Amendment 0001 Responses to Timely Questions Received.pdf

Request for Proposals 91990020R0001 Small Business Innovation Research Program (SBIR) Phase I Amendment 0001

Closing Date: January 21, 2021 11:00 A.M. ET

U.S. Department of Education’s (Department or ED) responses to clarification questions submitted by January 4, 2021, 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 Kristi.rhodes@ed.gov and receive an error message, they MUST contact Kristi Rhodes (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 January 21, 2021. Late proposals will not be accepted.

1. Approximately how many standard education Phase I grants do you expect to award during this cycle?

Response: As stated in the solicitations, ED/IES SBIR anticipates making 15 Phase I awards for education technology products through solicitation 9199002R0001 and 5 Phase I awards for special education technology products through 91990021R0002.

2. In Appendix E, there is an instruction to attach a PDF within the application, however Part VI.B stipulates that the entire submission is required to be a single file. What is the expected method of attachment? Is a pasted screenshot acceptable? Or is the desire simply that the separate PDF be combined into the larger PDF?

Response: It is correct that all proposal components must be included in one PDF document.

Hence, offerors can include PDFs within the final PDF that is submitted.

3. Are you looking for a platform that addresses cost‐effectiveness learning and promoting dissemination of evidence‐based program content?

Response: Offerors should refer to the Priority Areas for the areas of the focus for proposals.

4. Does the agency have any identified uses for technologies such as Artificial Intelligence, Machine Learning, and Cloud analytics technology?

Response: Offerors should refer to the Priority Areas for the areas of the focus for proposals.

5. Will there be a Webinar or another type of info session regarding this RFP?

Response: No.

6. Are businesses that are “For‐Profit” eligible?

Response: As stated in the eligibility requirements for the SBIR program, offerors are required to be for‐profit.

7. I am trying to determine which Priority Area to apply to. Will the priority areas be awarded evenly? Will there be different panels for each of the Priority Areas.

Response: The proposals with the highest overall scores will receive awards – regardless of the priority area. As noted in the solicitation, teams of three reviewers evaluate proposals. It is possible review teams will evaluate proposals across more than one priority area.

8. Can the small business applicant use IES SBIR funds to hire a software development firm as a "fee‐for‐service" to build a mobile app? (some background: This company is a brand‐ new company, and does not have a software developer on board. Therefore, I would like to contract out this work without it "counting" toward the 33% that is allowed to be contracted (I want to reserve that 33% so I can partner with consultants at another company.) Asked another way: can I "bucket" the cost of the mobile app development as part of the 66% that the small business would conduct?

Response: As stated in the requirements, the small business is required to spend at least two‐ thirds of the Phase I budget. Contracting with a developer would be considered as part of the one‐third that can be allocated to contractors.

9. Regarding the conflict of interest certifications: is it considered a financial conflict of interest if a consultant I want to use will receive royalties from the licensing of a pending patent that I plan on incorporating in my app? The patent has not been awarded, so there is not a current financial conflict of interest, but the language indicates "potential conflicts" as well. I am curious as to how you guide applicants in these situations. Should it be disclosed as a potential conflict of interest, and if so, how do you suggest we address it?

Response: Without more information, it is not possible to provide guidance in response to this question.

10. Can one PI apply for two very different SBIR projects for Phase 1. Would they need to be in different Priority Areas? Would I then need to fill out Appendix A reporting on the other application?

Response: As stated in the solicitation, offerors are permitted to submit two proposals so long as they are sufficiently different. No, if the proposals are significantly different the offeror would not need to provide information about the two proposals in Appendix B.

11. Section Appendix D, Appendix H: Do bidders need to provide resumes and bios of individuals who have previously commercialized education technology products? Or are letters of support from investors experienced in commercializing education technology strong enough proof of our ability to successfully bring our product to market?

Response: The solicitation requires short resumes and bios from project team members. The offeror must determine the authors of the letters to support the commercialization pathways for the product.

12. Will my company be allowed to outsource the application programming development to an associate in India or all development must be in the USA? The Indian company is reputable and has prior contracted with my company.

Response: As stated in the solicitation, all work that is proposed is required to be performed in the United States.

13. However, can you advise re: which SBIR solicitation would be wiser to submit under if my product could fit the criteria for General OR Special Ed? Does one offer a better chance of success due to fewer proposals received or a greater percentage of proposals awarded?

Response: No guidance can be provided in response to this question.

14. In looking at the attachment and landing page, the priority areas are worded and numbered differently ‐‐ I wanted to confirm with you which our org should reference.

Response: The 2021 ED/IES SBIR Program Priorities are in the solicitation. (The website page is outdated as of January 6, 2020.)

15. We are not authenticated within the market yet as we are right now are diligently going through our funding reach out phase of the business. I was curious if our company still qualifies to apply for the grant although we are still going through establishing our technological legalities?

Response: Small businesses are eligible to apply if they meet the basic requirements listed in the solicitation.

16. Aside from proposal topics and PIs being different, are there any other guidelines for small businesses to follow when submitting multiple proposals?

Response: Offerors are permitted to submit multiple proposals under this solicitation, provided the projects are distinctly different in nature. In such cases, the proposals will be reviewed independently of one another.

17. The referenced RFP is, specifically, a SBIR proposal, and could not be submitted for by an organization that fits the STTR model/requirements. Is that correct?

Response: The Department of Education does not operate an STTR program. Offerors to the SBIR program are required to follow the SBIR guidelines.

18. Could you point me to information about upcoming STTR RFPs/calls for proposal?

Response: The Department of Education does not operate an STTR program.

19. Do I need to register my company as an entity within the SAM database?

Response: Yes. If selected SAM registration must be current at the time of award.

20. Are any other databases I should register my company in before submitting my applications.

Response: All instructions are contained within the RFP.

21. Do you start applying for a Phase II at the end of a Phase I so that there is no gap between the two if you get awarded the Phase II? If there is a gap, how big is it?

Response: The gap between Phase I ending and the submission date for the Phase II proposal is generally anywhere from a few weeks to a month or two.

22. Is it appropriate to include illustrations, tables, and schemata in the proposal? If so, is using color acceptable?

Response: The offeror can review the exact requirements in the solicitation. Any illustrations, tables, or schemata should be able to be read by the reviewers.

23. What is the definition of "user case?"

Response: A “user case” is a hypothetical example for how an intended user (e.g., an educator, a student) would use the product to teach or learn.

24. Has RFP for Phase 2 been released yet?

Response: The Phase II RFP is anticipated to be released in mid‐ to late January, 2021. Only 2020 Phase I awardees of the ED/IES SBIR program are eligible to apply.

25. Is there a limit of the number of proposals that a given company can submit for different research ideas?

Response: No.

26. Are you looking for a platform that addresses these needs as well as promotes the dissemination of evidence‐based program content?

Response: The offeror can review the Priority Areas to determine what is allowable.

27. Do you have to first receive a Phase I grant to be eligible to apply for a Phase II grant?

Response: Yes, in order to apply for a Phase II award, offerors are required to have been awarded a Phase I in the previous year.

28. Would our target population (16‐21 year old learners with ASD and/or postsecondary students with ASD) fit within priority 1 of the SBIR call?

Response: Offerors should refer to the Priority Areas for information on the focus of proposals. In this case, the offeror is advised to review the Special Education Solicitation 91990021R0002.

29. Do all applicants submit a full proposal by January 21st? I didn't see information stating otherwise but want to confirm that an invitation is not required prior to submission of a full proposal.

Response: All that is required is for offerors to submit a proposal by the submission deadline, January 21 at 11AM EST.

30. Can the organization participating in the research and development of phase I, provide a letter of support for Appendix H (letters supporting pathways to commercialization) as well as Appendix G?

Response: Offerors need to determine what letters to submit in Appendix H.

31. Is there an example of a winning SBIR proposal? If so; where can it be located?

Response: Winning SBIR proposals are not posted. Offeror can review abstracts for all projects that have won SBIR awards on the website at https://ies.ed.gov/sbir/awards.asp

32. Which has shown to be a more fundable; an entirely new R&D effort or one that matures or enhances an existing prototype?

Response: No response can be provided to this question.

33. Which Priority Area (1‐3) is best suited for the development of a tool that utilizes math modeling and data science methodologies instructor performance measurement?

Response: Based on the guidance provided in the solicitation, the offeror must determine the best fit when selecting the one priority area through which to submit a proposal.

34. Can company logos be placed in the header of proposal document and cover page?

Response: The solicitation provides clear guidance on how to structure the cover pages and the remainder of a proposal. Offeror’s can determine what to include or not include based on this guidance.

35. Is there a standardized format for the cover page?

Response: For a Cover Page, offerors can copy and paste the text from the sections below in the solicitation, and fill in the requested information.

III. CONTRACT PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

E. PROPOSAL

PART I: KEY INFORMATION

Section A

36. Is there a standardized font type?

Response: For information on the standardized font size, offerors can review the information on page 14, under “2. General Format.”

37. Is there a specific tool that can be downloaded to check type size and density within MSWord?

Response: Offerors are advised to consult the help functions in MSWord.

38. Is there a similar fast lane application for IES such as this:

https://seedfund.nsf.gov/assets/files/applicants/Phase_I_Proposal_Preparation_Booklet.

pdf

Response: No, offerors to the ED/IES SBIR program submit a proposal via email. See page 41, VI.

PROPOSAL SUBMITTAL INFORMATION, for information.

39. Is table of contents & figures included in the length of the document?

Response: Offerors should review section III. CONTRACT PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS for information on what can be included in the 15‐page project narrative.

40. Should the intended use (requirement of Proposal Part II) of the product be limited to proto‐type phase 1 utilization or expanded to include Phase II (full integration)?

Response: As stated in the solicitation, in Phase I offerors propose to develop a prototype of an education technology product. The Phase II project is intended to support the full‐scale development of the education technology product.

41. What certifications are required for team members and is this a mandatory requirement for proposal?

Response: Offerors are required to complete certifications in several parts of the proposal, and in Appendix E: Department of Education Required Certification and Information.

42. What is meant by the term “commercialization” or the phrase “for commercial use”?

Response: A goal of the ED/IES SBIR program is for products to be commercialized, or disseminated for use in the field of education and sustained over time through revenue or a model that allows the education technology products to continue to be available for use over time. Products are intended for commercial use by the private sector.

43. What is the required page length for the commercialization section of the SBIR proposal?

Response: The solicitation does not provide guidance on the length of the commercialization section, or any section.

44. Should the proposal hit on every bullet/section of the RFP?

Response: The solicitation requests that proposals address all of the sections within.

45. How do you want us to include the PDF file? Earlier in the RFP it says we are to return only one file (either Word doc or PDF), so an attachment goes against this.

Response: For instructions on how to submit a proposal, offerors to the ED/IES SBIR program must refer to, VI. PROPOSAL SUBMITTAL INFORMATION, for information. Offerors may submit a PDF or a WORD file.

46. Referring to Appendix E Registration: Are you asking for a photo/screenshot of the completed Registration control form in the grey box?

Response: Any photo/screenshot or inserted attachment will be sufficient.

47. Is it allowed to show mock‐ups of what we want to accomplish with SBIR funding.

Response: Yes, offerors are permitted to present mockups in the technical narrative, or in a Youtube video demonstration.

48. Can we apply for multiple grants under the same solicitation (9199002R0001)? That is, if we can apply for three out of those 5 areas? If that is not allowed under the requirements and we are allowed to submit only one proposal, we understand that.

Response: Offerors are permitted to submit multiple proposals, provided the focus and proposed plans of each proposal is unique and different.

49. Do you have any specific format to submit the proposal? Or it can be with any standard format, such as APA format and reference style?

Response: For information on format, offerors can review the information on page 14, under “2.

General Format.”

50. Do you have any specific guidelines for writing the proposal—such as page and word limits or any such criteria?

Response: Offerors can review III. CONTRACT PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS for information on page and word limits.

51. I submitted a grant last year for phase I and it came back with comments and was not accepted. Can it be resubmitted with comments addressed?

Response: Yes, offerors may submit a similar proposal that was not accepted the following year.

All proposals are considered “new” proposals – not resubmissions.

52. Can you share whether we need to include the extensive agreements listed for Appendix E in the final document we submit? We will attach E1 SBA registry certification, E2 certifications, E3 DUNS, E4 Data..., but from E9‐77 there are about 25 pages. Should those all be included in the final file?

Response: Yes, Appendix E must be included in its entirety. This proposal information is not counted toward the 15‐page limit of the project narrative.

53. Does the Department of Education allow for a multi‐PI or a co‐PI situation? All I was able to locate was a sole PI submission. We are currently working on a NIGMS grant through the NIH and are applying with a multi‐PI group with PIs from several arenas with expertise within those arenas. Is this same situation allowable with a Department of Education grant?

Response: Offerors must name only one Principal Investigator on the cover page and within the technical narrative.

54. Will this Grant recur next year?

Response: The ED/IES SBIR has held an annual program since 1982, and the program is required to hold an annual program by legislation.

55. Can you please define the term "employee" and explain the difference between an employee and a consultant as relates to the grant.

Response: An employee works for (is employed by) a small business and often receives a W2, (the "Wage and Tax Statement) where consultants are not employees, but are hired for specific purposes.

56. Can a consultant function as the Primary Investigator?

Response: No, the Principal Investigator must be employed by the small business more than 51% of the time.

57. Can an applicant submit more than one letter of agreement? For example, in the case that two districts agree to participate in different studies for the same grant, can both of those districts provide letters of agreement?

Response: No, only one letter of agreement is necessary in Appendix G. Offerors can indicate that additional districts have agreed to participate in the technical narrative if the offeror chooses to do so.

58. Is it possible for the prime grant recipient to subcontract with a research organization, and for that research organization to then subcontract with another company? For instance, in the event that the research organization would like to employ the expertise of another company in order to carry out their research.

Response: The small business that receives an SBIR award is the only entity that can provide a subcontract.

59. Are there certain groups such as age range that proposal should focus on?

Response: The offeror can review the Priority Areas within the solicitation.

60. Are there other limiting factors to proposals?

Responses: It is not clear what this question refers to – no response can be provided.

61. Are there any specific needs that the contracting offices would like to see proposals to focus on?

Response: The offeror can review the Priority Areas within the solicitation.

62. Is human subject research discouraged in Phase I’s?

Response: Human subject research is neither encouraged nor discouraged. The Notice About Research Activities Involving Human Subjects is provided if applicable.

63. We are looking to submit a proposal or building an AI learning assistant for mathematics.

Given the importance of STEM education for the future of work, we consider that math education and tutoring can be significantly improved with the use of recent advances in artificial intelligence. Is this the type of research that Priority Area 4 is looking to support?

Response: Offerors must determine if a proposal is appropriate submission to a specific priority area.

64. In regards to the Letters of Support, Ed Metz mentioned having a letter with multiple teachers/schools supporting our project. We're under the impression that either the Letter of Support or Letter of Agreement for Participation should be from an individual school. Should our Letter of Agreement of Participation or Letter of Support be signed off by multiple teachers/schools?

Response: Offerors must determine how to structure the letters of support to include in a proposal.

65. A couple evaluators mentioned having someone on the team with a background in Education commercialization. A big piece of our commercialization process is our partnership with Microsoft. Should we be adding an additional consultant or partner in this space?

Response: Offerors must determine the team members and partners to include in a proposal.

66. Are companies required to request TABA funding only at the time of application submission? In case they miss to do so, can they request for it retroactively once they have been awarded?

Response: If offerors submit a proposal without a TABA plan and are awarded a Phase I contract, the awardees can request that funds be used for TABA to the Contracting Officer during the project.

67. Do the companies have to identify vendor(s) along with the request for funding? If needed, can they change their requested vendor(s) during the course of the award?

Response: Offerors must identify the key project members and partners within a proposal who will conduct the work to develop a prototype of an education technology product and prepare for commercialization. Awardees may request changes or additions to a project to the Contracting Officer during the project period.

68. Is TABA funding supplemental or an included portion of the maximum awarded amount?

i.e. Is the Phase I maximum award $200K or $206.5K, upon including TABA?

Response: TABA funding is included within the $200K.

69. What is the eligibility timeframe for Phase I awardees to apply for Phase II? For e.g. NIST requires them to apply for Phase II only in immediate submission date whereas USDA allows companies to apply within 5 years of Phase I award.

Response: ED/IES SBIR Phase I awardees are eligible to apply for a Phase II award at the end of the Phase I project.

70. While we will certainly have a DUNS number before January 21, I am uncertain whether our applications to incorporate (and obtain an EIN) will be approved by that date. Is there a work‐around for this issue?

Response: If selected for award, offerors must be in full compliance with all RFP requirements at the time of award.

71. I do not see a solicitation that matches up with our idea ‐ is there a general application portal?

Response: Offerors are required to select/submit a proposal to one of the Priority Areas.

72. Can two different ideas submitted for phase 1 both be parts of the same eventual phase 2? Or is this an application for the phase 2 and we describe phase 1 now?

Response: Offerors are only eligible to submit a Phase I proposal under this solicitation.

73. How extensively does phase 2 need to be described at this point?

Response: All Phase I proposals must include plans for the full‐scale development of a product that would occur in Phase II, should awards be made in Phase I and II.

74. Is it better to have all relationships fully settled and committed or can we have parts described where we are still vetting the final people who will build those parts?

Response: Offerors are responsible for presenting the members of the project team in the

75. We are not sure if this fits into Priority area 4 or 5. How should we decide which area to apply for? Or, can we determine this later?

Response: Offerors must select one Priority Area for a proposal.

76. Is it necessary to partner with a researcher (as PI)? or could one of our founders serve as

PI?

Response: The offeror must determine how to structure the project team.

77. Does the research plan belong in section #3 (Work Plan)?

Response: The solicitation requires research plans to be included within the project narrative.

78. Can some of the pages within the PDF proposal be landscape page dimensions (instead of a portrait page) so that we can display graphs and charts better? They will be part of the same 15‐page PDF file.

Response: So long as the proposal adheres to the specifications for formatting detailed in the solicitation, offerors can determine how to structure a proposal.

79. Do we need letters of commitment from consultants?

Response: There is no Appendix section for letters for consultants.

80. Is it advantageous to come in under budget? Is it looked upon favorably by grant reviewers and/or are points awarded for this?

Response: No, the solicitation does not consider price in the evaluation criteria.

81. Are there font style requirements aside from using 12 point font in single space? Are we allowed to use Calibri font?

Response: For information on format, offerors can review the information on page 14, under “2.

General Format.”

82. Can we include URL links within the proposal? We understand that it is optional for reviewers to click on it; we would like to learn if including a URL link violates any formatting or other requirements.

Response: Offerors may include URL links within a proposal.

83. Whether or not we need to submit a formal letter of intent, or if this e‐mail stating our intent to submit a proposal will suffice?

Response: There is no letter of intent under this solicitation.

84. For ED Phase I, what is the effort required for the PI?

Response: There is no requirement for effort for a PI.

85. Can we include a ‘Reviewer Guide’ in the cover for the application, to assist the review panel? The guide is a table that maps the reviewers’ Evaluation Criteria to page numbers in the Technical Content narrative.

Response: The solicitation provides guidance on how to structure a proposal.

86. Do all the members of the project team need to be included in the budget?

Response: There is no requirement that all members of the project team are compensated through the contract.

87. Our personnel rates are high. Can we use a “discount” rate in the budget form (page 60)?

Response: Budgets need to be determined by the Offeror and may not exceed the limit of $200,000.

88. Can you clarify the extent and nature of “Data Rights” the ED is seeking in the bidder’s proposed products under the RFP?

Response: Please refer to FAR 52.227‐20 Rights in Data‐ SBIR Program (MAY 2014). The Department does not typically seek any data rights for SBIR awards. If selected for award the offeror may seek further clarification at the time of award. FAR 52.227‐20 takes precedence over 52.227‐15.

89. Can you clarify the process for determining if/when bidders need to comply with the process for obtaining approval for research activities involving human subjects under the proposal?

Response: Phase I awardees are required to comply with human subjects protocols upon the award. Offerors are not required to obtain IRB approval as part of preparing and submitting a

90. Can we mock up a product with google tools (sheets, slides etc) and a hosting LMS and test that in Phase I?

Response: The offeror must determine the method to create mock‐ups.

91. Does having a provisional patent exclude a participant?

Response: Proposals to the ED/IES SBIR program must focus on the development of new education technology products. It is possible that an offeror may develop a new prototype that is added to an existing education technology prototype or product, one which may have a provisional patent or patent.

92. Do the provisions and clauses (E.8 through E.72) need to be copied and pasted directly into appendix E in at the time of proposal submission, or will these clauses be addressed at the time of award and do not need to be submitted as part of appendix E?

Response: Offerors are required to complete all questions in Appendix E at the time of the

93. Is there a gov’t standard for reasonable fee or profit on SBIR contracts? If so where can we find it?

Response: Offerors are permitted to include a fee for profit and must determine what fee is appropriate. Please note, offerors must ensure that the budget is sufficient for completing the project activities.

94. How do you define Cost Sharing? Is that pro‐bono? Is that in‐kind donation of services?

Response: Cost sharing means an explicit arrangement under which the contractor bears some of the burden of reasonable, allocable, and allowable contract cost. It may or may not be pro‐bono.

Cost‐sharing should not be included in the budget.

95. Do the Principal Investigator and the Project Manager have to be the same person?

Response: No, there is no requirement that the Principal Investigator and the Project Manager have to be the same person It is up to the offeror to determine the roles of the project team.

96. Regarding Certifications listed on p61, could you confirm that project team members need only to certify their names and then sign and date the document, and that employees need to certify only that their names and titles are correct, and then sign and date the document?

Response: They are signing and certifying that the information that they are providing in their biographical summary is accurate to their best knowledge and belief.

97. In Appendix C: Budget, it says enter name and title. We keep looking to hire a web developer, but we are not sure if we can hire the person before the submission due date and obtain the information. Is it okay to have TBD as a line item under Labor?

Response: Offerors can make a decision to provide a name of enter a TBD “to be determined” – however providing a TBD does not provide the reviewers the opportunity to judge where the project team has an individual to conduct key project activities.

98. In Appendix C: Budget, we are planning to hire subcontractors to outsource testing and research, thus we will provide them 1099 MISC for tax purposes. Should their names be listed as well? Or just lump sum amount would be okay?

Response: Sub‐contractors receiving a 1099 need not be listed by name in the budget. (Note:

Key members of the team who are subcontractors should be listed by name on the cover page and in the technical narrative.)

99. In Appendix C: Budget, we treat consultants and subcontractors as the same for tax purposes, i.e. we will issue 1099 MISC for the amount they receive as opposed to W‐2 for employees. What's the difference between them? Just want to make sure the payment to the consultant wouldn't be applicable to the 33% limit for subcontractors

Response: A consultant receiving a 1099 is considered a subcontractor.

100. In Technical Assistance Plan: will this amount of $6,500 be reimbursed or included within the budget? I was under the impression that if we claim it, then additional funds will be provided as a form of reimbursement

Response: Offerors who chose to do so would include TABA funds in the budget. ED/IES SBIR does not provide additional funds (beyond the $200,000 maximum contract) for TABA.

101. Do we need to attach the following mentioned letter (letter of agreement) while submitting the proposal? "Offerors must include one letter of agreement for participation in research from a representative of an education setting should the proposal be awarded. This letter should be no longer than one (1) page, and is to be included in Appendix G"

Response: A letter for research participation is required in Appendix G.

102. Do we submit the proposal to you Ms. Rhodes and Mr. Thomas in a single pdf format? Or do we also need to submit it via an additional online portal?

Response: For instructions on how to submit a proposal via email, offerors to the ED/IES SBIR program must refer to, VI. PROPOSAL SUBMITTAL INFORMATION, for information. There is no online portal for proposal submission.

103. I do not have a business organization yet and I wanted to ask if it is possible for me to for me to apply for the grant as an individual?

Response: Offeror’s are required to be registered as for‐profit small business entities.

104. I work in a state college as a professor. Would I qualify to apply for the grant as an individual while working in a college?

Response: Offeror’s are required to be registered as for‐profit small business entities.

105. In the user experience section, should this describe the user experience for the full Phase

II project, or can it focus more on this grant which is the Phase I overview?

Response: The solicitation requests that offerors describe a user experience for the product that would be developed if Phase I and II awards were made.

106. Will the government please confirm that the requirement for Priority Area 4 is for the offeror to provide a Conceptual Design Prototype and Functional Narrative of its Proposed IT Solution and not the Final Product.

Response: The question that is posed is not clear and thus a response cannot be provided.

107. Would teacher/administrator professional development be considered ed tech under the provisions of Priority Area 3?

Response: It is not possible to make a determination for whether “teacher/administrator professional development” would be appropriate for Priority Area 3 without more information.

108. I am preparing the proposal for our research team and have a question about the Certification (Appendix D) . I understand that every team member must sign the first part (top half), My question pertains to the second part (bottom half). Who signs it, if a team member is not an employee of the offeror?

Response: The bottom half of this certification is only to be signed by a person with the authority to legally bind the offeror (Owner, CEO, etc…,). The individual is certifying their biography. The owner is certifying that the individual signed.

109. Will the Government please clarify the limitations on remote support by an employee living outside of the United States to R&D work otherwise carried out within the US under a SBIR Phase I contract?

Response: As described in the solicitation, all work on an SBIR project must be performed in the United States.

110. On page 24 of the attached instructions it states Appendix D must also include two certification but on page 60 it states only one certification per key personnel is required.

can you provide some clarification on this? How many certifications are needed? I only see one certification page in the appendix, so if two are necessary can you tell me the second one that is necessary?

Response: Please refer to question 108.

111. The instructions list that “In Appendix G, offerors should provide one letter of agreement from a representative of a special education setting that will participate in the Phase I research.” What sort of individuals can be considered a representative of special education setting? Does this include grade school teachers, professors of special education, and or principals? Also should Letter of support should only be from commercialization partners? Should we also include LOS from consultants or technical partners?

Response: Offerors are required to include a letter in Appendix G to demonstrate to the reviewers that the project has access to a school or educational setting (or special education setting responding to solicitation 91990021R0002) to conduct research to inform and iterative development process and a pilot study.

112. Does it matter which of our 4 partners takes the lead on this project? We were thinking that our Chief Operating Officer would be the PI. Another of our our partners is a researcher but is unable to commit the necessary 50% effort.

Response: The offeror must determine which team members takes the lead.

113. We are interested in responding to #2 in the proposal “Products to Prepare Existing Evidence‐Based Interventions to be Used at Scale in Education Settings”. To fulfill this priority can we create a product for training and assistance to teachers of students with challenges or does the product need to provide intervention or assistance directly to students?

Response: The offeror must determine the focus of a proposed project.

114. Can you help us determine the distinction between a subcontractor and consultant? We typically hire out crew as independent contractors to assist with production — and we are thinking that this is a subcontractor rather than a consultant.

Response: A maximum of one‐third of the project budget is permitted to be budgeted to the works of subcontractors and consultants. There is no guidance on the distinction between a subcontractor or a consultant for the purpose of this solicitation.

115. What profit or other criteria are there for considering a Phase I project successful and worthy of consideration for a Phase II submission?

Response: The criteria for a successful Phase I project are fully described in the Phase I solicitation, and focus on R&D of a prototype of an education technology product and research on the prototype.

116. We plan to provide a Youtube link with samples of our existing products. Is there any limit to what we add to this link?

Response: The solicitation provides explicit guidance on the inclusion of a Youtube video on page 17.

117. Is it appropriate to tailor an assessment approach (Priority Area 1), at least initially, for a population of graduate‐level students (i.e., Masters, Medical Residents) for medical‐ based education? In other words, does "post‐secondary" capture population of medical students in the Department of Education's definition?

Response: Post‐secondary refers to college level grade, years 13 to 16. Proposals for graduate‐ level students are outside of the scope of the Priority Areas.

118. Does IES consider medical and pharmacy education to be post secondary?

Response: Given that science is a content area listed in the Priority Areas, it is possible that medical and pharmacy education for grades K to 16 would be appropriate.

119. What if my application for a DUNS number is not approved by January 21, 2021?

Response: If selected for award the offeror must have an active DUNS number by the time of award.

120. May a non‐profit organization form a subsidiary to qualify as a small business, and therefore qualify to participate in the SBIRs?

Response: No, according to the Small Business Administration, entities that are a subsidiary of an other‐than‐small business (i.e. a non‐profit or large business) are by definition not a small business, and therefore not eligible for SBIR awards.

121. Can you please define “emerging technology” in regard to this proposal?

Response: Emerging technology can refer to technologies that are new.