2023.ED.IES.SBIR.QuestionsResponses.91990023R0001.docx

Request for Proposal 91990023R0001 Small Innovation Research Program (SBIR) Phase IA Amendment 0001 Closing Date: March 13, 2023, 11 A.M. EST U.S. Department of Education’s (Department) responses to clarification questions submitted by February 13, 2023.

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

If offeror attempt to submit a proposal to Kristi.rhodes@ed.gov and receive an error message, they must contact Kristi Rhodes (or David.geary@ed.gov ) PRIOR TO THE CLOSING OF THE SOLICITATION during standard business hours (8:00 A.M. ET to 5:00 P.M. ET, Monday through Friday). The solicitation closes promptly at 11:00 A.M. ET, on March 13, 2023. Late proposals will not be accepted.

1. Do we need to do a project pitch and be invited to submit the full proposal?

Response: The ED/IES SBIR program does not include a “project pitch” process before the submission of a proposal.

2. If we can submit directly, please confirm we need to download the document from the link above and fill out all the sections (A to K) in a world document and submit the same with SAM registration.

Response: Offerors can download the solicitation from the SAM.gov website. Offerors can copy sections A to K into a Word document and complete each required section before submission of the proposal.

3. The SBIR Awardee is a Covered Small Business Concern (a Small Business Concern that: (a) 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 an SBIR solicitation; and (b) on the date of the SBIR award, which is made more than 9 months after the closing date of the solicitation, is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms). (Check one box). Does checking “yes” mean that we are not owned by a VCOC but we will be owned by a VCOC in nine months? Does checking “no” mean that we are owned by a VCOC but will not be owned by a VCOC in nine months? If we are not owned by a VCOC and don’t expect to be owned by a VCOC in nine months do we check both “yes” and “no”?

Response: If the vendor is currently or will become owned by VCOC in the future then the vendor should select yes. If the vendor is not/will not become owned by VCOC the vendor should select no.

4. Is there a preproposal required for these, or is the March 13 date the only deadline?

Response: There is no pre-proposal (or letter of intent) under this solicitation. Offerors only are required to submit a proposal prior to the stated submission deadline of March 13, 2023.

5. When summarizing prior research conducted and including URL links (page 16) must the research be specific to the product, or can it be specific to the concept on which the product was based? For example if we have a formative assessment platform does the peer reviewed research need to be specific to our platform or can it be about formative assessment?

Response: Offerors must determine what information is included in a proposal and that would be of relevance to the proposed project.

6. Please confirm that the one-page maximum requirement for individual project team members is 1 page per member and not 1 page in total.

Response: The one-page maximum is per-person.

7. Is the Section K, SBIR Foreign Influence Self-Certification Form (page 41) required of all applicants?

Response: All offerors must provide the information that is requested in Section K for all personnel considered covered individuals.

8. Is the table on page 43 required of all applicants or only those that have concerned individuals and/or any foreign country involvement?

Response: Small businesses that submit a proposal in response to this solicitation must include the information that is requested in Section K for all personnel considered covered individuals.

9. May a small business submit identical or overlapping proposals to NSF SBIR/STTR and another federal agency?

Response: As is indicated in the solicitation, offerors are permitted to submit similar proposals to another federal agency. However, this information must be disclosed within a proposal to ED/IES SBIR in Section H. Further, small businesses are not permitted to accept funding from different agencies to conduct the same work should more than one award be offered.

10. Does a small business have to be invited to apply? Is there a step required prior to submitting a proposal?

Response: The ED/IES SBIR program does not provide invitations to offerors. There is no step prior to the submission of a proposal.

11. If we receive an NSF SBIR/STTR for the same product but with a different R & D goals are we still able to apply?

Response: Proposals in response to 91990023R0001 are intended for the development of a prototype of an entirely new education technology product where no or limited previous research and development has occurred. It would seem unlikely that an offeror that receives another award for R&D of the same new education technology product would be eligible under this solicitation. Although without additional information, it is not possible to address this question.

12. Based on previous contracts and the roles/responsibilities of the position, can the USG provide an estimated number of hours per week the Data Security Liaison may be expected to support during the initial contract phase-in period?

Response: The number of hours per week that a Data Security Liaison will work on an ED/IES SBIR project will vary from project to project and will depend on whether the Data Security Liaison had prior experience and clearance, and the number of personnel requiring clearance and whether personnel have previously been cleared. A general estimate would that a Data Security Liaison would work one to two days per week for eight weeks to complete the Data Security Clearance process for a contract.

13. Is a professor in the U.S. is eligible to hold the grant with a for-profit company as a collaborator?

Response: The awardee is required to be a for-profit small business. Therefore, a professor at a university cannot receive the award if the proposal is submitted by the university. A university professor in the U.S. is permitted to serve as a consultant to the company or an employee of the company if the professor is employed by the company.

14. Is a for-profit company from Canada eligible to apply in collaboration with a professor in the U.S.?

Response: Offerors to ED/IES SBIR are required to be a for-profit business less than 500 employee that is U.S. owned and operated. Therefore, a for-profit company from Canada would not be eligible to submit a proposal.

15. Can I apply for any grant or only for the Small Business Innovation Research grant?

Response: Offerors must refer to the solicitation for the specific requirements for submitting a proposal to the ED/IES SBIR program. Please note that similar proposals cannot be submitted to more than one of the 2023 ED/IES SBIR programs. While similar proposals may be submitted to other agencies, offerors must be disclosed this information in Section H.

16. Under the program umbrella: Small Business Innovation Research, what is considered a product?

Response: The product is the focus of the proposal and includes the education technology and its components and features that an offeror is proposing to develop and evaluate. Offerors can refer to the II. 2023 Priority Area for more information.

17. In regard to the budget, is it possible to list job titles and industry-standard rates as opposed to specific artist names.

Response: A budget can indicate a role to be filled without the name of an individual, however a reviewer may seek to determine if the project personnel are listed in a proposal to make a determination if the research and development that is proposed can be achieved.

18. In the term staffing, are we permitted to work with/subcontract artists outside the US or will we need to ensure all artists are domestic?

Response: All work must be conducted in the United States.

19. Regarding the Technical and Business Assistance Plan (TABA), would web & app development fall under "technical assistance" if web technical development is not a standard studio function? Or would this fall under " Other Direct Cost" Response: Without additional information, it is not possible to provide guidance in response to this question. The offeror must review the guidance provided in Section I and make a determination for what is considered an allowable TABA expense.

20. Please clarify the difference between formal and informal learning, remote learning defined as "at-home learning" or is there a broader definition we should be aware of?

Response: Offerors must specify the intended use and place of delivery for the product being proposed. No additional information can be provided in response to this question beyond what is presented II. 2023 Priority Area and in the rest of the solicitation.

21. Please clarify theoretical and empirical evidence needed. Can you provide examples?

Response: The theoretical framework and empirical evidence provide a rationale or argument for why the proposed product (and its components and features) will be expected to produce the intended outcomes. Offerors should refer to theory and empirical evidence presented in the scientific peer-reviewed literature for a specific topic to support the new project. No examples can be provided.

22. In reference to existing educational tech product in the form section K referring to a website, if the company is already utilizing an employee in another country, could the company continue to use that employee? If yes, then what specific pars in Section K must this person sign in order to meet the requirements of the proposal.

Response: Offerors are permitted to propose personnel that meet the requirements of the program, including that all work under an SBIR contract is conducted by individuals in the United States unless an exemption is provided by the Contracting Officer. Offerors are required to complete the forms in Section K with all requested information for personnel considered covered individuals. No further information can be provided at this time.

23. In order to complete all the sections of this RFP, does the offeror open the Word Document that is downloaded by cut and pasting or dose the offeror insert text, links to videos, charts, etc. in the opened MS Word Document?

Response: Provided that the requirements in the solicitation are met, an offeror can choose the method used to create and format a proposal.

24. Do we apply for 1A or 1B and then Phase 2 or do we apply for 1A and 1B and then phase 2.

Response: Offerors who are award a Phase IA or IB contract in 2023 will be eligible to apply for Phase II in 2024 (provided that the Phase I was successfully completed).

25. Can PI (Co-founder) be an independent contractor or do they have to be W-2 employee?

Response: The PI is required to be an employee of the small business and must work at least 51% of the time for that company during the lifecycle of an SBIR project.

26. What is the reimbursement rate for indirect costs, and can that be negotiated as part of the agreement?

Response: The Phase I awards will be firm-fixed-price for $250,000. Indirect rates will not be negotiated as they will not alter the award amount.

27. If a co-founder will be doing the majority of the work via his consulting firm can he be paid as a sub-contractor?

Response: Small businesses are permitted to subcontract up to a maximum of 1/3 of the total contract price in Phase I.

28. Is it permissible to put the estimated time and rate of the consulting firm or do we have to break it down further by hours/role/compensation?

Response: Subcontracting cost information is included in the budget and offerors can provide information on costs for roles by adding additional lines.

29. Should we set forth the vision we have the entire product in our application for Phase IA or should just focus on the deliverables for Phase 1A?

Response: In the Significance section of a proposal offerors must describe the new product to be developed with Phase I and Phase II funding. In the Phase I Workplan section the offeror must describe the prototype to be developed during the Phase I project.

30. How are the disbursements paid out?

Response: As is detailed in the solicitation, three payments will be made during Phase I, each for one-third of the total contract price of $250,000.

31. How I can get more information about the solicitation and proposal guidelines.

Response: All information is presented in the solicitation. No further response can be provided in response to this question.

32. Under section E, stating where offerors should provide an agreement from a representative of an education setting that will participate in the Phase I pilot research: is an educational institution sufficient to meet this requirement? If not, can a university sufficient to meet this requirement?

Response: The agreement must come from the education setting where the research will take place.

33. Under Section F, stating where offerors provide letters of support for potential pathways to commercialize: can these potential letters be from an affiliated branch of federal government such as a congress women/ man, senator, USAID, Commercial Service Member, member of the regional growth partnership, or other? Can the potential letters be from an international or foreign non-profit or for profit? If so, can a professor with both a background in education, and commercialization within his current non-profit be sufficient for a letter? Do letters submitted need to be of U.S. based citizenship or can they be foreign based citizenship?

Response: The solicitation provides information on the purpose of the letters that can be included in Section F of a proposal. Letters can be included to demonstrate support for potential pathways for the eventual commercial dissemination and sustainability of the proposed product to benefit learners, educators, or administrators in the United States. Beyond what is presented in section F of the solicitation, no additional guidance can be provided on the specific nature of the letters to be included in a proposal.

34. Under Innovations, Inventions, and patents, do we need to submit a patent or are trade secrets okay?

Response: The Department needs more information to help guide this response; however, no patents are required to be submitted. All SBIR proposals are considered trade secrets and are protected from release under the Freedom of Information Act (FOIA).

35. How is disruptiveness of educational technology measured? Can disruptiveness include the wide range of K-12 and adult learners in developing countries?

Response: Offerors to the ED/IES SBIR program should refer to the II. 2023 Priority Area and to the solicitation for information about the focus of a proposal and the goal of the program to support the development of new products to address pressing needs in education.

36. Our device works by using our partner’s content. If selected, would the department of education pertaining to research prefer to select the content partner we use or are we okay to use are current educational partners?

Response: No response can be provided in response to this question. The offeror must determine how to determine a partnership within the proposal.

37. Can pilot research discussed in phase IB be accepted in both domestic and international settings?

Response: All work must be conducted in the United States.

38. For Section A (cover pages), the instructions in the document often mingle and intermix with the content that must be completed. It can be difficult to tell whether to include certain pieces or not. Should we just copy the entirety of pages 9 - 14 (including the instructions) and insert them directly into the proposal?

Response: The offeror must determine how to format the proposal. It would be acceptable to copy the table in Section A and to insert it into a proposal.

39. Throughout the proposal, should we use the same headings and sub-headings that are found in the instructions? For example, Section B is titled “Proposal Narrative”, and has sub-headings “Significance”, and then sub-sub-headings of “Problem Statement” and “New Product to be Developed if Phase I and Phase II Funds Were Provided”. Should we use those exact headings and sub-headings?

Response: Yes, a proposal should use the same headings and sub-headings that are found in the instructions.

40. Are there guidelines for how resumes should be included in the proposal (Section C, part ii)? Should they follow the same formatting guidelines as the rest of the proposal? Should the section be titled “Resumes and Resume Certifications”? Or should each resume simply be inserted as a page following Section C part i (Project Team and Company)?

Response: Offerors must determine how to format resumes that are included in a proposal. The resumes must be included in Section C of the proposal. The Company description should also be included in Section C at the top of the section or where an offeror chooses to include this information.

41. I plan to hire a software engineer to help with the effort in the Phase I, but I don’t know the name of the software engineer that I will hire yet. How should I reference this person in the budget narrative?

Response: While there is no requirement to provide the name of an individual and provide qualifications, offerors are encouraged to provide this information so that the reviewers can decide if project goals can be achieved. In cases where an individual is not named, the proposal can indicate To Be Determined.

42. Is there a deadline to submit my phase 1 proposal, or am I able to submit it within the year or invitation?

Response: The submission deadline is March 13, 2023, at 11AM Eastern Standard Time no exceptions will be made to accept proposals after this date for the FY23 SBIR Phase I cycle. The SBIR programs are offered annually so there will be an opportunity for vendors to apply to the FY24 solicitation once it opens.

43. Where can I read successful SBIR grant applications?

Response: Proposals from past ED/IES SBIR awardees contain proprietary information and are not made available to the public. Potential offerors to the ED/IES SBIR program can review abstracts from all past awards on the ED/IES SBIR website https://ies.ed.gov/sbir/awards.asp

44. Is the website needed?

Response: If an offeror does not have a website the response within the proposal, the response to Cover Page L. can be left blank or the offeror can insert “No website.”

45. If I want to add or change a developer after approval for the project, Could I?

Response: Yes, an awardee can make changes to project personnel.

46. Can I use the application format that's provided as the application form? Or Would you prefer a different format?

Response: A proposal should use the same headings and sub-headings that are found in the instructions.

47. Besides resumes and the SBIR pdf, what other documentation is needed?

Response: The solicitation provides information on the components of the proposal that are required. No further information can be provided in response to this question.

48. Would a Senator or someone from the senator’s education rep work? For letter of support for commercialization.

Response: The solicitation provides information on the purpose of the letters that can be included in Section F of a proposal. Letters can be included to demonstrate support for potential pathways for the eventual commercial dissemination and sustainability of the proposed product to benefit learners, educators, or administrators in the United States. Beyond what is presented in section F of the solicitation, no additional guidance can be provided on the specific nature of the letters to be included in a proposal.

49. Could my application get rejected because of the TA portion? (Using another platform to launch the software) Response: It is assumed the offeror is asking about Technical and Assistance Business Plan (TABA). It is not possible to predetermine a response without viewing the proposal; however, the offeror should not exceed the maximum of $6,500 allowed under Phase I.

50. Can we submit the proposal in any case by March even if we have collected or not the letters?

Response: All proposals that are submitted before the stated deadline will be reviewed. No further information can be provided in response to this question.

51. Can our proposal be to develop and evaluate a prototype of TWO new components to be integrated with an existing education technology prototype or product? Or should we focus on ONE new component only?

Response: Solicitation IA is for the development of entirely new education technology products. It is assumed this question was directed at Solicitation IB, not at IA. In such a case, the offeror must make the determination for what is proposed.

52. Is the exclusive goal of the video demonstration to detail exactly how the product works? Or should we also detail the why / the research behind specific features?

Response: As stated in the Solicitation IA which requests proposals for projects to develop an entirely new product, 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. Offerors can make the determination whether to include other information in the video.

53. Does IES SBIRs work differently in terms of indirect rates for universities? …. The university's overhead is very high but some grants limit this already to even lower or no indirects at all.

Response: See Question 26.

54. Does a non-profit that is not affiliated with a public school district, community college, etc. but has a contract with the State Department of Education to provide adult education services qualify as an "education setting"?

Response: An education setting in the solicitation refers to the location where the research will occur. No further response can be provided in response to this question.

55. If the project has a subaward to oversee another pilot program should the we submit the letter of agreement? Are you able to provide guidance on preparing the agreement?

Response: A proposal submitted to ED/IES SBIR is required to have a letter from education setting that will participate in the research. The letter must refer to the specifics of the proposed SBIR project. No further response can be provided in response to this question.