91990025R0003 SBIR Phase.IB.Final.pdf

U.S. Department of Educa on

Ins tute of Educa on Sciences

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE IB

PROGRAM SOLICITATION FOR FY 2025 REQUEST FOR PROPOSALS

PHASE IB

RFP Number: # 91990025R0003

Issue Date: November 8, 2024

Closing Date: January 8, 2025

11:00 a.m., Eastern Standard Time (EST)

PHASE IB PRIORITY AREA (1)

Developing a New Component to be Integrated with an Exis ng Educa on Technology Prototype or Product for Use by Learners, Educators, or Administrators

2025 Phase IB ED/IES SBIR Solicitation

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I. PHASE IB SOLICITATION OVERVIEW 3

II. PHASE IB SOLICITATION DETAILS 6

III. PROPOSAL CONTENTS (SECTIONS A-N) 11

SECTION A: Cover Pages 12

SECTION B: Project Narra ve (10-pages maximum) 19

SECTION C: Project Team and Company, Résumés, and Cer fica ons 28

SECTION D: Phase IB Budget 31

SECTION E: Le er of Agreement for School Par cipa on in the Phase IB R/R&D (Maximum 1 le er) 35

SECTION F: Le ers of Support for Poten al Pathways to Commercialize the New Proposed Educa on Technology Product (Maximum 3 le ers for Phase IB) 36

SECTION G: Documenta on and Status of SBIR Phase I and Phase II Awards Since 2010 39

SECTION H: Disclosure of Similar or Related Awards or Proposals 43

SECTION I: Technical and Business Assistance Plan (TABA) (Maximum 1 page) 44

SECTION J: Required Cer fica ons to Include in the Proposal 45

SECTION K: Foreign Influence Disclosure and Cer fica on 53

SECTION L: Patent Informa on 61

SECTION M: Foreign Funding Information 62

SECTION N. COVERED INDIVIDUAL AFFILIATIONS 63

IV. INSTRUCTIONS FOR PROPOSAL SUBMISSION 65

V. METHOD OF SELECTION AND EVALUATION CRITERIA 68

VI. ADDITIONAL INFORMATION 73

A. SBIR Program Informa on, Eligibility 73

B. Considera ons for Offerors Who are Awarded Contracts 78

C. Defini ons 89

D. Scien fic and Technical Informa on Sources 93

E. Proposal Checklist 94

F. Naviga ng Solicita ons in SAM.gov 96

VII. Contracts and Acquisi on Management Clause 100

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I. PHASE IB SOLICITATION OVERVIEW

The U.S. Department of Educa on’s (ED) Small Business Innova on Research Program (SBIR), administered by the Ins tute of Educa on Sciences (IES), provides awards for the research and development of new, commercially viable educa on technology products (“products”). The goal of the program is to grow a por olio of research-based products that are widely deployed to address pressing needs across educa on.

Solicita on #91990025R0003 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 exis ng educa on technology prototype or product over a period of nine (9) months. Awardees who successfully complete a Phase IB project under this solicita on will be eligible to submit a proposal in 2026 for a $1,000,000 Phase II award to fully develop the component and the exis ng educa on technology prototype or product over a period of two (2) years and to prepare for commercializa on.

ED/IES SBIR is a highly compe ve program – historically between 5 and 7% of submi ed proposals result in a Phase I award, and about 50% of Phase I awardees receive a Phase II award the following year.

A. ED/IES SBIR: Two Program Tracks

The 2025 ED/IES SBIR program is divided into two tracks, each with its own solicita on.

One solicitation (“Phase IA”) requests proposals for Phase I projects for the development of a prototype of a novel (i.e., first of its kind, not successfully tried before) education technology product for which no or limited previous technological development has occurred. The goal of the Phase IA track is to solicit proposals for ground-breaking high-risk high-reward approaches to solve pressing problems in education. See solicitation# 91990025R0002 for more information on the Phase IA program. The submission date for Phase IA proposals under these solicitations is the same date as under this Phase IB solicitation, January 8, 2025.

The current solicitation (“Phase IB”) requests proposals for Phase I projects for the development of a prototype for a new component (or multiple new components) to be integrated into 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 Sec on II “Phase IB Solicita on Details” for more informa on on the background and specifica ons for this Phase IB track.

ED/IES SBIR an cipates that up to a total of 16 Phase I awards will be made in

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2025 overall, eight under each of its respec ve Phase I solicita ons.

Offerors are not permi ed to submit the same or similar proposals under the 2025 Phase IA, IB, or Direct to Phase II solicita ons. Any duplicate or similar proposals that are submi ed under more than one of these 2025 solicita ons will be rejected without review.

Offerors are permi ed to submit mul ple proposals under either or both solicita ons provided the proposals have different foci.

B. Additional 2025 ED/IES SBIR Solicitation for Direct to Phase II Projects

In addi on to the Phase IA and IB solicita ons, ED/IES SBIR has released a “Direct to Phase II” solicita on #91990025R0004, reques ng proposals for awards of $1,000,000 over a period of 2 years, with a submission date of January 8, 2025, at 11 a.m. EST.

The Direct to Phase II program requests proposals for the development of new educa on technology products to ready exis ng evidence-based innova ons for use at scale.

To be eligible for the Direct to Phase II solicita on, projects are required to adhere to the below specifica ons:

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

• The exis ng evidence-based innova on is required to have originally been conceptualized and developed by an academic researcher while at an academic ins tu on or by a researcher at a non-profit educa on research organiza on.

• Innova ons that were originally conceptualized and with development that was led by a small business or by an entrepreneurial developer outside of an academic ins tu on or at a non-profit educa on research organiza on are not eligible for the Direct to Phase II program. Such projects may be appropriate for submission under ED/IES SBIR’s 2025 Phase IB solicita on #91990025R0003.

• One (or more) of the researchers who originally created and established evidence for the innova on 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.

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• Offerors are not permi ed to submit the same or similar proposals under the 2025 Phase IA, IB, or Direct to Phase II solicita ons. Any duplicate or similar proposals that are submi ed under more than one of these 2025 solicita ons will be rejected without review.

View this page for a link to the 2025 ED/IES SBIR solicita ons on SAM.gov.

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II. PHASE IB SOLICITATION DETAILS

A. Key Dates

November 8, 2024 Solicita on release date.

December 2, 2024 Deadline to submit ques ons in wri ng about this solicita on to Contract Specialist David.Yadeta@ed.gov and Contrac ng Officer Dayna.Myers@ed.gov, is 5 p.m. Eastern Standard Time (EST). All responses will be posted publicly as an amendment on SAM.gov several days a er this date.

Visit the ED/IES SBIR Solicita on Informa on page to view frequently asked ques ons.

January 8, 2025 Proposal submission deadline is 11 a.m. EST. The submission mestamp is logged as the me received, not sent; there will be no excep ons to the deadline.

April 8, 2025 On or before this date, ED will email an official notification to all offerors with reviewer evaluations and list of potential awardees.

(This e-mail will be sent to the identified Project Director listed on the proposal).

April 15, 2025 ED anticipates this as the earliest possible award start date.

B. Phase IA or IB Program Track: Selecting the Correct Solicitation

The informa on 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 #91990025R002 (novel prototype) or Phase IB #91990025R0003 (integra ng a new component with an exis ng prototype/product) solicita ons.

Offerors must determine whether to prepare a proposal under the Phase IA or IB solicita ons. Once the solicita on is open, ED/IES SBIR program officials are unable to provide guidance regarding whether a proposal is a be er fit for the Phase IA or IB track.

Offerors are not permi ed to submit the same or similar proposals under the 2025 Phase IA, IB, or Direct to Phase II solicita ons. Any duplicate or similar proposals that are submi ed under more than one of these 2025 solicita ons will be rejected without review. (Offerors are permi ed to submit mul ple proposals under either or both solicita ons provided the proposals have different foci.)

Proposals under this Phase IB solicitation must be for the development of a prototype

Page | 7 of a new component to be integrated with 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 are added to the previously developed education technology prototype or product.

For the purpose of this solicitation:

an existing prototype includes technology created by the offeror that is currently functioning when used by the intended end-users for testing or research without the assistance of a developer but is not yet ready be delivered as a commercial product in education settings.

o If a prototype is more limited and does not yet function outside of a laboratory setting without the assistance of the developer, the proposed SBIR project may be more appropriate for the Phase IA track. Please view the Phase IA solicitation #91990025R002 for more information.

an existing product includes technology created by the offeror that is functioning when used an end-user without the assistance of a developer and is available for commercial use or ready to be distributed for commercial use in education settings.

(1) New Component to Significantly Improve the Existing Approach

Phase IB proposals are required to be for the development of a new component that is dis nct from the exis ng prototype or product. The project must propose a new technological approach to develop the new component, one that is different from the approach that was used to develop the exis ng prototype or product.

The proposal must convince a reviewer that (a) the new component is dis nct, (b) that the technology approach to develop the new component is new and different from previous approaches, and (c) that a er the Phase IB and Phase II projects are completed the new version of the fully developed educa on technology prototype or product (including the new component) will significantly improve educa on outcomes rela ve to what already exists.

Proposals to develop a component that is a con nua on of, expansion of, or similar to components in the exis ng educa on technology prototype or product are not permi ed.

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The following are examples of proposals that would likely be appropriate for the Phase IB solicitation:

a proposal to develop new Artificial Intelligence (AI) component to be integrated with an existing math fractions game, which at present does not personalize learning for individual students.

a proposal to develop a new virtual reality laboratory component to extend learning opportunities with an existing online science textbook.

a proposal to develop new components including a new user interface and accommodation tools to be integrated with an existing education technology product so that students with or at risk for disabilities can independently access the product without the support of an educator or parent.

The following are examples of proposals that would not be appropriate for the

Phase IB because the component is a con nua on or similar to the exis ng prototype or product:

X a proposal for a project to finish the development of an existing prototype of an AI-based math fractions learning game that was already functioning.

X a proposal for a project to finish the development of the final two chapters of a virtual textbook that already has 6 chapters finished, using the same approach.

X a proposal to expand an existing education technology product that is used by students in grade 1 to 3 to include students in grades 4 and 5, using the same approach.

(2) The Existing Prototype or Product is Required to be Research-Based

Phase IB offerors are required to present findings demonstra ng that the exis ng education technology prototype or product is research-based. The amount and type of research that is required will depend on the stage of a particular project.

For example, projects that are in an earlier stage of development that have only recently developed an initial functioning prototype that was tested in a classroom with students and an educator are required to demonstrate usability and

Page | 9 feasibility, whereas projects that are at a later stage that have already fully developed and commercially launched products are required to demonstrate usability, feasibility, and promise of outcomes or efficacy. See SECTION B. “Project Narra ve” of this solicitation for specific guidance on the prior research that is required for a Phase IB award.

Proposals that do not clearly adhere to the above Phase IB solicitation requirements will likely be triaged and will not proceed to a review by a full panel. (See Section V. “Method of Selection and Evaluation Criteria” for more information on the Triage Round of the review.)

C. Priority Area

Developing a New Component to be Integrated with an Exis ng Educa on Technology Prototype or Product for Use by Learners, Educators, or Administrators

Proposals under the Phase IB solicitation must be for the development of a prototype of a new component to be integrated with an existing education technology prototype or product. The existing prototype or product is required to be research-based (see SECTION B. “Project Narra ve”).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 are integrated with a previously developed education technology prototype or product. The goal of the Phase IB track is to strengthen existing research-based prototypes or products to address pressing problems in education.

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.

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.

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Additional Specifications Products may be for use at any level from prekindergarten to Grade 16, or for adult educa on. Products for adult educa on programs must address basic or secondary reading, wri ng, or mathema cs skills, or other skills needed for an occupa onal cer ficate or degree.

Products for learners may be for use in schools or remote se ngs to replace, supplement, or enable the delivery of curricula or instruc on or to facilitate out-of-school learning opportuni es (e.g., a er-school or summer programs, distance learning programs, on-line programs, enrichment programs, self-directed learning).

Products focusing on education technology products for learners may include elements engaging parents or caregivers for learners in pre-K to grade 12, provided the intended outcomes support learning or promote relevant outcomes listed in the paragraph regarding “products for learner use” above.

Proposals for new components to be added to an exis ng educa on technology prototype or product in other areas not specified above will be considered based on the relevance and significance of the need in education.

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III. PROPOSAL CONTENTS (SECTIONS A-N)

Content and Forma ng 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 specifica ons for Sec on III. PROPOSAL CONTENTS (A – N) For the purpose of proposals submi ed under this solicita on, a page is 8.5 inches x 11 inches, with 1-inch margins at the top, bo om, and both sides.

Single space text in the project narra ve, including tles, headings, footnotes, quota ons, references, and cap ons, as well as all text in charts, tables, figures, and graphs.

Type must conform to the following requirements:

o The height of the le ers must not be smaller than 12 point using Microso Word.

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

o For propor onal spacing, the average for any representa ve sec on of text should not exceed 15 cpi.

o Type size must yield no more than 6 lines of type within a ver cal 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 par cular word processing/printer combina on.

Figures, charts, graphs, tables, or screen shots (outside of what is requested in other sec ons) must be included within the 10-page limit for “SECTION B. Project Narra ve.”

Offerors are strongly encouraged to follow the outline with the exact sections and headers in the same order as presented in the Technical Narrative Section. Offerors are also advised to adhere to the guidelines for page length for each section.

Proposals may not be resubmi ed with or without revision a er the submission deadline under this program solicita on.

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SECTION A: Cover Pages

SOLICITATION Phase IB: #91990025R0003 A) Cover Page Cer fica on: Offerors are not permi ed to submit the same or similar proposals under the 2025 Phase IA, IB, or Direct to Phase II solicita ons. Any duplicate or similar proposals that are submi ed under more than one of these 2025 solicita ons will be rejected without review.

Offerors are permi ed to submit mul ple proposals under either or both solicita ons provided the proposals have different foci.

Did this offeror submit a similar proposal under either the 2025 ED/IES SBIR Phase IA or Direct to Phase II solicita on?

Choose an item.

B) Phase IB Project Title: Click or tap here to enter text.

C) Unique En ty Iden fier (UEI) as registered on

SAM.gov: SAM.gov | Duns - Sam UEI

Note: the UEI is now required at the time of submission of the proposal. Proposals without a UEI will be rejected without review. If you do not already have a UEI registered on SAM.com please be advised, registration can take several weeks.

Click or tap here to enter text.

D) Name of Small Business to which the UEI is registered

Click or tap here to enter text.

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

Click or tap here to enter text.

Guidance for “SECTION A. COVER PAGES”

• All 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.”

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F) Contact Person: For the representative authorized to represent the small business concern in negotiations, fill in the informa on below:

a. Contact Name:

Click or tap here to enter text.

b. Contact Title: Click or tap here to enter text.

c. Contact Phone (format 555-555-1212) Click or tap here to enter text.

d. Contact Email: Click or tap here to enter text.

G) Project Director: For the Project Director, fill in the informa on below:

a. Project Director Name:

Click or tap here to enter text.

b. Project Director Title: Click or tap here to enter text.

c. Project Director Phone (format 555-555-

1212) Click or tap here to enter text.

d. Project Director Email: Click or tap here to enter text.

H) 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?

The website listed below contains information about the SBA’s HUBZone program:

HUBZone program | U.S. Small Business Administra on

Choose an item.

I) Woman-owned SBC Cer fica on: Does the offeror qualify as a woman- owned SBC and meet the definition as stated in this program solicita on as defined by SBA?

The website listed below contains information about the SBA’s Woman-Owned program:

Women-Owned Small Business Federal Contract program | U.S. Small Business Administra on

Choose an item.

J) Socially and Economically Disadvantaged SBC Certification:

Does the offeror qualify as a socially and economically disadvantaged SBC and meet the defini on as stated in this program solicita on as defined by SBA?

The website listed below contains information about the SBA’s Disadvantaged program:

Small Disadvantaged Business | U.S. Small Business Administra on

Choose an item.

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K) Service-Disabled Veteran Owned Small Business Cer fica on:

Does the offeror qualify as a Service-Disabled Veteran Owned Small Business as defined by SBA?

The website listed below contains information about the SBA’s Veteran program:

Veteran contrac ng assistance programs | U.S.

Small Business Administra on

Choose an item.

L) Small Business Address: For the address of the small business, fill in the information below:

(Please do not enter address informa on in ALL

CAPS)

a. Street Address:

b. Address Line 2: Enter apartment, suite, or floor (op onal).

Click or tap here to enter text.

c. City: Click or tap here to enter text.

d. 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:

USPS State Abbreviations

Click or tap here to enter text.

e. ZIP Code (5 digits) Click or tap here to enter text.

M) Small Business Phone: (format 555-555-1212) Click or tap here to enter text.

N) Company Website URL: Click or tap here to enter text.

O) YouTube Video Demonstra on in Support of the Proposal (Required for Phase IB proposals): Must include a URL (Uniform Resource Locator) link to a three-minute or shorter video demonstra on of the proposed project.

INSERT YouTube URL to video demonstra on here:

Click or tap here to enter text.

Video Demonstration Requirements

• Reviewers will be required to watch and evaluate the video as a component of the proposal.

Videos may be a maximum of 3 minutes. Reviewers will be instructed to stop watching a video at the end of minute 3.

Offerors must ensure that a reviewer will be able to click on a

“live” URL on YouTube to watch the video. URLs that are scanned and not clickable may not be able to be viewed by the reviewers.

• There is no sample of a successful video for the Phase IB program.

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An effec ve video will (1) present the current version of the educa on technology prototype or product and provide a brief use-case, and (2) will describe the new component to be developed in the proposed Phase IB project.

• All video demonstra ons must be posted to YouTube (h p://www.youtube.com/) prior to the submission deadline and must remain available during the 90-day review period following submission. If the video demonstra on is posted on a website other than YouTube, it is possible reviewers will not be able to watch the video. Videos can be posted as “public” or “private,” with private viewers only able to access the video with the URL link.

• 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 8, 2025, at 11 a.m. eastern standard time (EST), the video will be deemed ineligible for inclusion in the review process.

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

• At a minimum, each project must list two team members, including a Project

Director and a Contractor Security Liaison.

• See “Section C. Project Team and Company, Résumés, and Certifications” and the Security Requirements for Contractors Doing Business with the Department of Educa on for more information on contractor security vetting processes and the role of the Contractor Security Liaison.

• Only one individual may 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 may be added in the same box.

• The individual who is listed as the Project Director is not permitted to also be listed as the CSL.

• As many lines as needed may be added, to reflect additional members of the project team and the Project Roles. While there is no requirement for a proposal to list the names or qualifications of a subcontractor organization or individuals in key project roles – providing the names and qualifications of individuals and organizations will assist reviewers in determining if the project personnel have the relevant expertise and appropriate effort to conduct the work proposed.

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• All work must be conducted by individuals who are located within the United States who are either citizens or hold a green card. Individuals who are in the United States without citizenship, visa, or green card, and U.S. citizens working outside the U.S. are not eligible to conduct work on the contract.

• A determination will be made at the beginning of the contract by ED regarding which project teams members will be required to proceed through the data security moderate risk/public trust clearance process (to include non-U.S. citizen waivers as applicable). Project team members who have contact with students (whether in person or through remote interactions) or who have access to data or networks that include personally identifiable information will be required to undergo the data security moderate risk/public trust process prior to initiating such tasks on the contract. Refer to “Section C: Project Team and Company Résumés” for more details.

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)

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Q) Certifications for Phase IB Projects The answer is required to be “Yes” for all four cer fica ons below, otherwise the proposal does not meet the required specifica ons under the Phase IB solicita on.

Yes ☐ No ☐ The proposal is for the development of a new component to be integrated with an exis ng educa on technology prototype or product.

Yes ☐ No ☐ The new component is dis nct from the exis ng educa on technology prototype or product (not a con nua on or expansion of the already-developed components).

Yes ☐ No ☐ The project plans for the technological approach to develop the new component are different than the approach that was used to develop the exis ng prototype or product.

Yes ☐ No ☐ The proposal presents findings from studies demonstra ng that the exis ng educa on technology prototype or product is research-based.

R) Project Abstract:

Describe the exis ng educa on technology prototype or product.

Describe the new component to be developed in the Phase IB project and that will be integrated with the exis ng prototype or product if an award is provided in Phase I and II from the ED/IES SBIR program (200 word maximum).

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S) Signatures for the Authorized Representative and the Project Director

X

Authorized Signature

Provide the authorized signature for the representative authorized to represent the small business concern in negotiations in the above box.

Provide the authorized signature for the Project Director in the above box.

T) SBA Company Registry:

All offerors to the SBIR program are required to register at the SBA Company Registry (h ps://www.sbir.gov/) prior to proposal submission. Offerors are required to a ach a .pdf FILE of the SBIR.gov SBC Registra on Control ID Form as proof of registra on in this sec on 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 Registra on Control ID Form that offerors will complete, save as a .pdf FILE, and include within the proposal.

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SECTION B: Project Narrative (10-pages maximum)

Guidance for Section B. PROJECT NARRATIVE All contents that make up “SECTION B. Project Narrative” must total ten (10) pages or less. Any content in this section beyond fifteen (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.

1. Significance

A. Problem Statement and Best Current Prac ces (About 1 page is recommended for this sec on)

(1) 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.

B. The New Version of the Educa on Technology Product (About 2 pages are recommended for this section)

(1) The Exis ng Educa on Technology Prototype or Product Briefly describe either the exis ng prototype of the educa on technology product that is func oning when used by end-users but not fully ready to be used commercially in educa on se ngs, or the exis ng educa on technology product that is func oning when used by end-users and is available for commercial use in educa on se ngs.

For proposals to add a new component to an existing prototype, describe: 1) the prototype, 2) how it is functioning when the intended user uses it without the assistance of the developer, and 3) what R&D is needed for the prototype to be ready for commercial use in education settings. Indicate how many

Page | 20 learners, educators, administrators, or schools have used the existing prototype for testing or research purposes.

For proposals to add a new component to an existing product, describe the product and 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.

(2) The New Component to be Added to the Exis ng Prototype of Product

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

(3) The New Version of the Educa on Technology Product if Awards are Made for Phase IB and Phase II 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:

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

o Describe how the new version of the educa on technology product will be intended to func on and how it will be implemented.

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

o Indicate whether the product would replace, supplement, or be integrated within exis ng educa on prac ce(s).

Describe whether the product will be used for formal or

Page | 21 informal learning, for in-class or remote learning, or some combina on of the above.

o Briefly discuss how the product will engage universal design principles and address the needs of all poten al users for which the product is intended. Include whether and how the product addresses accessibility to users with various needs, consistent with new guidance under Title II of the American s with Disabili es Act (ADA) (e.g. a student with visual impairment using a screen reader to access a mobile science app or an administrator who is deaf using closed cap ons to navigate training modules in a web-based con nuing educa on applica on). See relevant resources below.

Fact Sheet: New Rule on the Accessibility of Web Content and Mobile Apps Provided by State and Local Governments | ADA.gov

Federal Register: Nondiscrimina on on the Basis of Disability; Accessibility of Web Informa on and Services of State and Local Government En es o Specify the intended educa on outcomes that are expected to result from the product’s use, including the new component.

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

o Present a concise user case or hypothe cal example to further detail the implementa on and user experience when engaging with the product, emphasizing the value-added by the new component(s) to be developed in Phase IB and in a subsequent Phase II project.

C. Prior Research on the Existing Prototype or Product

(About 1 page is recommended for this sec on)

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(1) For projects at an earlier stage in the development cycle only: For proposals to add a new component to an exis ng prototype that is func oning when used by end users for tes ng or research, offerors must detail prior research on the exis ng 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.

(2) For projects at a later stage in the development cycle only: For proposals to add a new component to an exis ng product that is commercially available or that will be available soon (as opposed to a func oning prototype), offerors must detail prior research on the product’s usability and feasibility (and reliability and validity if applicable to the focus of the product), and empirical findings showing the promise or efficacy of the exis ng product for improving outcomes. Offerors should cite and provide URL links to peer-reviewed publica ons repor ng empirical findings to support the argument that the product is research- or evidence-based.

All Phase IB offerors must also include results from concept tes ng research where users provided feedback a er viewing mock-ups detailing the new proposed educa on technology product (with the new proposed component) and its intended implementa on.

Based on the results from prior research presented above, provide a ra onale for why an award from the ED/IES SBIR program is warranted for addi onal development to create a new component to be integrated with the exis ng prototype or product.

D. Theore cal and empirical support

Describe the underlying theore cal framework and provide any data from relevant studies in the extant scien fic literature to show that the new version of the educa on technology product, and its components, Offerors submitting a proposal in response to the Phase IB solicitation are required to present findings on the existing prototype or product in order to demonstrate that the prototype or product is research-based. In cases where research on the existing prototype or product has not been conducted, offerors are advised to not submit a proposal under this solicitation.

Page | 23 can be expected to produce the intended results. Relevant references to the scien fic literature should be included.

E. Market Compe tors and Poten al Commercial Applica on

Describe the most commonly used products and prac ces that are currently being used in this area of educa on. Describe the shortcomings of the current products or prac ces. Explain why the proposed new version of the educa on technology product will have a compe ve advantage in the marketplace rela ve to other products or prac ces.

Describe the current commercial status of the exis ng prototype or product. For exis ng prototypes, describe when commercial launch is expected to occur. For exis ng products that are commercially available, 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 that are commercialized.

A er the new version of the educa on technology product is fully developed through Phase IB and Phase II R/R&D (including the new component), briefly describe how it will be commercialized (disseminated to poten al end-users and revenue strategies to sustain the product over me) in the private sector marketplace. To support this commercializa on plan, offerors must indicate how the le ers included in “SECTION F. Le ers of Support For Poten al Pathways To Commercialize The New Proposed Educa on Technology Product” establish that pathways would be available toward the eventual commercial dissemina on and sustainability of the proposed product in the private marketplace, highligh ng the importance of the new component.

2. Phase IB Work Plan

The purpose of the Phase IB Work Plan under this solicita on is for offerors to present the plans to develop a prototype of a new component to be integrated with an exis ng educa on technology prototype or product, and to conduct a pilot study of the new component.

Offerors must determine what modifica ons (if any) will be needed to the exis ng 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 exis ng prototype or product to achieve the goals of

Page | 24 the project. However, the primary focus of the R&D effort must remain on crea ng, integra ng, and tes ng the new component.

The technological approach to develop the new component must be different than the approach that was used to develop the exis ng prototype or product. The scope of the overall project must align to the period of the award and the amount of funding provided.

A. 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 and drawing conclusions from the data.

B. Pilot Research at the End of Phase IB (About 2 pages are recommended for this sec on)

Describe the pilot study that will be conducted near the end of the Phase IB funding period, a er the prototype of the new component is developed, func oning, and integrated with the exis ng prototype or product. The pilot study should both (1) test the usability (or func oning) and feasibility of the new component prototype following integra on with the exis ng prototype or product, when it is used by the an cipated end user, and (2) provide results from concept tes ng, in which users provide feedback following a presenta on of the plans or mock-ups for the new version of the educa on technology product that would be developed by the end of Phase II. This pilot test should include hands-on interac on with the prototype by representa ve intended users.

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

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Research ques ons. Pose clear, concise research ques ons. For example:

To test usability: Does the new component prototype func on as intended when integrated with the exis ng prototype or product? Are users able to physically use the new component prototype? Are users able to easily follow the instruc ons 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 exis ng prototype or product? Were educators able to implement the prototype within standard prac ce (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 a tudes about learning in the target area, educators persuaded that a more efficient process is possible)?

Concept tes ng: A er using the new component prototype and seeing plans or mock-ups for the full development of the new educa on technology product (with the new component), do users believe the educa on technology product (with the new component) a er Phase II could be successfully implemented in the intended se ng? Do users believe that the product has the poten al 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

Page | 26 included in “SECTION E. Letter of Agreement for School Participation in the Phase IB R/R&D”.

Instruments. Describe the instruments that will be used to measure usability and initial feasibility of the prototype of the new component, and the integration of the new component with the existing prototype or 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 for the new education technology product (including the new component) that will be ready for commercialization after Phase II. 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, briefly discuss how the Phase IB R/R&D will provide a foundation for the Phase II R/R&D effort. Briefly 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), from a remote setting (e.g., a home), or an out-of-school setting (e.g., summer program).

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

Page | 27 product, the extent to which users believe that the full product (including the new component) 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.

3. CITATIONS

All citations should be included on page 11 (and beyond if needed), 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

Project Team and Company (This sec on 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 the following areas: the design and development of new education technology products; education theory and practice;

education research for the development and evaluation of education technology (including research experience in school settings), and in the commercialization of education technology-related products. In addition, the team must have expertise with the current innovation and in the targeted content domain (e.g., history pedagogy, reading, English Learning, STEM).

One member of the project team must be designated as the “Contractor Security Liaison” (CSL) to lead the Contractor Vetting Security Process for each contract. See the information below and Security Requirements for Contractors Doing Business with the Department of Educa on for more information on contractor security vetting processes and ED information security and privacy requirements.

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

o The CSL’s role is to manage the post-award data security clearance 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 is not permitted to also be listed as the CSL.

o The CSL may serve in other project roles.

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

o The exact number of hours that a CSL 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 months of the Phase IB project. More information about the precise tasks of the role will be provided upon award.

o ED will provide training for the CSL at the beginning of the contract.

o A determination will be made at the beginning of the contract by ED regarding which project teams members will be required to proceed through the data

Page | 29 security moderate risk/public trust clearance process. Project team members who have contact with students (whether in person or through remote interactions) or who have access to data or networks that include personally identifiable information will be required to undergo the data security moderate risk/public trust process prior to initiating such tasks on the contract.

Background investigations are conducted by the Defense

Counterintelligence and Security Agency on behalf of ED in accordance…