91990024R0011-SBIR Phase IB Solicitation (Word Version)_12.19.23.docx

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM “PHASE IB”

PROGRAM SOLICITATION FOR FY 2024 REQUEST FOR PROPOSALS

RFP Number: #91990024R0011

PRIORITY AREA (1)

Adding a Component to Create a New Version of an Existing Education Technology Product for Use by Learners, Educators, or Administrators

ISSUE DATE: December 4, 2023 CLOSING DATE: January 18, 2024 11:00 AM, Eastern Standard Time

2024 Phase IB ED/IES SBIR Program Solicitation 10

Section

TABLE OF CONTENTS

Page

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

Additional Information

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

Solicitation #91990024R0011 invites eligible for-profit small business firms and partners to submit “Phase IB” proposals for $250,000 contracts to develop and evaluate a prototype of a new component to be integrated with an existing education technology prototype or product over a period of 8 months. Awardees under this solicitation will be eligible to apply for a Phase II award in 2025 to fully develop the component and the existing education technology prototype or 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.

· One solicitation (“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 (e.g., first of its kind) approaches to solve pressing problems in education. (See solicitation #91990024R0010 for more information on the Phase IA program.)

· The current solicitation #91990024R0011 (“Phase IB”) requests proposals for Phase I projects for the development of a prototype of a new component (or multiple new components) to be integrated with 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.

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.

Specifications for a Phase IB 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 IB solicitation must be for the development of a prototype of a new component to be added to or integrated within an existing education technology prototype or product. By the end of the Phase I and II projects, a new version of the education technology product will consist of one or more new components that integrate with a previously developed education technology prototype or product.

For the purpose of this solicitation:

· an existing prototype includes technologies that are currently functioning when used by the intended end-users without the assistance of a developer, but are not yet ready to be delivered as a commercial product in education settings. (If a prototype is more limited and does not yet function when used outside of a laboratory without the assistance of the developer, the proposed SBIR project may be more appropriate for the Phase IA track. Please view solicitation #91990024R0010 for more information.)

· an existing product includes technologies that are fully developed and being distributed (or ready to be distributed) on a commercial basis in education settings.

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 prototype of a math fractions learning game that is functioning when used by learners would not be allowable – whereas a proposal to develop new Artificial Intelligence (AI)-based functionality that automatically adjusts the content to the skill level of a learner progressing in the math fractions game would be acceptable if prior development on that AI prototype had not occurred.

Proposals that involve development of a completely new prototype or product that is not associated with an existing prototype or product would not be eligible for this solicitation but may be appropriate for solicitation #91990024R0010 as a Phase IA proposal.

In deciding whether to prepare a proposal for submission under the Phase IA or Phase IB solicitations, developers who have conducted limited technology development on a new concept must consider the nature and amount of the prior development that has occurred. A prototype that is functioning when used by end-users without the assistance of a developer but warrants development of additional components is an appropriate fit for the current solicitation. If a developer has created an early prototype that functions on a limited basis when used by the developer in the laboratory but does not yet function when used by an intended end user, solicitation #91990024R0010 may be a more appropriate fit.

Additional 2024 ED/IES SBIR Solicitation for Direct to Phase II Projects In addition to the two Phase I solicitations, ED/IES SBIR anticipates the release of 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 both a 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 Direct to Phase II solicitation.

Key Dates

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

listed on proposal)

II. 2024 PRIORITY AREA

Adding a New Component to an Existing Education Technology Prototype or Product to Create a New Education Technology Product for Use by Learners, Educators, or Administrators Proposals under this Phase IB solicitation must be for the development of a prototype of a new component to be added to or integrated within an existing education technology prototype or product. By the end of the Phase I and II projects, a new version of the education technology product will consist of one or more new components that integrate with a previously developed education technology prototype or product.

Products for learner use 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.

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.

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

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

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 IB 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 IB: #91990024R0011

A) Phase IB 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 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 by 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):

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 Director 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.

independent consultant)

Project Director (required)

Contractor Security Liaison (required)

(Add additional lines for more team members)

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.

· Offerors under this Phase IB solicitation are strongly encouraged to include a link to a video demonstration that presents the current version of the education technology prototype or product so that a reviewer can fully understand the context for the new component that is 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 new version of the education technology product that would be fully developed (highlighting the additional of the proposed new component) 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

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

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.

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 in education that the proposed new version of the education technology product (including the new component) is intended to address, if fully developed in Phase IB and Phase II projects. Cite the most recent data establishing the scope and nature of the problem, to support the significance of adding a new component to the existing education technology product. Describe why this problem persists.

ii. New Version of an Education Technology Product (including the new Component) to be Developed if Phase IB and II Funds Were Provided (About 2 pages are recommended for this section)

Describe the new version of the education technology product (including the new component) that would be fully developed, following completion of the Phase IB and Phase II projects. In this description:

· Describe the existing prototype of the education technology product that is functioning but not fully developed, or the existing education technology product that is already fully developed and is being used in schools

· For proposals to add a new component to an existing prototype, describe the prototype, how it is functioning when the intended user uses it without the assistance of the developer, and what R&D is needed for the prototype to be ready for commercial use in education settings. (Also if applicable because the prototype is available on a commercial basis, indicate how many learners, educators, administrators, or schools are using the prototype.)

· For proposals to add a new component to an existing product, describe the product, how it is functioning, and indicate how many learners, educators, administrators, or schools have used and are currently using the product if it has been commercialized.

· List and briefly describe the key components of the product and any additional materials required to support implementation of the new component. 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.

· Describe the new component (or components if more than one) to be developed during the SBIR Phase IB and II projects that will be integrated with the existing prototype or product described above to create a new version of the education technology product. Indicate how the new component will be integrated within the product.

· After Phase IB and II projects are completed, describe how the new version of the education technology product will be intended to function and how it will be implemented. Indicate the hardware on which the 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.

· 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, including the new component.

· Present a concise user case or hypothetical example to further detail the implementation and user experience when engaging with the product, emphasizing the value-added by the new component(s) to be developed in Phase IB and II.

iii. Prior Existing Products/Prototypes and Research that Relates to the New Component to be Developed.

(About 1 page is recommended for this section)

· Detail prior research conducted by the project team on the existing prototype or product and how this previous research guides and provides a foundation for the proposed project to create a new component.

Offerors submitting a proposal in response to this solicitation are required to present findings from research on the existing prototype or product. In cases where research on existing prototypes/products has not been conducted, offerors are advised to not submit a proposal under this solicitation.

For proposals to add a new component to a functioning prototype, offerors must detail prior research on the current prototype’s usability and feasibility (and reliability and validity if applicable to the focus of the project). If available, offerors are also encouraged to present research findings on the promise of the prototype to lead to the intended outcomes when used by end-users.

For proposals to add a new component to an already fully developed product (as opposed to a functional prototype), offerors must detail prior research on the product’s usability and feasibility (and reliability and validity if applicable to the focus of the project), and empirical findings showing the promise or efficacy of the existing product for improving outcomes. Offerors should also cite and provide URL links to peer- reviewed publications reporting empirical findings to support the argument that the product is research or evidence-based.

Offerors must also include results from concept testing research in which users provide feedback after viewing mock-ups detailing the new proposed education technology product (with the new proposed component) and its intended implementation.

Based on the results from prior research presented above, provide a rationale for why an award from the ED/IES SBIR program is warranted for additional development to create a new component to be integrated with the existing prototype or product.

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 version of the education technology product will have a competitive advantage in the marketplace relative to other products or practices.

Describe the current commercial status for the existing prototype or fully developed education technology product. For fully developed products, describe the number of end-users and the pathways that have been used to commercialize the product. Indicate the total revenue from sales of the product.

After the new version of the education technology product is fully developed through Phase IB and Phase II R/R&D (including the new component), 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.

II. PHASE I WORKPLAN

The purpose of the Phase IB project under this solicitation is to develop a prototype of a new component(s) to be integrated with an existing prototype or fully developed education technology product, and to conduct a pilot study of the new component(s).

Offerors must determine what modifications (if any) will be needed to the existing prototype or product in order for the new component to be integrated, and prepare for the pilot study to be conducted with the end-users. Offerors may present plans to further develop and modify the existing prototype or product to achieve the goals of the project. However, the primary focus of the R&D effort must remain on creating, integrating, and testing the new component. The scope of the overall project must align to the period of the award and the amount of funding provided.

i. Development of the Prototype of the New Component (About 2 pages are recommended for this section)

Describe the prototype of the new component (or components) to be developed in Phase IB and integrated with the existing education technology prototype or product. Describe how the component will be functioning by the end of the Phase I project. Indicate what additional R&D and modifications will be needed to prepare the existing protype or product to integrate the new component(s).

Describe the R/R&D procedures through which the prototype of the new component will be developed, will be functioning, and will be successfully integrated with the existing prototype or product by the end of Phase IB. The development plan should include a description of the research procedures that will be used to iteratively test and refine the 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 IB (About 2 pages are recommended for this section)

Describe the pilot study that will be conducted near the end of the Phase IB funding period, after the prototype of the new component is developed, functioning, and integrated with the existing prototype/product. The pilot study should both (1) test the usability (or functioning) and feasibility of the new component prototype following integration with the existing prototype/product, 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 version of the 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 new component prototype function as intended when integrated with the existing prototype/product? Are users able to physically use the new component prototype? Are users able to easily follow the instructions to learn to use the new component prototype? Does the new component prototype generate and present data to the end-user as intended?

To test feasibility of the new component prototype: Are users engaged while using the new component prototype when integrated with the existing prototype/product? 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 shows 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 new component prototype and seeing plans or mock-ups for the full development of the new education technology product (with the new component), 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 component prototype or the concept during subsequent product development?

Sample. Phase IB 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 IB. 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 IB R/R&D” (see below).

Instruments. Describe the instruments that will be used to measure usability and initial feasibility of the prototype of the new component, as well as concept testing of the plans for the new version 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 initial feasibility, and to conduct concept testing of the new version 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.

Foundations for Phase II. In concluding this section, discuss how the Phase IB 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 IB and provide alternative strategies that would be considered in such circumstances to address these problems.

Key Terms for the Phase IB 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).

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 the 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.

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

· 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.

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

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

· 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.

· 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.

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

· 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 withs to students (whether in person or through remote interactions) or who have access to data or networks with personally identifiable information will be required to undergo data security moderate risk/public trust process.

· 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:

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 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.

PHASE IB BUDGET NARRATIVE AND SPREADSHEET ($250,000 FOR 8 MONTHS)

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

Price Category

Labor

Name & Title

Name & Title

Name & Title

Name & Title

Name & Title

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

Total Cost

TOTAL PRICE

$250,000

2024 Phase IB ED/IES SBIR Program Solicitation 25

· 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.

SECTION E: LETTER OF AGREEMENT TO PARTICIPATE IN THE PHASE IB 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 I 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.

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. 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 for Commercial Pathways: Letters included in a Phase IB proposal should detail current commercialization pathways that are already utilized to disseminate the existing prototype or fully developed product and to generate revenue to sustain the prototype or product. Letters can also reference how the addition of a new component to the existing prototype or product will strengthen the commercialization potential of the new version of the education technology product to be developed in Phase I and II.

· 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 current commercialization trajectory for the existing prototype or product and additional plans and pathways that the offeror will pursue to facilitate an even wider-scale commercial distribution and sustainability of the new version of the education technology product, and (4) may specify current roles that the endorser organization plays in commercialization or 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 existing or potential future 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 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” 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.

SECTION G. DOCUMENTATION AND STATUS OF SBIR PHASE I AND PHASE II AWARDS SINCE 2010 Small businesses and Project Directors (when at the small business or…