Stated unless approved by the contracting officer.

100. Is there anything we must communicate with your agency besides filling out the requirements in the solicitation and submitting it on time?

This question cannot be addressed without additional information on what else would be communicated.

101. My colleagues and I are looking into applying for SBIR. The company is located in the USA. I am a resident of USA but currently working as an academic at an Australian University. I am curious if I am eligible to be part of the application.

Offeror’s with questions should review the eligibility requirements on SBIR.gov here https://www.sbir.gov/faqs/eligibility‐requirements. All work must be done in the United Stated unless approved by the contracting officer.

102. For our technical infrastructure (e.g., servers, machine learning infrastructure) we are using

Amazon's Web Services (AWS) cloud computing. In practice, this lowers our cost of development since we can "rent" computing power rather than needing to purchase it straight out. We do not plan on having any personnel from AWS participate at all. We will simply be renting computing equipment using standard "commercially available off‐the‐shelf (COTS) items." With that background, I'd like to make sure we budget for these services in the appropriate category. Based on what I have read, I do not believe this fits into the category of Technical Assistance or

Subcontractors. Instead, I imagine it would fit into Other Direct Costs in a sub‐category of "Supplies"

(where we might list the purchase of a computer and specialized software). Can you verify if I am correct or not?

If the costs are for services to be used by the small business concern, this could count as other direct costs or supplies.

103. Would a proposal that focuses on the use of technology to support a mental health intervention that would have a proximal impact on educational outcomes such as absences and grades would be considered appropriate for this RFP?

It is likely such a proposal could be appropriate for this solicitation.

104. In the technical abstract and in other parts of the project narrative, are we describing our product as we plan to develop it through the end of Phase I, through the end of funding in Phase II, or through the end of Phase III when it is fully commercialized?

It is up to the offeror to determine how to describe their proposed product. There is guidance through the solicitation on explaining what prototype of an education technology product will be developed after a Phase I project, and to describe the intended fully developed product after Phase I and II project.

105. When describing the problem (1.a) and justifying the R/R&D to solve it, are applicants supposed to provide a general solution that alludes to our product (and is described in greater detail in the next section) or describe how our product will solve it specifically?

Yes, proposals must demonstrate how a proposed product that is developed in Phase I and II and successfully disseminated to end users, would significantly improve education in the stated area.

106. The p. 21, 3b directions state: “At the end of Phase I period, offerors should describe research that will be used…” Should Phase I applicants provide a description of how the study will be conducted in the future, or is this portion only to be completed at the end of Phase I, once the grant is awarded?

The solicitation requests that offerors detail a research study that will be conducted at the end of Phase I to test the prototype developed in Phase I.

107. If the description of the research for Phase I must be provided in the initial application process, do applicants need to specify all of the details as described on p.22?

Offerors must determine what to include based on the information provided in the solicitation.

108. Is it acceptable to develop half of my educational videos in Phase I and the other half in Phase II, or do I need to obtain special permission for that before sending in our application? Please note that feedback from Phase I would directly impact and be relevant to how the videos are produced in Phase II.

It is not clear from this question what is acceptable or not.

109. Do resumes need to be provided for the following members that are not employees of the company, but that are either paid per job or contracted to do work for the company?:

(I would appreciate it greatly if you could specifically state which of the following would not need to supply a resume.)

a. Artist needed for Phase I and II (paid per job)

b. Lawyer needed for Phase I and II (paid per job)

c. Members of Advisory Board (terms of compensation not yet affirmed)

d. Web marketing company (Not needed for Phase I or Phase II ‐‐ will be contracted to do work in the future, after products are fully developed at the end of Phase II)

e. Technical Assistance Plan providers, as described I #6, pp.23‐234

f. Researchers affiliated with a major, well‐established research organization (contracted by company) The offeror must determine what information to include or not include so that the reviewers can judge the merits of the individuals that make up the team.

110. My company provides educational videos. Should the Project Team consist of any members other than the following:

a. Principal Investigator who oversees the project and is the developer directly related to development of the videos (lesson script writer and final decision maker on videos)

b. video producer from a production company

c. researchers of the effectiveness of the videos

d. Technology assistance personnel associated with Technical Assistance Plan The offeror must determine how the team is constructed and describe why this is the appropriate team for achieving the goals started in the proposal.

111. When would the timeline begin and end?

The Phase I project period.

112. I understand that there is supposed to be no spacing in this document, including between titles.

Is there an exception made when a new title falls at the bottom of a page?

Offeror’s are permitted to use spacing.

113. Two of my contractors provide a per job fee, rather than an hourly rate with associated hours. Is that acceptable?

Yes.

114. What is an appropriate Phase I salary to ask for a Principal Investigator who will also be the developer and presenter of multiple video scripts? This will be a full time effort of 40 hours per week.

The offeror must determine what is appropriate for a proposal and provide a justification.

115. How many proposals applied and were awarded under priorities 1‐5 in past years?

The Priority Areas 1 to 5 are new in 2020. See the response to question 90.

116. What are valid reasons for a PI to request an exemption from the 51% requirement?

No guidance can be provided in response to this question.

117. How does the PI go about requesting an exemption from the 51% requirement?

Please see the response to question 36.

118. For the 51% requirement of the PI, does this need to be 51% of time each month through the duration of Phase I, or can this be weighted toward certain months? In other words, could the PI, for example, spend 100% of his/her time on the proposed project over three months and less than half over the remaining months?

Please see the response to question 62. The Policy Directive does not provide a time period to gauge the requirement, such as monthly or weekly, therefore the time period will be considered as the whole.

As long as other requirements are met, it is conceivable that this scenario may meet the requirement.

119. For Appendix E: Budget, should we type the information directly onto pg. 62 of the RFP instructions or create a spreadsheet in Excel and fill it in accordingly?

Either option works provided the reviewers are able to get the information they need to understand the proposed budget.

120. Do we need any additional number or registration apart from registering with SAM and obtaining a DUNS and CAGE number?

Please see the response to question 82. The offeror must also register with the SBA for a control number.

121. Do we need to register with the Department of Education and obtain a certain classification or permit to engage in the SBIR Phase 1 program RFP #91990020R0006 ?

122. <Our project> can also have forecasting elements that can be added (ie. probability of success for a certain career, probability of completing a degree with high debt, probabilities of repayment options and expectations of student loans) should we also include these forecasting elements in the proposal or should we solely focus on recommending courses?

No guidance can be provided in response to this question. An offeror must determine how to present a proposed product.

123. Does the Phase I description need to include a competitive and market analysis?

Page 20 of the solicitation requests that offerors detail the “uniqueness of proposed product and provide a description of similar products or typical practices and associated costs.”

124. If our idea is a standalone product do we need commitments from educational/community partners?

Based on the solicitation, the offeror must determine what commitments are needed to support a proposal for the R&D of a proposed product and plans for its eventual dissemination and sustainability.

125. Phase I of the award includes both a whitepaper and a prototype?

Based on the solicitation, the offeror must determine what constitutes the prototype of the education technology product that will be developed.

126. In reading the document (RFP) I could not find anything on IDC. Is it allowed and if so, how much?

Please see the response to question 43. Indirect cost rates are unique to each company’s circumstances.

127. Are indirect costs allowed, and if so, at what rate?

Please see the response to question 43. Indirect cost rates are unique to each company’s circumstances.