SBIR.2021.Phase.I.RFP.12.1.20.SPECIALEDFinal.docx

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

PHASE I

SPECIAL EDUCATION

PROGRAM SOLICITATION FOR FY 2021

REQUEST FOR PROPOSALS

RFP Number: #91990021R0002

PRIORITY AREAS

· PRIORITY AREA 1: Products to Support Infants, Toddlers, or Learners With or At Risk for Disabilities, or Educators (or other Instructional Personnel, Related Services Providers, or Family Members)

· PRIORITY AREA 2: Products to Prepare Existing Special Education Interventions With Evidence to be Used at Scale in Education Settings

ISSUE DATE: December 1, 2020

CLOSING DATE: January 21, 2021 11:00 AM, Eastern Time

PHASE I

TABLE OF CONTENT

Section Page I. Program Overview……………………………… II. Definitions……………………………………………………………………………………… III. Contract Proposal Preparation Instructions and Requirements……………………….12

X. Appendices to the Proposal

ED/IES SBIR 2021 Phase I SPECIAL EDUCATION RFP

U.S. DEPARTMENT OF EDUCATION

INSTITUTE OF EDUCATION SCIENCES

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SOLICITATION

FY 2021

SPECIAL EDUCATION

PHASE I

REQUEST FOR PROPOSALS

RFP Number: #91990021R0002

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 SPECIAL EDUCATION proposal under this program solicitation. This solicitation is for proposals to develop education technology products: that modernize assessment; to prepare existing evidence-based interventions to be used at scale in education settings; used by educators or administrators to inform decision making; that apply emerging technologies to support student learning and relevant education outcomes for formal learning; and for informal learning to reverse learning loss for the lowest performing students.

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.”]

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.

Offerors are permitted to submit similar proposals to different agencies (e.g., NIH or NSF SBIR) while a review is pending, providing the submission is disclosed in Appendix B. Offerors are not permitted to enter into funding agreements for similar work. For more information, see Appendix B. Similar or Related Awards or Proposals. Offerors may resubmit a modified proposal that was unsuccessful in previous years.

Please note that the review from a previous year will not factor into the 2021 proposal review.

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 special education proposal in 2021.

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.

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 3.2% of such budget in fiscal year 2021) 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.

https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf

The design of the Department of Education’s SBIR program is in accordance with the Small Business Administration (SBA) SBIR Program Policy Directive dated May 2, 2019. The SBIR policy directive guides the information and requirements set forth in this proposal package. Please read the most recent SBIR Policy Directive issued by the Small Business Administration here: https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf.

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 6 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 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, 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. In circumstances where 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 beta.sam.gov website on or before April 21, 2021. 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, 2021. 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 2021. 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.

Majority Owned Small Business Concerns: Beginning with its FY2018 program, the Department accepts proposals and is authorized to make awards to small business concerns owned in majority by multiple venture capital operating companies, hedge funds, or private equity firms. Proposals submitted by these entities in response to this solicitation are subject to the same peer review process that applies to all other applicants to ensure that they meet IES’ standards for scientific and technical merit and have the potential for commercialization. Note: The Department cannot award more than 15 percent of its SBIR budget for any single fiscal year to this group of offerors.

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, Tracey Perry. Any responses would be posted as an amendment to the solicitation on https://beta.sam.gov/. The Government cannot guarantee that questions submitted after January 4, 2021, 11 A.M. ET will receive a response.

Tracey.Perry@ed.gov Contacting Specialist Email: Tracey.Perry@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 Proposals submitted to the Department's SBIR program must be responsive to the priority areas. 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.

Freedom of Information Act (FOIA) While FOIA allows the public to request certain documents from the Government, there are nine specific exemptions as to what may be released. Exemption number four (#4) includes trade secrets and commercial or financial information obtained from a person [that is] privileged or confidential. The exemption covers two distinct categories of information in Federal agency records, (1) trade secrets, and (2) information that is (a) commercial or financial, (b) obtained from a person, and (c) privileged or confidential. Historically, the most universally accepted definition of a “trade secret” was virtually any information that provides a competitive advantage. The Court of Appeals for the District of Columbia Circuit, however, has adopted a more narrow definition. They have found that a “trade secret” is “a secret, commercially valuable plan, formula, process, or device that is used for the making, preparing, compounding, or processing of trade commodities and that can be said to the be the end product of either innovation or substantial effort.”[footnoteRef:2] [2: 704 F.2d at 1288; see also Freeman v. Bureau of Land Mgmt., 526 F. Supp. 2d 1178, 118889 (D. Or. 2007) (concluding that trade secrets are not limited to processes "actually proven to be" commercially valuable; rather, it was sufficient for plaintiff to show that his manufacturing process "may" have commercial value); Appleton v. FDA, 451 F. Supp. 2d 129, 142 & n.8 (D.D.C. 2006) (rejecting plaintiff's argument that trade secret, as defined in Public Citizen, requires "sole showing of 'innovation or substantial effort,'" and emphasizing that trade secret applies to information that constitutes the "'end product of either innovation or substantial effort'" (quoting Pub. Citizen, 704 F.2d at 1288)).]

As included in the previous section of definitions, innovation is 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. Based on this information, it has been determined that proposals submitted under the SBIR Program meet the definition of both innovation and trade secrets. They are original ideas, processes that support the ideas, and research to support the processes, all for the purposes of developing a commercial product, and are therefore exempt from FOIA in their entirety. The Department has consistently applied FOIA exemption #4 in this manner.

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 C, D, and F, are required for all offerors. Appendices A “Documentation and Status of Previous Phase II Awards” and B “Similar or Related 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, font 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 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. PROPOSAL PART I: KEY INFORMATION

· All of the items in Part I “Key Information” section will be inserted as the opening pages of the Phase I proposal.

· Do not number the pages in Part I. (Numbering should begin on the first page of the “Project Narrative-Technical Content.”)

· To structure Part I of your proposal, follow the exact format as the items below.

· No other cover pages are permitted to precede Part I.

· Proposals that do not include a Part I section exactly as specified below will be rejected without review.

Part I: Key Information

Section A.

A) Project Title:

B) Name of the small business:

C) DUNS:

D) Small Business Address:

E) Small Business Phone:

F) Company Website URL:

G) For the Principal Investigator, fill in the below table:

H) For the representative authorized to represent the small business concern in negotiations, fill in the below table:

J) For all members of the project team in the table below (e.g., Principal Investigator, Researcher, Developer, Administrative Assistant), fill in the below table. (Add lines as needed)

(Add additional lines for more team members)

K) Indicate whether the proposal is for the R&D of an entirely new product, for R&D to add new and unique components to a prototype that already exists and is functioning, or for R&D to add new and unique components to a product that is already fully developed.

(Select only one) for R&D of an entirely new special education product where no (or very limited) previous technological development work has occurred for R&D to add new and unique components to a prototype of a special education product that already exists and is functioning for R&D to add new and unique components to a special educational technology product that is already fully developed

L) Priority. Select one priority area. (Note: While the focus of a proposal may be applicable to more than one – offerors must select the priority area that is the best fit.)

· PRIORITY AREA 1: Products to Support Infants, Toddlers, or Learners With or At Risk for Disabilities, or Educators (or other Instructional Personnel, Related Services Providers, or Family Members)

· PRIORITY AREA 2: Products to Prepare Existing Special Education Interventions With Evidence to be Used at Scale in Education Settings

See Section IX for additional information on the Priority Areas.

M) Video Demonstration: For proposals to develop a new component to an existing prototype or a fully developed special education product that already exists and is functioning, the offeror may include a URL (Uniform Resource Locator) link to a video demonstration that presents the current version to a reviewer.

Specifications:

· Video Demonstrations are optional to include in the proposal. If a video demo is included, reviewers will view the video as a component of the proposal.

· All Video Demonstrations should be posted to YouTube (http://www.youtube.com/) prior to the submission deadline, and available during the review period up to 90-days after.

· If the Video Demonstration 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.

· Video Demonstrations are not permitted to be updated after submission. If the posting date on YouTube for the video is later than the submission date, the video will be deemed ineligible for inclusion in the review process.

· For an entirely new product or where no (or limited) previous technological development work has occurred, offerors must decide whether to include a video for proposals. In such cases, offerors may provide a video demo featuring a project with related prior research and development, or a video presenting a mockup or plans for the development of the proposed product.

Insert a URL to a video demonstration here:

N) 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. PROPOSAL PART II. Project Narrative – Technical Content

· “Part II. Project Narrative – Technical Content” constitutes the main body of the Phase I proposal.

· 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 Succinctly describe the problem in the field of special education (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 new special education product that would be fully developed, after the Phase I and Phase II projects are completed.

In this description:

· (If applicable) If a component of the special education product is already fully or partially developed, provide a concise description first so that the reviewers understand what is already developed and what will be new.

· Specify the intended user of the product and grade level being addressed.

· List and briefly describe the key components of the special education product and any additional materials required to support implementation. Make sure to indicate the hardware on which this product will operate (e.g., a desktop computer, a tablet, smart phone, a Virtual Reality headset).

· Indicate whether the special education product would replace, supplement, or be integrated within existing education practice. Describe how the product would function and how it would be implemented, whether for formal or informal learning, or for in-class or remote learning, or both.

· Indicate the expected cost to schools to purchase the special education product overall and per student, and the level of resources (e.g., time, schedules, equipment) needed to implement and use the product.

· Specify the intended education outcomes that are expected to result from the product’s use.

· Present a concise user case to further detail the implementation of user experience when engaging with the proposed product.

c. Theoretical and empirical support Provide a rationale for why using the proposed special education product would lead to the intended outcomes. In doing so, explain the underlying theory and provide any data from past studies to show that the intended product, and its components, can be expected to produce the intended results. Include relevant references to the scientific literature.

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

Additional Specifications:

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

ii. For proposals to develop and add new components to a prototype of the special education product that already exists and is functioning, the offeror (1) must describe the prototype that currently exists, how the current prototype is functioning, and justify the need for the additional components; (2) must detail prior research on the current prototype’s usability and initial feasibility (and reliability and validity if applicable to the focus of the project); and (3) may include results from concept testing where users provide feedback after viewing mock-ups detailing the proposed product and its intended implementation.

iii. For proposals to develop and add new components to a special education product that is already fully developed, the offeror (1) must describe the product that currently exists, how the current product is functioning, and must justify the need for the additional components; (2) must describe the evidence base for the product in its current form, including detailing usability and feasibility (and reliability and validity if applicable to the focus of the project), and must cite and provide URL links to peer-reviewed publications with empirical findings showing evidence that the product in its current form shows promise or efficacy for improving outcomes; and (3) may include results from concept testing where users provide feedback after viewing mock-ups detailing the proposed product with the new component and its intended implementation.

Video Demonstration: Proposals may include a URL link to a video demonstration that presents the current version of the special education prototype or product, or that presents mock-ups of an special education product if no development has yet occurred. See E. PROPOSAL PART I: KEY INFORMATION, K. Video Demonstration for additional specifications and for the area in the proposal to insert the URL to the video demonstration.

Key Terms Special Education Settings: Education settings refers to the location where the product is used, whether in a physical school (e.g., in a class) or from a remote setting (e.g., a home). Refer to Section IX Priority Areas, for further specifications.

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

Feasibility: The extent to which the product can be implemented within the requirements and constraints of an education setting, that users are engaged while using and want to continue to use the product, and can use the program in relation to standard education practices for learning or instruction or administration, or for informal learning experiences.

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 education setting, that users are engaged while using and want to continue to use the product, and can use the product in relation to standard education practices for learning or instruction or administration, or for informal learning experiences.

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

Promise of Education Outcomes: The extent to which the pilot research shows improvement in education outcomes of interest.

e. Uniqueness of proposed product & description of similar products or typical practices and associated costs Describe why the proposed product will be unique in the field of special education. In doing so, describe similar products or practices, shortcomings of the current products or practices, and the advantages of the proposed product so that it will not be susceptible to the same shortcomings. Offerors can include a table with a list of the key components or features of the proposed product compared to similar products or practices used in practice.

f. Potential commercial application After the special education product is fully developed through Phase I and II R/R&D, succinctly 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 of support included in Appendix H of the proposal demonstrate the availability of pathways toward the eventual commercial dissemination and sustainability of the proposed product in the private marketplace.

NOTE: In Appendix H, offerors may include up to three (3) letters to present the availability of pathways and plans for the product’s eventual commercialization in the private market. See Appendix H, in this document for further information on letters of endorsement.

2. Project Timeline and Overview Provide a timeline with a list of the proposed objectives that will be accomplished within eight months. Provide a brief overview 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.

3. Phase I work plan

COVID19-Related Notes:

1. Proposals for special education products intended for use in both in-school and remote settings can plan for research during Phase I that only occurs with participants in a physical school setting. If a Phase I award is made and during the project the team cannot conduct research as proposed in schools due to the ongoing pandemic, the offeror may propose a plan to the Contracting Office Representative for the research to be conducted remotely at that time.

2. Proposed products that will be developed solely for remote settings should include plans for research during Phase I that only occurs with participants in remote settings.

3. Proposed products that will be developed solely for in-school use should include plans for research in schools. If a Phase I award is made and during the project the team cannot conduct research as proposed in schools due to the ongoing pandemic, the offeror may propose an alternate plan to the Contracting Office Representative for the research to be conducted remotely at that time.

a. Development of the prototype Describe the R/R&D procedures through which a new 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 provide feedback after viewing mock-ups detailing the plans for the full product and its intended implementation. For research to inform iterative refinements during Phase I and for concept testing, offerors should describe how and when data will be collected, the characteristics of the sample users participating in the research and the procedures for analyzing data and drawing conclusions from it.

b. Pilot Research at the End of Phase I At the end of the Phase I period, offerors should describe research that will be used to test the usability (or functioning) of the prototype when it is used by the anticipated end user. 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 special education product.

Research on usability and initial feasibility 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 research to test the usability and initial feasibility, 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, educators, administrators) and the setting (e.g., laboratory, school, remote setting) 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 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.

Measures. Describe the instruments that will be used to measure usability and initial feasibility of the prototype. Include information on reliability and validity of the instruments that will be employed as well.

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 the expertise,…