2022.SBIR.PHASE.I.12.1.21.Final.docx

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

“AMERICA’S SEED FUND”

PHASE I

PROGRAM SOLICITATION FOR FY 2022

REQUEST FOR PROPOSALS

RFP Number: #91990022R0001

PRIORITY AREAS

· PRIORITY AREA 1: New Education Technology Products for Use by Students, or Educators or Administrators (or Other School Personnel)

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

ISSUE DATE: December 1, 2021

CLOSING DATE: February 1, 2022 11:00 AM, Eastern Standard Time

TABLE OF CONTENTS

Section Page I. Solicitation Overview……………………………………………………………………………..3

II. 2022 Priority Areas………………………………………………………………………………..4

III. Proposal Contents (Sections A through J below make up the body of the proposal to be submitted)

IV. Instructions for Submission………………………………………………………………… 40

V. Method of Selection and Evaluation Criteria………………………………………. 43

VI. Additional Information

VII. Contracts and Acquisition Management Clauses………………………………… 68

I. SOLICITATION OVERVIEW

The Department of Education’s (ED) Small Business Innovation Research Program (SBIR), administered by the Institute of Education Sciences (IES), provides awards for the research and development of new, commercially viable education technology products (“products”). Known as “ED/IES SBIR,” the program’s goal is to grow a portfolio of products that are widely deployed to address pressing needs across education and special education.

This program solicitation #91990022R0001 invites eligible for-profit small business firms and partners to submit Phase I proposals to the ED/IES SBIR program for $250,000 contracts to develop and evaluate a new education technology prototype over a period of 8 months. Successful Phase I awardees under this solicitation will be eligible to apply for a Phase II award for $1,000,000 in 2023, to fully develop a new education technology product over a period of 2 years and to prepare for commercialization. ED/IES SBIR anticipates that up to 14 Phase I awards will be made through this competition in 2022. Please note that ED/IES SBIR is a highly competitive program – historically between 5 and 7% of submitted proposals result in a Phase I award.

A New Look This 2022 ED/IES SBIR Phase I solicitation is updated from previous years to make it easier for offerors to read and prepare a proposal. Parts I to V provide instructions to write and submit the proposal, and on the method used to evaluate proposals. Part VI includes additional information and resources. Offerors should read the entire solicitation when preparing a proposal.

Key Dates

II. 2022 PRIORITY AREAS (2)

PRIORITY AREA 1: New Education Technology Products for Use by Students, or Educators or Administrators

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

All proposals must be for the development of either:

i. a new education technology product for which no (or limited) previous development has occurred

OR

ii. a new component to be added to or integrated with an existing education technology prototype or product. In cases where a new component is proposed to be developed and integrated with an existing prototype or product, offerors must demonstrate that the existing prototype or product is research-based and that an additional investment in further development by the ED/IES SBIR program is warranted.

Proposals to continue the same course of development for an existing prototype or product are not permitted. For example, a proposal to finish the development of an existing math fractions learning game would not be allowable – whereas a proposal to develop a new Artificial Intelligence (AI) prototype that automatically individualizes and adjusts the questions and mathematical content to the skill level of a student progressing in the math fractions game would be acceptable if prior development on that AI prototype had not previously occurred.

Note about the 2022 ED/IES SBIR Direct to Phase II Solicitation In addition to this Phase I solicitation, ED/IES SBIR has released a “Direct to Phase II” solicitation #91990022R0002 which is a request for proposal for the development of new education technology products to ready existing evidence-based innovations for use at scale. Offerors are not permitted to submit similar proposals under this Phase I solicitation and under the Direct to Phase II solicitation. In such cases, both proposals will be rejected without review.

PRIORITY AREA 1: New Education Technology Products for Use by Students, Educators, or Administrators

Products for student use are intended to improve student learning or promote relevant outcomes in one of more of the following areas: early childhood learning and school readiness; English language arts; social studies; foreign language or English language learning; STEM (science, technology, engineering [including cyber security], math); social and behavioral skills to support academic and other relevant school and career-related outcomes; the arts; and technical or vocational career readiness skills. Other areas not specified above will be considered based on the relevance and significance of need in the field of education.

Products for educator or administrator use (or other school personnel use) must be intended to either: (a) facilitate instruction; (b) improve the efficiency or accuracy of day-to-day administrative tasks or responsibilities; or (c)support decision making on the selection, implementation, or evaluation of interventions including practices, programs, or policies.

Additional Specifications

· Products can be for use at any level from prekindergarten to Grade 16, or for adult education. Products for adult education programs must address basic or secondary reading, writing, or mathematics skills, or other skills needed for an occupational certificate or degree.

· Products for student learning may be for use in schools or remote settings to replace, supplement, or enable the delivery of curricula or instruction OR to facilitate out-of-school learning opportunities (e.g., after-school or summer programs, distance learning programs, on-line programs, enrichment programs, self-directed learning).

· Products focusing on engaging parents or caregivers are permitted for children and students in pre-K to grade 12, provided the intended outcomes for the product are intended to support student learning or promote relevant outcomes listed in the in the paragraph above on products for student use.

For more information on some of the topic areas that are specified in this solicitation, view the National Center for Education Research topic pages by clicking here.

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

Special education technology products must be designed for use by or with individuals (i.e., infants, toddlers, or learners) with or at risk for disabilities in early intervention, preK-12, or postsecondary settings where educational or related services are provided to improve outcomes in one of more of the following areas: Developmental outcomes for young children pertaining to cognitive, communicative, linguistic, social, emotional, adaptive, functional, or physical development; School readiness, including pre-reading, language, vocabulary, early-STEM (science, technology, engineering, and/or mathematics); Reading, writing, language development; STEM including computer science, coding, web design, other digital competency skills aligned with industry standards and professional certifications; Social studies; Technical or vocational skills to increase career readiness; English language learning; Social, emotional, and behavioral competence; General study skills; Functional outcomes that support learning; Transition outcomes for employment, independent living, and postsecondary education for secondary learners with disabilities; Postsecondary outcomes, including: access to, persistence in, progress through, and completion of postsecondary programs that lead to occupational certificates, associate’s, or bachelor’s degrees; learning, achievement, and higher-order thinking in postsecondary courses; and employment and earnings outcomes such as hours of employment, job stability, wages, and benefits.

All proposals must include measures of learner outcomes.

Special education technology products for use by educators or other service delivery providers in early intervention or special education must be intended for one or more of the following purposes:

(a) To facilitate instruction or service provision, such as activities for learners in the classroom or for use in remote settings, in the outcome areas described above;

(b) To improve the efficiency or accuracy with which educators or other service providers carry out their administrative responsibilities, including recording and transmitting information to a central database and monitoring progress on Individualized Education Program goals;

(c) To improve the screening and identification of learners with or at risk for disabilities.

(d) To facilitate communication with parents/caregivers to improve or supplement the learning of school material at home.

For early intervention products users may include the following: parents/caregivers, early intervention specialists, educators, school or center-based staff, related services providers such as speech-language pathologists and physical therapists, or other professionals or paraprofessionals who provide services to infants, toddlers, or preschool learners with or at risk for disabilities.

For K-12 special education products users may include educators and school-based service providers such as social workers, school psychologists, speech-language pathologists, behavioral interventionists, and physical therapists as well as parents/caregivers supporting remote learning.

For postsecondary education products, users may include learners, educators and support staff working with them.

Specifications

· Special education technology products may be new technologies, or new versions to enhance existing technologies specifically to support outcomes for or enable access by infants, toddlers, or learners with or at risk for disabilities.

· Products may be, but are not limited to, those that provide instruction or intervention, replace existing curricula, supplement existing curricula, provide access to the curricula, or assess learning to inform instruction or service provision.

· Products may be, but are not limited to, those that improve learning at home by improving communication between parents/caregivers and educators and related services providers.

· Products may be, but are not limited to, the following forms: web or mobile-based products or games that promote personalized or individualized learning and/or access to curricula, such as intelligent tutors, formative assessment tools and adaptive engines that scaffold learning; multi-media products such as videos and simulations; products that incorporate emerging forms of technology such as virtual reality or wearables (including smart glasses and activity trackers); web or mobile-based professional development resources; or products to support and improve the efficient and effective implementation of already existing technology products within standard instructional practice.

Definitions

· Priority Area 2 is restricted to R/R&D for products designed to support improved outcomes for infants, toddlers, or students with disabilities or at risk for disabilities. For the purpose of The Department’s R/R&D programs, a student with a disability is defined in Public Law 108-446, the Individuals with Disabilities Education Improvement Act of 2004 (IDEA), as a child ― "(i) with mental retardation, hearing impairments (including deafness), speech or language impairments, visual impairments (including blindness), serious emotional disturbance (referred to in this title as 'emotional disturbance'), orthopedic impairments, autism, traumatic brain injury, other health impairments, or specific learning disabilities; and (ii) who, by reason thereof, needs special education and related services" (Part A, Sec. 602).

· An infant or toddler with a disability is defined in IDEA as, ― "an individual under 3 years of age who needs early intervention services because the individual (i) is experiencing developmental delays, as measured by appropriate diagnostic instruments and procedures in 1 or more of the areas of cognitive development, physical development, communication development, social or emotional development, and adaptive development; or (ii) has a diagnosed physical or mental condition that has a high probability of resulting in developmental delay" (Part C, Sec. 632).

· Offerors proposing to study learners at risk for disabilities should present research-based evidence of an association between risk factors in their proposed sample and the potential identification of disabilities. The determination of risk may include, for example, factors used for moving learners to higher tiers in a multi-tiered systems of support framework. Evidence consisting only of general population characteristics, such as labeling learners as “at risk for disabilities” because they are from low-income families or are English learners, is not sufficient for this purpose.

Intended Use Products should be designed for use in settings where learning takes place. Education for learners with or at risk for disabilities in the U.S. is delivered in a wide range of settings, including homes, natural settings for early childhood special education services, childcare centers, preschools, public and private K-12 schools and alternative schools and settings (such as juvenile justice and residential treatment facilities), and colleges/universities.

High-Incidence Disabilities The Department encourages research on high-incidence disabilities (such as a specific learning disability) and low-incidence disabilities (such as visual impairments).

For more information on some of the topic areas that are specified in this solicitation in special education, view the National Center for Special Education Research topic pages by clicking here.

III. PROPOSAL CONTENTS (SECTIONS A - J)

Content and Formatting Requirements To ensure that the text of the proposal is organized 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 below page, font size, and format specifications for Section III. PROPOSAL CONTENTS (A – J)

· 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.

· 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.

· 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. 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.

· Figures, charts, graphs, tables, or screen shots (outside of what is requested in other sections) must be included in the 10-page section in SECTION B. PROJECT NARRATIVE.

· Proposals may not be resubmitted with or without revision under this program solicitation after the submission deadline.

SECTION A. COVER PAGES

Guidance for “SECTION A. COVER PAGES”

· All of the items in the “SECTION A. COVER PAGES” are required to be inserted as the opening pages of a Phase I proposal. To structure Part I of a proposal, offerors must follow the exact format as the items below.

· Proposals shall not include any other cover pages beyond what is specified below.

· Do not include page numbers on the Cover Pages. Numbering should begin with “1” on the first page of the SECTION B. PROJECT NARRATIVE.

A) Project Title:

B) Name of the Small Business:

C) DUNS:

D) Contact Person: For the representative authorized to represent the small business concern in negotiations, fill in the information below:

i) Contact Name:

ii) Contact Title:

iii) Contact Phone: in format 999-999-9999

iv) Contact Email:

E) Principal Investigator (PI): For the PI, fill in the information below:

i) PI Name:

ii) PI Title:

iii) PI Phone: in format 999-999-9999

iv) PI Email:

F) HUBZone-owned SBC Certification:

Does the offeror qualify as a HUBZone-owned SBC and meet the definition as stated in this solicitation? Enter YES or NO The website listed below contains information about the SBA’s HUBZone program: http://www.sba.gov/hubzone/

G) Woman-owned SBC Certification:

Does the offeror qualify as a woman-owned SBC and meet the definition as stated in this program solicitation? Enter YES or NO

H) Socially and Economically Disadvantaged SBC Certification:

Does the offeror qualify as a socially and economically disadvantaged SBC and meet the definition as stated in this program solicitation? Enter YES or NO

I) Service-Disabled Veteran Owned Small Business Certification:

Does the offeror qualify as a Service-Disabled Veteran Owned Small Business? Enter YES or NO

J) Small Business Address: For the address of the small business, fill in the information below: (Please do not enter address information in ALL CAPS)

i) Street Address:

ii) Address Line 2: Enter apartment, suite, or floor (optional).

iii) City:

iv) State: Enter the state’s current postal abbreviation designated by the U.S. Postal Service.

The website listed below contains information about postal abbreviations for U.S. states and territories:

https://about.usps.com/who-we-are/postal-history/state-abbreviations.htm

v) ZIP Code (5 digits):

K) Small Business Phone: in format 999-999-9999

L) Company Website URL:

M) For every member of the project team, fill in the below table.

Notes

· At a minimum, each project requires a Principal Investigator and a Data Security Liaison.

· See page 21 and Clause H.13 3452.204-72 for more information on Contractor Security Vetting Processes and the role of the Data Security Liaison. The Data Security Liaison is permitted to serve in more than one role, and other roles can be added as such in the same box.

· As many lines can be added with additional Project Roles as needed.

Principal Investigator (required)

Data Security Liaison (required)

(Add additional lines for more team members)

N) Priority Area (Select only one)

New Education Technology Products Used by Students, or Educators or Administrators (or other School Personnel) or New Education Technology Products Used by Infants, Toddlers, or Students With or At Risk for Disabilities, or Teachers (or other Instructional Personnel, Related Services Providers, or Family Members) in Early Intervention or Special Education Settings

O) 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. (Note: Proposals for projects to continue the development of an existing prototype or product should not be submitted under this solicitation.) (Select only one) for R&D of an entirely new product where no (or very limited) previous technological development work has occurred for R&D to add new and unique component to add to an existing prototype of an education technology product that already exists and is functioning for R&D to add new and unique component to an educational technology product that is already fully developed

P) Video Demonstration in Support of the Proposal (Optional)

Insert a URL to a video demonstration here:

Proposals may include a URL (Uniform Resource Locator) link to a three-minute or less video demonstration.

Specifications

· If a video demo is included, reviewers will view the video as a component of the proposal.

· For proposals to develop a new component to an existing prototype or a fully developed product that already exists and is functioning, offerors are strongly encouraged to include a link to a video demonstration that presents the current version so that a reviewer can fully understand the context for the new component that is being proposed.

· For an entirely new product or where no (or limited) previous technological development work has occurred, offerors are encouraged to provide a video presenting a mockup or plans for the development of the proposed product to give reviewers context for the new innovation being proposed.

· All Video Demonstrations are required to be posted to YouTube (http://www.youtube.com/) prior to the submission deadline, and remain 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.

· 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 on February 1 at 11AM eastern standard time, the video will be deemed ineligible for inclusion in the review process.

· Offerors must ensure that a reviewer will be able to click on a “live” URL to watch the video. URLs that are scanned and not clickable may not be able to be viewed by the reviewers.

Q) Project Abstract:

Describe the new education technology product that would be fully developed if awards were provided in Phase I and II from the ED/IES SBIR program (200 word maximum).

R) Signatures for the Authorized Representative and the Principal Investigator

Provide the authorized signature for the representative authorized to represent the small business concern in negotiations in the below box:

Provide the authorized signature for the Principal Investigator in the below box:

S) SBA Company Registry:

All offerors to the SBIR program are required to register at the SBA Company Registry (http://sbir.gov/registration) prior to proposal submission. Below this paragraph, offerors are required to attach a .pdf FILE of the SBIR.gov SBC Registration Control ID Form as proof of registration in this section of the proposal. Proposals that do not include the .pdf file will be returned without review. See below a picture of a blank SBIR.gov Registration Control ID Form that offerors will complete, save as a .pdf FILE, and include within the proposal.

SECTION B. PROPOSAL NARRATIVE

Guidance for Section B. PROPOSAL NARRATIVE

· All contents that make up “SECTION B. PROPOSAL NARRATIVE” must be ten (10) pages or less. Any content in this section beyond ten (10) pages will not be reviewed.

· Numbering should begin on the first page of the SECTION B. PROJECT NARRATIVE” with “1” in the top right-hand corner.

· Offerors are required to follow the exact format specified in the items below to structure the proposal.

I. SIGNIFICANCE

i. Problem Statement and Best Current Practices Describe the problem in education or special education that the proposed new education technology product is intended to address if fully developed in Phase I and II. Cite the most recent data detailing the scope and nature of the problem to support the significance of proposal.

Describe the most common products or practices that are currently being used in the field in this area. Describe the shortcomings of the current products or practices.

ii. New Product to be Developed if Phase I and II Funds Were Provided Describe the new education technology product that would be fully developed, following completion of the Phase I and Phase II projects. In this description:

· (If applicable) If this project is to develop a new component to be added to an existing prototype that is partially developed or to a product that is already fully developed, provide a concise description of the existing prototype or product first, so that the reviewers understand what is already developed and what will be new.

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

· List and briefly describe the key components of the 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 product would replace, supplement, or be integrated within existing education practice(s). Describe whether the product will be used for formal or informal learning, for in-class or remote learning, or some combination of the above.

· Describe how the product would function and how it would be implemented.

· Indicate the expected cost to schools to purchase the 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 or hypothetical example to further detail the implementation and user experience when engaging with the product.

iii. Prior Existing Products/Prototypes and Research that Relates to the New Product to be Developed Detail prior research, and research and development (R/R&D), conducted by the project team and how this previous R/R&D guides and provides a foundation for the proposed effort.

Specifications:

· For proposals to develop an entirely new education technology product where no (or limited) previous technological development work has occurred, offerors are strongly encouraged to include results from concept testing research in which users (e.g., students, educators, administrators) provide feedback after viewing mock-ups detailing the proposed product and its intended implementation.

· For proposals to develop and add a new component to an existing education technology prototype that is functioning (but not fully developed), 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) must include results from concept testing research in which users provide feedback after viewing mock-ups detailing the new proposed product and its intended implementation.

· For proposals to develop and add a new component to an education technology product that is already fully developed, the offeror (1) must describe the product that currently exists, how the current product is functioning, how many students and schools have used or are currently using the product, 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) must include results from concept testing research where users provide feedback after viewing mock-ups detailing the new proposed product and its intended implementation.

iv. Theoretical and empirical support Explain the underlying theory and provide any data from relevant studies from the extant scientific literature to show that the new education technology product, and its components, can be expected to produce the intended results. Include relevant references to the scientific literature.

v. Potential commercial application (1-page maximum) Describe why the proposed new education technology product will have a competitive advantage in the marketplace relative to other products or practices.

After the new product is fully developed through Phase I and II R/R&D, describe how it will be commercialized (disseminated to potential end-users and revenue strategies to sustain the product over time) in the private sector marketplace. To support this commercialization plan, offerors must indicate how the letters included in SECTION F demonstrate that pathways would be available toward the eventual commercial dissemination and sustainability of the proposed product in the private marketplace.

II. PHASE I WORKPLAN

Note: The purpose of the Phase I project is to develop a new prototype, whether a prototype of an entirely new education technology product or a prototype of a new component to be added to an existing education technology prototype or product.

i. Development of the prototype Briefly describe the new prototype that will be developed and how it will be functioning by the end of the Phase I project.

Describe the R/R&D procedures through which the new prototype will be developed and will be functioning by the end of Phase I.

Offerors should describe the research procedures that will be used to iteratively test and refine the new prototype as development occurs. For this research, offerors should describe how and when data will be collected, the characteristics of the sample participating in the research and the procedures for analyzing data and drawing conclusions from it.

ii. Pilot Research at the End of Phase I After the new prototype is developed near the end of Phase I, offerors should describe the pilot research study that will be conducted to test the usability (or functioning) and initial feasibility of the prototype when it is used by the anticipated end user, and to receive feedback from end users who are presented the plans or mock-ups for the full 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 intended full product concept (initial feasibility). Offerors might also 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.

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 full product to be developed after Phase II could be successfully implemented and that the product could have potential for improving user outcomes?

Sample Characteristics. 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, special educator practitioners, administrators) and the setting (e.g., school, early intervention setting, remote setting) and number of participants 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 or special education setting, should the proposal be awarded. This letter should be no longer than one (1) page, and is to be included in SECTION E.

Instruments. 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.

Procedures. Describe when and how data will be collected to determine 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, discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort. As well, describe any potential problem areas that are anticipated in Phase I and provide alternative strategies that would be considered in such circumstances.

Key Terms for the Phase I Workplan 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).

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 the 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.

III. CITATIONS

All citations should be included on page 11, or the page immediately after the project narrative ends. Offerors are encouraged to use the formatting citation style of the American Psychological Association (APA).

SECTION C. PROJECT TEAM AND COMPANY, RESUMES AND CERTIFICATIONS

i. Project Team and Company In one (1) page (maximum), describe the project team and the roles of the individuals that make up the team. Describe the company and the key partner organizations.

· The project team must demonstrate expertise in all of the following areas: the design and development of education technology products; education theory and practice; education research for the development and evaluation of education technology (including research experience in school settings), and in the commercialization of education or technology-related products. In addition, the team must have expertise in the targeted domain (e.g., special education, English Learning, child development, history).

· NEW in 2022 in the ED/IES SBIR solicitation: The project team is now required to include an individual to act as the “Data Security Liaison” to lead the Contractor Security Vetting Process for each contract (See VII. Contracts and Management Clause H.13 3452.204-72 for more information on Contractor Security Vetting Processes). The Liaison’s role is to support all members of the project team in the contractor security vetting process until completion. The individual who is listed as the Principal Investigator should not also be listed as the Data Security Liaison. The Data Security Liaison can serve in other project roles.

· Advanced R/R&D may require the use of sophisticated instrumentation or computer facilities. If applicable, describe the adequacy of available support, including facilities, equipment, supplies, and other resources, from the proposing firm and from sub-contractors to carry out necessary Phase I R/R&D.

ii. Resumes and Certifications Each key individual on the project team must include a résumé (one (1) page maximum) including relevant educational qualifications, experience, and bibliographic information including pertinent peer-reviewed publications.

· In the resume provided for the principal investigator, describe the expertise, educational qualifications, and experiences that are most relevant to the proposed project. Describe why this individual can manage the proposed project.

On the page following each resume, project team members must provide a Certification by providing the information below:

"I hereby certify that this information is accurate to the best of knowledge and belief."

Individual’s Name (TYPED):

Individuals Email:

Electronic Signature: ___________________________ Date:

Each employee of the offeror with the authority to bind the offeror must certify the following statement by providing the information below:

"I hereby certify that (FILL IN THE COMPANY NAME) has verified the foregoing information that is accurate to the best of our knowledge and belief."

Individual’s Name (TYPED):

Individuals Email:

Electronic Signature: ___________________________ Date:

SECTION D. PHASE I BUDGET

Offerors shall provide a one (1) page (maximum) narrative budget justification and a budget spreadsheet for the Phase I period using the below template.

For the narrative budget justification, the offeror should provide a justification for all pricing associated with the proposed project and describe why the pricing are within the scope of the proposed activities. For the budget spreadsheet:

· information should be displayed in a spreadsheet (SAMPLE BUDGET is below),

· all personnel should be listed by name,

· the number of hours assigned to the project for personnel should be included,

· hourly rates for personnel should be included,

· labor costs per person should be included,

· funds for travel must be justified and related to the needs of the project, and

· cost sharing should not be included.

Note: Use of funds to support a Technical and Business Assistance Plan (TABA) should be justified in a Section I, and not included in the overall budget justification

The Phase I Budget must equal precisely $250,000 total for an 8-month project, including subcontracts, indirect costs, and fees, but excluding any proposed cost sharing. (Other than not exceeding the limit, the price of the proposal is not part of the Evaluation Criteria, therefore there is no advantage to be gained by proposing less than $250,000.)

ED/IES SBIR 2022 Phase I Solicitation While a reasonable fee for profit is technically allowable according to the Small Business Administration and the SBIR Policy Directive, and overhead and fringe are allowable, ED strongly encourages first and foremost that sufficient funds be budgeted to cover all of the necessary costs for R/R&D and commercialization planning to ensure that the project is successful and that the small business is in position to be successful in applying for a Phase II award.

PHASE I BUDGET SPREADSHEET

($250,000 FOR 8 MONTHS)

· Spreadsheet for Phase I (use the template below):

RATE

TOTAL

Labor

Name & Title

Name & Title

Name & Title

Name & Title

Name & Title

Total Direct Cost

Other Direct Costs

Travel

Copy/print/message

Technical Assistance (maximum of $6,500) (See SECTION I)

Consultant

Subcontractors (no more than 33% of the total Phase I price)

Total ODCs

Total Direct Costs

Total Cost

TOTAL PRICE

$250,000

SECTION E: LETTER OF AGREEMENT TO PARTICIPATE IN THE PHASE I R/R&D

In SECTION E, offerors should provide one and only one letter of agreement from a representative of an education or special education setting that will participate in the Phase I research.

Although research is permitted to occur outside of an education or special education setting for products used outside of such settings, a letter from a representative of an education or special education setting is required indicating that research will be conducted under the auspice of their organization.

The letter must not exceed one (1) page in length.

SECTION F: LETTERS OF SUPPORT FOR POTENTIAL PATHWAYS TO COMMERCIALIZE THE PROPOSED PRODUCT (Maximum of 3 Letters for Phase I) In SECTION F, offerors may include up to three (3) letters of support for potential pathways for the eventual commercial dissemination and sustainability of the proposed product. Each letter must not exceed one (1) page in length. Letters must adhere to the requirements as set forth in the solicitation.

· On average in past years, higher scoring proposals included three (3) letters to support potential pathways toward commercialization, and the letters in these proposals often followed the below guidance on what is considered a “strong letter of support.”

· Proposals that included zero (0), one (1), or two (2) letters, and that did not follow the guidance on strong letters of support – were less likely to receive a recommendation to advance for further review during the triage evaluation round of review, or more likely to receive a lower score upon full panel review.

Notes:

· Strong letters (1) state the endorser’s qualifications (e.g., why does this individual/organization have expertise in the area of the proposed product?), (2) briefly speak to the significance of the proposed product in the field of education, (3) refer to plans and pathways that the offeror will pursue to facilitate the wide-scale commercial distribution and sustainability of the product, and (4) may specify future roles or involvement by the endorser or the endorser’s organization with commercialization down the line (e.g., Phase III) should it be successful.

· Letters speaking to potential pathways for commercial dissemination and sustainability may come from individual experts, associations, organizations in the specific field of interest, future potential distribution partners or investors, or from groups of schools or districts who would use or possibly purchase the product if it were commercially available, among others.

· While letters from university professors or individual educators often speak to the significance of an approach, these writers often lack experience with the commercialization process and as a result, such letters often do not provide a viable plan or demonstrate that pathways toward commercialization are available on a wide enough scale.

· As a method to confirm a project team member’s involvement in the project, offerors should not include letters of endorsement from key members of the project team, such as consultants or subcontractors. Confirmation of involvement of members of the project team is to be provided in SECTION D. PROJECT TEAM, COMPANY, RESUMES, & CERTIFICATIONS and can be discussed in terms of how the project is managed.

· Offerors should not include letters from banks or personal lenders as a means to demonstrate the potential availability of Phase III financing.

· Scanned or copied letters of endorsement or emails from endorsers are appropriate for inclusion in the proposal. However, offerors should ensure that all letters of support are legible.

· Letters can be addressed to: “ED/IES SBIR Program Reviewer”

REQUIRED: Financial Connection Disclosure Requirement If the endorser and the offeror are currently or were ever personally related or financially connected (e.g., the endorsing organization invested in the offeror’s company, the endorsing organization was created specifically to commercialize products developed by the offeror, the endorser paid or is paying the offeror for services or products, the offeror is paying the endorser for services), the letter of endorsement is required to include a footnote describing the nature of the relationship. This disclosure is intended to clarify for reviewers the precise nature of the relationship between the endorser and the offeror. Please note: Footnotes are not required in letters where there is no current or prior familial or financial connection between the endorser and offeror.

SECTION G. DOCUMENTATION AND STATUS OF SBIR PHASE I AND II AWARDS SINCE 2010

Small businesses or the principal investigators (when at the small business or previously at a different firm) who have received ANY prior SBIR Phase I or II awards from any Federal agency since 2010 for a project related to topics in this solicitation are required to provide information in this section on those SBIR awards, including:

· Part I: Opening Statement

· Part II: Phase I & II linked awards

· Part III: Phase I awards only

If offerors or the principal Investigator has not received any prior Phase I or II (or Fast-Track) awards related to topics in this solicitation, offerors may include a blank page with the heading “SECTION G: No Prior Phase I or Phase II SBIR awards to report.”

Part I: Opening Statement If a small business or the principal investigator in this proposal has won any SBIR awards (Phase I and/or II) since 2010 for any topic related to the priorities in this solicitation, a table with an opening statement must be provided below.

Opening Statement

· Total number of prior Phase I awards won by the offeror or the Principal Investigator related to topics in this solicitation since 2010:_____

· Total number of prior Phase II awards won by the offeror or the Principal Investigator related to topics in this solicitation since 2010:_____

· Total number of prior Fast Track (Phase I & Phase II awards) won by the offeror or the Principal Investigator related to topics in this solicitation since 2010:_____

· Indicate the total combined dollar amount of all prior Phase I and Phase II awards won by the offeror or the Principal Investigator related to topics in this solicitation since 2010:_____

Provide a succinct statement on the societal impact of all the products that were developed by the offeror or principal investigator with the support of all SBIR projects related to topics in this solicitation since 2010.

Part II. Information on Each Phase I & related Phase II Award Using the template below, provide a separate table for each Phase I and subsequent Phase II SBIR award received by the small business or the principal investigator related to the topics in this solicitation since 2010. Offerors who do not provide complete and accurate information on all applicable prior SBIR awards in the requested format will be rejected without further review. Offerors may expand the sections of the table as much as is needed.

Information on past Phase I and subsequent Phase II projects since 2010

Name of the awarding agency and office:

Title of the project:

Dates of award (start and finish):

Contract/grant number for Phase II:

URL to the project abstracts on the government website for Phase II:

URL to a YouTube Video featuring the product that was developed with SBIR funding, if available:

Total Award Amount (Phase I and II combined):

A short description of the product that was developed as a result of the award:

If it is a web-based product, provide a link to the product (and login information) so that a reviewer can access the product.

Information on the Commercialization of the Product

Detail the number of active current users of the product, including schools, educators, and students (for paid and free):

Detail the number of users of the product during its history, including schools,…