91990024R0010-SBIR Phase IA Solicitation_12.19.23.pdf

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

“PHASE IA”

PROGRAM SOLICITATION FOR FY 2024

REQUEST FOR PROPOSALS

RFP Number: #91990024R0010

PRIORITY AREA (1)

Prototypes of New Education Technology Products for Use by Learners, Educators or Administrators (or Other School Personnel)

ISSUE DATE: December 4, 2023

CLOSING DATE: January 18, 2024 11:00 AM, Eastern Standard Time

2024 Phase IA ED/IES SBIR Program Solicitation 2

TABLE OF CONTENTS

Section

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

II. 2024 Priority Area…………………………………………………………………………………….7

III. Proposal Contents (Sections A through M below make up the body of the proposal to be submitted) A. Cover Pages………………………………………………………………………………………..9 B. Project Narrative (10 pages maximum)……………………………………………..15 C. Project Team and Company, Résumés and Certifications………………….20 D. Phase IA Budget…………………………………………………………………………….….22 E. Letter of Agreement for School Participation (Maximum 1 letter)…….25 F. Commercial Pathway Letters (Maximum 3 letters)…………………………...26 G. Documentation And Status Of SBIR Phase I and Phase II Awards Since

2010………………………………………………………………………………………………….28 H. Disclosure of Similar or Related Awards or Proposals………………………..32 I. Technical and Business Assistance Plan (TABA)……………………………….…33 J. Required Certifications to Include in the Proposal……………………………..34 K. Foreign Influence Disclosure and Certification……………….……………………..39 L. Patent Information……………………………………………………………………………….46 M. Foreign Funding Information………………………………………………………………..47

IV. Instructions for Submission…………………………………………………………………….48

V. Method of Selection and Evaluation Criteria…………………………………………..50

VI. Additional Information

A. SBIR Program Information, Eligibility…………………………………………………54 B. Consideration for Offerors Who Win Contracts……………..………………….59 C. Definitions…………………………………………………………………………………………70 D. Scientific and Technical Information Sources…………………………………….74 E. Proposal Checklist……………………………………………………………………………..75

VII. Contracts and Acquisition Management Clauses…………………………………….76

2024 Phase IA ED/IES SBIR Program Solicitation 3

I. SOLICITATION OVERVIEW

The U.S. 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”). The ED’s SBIR program’s goal is to grow a portfolio of products that are widely deployed to address pressing needs across education.

Solicitation #91990024R0010 invites eligible for-profit small business firms and partners to submit “Phase IA” proposals for $250,000 contracts to research and develop a prototype of an entirely new education technology product for which no (or limited) previous development has occurred, over a period of 8 months. Awardees under this solicitation may be eligible to apply for a Phase II award in 2025 to fully develop the new education technology product over a period of 2 years, and to prepare for commercialization.

ED/IES SBIR is a highly competitive program – historically between 5 and 7% of submitted proposals result in a Phase I award, and about 50% of Phase I awardees win a Phase II award the following year.

ED/IES SBIR: Two Program Tracks

The 2024 ED/IES SBIR program is divided into two tracks, each with its own solicitation.

The current solicitation 91990024R0010 (“Phase IA”) requests proposals for Phase I projects for the development of a prototype of an entirely new education technology product. The goal of the Phase IA track is to stimulate novel (i.e., first of its kind) approaches to solve pressing problems in education.

The other solicitation (“Phase IB”) requests proposals for Phase I projects for the development of a prototype of a new component to add to an existing education technology prototype or product. The goal of the Phase IB track is to strengthen existing research-based prototypes or products in addressing pressing problems in education. (See solicitation #91990024R0011 for more information on the Phase IB program.)

ED/IES SBIR anticipates that up to a total of 16 Phase I awards will be made in 2024 overall, eight under each of its respective Phase I solicitations.

https://sam.gov/opp/8237de6465df49629f5f10ebcc34a2aa/view

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Specifications for a Phase IA Proposal

The information presented below is designed to assist an offeror in deciding whether to submit a proposal for an intended project under the purview of the Phase IA (new prototype) or Phase IB (add a new component to an existing prototype/product) solicitation. Offerors are not permitted to submit similar proposals under Phase IA and IB. If multiple proposals are submitted, both will be rejected without review. (Offerors are permitted to submit multiple proposals under either or both solicitations provided the proposals have different foci.)

Proposals under this Phase IA solicitation must be for the development of an entirely new education technology product for which no (or limited) previous technological development has occurred.

For projects to create a new education technology product for which no previous technological development work has ever occurred, the decision to submit a proposal under this Phase IA solicitation to develop a prototype of a new product will be clearcut.

For projects where some limited previous technological development has already occurred, offerors should consider the nature and amount of the prior development in determining the goodness of fit for a proposal under the Phase IA versus Phase IB program tracks.

In general, limited previous technology development may include cases where an early prototype (such as a wireframe or clickable prototype) functions only when handled by a developer in a laboratory setting but not by an end-user in an education setting without developer assistance. In this case, a project to create a functioning prototype of a new version of the education technology product would likely to be appropriate for the Phase IA track. Phase IA would also be appropriate if a prototype was developed that never functioned in or outside of a laboratory setting because the initial technological development failed, and a complete reconceptualization of the technological approach is required.

In cases where a prototype functions when used by end-users outside of a laboratory setting without a developer assistance, but there is a need to develop additional components or update the technology to enhance the prototype’s performance as an education technology product, the project would be a more appropriate fit for the Phase IB track under solicitation #91990024R0011.

https://sam.gov/opp/8237de6465df49629f5f10ebcc34a2aa/view

2024 Phase IA ED/IES SBIR Program Solicitation 5

Additional 2024 ED/IES SBIR Solicitation for Direct to Phase II Projects In addition to the two Phase I solicitations, ED/IES SBIR anticipates releasing a “Direct to Phase II” solicitation #91990024R0012 in January 2024, requesting proposals for awards of $1,000,000 over a period of 2 years, with a submission date 60 days after the solicitation is released.

The Direct to Phase II program requests proposals for the development of new education technology products to ready existing evidence-based innovations for use at scale.

To be eligible for the Direct to Phase II solicitation, projects are required to adhere to the below specifications:

• Projects must focus on readying existing evidence-based innovations for use at scale. Projects that focus on advancing innovations that are not evidence-based are not eligible for the Direct to Phase II program.

• The existing evidence-based innovation is required to have originally been conceptualized and developed by an academic researcher while at an academic institution or by a researcher at a non-profit education research organization. Innovations that were originally conceptualized and developed by a small business or by an entrepreneurial developer outside of an academic institution or at a non-profit education research organization are not eligible for the Phase II program.

• One (or more) of the researchers who originally created and established evidence for the innovation is required to be part of the team in the proposed ED/IES SBIR project, whether as an employee of the small business or as a consultant to the small business that receives the SBIR award.

• Offerors are not permitted to submit similar proposals under either Phase I solicitation and the Direct to Phase II solicitation. In such cases, both or all proposals will be rejected without review.

View this page for information and updates on the timeline for the 2024 Direct to Phase II solicitation.

https://ies.ed.gov/sbir/solicitations.asp

2024 Phase IA ED/IES SBIR Program Solicitation 6

Key Dates

December 4, 2024 Solicitation release date

January 3, 2024 Final day to submit questions in writing about this solicitation to Contract Specialist Andreea.Patterson@ed.gov. Note: All responses will be posted publicly as an amendment on this page several days after this date.

January 18, 2024 Proposal submission deadline is 11AM Eastern Standard Time.

(The time is recorded as the time received not sent, there will be no exceptions to the deadline.)

April 17, 2024 On or before this date, ED will email an official notification to all offerors. (This e-mail will be sent to the identified contact person listed on proposal)

May 1, 2024 ED anticipates this as the earliest possible start date.

mailto:Andreea.Patterson@ed.gov https://sam.gov/opp/c80ca3dcf22a442487cf6b09505d7f5c/view

2024 Phase IA ED/IES SBIR Program Solicitation 7

II. 2024 PRIORITY AREA

A Prototype of a New Education Technology Product for Use by Learners, or Educators or Administrators

Phase IA projects are to develop a prototype of a new education technology product.

New education technology products for learners are intended to improve learning or promote relevant outcomes in one of more of the following areas: early childhood learning and school readiness; English language arts; civics education and social studies;

foreign language or English language learning; STEM (science, technology, engineering [including cyber security], math, and data science); 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 the need in the field of education.

New education technology 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 learners 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 learners in pre-K to grade 12, provided the intended outcomes for the product are to support learning or promote relevant outcomes listed in the paragraph regarding “new education technology products for learners” above.

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III. PROPOSAL CONTENTS (SECTIONS A - J)

Content and Formatting Requirements To ensure that the text of the proposal is well-organized for reviewers 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 project 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:

o The height of the letters must not be smaller than 12 point using Microsoft Word.

o Type density, including characters and spaces, should be no more than 15 characters per inch (cpi).

o For proportional spacing, the average for any representative section of text should not exceed 15 cpi.

o Type size must yield no more than 6 lines of type within a vertical inch.

Standard black type must be used for text.

o 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 within the 10-page limit for “SECTION B. Project Narrative.”

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

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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 IA proposal. To structure Part I of a proposal, offerors must follow the exact format as the items below. Offerors should cut and paste the below table directly into the body of the proposal.

• 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.”

SOLICITATION PHASE IA: #91990024R0010

A) Phase IA Project Title:

B) Name of the Small Business:

C) If applicable, other company names operated under, including DBAs

D) Unique Entity Identifier (UEI) as registered on SAM.com. If you do not already have a UEI registered on SAM.com please be advised, registration can take several weeks.

E) 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:

F) Project Director: For the Project

Director, fill in the information below:

i) Project Director Name:

ii) Project Director Title:

iii) Project Director Phone:

in format 999-999-9999

iv) Project Director Email:

G) HUBZone-owned SBC Certification:

Does the offeror qualify as a HUBZone-owned SBC and meet the definition as

2024 Phase IA ED/IES SBIR Program Solicitation 10 stated in this solicitation as defined by SBA? Enter YES or NO The website listed below contains information about the SBA’s HUBZone program:

http://www.sba.gov/hubzone/

H) Woman-owned SBC Certification:

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

I) 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 as defined by SBA?

Enter YES or NO

J) Service-Disabled Veteran Owned Small Business Certification:

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

K) 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):

http://www.sba.gov/hubzone/ https://about.usps.com/who-we-are/postal-history/state-abbreviations.htm https://about.usps.com/who-we-are/postal-history/state-abbreviations.htm

2024 Phase IA ED/IES SBIR Program Solicitation 11

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

M) Company Website URL:

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

• At a minimum, each project should identify a Project Director and a

Contractor Security Liaison.

• See “Section C. Project Team And Company, Resumes And Certifications” and the “Contractor Vetting Security Requirements” section of the Security Requirements for Contractors Doing Business with the Department of Education for more information on Contractor Security Vetting Processes and the role of the Contractor Security Liaison.

• Only one individual can serve as the Project Director. Co-Project Directors are not permitted.

• The Contractor Security Liaison is permitted to serve in more than one role, and other roles can be added in the same box. The ED/IES SBIR program strongly recommends that the Project Director or other key personnel do not serve in the role of the Contractor Security Liaison in addition to the assigned activities during the contract. Please see “Section C. PROJECT TEAM AND COMPANY, RESUMES AND CERTIFICATIONS” for more information on the role of the Contractor Security Liaison.

• As many lines as needed can be added, to reflect additional Project Roles.

Name Professional Affiliation (list only one affiliation, whether at the small business or another organization, or as an independent consultant)

Project Role Email

Project Director (required)

Contractor Security Liaison (required)

(Add additional lines for more team members) https://www2.ed.gov/fund/contract/about/bsp.html

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O) 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 shorter video demonstration of the proposed project.

Specifications

• If a video demonstration is included, reviewers will view and evaluate the video as a component of the proposal.

• For this Phase IA solicitation which requests proposals for projects to develop prototype of an entirely new product for which 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 must be posted to YouTube (http://www.youtube.com/) prior to the submission deadline and must remain available during the 90-day review period following submission. 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 may not be updated after submission. If the posting date on YouTube for the video is later than the submission date on January 18, 2024, 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.

P) Project Abstract:

Describe the entirely 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).

Q) Signatures for the Authorized Representative and the Project Director http://www.youtube.com/

2024 Phase IA ED/IES SBIR Program Solicitation 13

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

X Authorized Signature

Provide the authorized signature for the Project Director in the below box:

X Authorized Signature

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R) 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. 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 an image of a blank SBIR.gov Registration Control ID Form that offerors will complete, save as a .pdf FILE, and include within the proposal.

http://sbir.gov/registration

2024 Phase IA ED/IES SBIR Program Solicitation 15

SECTION B. PROJECT NARRATIVE

Guidance for Section B. PROJECT NARRATIVE

• All contents that make up “SECTION B. PROJECT 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 (About 1 page is recommended for this section)

Succinctly describe the problem that the proposed new education technology product is intended to address, if fully developed in Phase IA and Phase II projects. Cite the most recent data establishing the scope and nature of the problem, to support the significance of the proposal. Describe why this problem persists.

ii. New Product to be Developed if Phase I and II Funds Were Provided (About 2 pages are recommended for this section)

Describe the new education technology product that would be fully developed, following completion of the Phase IA and Phase II projects. In this description:

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

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

• 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.

• Discuss how the product will engage universal design principles and address the needs of all potential users for which the product is intended.

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

• Indicate the expected cost to schools overall and per student to purchase the product, 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.

2024 Phase IA ED/IES SBIR Program Solicitation 16

• Present a concise user case or hypothetical example to further detail the implementation and user experience when engaging with the product.

iii. Prior Existing Research that Relates to the New Product to be Developed, and any Prior Related R&D (if applicable) (About 1 page is recommended for this section)

• Detail prior research conducted by the project team related to the current project and how this previous research guides and provides a foundation for the new product. Offerors are strongly encouraged to include results from available concept testing research in which users (e.g., learners, educators, administrators) provide feedback after viewing mock-ups detailing the proposed product and its intended implementation.

• If applicable. For projects that propose to develop a prototype of a new education technology product for which some limited previous development has already occurred, describe the initial prototype that was developed and how and under what conditions it functions. Detail research findings that demonstrate the merit of the approach and insights gained which inform the current proposed project and the new technological approach.

iv. Theoretical and empirical support (About 1 page is recommended for this section)

Describe the underlying theoretical framework and provide any data from relevant studies in the extant scientific literature to show that the new education technology product, and its components, can be expected to produce the intended results. Relevant references to the scientific literature should be included.

v. Market Competitors and Potential Commercial Application (About 1 page is recommended for this section)

Describe the most commonly used products and practices that are currently being used in this area of education. Describe the shortcomings of the current products or practices. Explain 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.

Letters of Support for Potential Pathways To Commercialize The Proposed Product” (described below) establish that pathways would be available toward the eventual commercial dissemination and sustainability of the proposed product in the private marketplace.

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II. PHASE I WORKPLAN

The purpose of the Phase I project is to develop a functioning prototype (or initial version) of an entirely new education technology product, and to conduct a pilot study to test the prototype with end users. Offerors must indicate the appropriate focus and scope of the prototype to be developed, identifying the part of the project that is most important to develop and evaluate in Phase I, as a proof of concept to demonstrate that the full-scale development is viable and warranted in Phase II.

i. Development of the prototype (About 2 pages are recommended for this section)

Describe the initial prototype of the new education technology product that will be developed in Phase I 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. The development plan should include a description of 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.

Offerors may also conduct a think-aloud study to inform refinements to the new prototype, 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.

ii. Pilot Research at the End of Phase I (About 2 pages are recommended for this section)

Describe the pilot study that will be conducted near the end of the Phase I period, after the prototype is developed and functioning. The pilot study should both (1) test the usability (or functioning) and feasibility of the prototype when it is used by the anticipated end user, and (2) provide results from concept testing, in which users provide feedback following a presentation of the plans or mock-ups for the new education technology product that would be developed by the end of Phase II. This pilot test should include hands-on interaction with the prototype by representative intended users.

When describing the pilot study, offerors should include the following details:

Research questions. Pose clear, concise research questions. For example:

To test usability: Does the prototype function as intended? Are users able to physically use the prototype? Are users able to easily follow the instructions to

2024 Phase IA ED/IES SBIR Program Solicitation 18 learn to use the prototype? Does the prototype generate and present data to the end-user as intended?

To test feasibility of the prototype: Are users engaged while using the prototype?

Were educators able to implement the prototype within standard practice (or a simulated version thereof) as intended by the developer? Do users report that the prototype showed promise for leading to the intended outcomes (e.g., improved student learning from pre- to post-test, improved student attitudes about learning in the target area, educators persuaded that a more efficient process is possible)?

Concept testing: After using the prototype and seeing plans or mock-ups for the full development of the new education technology product, do users believe the fully-developed product (after Phase II) could be successfully implemented in the intended setting? Do users believe that the product has the potential to improve user outcomes if implemented as envisioned? Do users have feedback for improving or changing the prototype or the concept during subsequent product development?

Sample. Phase I studies should include a small sample of individuals who resemble the intended user population. For these studies, describe the population (e.g., learners, educators, administrators) and the setting (e.g., school, early intervention setting, remote setting) for the studies to inform iterative refinements to the prototype and to test the feasibility and usability of the prototype at the end of Phase I. Provide information on the number and demographic characteristics of the participants who will participate in research. Wherever appropriate, offerors are encouraged to include underserved learners in their samples. 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 “SECTION E. Letter Of Agreement To Participate In The Phase Ia R/R&D” (see below).

Instruments. Describe the instruments that will be used to measure usability and feasibility of the prototype as well as concept testing of the fully-developed product.

Include information on reliability and validity of the instruments that will be employed, if available.

Procedures. Describe how and when data will be collected to determine usability and feasibility, and to conduct concept testing of the fully-developed product. 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.

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Foundations for Phase II. In concluding this section, discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort. Describe any potential problem areas that are anticipated in Phase I and provide alternative strategies that would be considered in such circumstances to address these problems.

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 of the Prototype: The extent to which the prototype developed during Phase I functions as intended, can collect data or generate results as intended, can be understood and/or easily used and learned by the intended user, and functions effectively and efficiently.

Feasibility of the Prototype: The extent to which the prototype can be used in the intended education setting for pilot testing within the requirements and constraints;

evidence that users are engaged while using the prototype, that the prototype can be used as a standard education practice for formal or informal learning, instruction, or administration, and that the prototype shows promise for improving outcomes of interest.

Concept Testing the Full Product Concept: After using a prototype and seeing mock-ups or plans for the full concept of the completely new education technology product, the extent to which users believe that the full product would be a good fit to replace or supplement currently utilized content, could be implemented within the requirements and constraints of the targeted education setting, would engage learners or would be a product educators would want to use, and would be likely to improve the outcomes of interest for end-users.

Fidelity of Implementation: The extent to which the prototype is able to be delivered and used 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 following the project narrative. Offerors are encouraged to use the formatting citation style of the American Psychological Association (APA).

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SECTION C. PROJECT TEAM AND COMPANY, RÉSUMÉS AND CERTIFICATIONS

i. Project Team and Company (This section should be a maximum of 1 page)

Describe the company and key partner organizations. Provide an overview of the project team and the roles of the individuals that make up the team.

• 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 the commercialization of education or technology-related products. In addition, the team must have expertise in the targeted domain (e.g., reading, English Learning, STEM, history).

• One member of the project team must be designated as the “Contractor Security Liaison” to lead the Contractor Security Vetting Process for each contract. See the information below and the “Contractor Vetting Security Requirements” section of the Security Requirements for Contractors Doing Business with the Department of Education for more information on Contractor Security Vetting Processes.

o The Contractor Security Liaison may be an employee at the company or may be a consultant from outside of the company.

o The Liaison’s role is to manage the post-award data security moderate risk/public trust process and support all members of the project team in the contractor security vetting process until completion.

o The individual who is listed as the Project Director should not also be listed as the Contractor Security Liaison.

o The Contractor Security Liaison may serve in other project roles.

o The individual who is assigned to be the Contractor Security Liaison should possess strong administrative skills and attention to detail, to ensure compliance with data security requirements.

o The exact number hours that a Contractor Security Liaison will work on an ED/IES SBIR contract can vary from project to project and depends on many factors including the number of personnel involved. At a minimum, the role will require daily administrative work for several weeks of the Phase I project. More information about the precise tasks of the role will be provided upon award.

o ED will provide a training for the Contractor Security Liaison at the beginning of the contract.

o A determination will be made at the beginning of the contract by ED identifying the project teams members that will be required to proceed through the data security moderate risk/public trust process. Project team members that have contact with students (whether in person or through remote interactions) or who have access to data or networks

2024 Phase IA ED/IES SBIR Program Solicitation 21 that include personally identifiable information will be required to undergo the data security moderate risk/public trust process.

o Offerors may determine how to structure the role of the Contractor Security Liaison in the project budget.

• 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. Résumés and Résumé Certifications Each key individual on the project team must include a résumé (one (1) page maximum) including educational qualifications, experience, and bibliographic information most relevant to the project activities, including pertinent peer-reviewed publications where relevant.

• In the Project Director’s résumé, describe the expertise, educational qualifications, and experiences that are most relevant to the proposed project and address why this individual is well-qualified to manage the proposed project.

On the page following each résumé, 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):

Individual’s 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):

Individual’s Email:

Electronic Signature: ___________________________

Date:

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SECTION D. PHASE I BUDGET

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

For the narrative budget justification, the offeror should provide a justification for all pricing associated with the proposed project and describe why the pricing is 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,

• for offerors who do not have an in-house Institutional Review Board (IRB), funds must be allocated to support a third-party review of human subjects’ involvement in the pilot study (see the IRB section for more information), and

• cost sharing should not be included.

Use of funds to support a Technical and Business Assistance Plan (TABA) should be justified in “SECTION I. Technical and Assistance Business Plan (TABA),” and not included in the overall budget justification. However, these funds should be included in the $250,000 budget total and should not be considered additional funding.

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 total budget of the proposal is not part of the Evaluation Criteria, therefore there is no advantage to be gained by proposing less than $250,000.)

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.

2024 Phase IA ED/IES SBIR Program Solicitation 23

PHASE IA BUDGET NARRATIVE AND SPREADSHEET

($250,000 FOR 8 MONTHS)

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

Price Category HOURS RATE TOTAL Labor Name & Title X $ $ Name & Title X $ $ Name & Title X $ $ Name & Title X $ $ Name & Title X $ $

Labor Overhead Rate % $

Fringe Benefits % $

Total Direct Cost $

Other Direct Costs Travel $

Copy/print/message $

Costs for Institutional Review Board (IRB) $

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

Consultant $

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

Total Other Direct Costs $

Total Direct Costs $

G&A Rate % $

Total Cost $

Profit Rate % $

TOTAL PRICE $250,000

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• Budget Narrative (1-page maximum)

As noted above, offerors must provide a justification for all pricing associated with the proposed project and describe why the pricing is within the scope of the proposed activities.

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

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

Although research is permitted to occur outside of an education setting for products to be used outside of such settings, a letter from a representative of an 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.

2024 Phase IA ED/IES SBIR Program Solicitation 26

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 new education technology product. Each letter must not exceed one (1) page in length. Letters must adhere to the requirements as set forth in the solicitation. Historically, the highest scoring proposals have tended to include three (3) letters indicating a clear interest in supporting the product's commercial success and offering a concrete mechanism of support (e.g., investment, adoption, licensing).

Recommendations for Strong Letters of Support:

• Strong letters (1) state the endorser’s qualifications (e.g., what expertise does this individual/organization have 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 in commercialization for the product under development 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.

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

• Offerors should not include letters of endorsement from key members of the project team, such as consultants or subcontractors as a method to confirm a project team member’s involvement in the project. Confirmation of involvement of members of the project team is to be provided in “SECTION C. Project Team, Company, Résumés, & 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”

2024 Phase IA ED/IES SBIR Program Solicitation 27

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. Footnotes are not required in letters where there is no current or prior familial or financial connection between the endorser and offeror.

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

Small businesses and Project Directors (when at the small business or previously at a different firm) who have received ANY prior SBIR Phase I or II awards from any U.S. 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 Project Director has not received any prior Phase I, Direct to Phase II, or Phase II (or Fast-Track) awards related to topics in this solicitation, offerors may include an otherwise 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 Project Director in this proposal has won any SBIR awards (Phase I and/or II) from any U.S. Federal agency 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 Project Director related to topics in this solicitation since 2010:_____

• Total number of prior Phase II awards won by the offeror or the Project Director 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 Project Director 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 Project Director related to topics in this solicitation since 2010:_____

Provide a succinct statement on the societal impact of each of the products that were developed by the offeror or Project Director 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 Project Director related to the topics in this

2024 Phase IA ED/IES SBIR Program Solicitation 29 solicitation since 2010, if applicable. Phase I awards that were not followed by a Phase II award for the same product should be reported in Part III below. 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 needed to provide complete responses.

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, educators, and students (paid and free):

Detail the distribution pathways through which the product has been made available to end users:

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Provide the total revenue ($) generated from the sale of the product in the past year and overall in its history:

Provide information on any follow-on funding agreements or outside investments for commercialization, including dollar ($) amounts and the sources of the funding:

Other Relevant Information:

List any industry awards won by the product:

List and provide the URL to published peer-reviewed journal publications…