IES FastTrack SBIR RFP 2009.doc

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IES SBIR 2009 FAST-TRACK RFP

U.S. Department of Education

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

FAST-TRACK (PHASE I & II)

REQUEST FOR PROPOSALS

RFP Number: ED-IES-09-R-0004 Institute of Education Sciences Priority 1: Education Technology Products for Students

Priority 2: Education Technology Products for Teachers

Priority 3: Education Technology Products for School Administrators

ISSUE DATE: December 9, 2008

CLOSING DATE: January 22, 2009

12:00PM Eastern Standard Time

FAST-TRACK TABLE OF CONTENTS

Top Section

Page

1. Program Overview ……………………………………………………...2

2. Agency Contact…………………………………………………………6

3. Definitions………………………………………………………………7

4. Contract Proposal Preparation Instructions and Requirements…………12

5. Method of Selection and Evaluation Criteria…………………………..

6. Considerations………………………………………………………….

7. Proposal Submittal Information………………………………………..

8. 2009 Priorities..…………………………………………………………37

9. Scientific and Technical Information Sources………………………….

10. Fast-Track Proposal Package Checklist………………………………...39

Appendix A (Letter of Agreement for Participation - Maximum 1 letter)………….40

Appendix B (Biographical Summary Certification Pages)…………………………41

Appendix C (Documentation of Previous Phase II awards)………………………..42

Appendix D (Phase I Budget & Phase II Budget) …………………………………43

Appendix E (Human Subjects Information)………………………………………. 44

Appendix F (ED Required Information)……………………………………………45

Appendix G (Letters of Endorsement – Maximum 5 letters)………………………55

U.S. DEPARTMENT OF EDUCATION

INSTITUTE OF EDUCATION SCIENCES

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

FAST-TRACK (PHASE I&II)

REQUEST FOR PROPOSALS

PROGRAM SOLICITATION FOR FY 2009

1. PROGRAM OVERVIEW

A. Introduction

The Department of Education’s (ED) Institute of Education Sciences (Institute) invites qualified small business firms to submit a “Fast-Track” (Phase I & Phase II) proposal under this program solicitation. Firms with strong research or research and development (R/R&D) capabilities in education technology in the priority areas listed within are encouraged to participate. Consultative or other arrangements between such firms and universities or other non‑profit organizations are permitted, but the small business must serve as the contactor.

The purpose of the Small Business Innovation Research (SBIR) program is to stimulate technological innovation in the private sector, strengthen the role of small business in meeting ED research and development needs, increase the commercial potential of ED-supported research results, and improve the return on investment from Federally-funded research for economic and social benefits to the Nation.

B. SBIR Program Description and Award Levels for Fiscal Year 2009

The SBIR program consists of three phases. The following describes these phases, and the current solicitation for submitting a Fast-Track (Phase I & II) proposal in 2009.

Phase I – Phase I is to determine, insofar as possible, the scientific or technical merit of ideas submitted under the SBIR program. The proposal should concentrate on R/R&D that will significantly contribute to proving the feasibility of the technological approach, a prerequisite for further ED support in Phase II. Awards are for periods up to 6 months in amounts up to $100,000.

Phase II – Phase II is to expand on the results of and to further pursue the development of Phase I projects. Phase II is the principal R/R&D effort. It requires a more comprehensive plan, outlining the effort in detail including the commercial potential. Awards are for periods up to 2 years in amounts up to $750,000.

Phase III – In Phase III, the small business uses non-SBIR capital to pursue commercial proposals of the R/R&D. Also, under Phase III, Federal agencies may award non-SBIR follow-on funding for products or processes that meet the needs of those agencies.

Fast-Track – A Fast-Track proposal is a single proposal that contains both Phase I and Phase II activities. Through the Fast-Track (Phase I & II) mechanism, ED intends to fund meritorious proposals that have high potential for the commercialization of technological products that contribute to improved student learning and academic achievement in the field of education. By providing the opportunity to concurrently submit and review a proposal that contains both Phase I and Phase II activities, the Fast-Track option has the potential to minimize any funding gap between the Phase I and Phase II periods.

Awards may include a reasonable profit/fee.

NOTE: This solicitation is for Fast-Track (Phase I & II) proposals only.

The following provides details on the preparation, submission, and review of the Fast-Track proposal:

· In order to apply for Fast-Track funding, offerors must submit a Fast-Track proposal that contains components of both the Phase I and Phase II periods.

· In the Phase I section of the Fast-Track proposal, the offeror must (1) specify clear, measurable goals (milestones) that detail the development of a functioning prototype of an education technology product; and (2) specify a research plan to test the feasibility of the prototype.

· In the Phase II section of the Fast-Track proposal, the offeror must (1) specify clear, measurable goals (milestones) that detail the R/R&D process through which the prototype will become, or will be on a trajectory to become, a commercially viable education technology product; (2) provide a research plan to test the feasibility and usability of the product, as well as the promise of the product for achieving the intended outcomes when implemented in education delivery settings; and (3) detail a commercialization plan for the sale and distribution of the product should all the technical objectives be achieved.

· All eligible proposals will be evaluated by a Technical Evaluation Review Panel.

C. Authorization

P.L. 106-554, the “Small Business Reauthorization Act of 2000 (the “Act”) was enacted on December 21, 2000. The Act requires certain agencies, including the Department of Education, to establish SBIR programs by reserving a statutory percentage of their extramural research and development budgets to be awarded to small business concerns for R/R&D through a uniform, highly competitive, three-phase process. The Act further requires the Small Business Administration (SBA) to issue policy directives for the general conduct of the SBIR programs within the Federal Government.

The Small Business Innovation Research Policy Directive Notice was published in the “Federal Register” / Vol. 67, No. 185 / Tuesday, September 24, 2002 / pages 60072 – 60098. It is also available from the Small Business Administration’s SBIR website at:

http://www.sba.gov/sbir/sbirpolicydirective.html The SBIR policy directive guides the information and requirements set forth in this proposal package.

D. Offeror Eligibility

Each organization submitting a proposal must qualify as a small business concern as defined by the SBA at the time of the award. The definition of a small business concern is included in “Definitions” (see Section III).

In addition, the primary employment of the principal investigator must be with the small business firm at the time of award and during the conduct of the proposed research. That is, more than one-half of the principal investigator’s working time must be spent with the small business firm during the period of performance. Also, for both Phase I and Phase II the R/R&D work must be performed in the United States. “United States” means the 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

Joint ventures are permitted, provided that the business entity created qualifies as a small business in accordance with the Small Business Act, 15 U.S.C. 631. For Phase I, the proposing firm must perform at least two-thirds of the research and/or analytic effort. Furthermore, the total of all consultant fees, facility leases or usage fees, and other subcontracts or purchase agreements may not exceed one‑third of the Phase I funding agreement price. For Phase II, the proposing firm must perform at least one-half of the research and/or analytic effort. Furthermore, the total of all consultant fees, facility leases or usage fees, and other subcontracts or purchase agreements may not exceed one‑half of the Phase II funding agreement price.

ED staff will examine all SBIR proposals with the above considerations in mind. If it appears that an offeror organization does not meet the eligibility requirements, ED will request an evaluation by the SBA. Under circumstances in which eligibility is unclear, ED will not make an SBIR award until the SBA provides a determination.

E. Proposal Limitations

A proposal must be relevant and appropriate to priorities listed in this program solicitation (see Section 8 for the priorities under this solicitation). There is no limitation on the number of different proposals that an offeror may submit under this competition. Duplicate proposals will be returned without review.

F. Key Dates and Award Information

The Department of Education is required under P.L. 106-554 to participate in the Small Business Innovation Research (SBIR) program. The Government’s obligation under this award is contingent upon the availability of appropriated funds from which payments are made. The Department is not bound by the estimates given below.

The number Fast-Track awards will be determined based on the number of high quality proposals that are submitted and the availability of funds. A Fast-Track includes a Phase I award of up to $100,000 and a Phase II award up to $750,000. The decision to fund the Phase II portion of the Fast-Track award will occur after the successful completion of the technical objectives that are set forth for the Phase I period, and after the submission and review of the Phase I final report. Awardees whose Phase I objectives are achieved will proceed to Phase II, which will be outlined in the contract document. Awardees whose objectives are not met will not be funded during Phase II.

ED expects to announce Fast-Track awards by May, 2009. Awards will begin in June, 2009 and end in December, 2011.

G. Important Notices

Award Limit

The Institute has a $100,000 award limit for Phase I of the SBIR program.

The Institute has a $750,000 award limit for Phase II of the SBIR program.

ED is under no obligation to fund any specific proposal or make any specific number of awards in a given research priority area. ED is not responsible for any monies expended by an offeror before an award.

Executive Order 13329: Manufacturing-Related Innovation

Executive Order 13329 states that continued technological innovation is critical to a strong manufacturing sector of the United States economy. The U.S. Department of Education’s SBIR Program encourages innovative manufacturing-related projects, as defined by the Executive Order. For more information on Executive Order 13329, visit the following website <http://www.sba.gov/sbir/execorder.html> or contact the Department of Education SBIR Program Manager Edward Metz at Edward.Metz@ed.gov.

2. AGENCY CONTACTS

All questions must be directed in writing to Natasha Boyce. Any responses would be posted as an amendment to the solicitation on FedBizOpps. The Government cannot guarantee that questions submitted after December 17, 2008, will receive a response.

Natasha Boyce Contract Specialist

US Department of Education

550 12th Street, SW Room 7121

Washington, DC 20065-4230

Phone: (202) 245-6128

Email: Natasha.Boyce@ed.gov

3. DEFINITIONS

The Small Business Administration (SBA) developed the following definitions relevant to the Small Business Innovation Research (SBIR) Program:

Affiliate This term has the same meaning as set forth in 13 CFR Part 121 - Small Business Size Regulations, §121.103.

Awardee The SBC receiving an SBIR funding agreement.

Commercialization The process of developing marketable products and producing and delivering products for sale (whether by the originating party or by others) to Government and/or commercial markets.

Contract

An award instrument establishing a binding legal procurement relationship between a funding agency and the recipient, obligating the latter to furnish an end product or service and binding the agency to provide payment therefore.

Essentially Equivalent Work The "scientific overlap," which occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant proposal submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

Extramural Budget The sum of the total obligations for R/R&D minus amounts obligated for R/R&D activities by employees of a Federal agency in or through Government-owned, Government-operated facilities.

Feasibility The practical extent to which a project is capable of being successfully performed.

Funding Agreement

Any contract, grant, or cooperative agreement entered into between any Federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

Historically Under-utilized Business Zone (HUBZone)

An SBC meeting the following criteria:

1.

Located in a “historically underutilized business zone” or HUBZone area located in one or more of the following:

a) A qualified census tract (as defined in section 42(d)(5)(C)(i)(l) of the Internal Revenue Code of 1986);

b) A qualified “non-metropolitan county” (as defined in section 143(k)(2)(B) of the Internal Revenue Code of 1986) with a median household income of less than 80 percent of the State median household income or with an unemployment rate of not less than 140 percent of the Statewide average, based on US Department of Labor recent data; or

c) Lands within the boundaries of federally recognized Indian reservations.

2.

Owned and controlled by one or more US Citizens; and

3.

At least 35% of its employees must reside in a HUBZone.

Innovation Something new or improved, having marketable potential, including (1) development of new technologies, (2) refinement of existing technologies, or (3) development of new proposals for existing technologies.

Intellectual Property The separate and distinct types of intangible property that are referred to collectively as “intellectual property," including but not limited to: patents, trademarks, copyrights, trade secrets, SBIR technical data (as defined in this section), ideas, designs, know-how, business, technical and research methods, and other types of intangible business assets, and including all types of intangible assets either proposed or generated by an SBC as a result of its participation in the SBIR Program.

Joint Venture An association of persons or concerns with interests in any degree or proportion by way of contract, express or implied, consorting to engage in and carry out a single specific business venture for joint profit, for which purpose they combine their efforts, property, money, skill, or knowledge, but not on a continuing or permanent basis for conducting business generally. A joint venture is viewed as a business entity in determining power to control its management, has its own Employer Identification Number as assigned by the Internal Revenue Service, and is eligible under the SBIR Program provided that the entity created qualifies as a "SBC" as defined in this section.

Key Personnel

In addition to the principal investigator, Key Personnel are defined as individuals who contribute to the scientific development or execution of the project in a substantive, measurable way, whether or not salaries are requested. Typically, these individuals have doctoral or other professional degrees, although individuals at the masters or baccalaureate level should be included if their involvement meets the definition of Key Personnel. Consultants should also be included if they meet the definition of Key Personnel. Key Personnel must devote measurable effort to the project whether or not salaries are requested - “zero percent" effort or "as needed" are not acceptable levels for those designated as Key Personnel.

Manufacturing (Executive Order 13329)

Executive Order 13329 ensures that Federal agencies assist the private sector in its manufacturing innovation efforts. Manufacturing-related R/R&D encompasses improvements in existing methods or processes, or wholly new processes, machines or systems. Broadly speaking, ED’s SBIR program encourages R/R&D in manufacturing through systems level technology development. These projects encompass a range of topics, such as artificial intelligence, IT devices, software, delivery systems, rehabilitation technology, assistive technology and devices, and product design, among others. It is likely that some products funded under this solicitation will be manufactured (e.g. large-scale production) after the Phase II R/R&D is completed. For more information on Executive Order 13329, please visit the following website <http://www.sba.gov/sbir/execorder.html> or contact the Department of Education’s SBIR Program Manager Edward Metz at Edward.Metz@ed.gov.

Other Significant Contributors

This category identifies individuals who have committed to contribute to the scientific development or execution of the project, but are not committing any specified measurable effort to the projects. These individuals are typically presented at "zero percent" effort or "as needed" (individuals with measurable effort cannot be listed as Other Significant Contributors). Consultants should be included if they meet this definition.

Offeror The organizational entity that, at the time of award, will qualify as a Small Business Concern (SBC) and submits a contract proposal for a funding agreement under the SBIR Program.

Principal Investigator/Project Manager The one individual designated by the offeror to provide the scientific and technical direction to the project that will be supported by the funding agreement.

Prototype A model of something to be further developed, which includes designs, protocols, questionnaires, software, and devices.

Research or Research and Development (R/R&D)

Any activity that is:

1.

A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

2.

A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

3.

A systematic proposal of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

SBIR Technical Data Means all data generated in the performance of any SBIR funding agreement.

SBIR Technical Data Rights The rights an SBC obtains in data generated in the performance of any SBIR funding agreement that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

Small Business Concern A concern that, on the date of award for both Phase I and Phase II funding agreements:

1.

is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

2.

is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture (as defined in this section) there can be no more than 49 percent participation by foreign business entities in the joint venture;

3.

is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and

4.

has, including its affiliates, not more than 500 employees.

Socially and Economically Disadvantaged Individual A member of any of the following groups:

1.

Black Americans;

2.

Hispanic Americans;

3.

Native Americans;

4.

Asian Pacific Americans

5.

Subcontinent Asian Americans;

6.

Other groups designated from time to time by SBA to be socially disadvantaged; or any other individual found to be socially and economically disadvantaged by SBA pursuant to Section 8(a) of the Small Business Act, 15 U.S. C. 637(a).

Subcontract Any agreement, other than one involving an employer/employee relationship, entered into by an awardee of a funding agreement calling for supplies or services required solely for the performance of the original funding agreement.

United States Means the 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

Woman-Owned Small Business Concern A small business concern that is at least 51 percent owned and operated by a woman or women who also control and operate it. “Control” in this context means exercising the power to make policy decisions. “Operate” in this context means being actively involved in the day-to-day management.

4. PROPOSAL PREPARATION INSTRUCTIONS & REQUIREMENTS

A. Proposal Requirements

A proposal to ED under the SBIR program shall present a sound approach to the R/R&D of an education technology product for the purpose of improving student learning and achievement.

A proposal should be self-contained and written with the care and thoroughness accorded to papers for publication. The scientific and technical merit of the proposed research is the primary concern for all research supported by the Institute. The proposed R/R&D must be responsive to the Institutes’ SBIR program priorities. The proposal should serve as the base for new commercial education technology products that may benefit the public. A firm must not propose market research, patent proposals, or litigation. Proposals for the development of proven concepts toward commercialization or for market research should not be submitted because such efforts are considered the responsibility of the private sector.

From the Government's standpoint, a Fast-Track project would be successful if:

At the end of a 6-month Phase I period of the Fast-Track award, the investigators had: (1) developed a functioning prototype of an education technology product; and (2) conducted research to determine the feasibility of the prototype.

At the end of the 2-year Phase II period of the Fast-Track award, the investigators had: (1) fully developed a commercially viable education technology product (including materials and components necessary for implementation); (2) collected data addressing the feasibility and usability of the product, as well as the promise of the product for achieving the intended outcomes when implemented in an education delivery setting; and (3) developed a commercialization plan for the distribution of the product.

B. Protection of Information in Proposals

It is ED policy to use information included in proposals for evaluation purposes only and to protect such information from unauthorized use or disclosure. While this policy does not require that the proposal bear a notice, protection can be assured only to the extent that the legend specified below in “Rights in Data Developed Under SBIR Funding Agreements” is applied to those data that constitute trade secrets or to other commercial or financial information that is confidential or privileged. Other information may be afforded protection to the extent permitted by law, but ED assumes no liability for use and disclosure of information to which the legend has not been appropriately applied.

C. Limitations on Length of Proposal

This program solicitation is designed to reduce the investment of time and money required by small firms in preparing a Fast-Track proposal.

· Offerors must ensure that “Section 4.2 Project Narrative – Key Information; Abstract, Certifications, and Legend” is no more than 3 pages in length (and noted as pages i, ii, & iii);

· Offerors must ensure that “Section 4.3 Project Narrative – Technical Content” is 25 pages or less in length;

· Offerors must be sure to include the required information in Appendices A, B, D, E, and F;

Your proposal will be rejected if it does not conform to the following requirements:

A “page” is 8.5” x 11”, on one side only, with 1” margins at the top, bottom, and both sides. Single space all text in the proposal narrative, including titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs.

To ensure that the text is easy for reviewers to read and that all offerors have the same amount of available space in which to describe their projects, offerors must adhere to the type size and format specifications for the entire proposal narrative, including footnotes.

The proposal must conform to the following requirements:

· The height of the letters must not be smaller than 12 point.

· 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.

· Standard black type should be used for text to permit photocopying.

· The proposal can contain color figures, charts, or graphs, but must contain only material that reproduces well when printed out or photocopied in black and white.

Offerors should 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.

NOTE: Offerors are asked not to use binders, tabs, or blank color pages within the proposal to divide or delineate sections. Also, offerors should not use forms or bindings, such as plastic covers bound by comb binding, 3-ring binders, or folders. Proposals should be bound by binder clips only, and not staples. Any other method increases cost and does not affect the evaluation of the technical proposal.

In Section 4.3 Project Narrative - Technical Content, a proposal should place page numbers consecutively and consistently throughout the document.

D. Proposal Guidance

To avoid any misunderstanding, offerors should be aware that proposals not satisfying all the required instructions will be returned to the proposing organization without review. Returned proposals may not be resubmitted with or without revision under this program solicitation.

1. Contractor Registration: Before ED can award a contract to a successful offeror under this solicitation, the offeror must be registered in the Central Contractor Registration (CCR) database and the Online Representations and Certifications Application (ORCA). The CCR allows Federal Government contractors or firms interested in conducting business with the Federal Government to provide basic information on business capabilities and financial information. To register, visit www.ccr.gov or call 1-888-227-2423. ORCA is a web-based system that centralizes, standardizes, and moves the collection and storing of contractor representation and certifications online. To register in ORCA visit http://orca.bpn.gov/. Please contact the above sites directly for technical support—ED does not provide technical support for either CCR or ORCA. Offerors that do not have a current registration in both CCR and ORCA at the time of award will excluded from the competition.

In addition to registering in CCR and ORCA, offerors must complete the certifications contained in Appendix F of this document. Offers submitted without completed Appendix F certifications are not eligible for award. Offerors shall submit one copy of the completed certifications with the proposal. This should be a separate document from the proposal and will not be counted as part of the page limit.

2. PROJECT NARRATIVE – KEY INFORMATION, ABSTRACT, CERTIFICATIONS, STATEMENTS, AND LEGEND NOTE: All of the “2. Project Narrative” components (a through e) must be included within pages i, ii, and iii of the Fast-Track proposal. No other cover pages are permitted to precede page i.

a) KEY INFORMATION FOR THE FAST-TRACK PROPOSAL

1) Project title:

2) Name and website of the small business concern:

3) Name and contact information (address, phone/fax, and email) for the principal investigator:

4) Name and contact information for a representative authorized to represent the small business concern in negotiations:

5) Names and professional affiliations of all project team members:

b) PRIORITIES

Select the one priority area that is most appropriate for this project: (Note: See Section 8 for information about the Priority Areas.)

( Priority 1: Education technology products for students

( Priority 2: Education technology products for teachers

( Priority 3: Education technology products for school administrators

c) ABSTRACT

The offeror must provide an abstract with the following two components. (NOTE: Nothing in this section should be proprietary or confidential.)

1) Technical abstract limited to 200 words.

2) A summary of the commercial potential of the product if development were completed as described above limited to 100 words.

d) CERTIFICATIONS The offeror should respond to the following certifications required by the Small Business Administration.

Small Business Certification –

Does the offeror certify that it is a SBC and meets the definition as stated in the program solicitation or that it will meet that definition at the time of award?

( Yes

( No

[NOTE: The next four(4) items are for statistical purposes only.]

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?

( Yes

( No Woman-owned SBC Certification –

Does the offeror qualify as a woman-owned SBC and meet the definition as stated in this program solicitation?

( Yes

( No

HUBZone-owned SBC Certification –

Does the offeror qualify as a HUBZone-owned SBC and meet the definition as stated in this solicitation?

( Yes

( No

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

http://www.sba.gov/hubzone/ Service Disabled Veteran Owned Small Business Certification –

Does the offeror qualify as a Service Disabled Veteran Owned Small Business and meet the definition as stated in this program solicitation?

( Yes

( No

Manufacturing-Related Project Certification –

If Phase I and Phase II R/R&D leads to a completed product, is it possible that this product will be manufactured (e.g. production) on a wide scale basis?

( Yes

( No In cases where there is a tie in the award selection process, ED will give priority to projects that are manufacturing-related. (This “tie-breaker” specification allows the ED program to apply an additional preference without compromising the quality standards or established criteria of the program.)

e) STATEMENTS

The offeror should respond to the following statements required by the Small Business Administration.

Duplicate Research Statement –

Has the offeror and/or principal investigator submitted proposals/proposals for essentially equivalent work under other Federal program solicitations or received other Federal awards for essentially equivalent work?

( Yes

( No

If yes, identify proposals and/or awards in “Project Narrative – RELATED PROPOSAL(S) OR AWARD(S).”

Disclosure Permission Statement –

Will the offeror permit the Government to disclose the title and technical abstract page of the proposed project, plus the name, address, and telephone number of the corporate official of the offeror’s firm, if the proposal does not result in an award, to concerns that may be interested in contacting you for further information?

( Yes

( No

f) LEGEND FOR PROPRIETARY INFORMATION

Information contained in unsuccessful proposals will remain the property of the offeror. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements.

If proprietary information provided by an offeror in a proposal constitutes a trade secret, proprietary commercial or financial information, confidential personal information, or data affecting the national security, it will be treated in confidence to the extent permitted by law. This information must be clearly marked by the offeror with the term "confidential proprietary information” and the following legend must appear in this section of the proposal:

“These data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal. If a funding agreement is awarded to this offeror as a result of (or in connection with) the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government’s right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages __”__”__ of this proposal.”

The use of any other legend is unacceptable to the Government and may constitute grounds for removing the proposal from further consideration, without assuming any liability for inadvertent disclosure. The Government will limit dissemination of such information to/within official channels.

3. PROJECT NARRATIVE – TECHNICAL CONTENT

NOTE: Begin the main body of the Fast-Track proposal “3. Project Narrative – Technical Content” on page “1”.

1. Significance

· Describe the problem in the field of education that the intended product would address.

· Describe the intended product to be developed as a result of the Phase I and Phase II R/R&D. Describe its features or components, and any additional materials to support implementation (e.g., student or teacher handbooks). Specify the intended user (e.g., middle school science students, struggling adult readers, school administrators). Describe how the product will be implemented in an education delivery setting and how it will be integrated within existing practices as an intervention. For example, would the product replace or supplement existing curricula, instructional approaches, or programs? Specify the intended outcomes that will come from using the product (e.g., improve knowledge of biology, improve English vocabulary knowledge, improve school leadership).

· Describe the theoretical and empirical evidence to support the idea that the proposed product will achieve the intended goals (e.g., improve student outcomes, the way teachers teach, or the way administrators operate schools). Offerors should provide a theory of change for the product – which explains how the features or components of the product relate to each other temporally, operationally, pedagogically, or theoretically (e.g., why A leads to B). Further, offerors should describe how the unique features or "active ingredients" of the product are hypothesized to produce the desired outcomes compared to similar products or to current typical practices.

· Describe the potential commercial application of the product, and why the technology has potential to be widely disseminated and utilized.

2. Phase I Technical Objectives.

· State the specific objectives of the Phase I R/R&D effort, including the technical questions it will try to answer to determine the feasibility of the proposed approach. Briefly describe the prototype that will be developed through the Phase I R/R&D. Describe why the stated objectives are appropriate for a 6-month period. A timeline may be included.

3. Phase I Workplan.

· Include a detailed plan describing the technological R/R&D that will occur in Phase I, including what will be done, where it will be done, and how it will be carried out. The Phase I R/R&D technological plan should address the objectives and the questions cited in Section 4.3.2 (Phase I Technical Objectives) immediately above. In the plan: Describe the technological R/R&D procedures through which the prototype will be developed, and any iterative research through which the prototype will be refined. Describe the research process that will be used to demonstrate the feasibility of the prototype by the end of Phase I. Describe how the prototype will be functioning at the end of Phase I, including its main features and components.

The Phase I research design should include the following details:

· Research questions. Offerors should pose clear, concise hypotheses or research questions.

· Sample. Describe the population (e.g., students, teachers) and settings (e.g., laboratory, schools) that will be used to inform development and to assess the feasibility of the prototype.

· Measures. Specify what measures or observations will be used to assess whether the prototype is functioning as intended. Include information on the reliability, validity, and appropriateness of any proposed measures.

· Procedures. Describe the procedures for determining if the prototype is functioning as intended (e.g., Does the initial prototype of the software program operate as intended?). Describe when and how the data will be collected. Describe how data will be analyzed to determine feasibility.

· Discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort. Offerors should describe any potential problem areas that are anticipated in Phase I, and provide alternative strategies that would be considered in such circumstances.

4. Phase II Technical Objectives

· State the technical objectives of the Phase II R/R&D effort, including the specific research questions that will be addressed in the project. In strong proposals, the offeror clearly links the stated technical objectives with the research plan and shows how the state objectives can be met within a 2-year project period. A timeline may be included.

5. Phase II Work and Research Plan

· Include a detailed plan describing the technological R/R&D that will occur in Phase II, including what will be done, where it will be done, and how it will be carried out. The Phase II R/R&D technological plan should address the objectives and the questions cited in Section 4.3.4 (Phase II Technical Objectives) immediately above. In the plan: Describe the technological R/R&D procedures through which the prototype will become (or will be on a trajectory to become) a commercially viable education technology product. Describe any iterative research that will be used to collect data to inform the refinement of the product or any of its components or features. Describe the research process to be employed to demonstrate the feasibility and usability, and promise of the product to achieve the intended outcomes in an education delivery setting. Such evidence could include pilot data demonstrating that performance on outcome measures is progressing in the appropriate direction (e.g., students’ post-intervention scores on curriculum-based tests are substantially higher than pre-intervention scores) or pilot data demonstrating that the implementation of the intervention is associated with activities and behaviors that are consistent with the underlying theory of change of the product. The pilot data are not intended to be a test of the efficacy of the intervention.

Research Requirements by Priority:

· For products used by students, a primary question of interest is, "Does this product show promise for increasing student outcomes?" Such proposals must include student outcome data.

· For products used by teachers, a primary question of interest should be one of the following:

· "Does this product show promise for improving student outcomes?" Such proposals should demonstrate that when teachers use the proposed technology, their students show promise for achieving better outcomes.

· "Does this product show promise for improving teachers' ability to carry out their job on some quantifiable measure (e.g., does the product reduce the amount of time teachers spend recording and calculating students' grades)?" Such proposals should evaluate whether the product shows promise for improving teachers' ability to carry out their job in the area proposed.

· For products used by school administrators, a primary question of interest is, "Does this product show promise for improving administrators’ ability to carry out their job on some quantifiable measure that is important to education leadership and administration?" Such proposals should evaluate whether the product shows promise for changing administrators' practices and improving the manner by which administrators operate and manage schools. For example, does use of the proposed technology show promise for reducing the amount of time administrators must spend performing a particular task?

The Phase II research design must include the following details:

· Research questions. Provide clear, concise hypotheses or research questions for any iterative research that will inform refinements of the technology, determine the feasibility and usability of the product, and show the promise of the fully developed product for achieving the intended outcomes.

· Sample. Describe the sample (e.g., students, teachers) and settings (e.g., laboratory, schools) that will be used to inform development, and to assess the feasibility and usability, as well as the promise of the product for achieving the intended outcomes. Indicate whether (or how many) school(s) have agreed to participate in the Phase II research.

NOTE: Offerors must include one letter of agreement from a school (or education delivery setting) that has agreed to participate in the Phase II research should the proposal be awarded. This letter should be no longer than one (1) page, and can be included in Appendix A. Letters that have been secured from other school(s) (or education delivery settings) that are noted in a proposal must be made available to ED upon request.

· Measures. Specify what measures will be used to determine feasibility and usability, as well as whether the product shows promise for improving outcomes. Include information on the reliability, validity, and appropriateness of the proposed measures. In strong proposals, investigators will make clear that the skills or content the product is designed to address are captured in the various measures that are proposed.

· Procedures. Describe the procedures for any iterative research to inform the refinement of the technology. Describe the procedures for determining the feasibility (e.g., Does the software program crash when used?) and usability of the product (e.g., Are teachers able to integrate the intervention within their existing curriculum?), as well as the promise the product has for achieving the intended outcomes (e.g., Do students’ math scores improve after using the product? Are teachers spending less time grading homework when using the product?). Describe when and how data will be collected. Include a clear and detailed description of the data analysis procedures. For quantitative data, specific statistical procedures should be described. The relation between hypotheses, and the independent and dependent measures should be clear. For qualitative data, the specific methods used to index, summarize, and interpret data should be delineated.

· Offerors should describe any potential problem areas that are anticipated in Phase II, and provide alternative strategies that would be considered in such circumstances.

NOTE: The Institute anticipates that after the conclusion of the Phase II period of the SBIR project, investigators may submit proposals for funding to conduct research examining the efficacy of the product through the Institute’s National Center for Education Research or the National Center for Special Education Research grants programs (see http://ies.ed.gov/funding/ncer_progs.asp or http://ies.ed.gov/funding/ncser_progs.asp for more information).

6. Related R/R&D

· Describe any significant R/R&D that is directly related to the proposal including any conducted by the project manager/principal investigator or by the proposing small business concern. Describe how it relates to the proposed effort, and any planned coordination with outside sources. The offeror must persuade reviewers of his or her awareness of key, recent R/R&D conducted by others in the specific topic area.

7. Relationship with Future R/R&D

· State the anticipated results of the proposed approach if the project is successful. (Phase I and Phase II).

8. Commercialization Plan

· The Fast-Track proposal must include a succinct Commercialization Plan. Provide a description in each of the following areas:

a) Project Value, Expected Outcomes, and Impact. Describe, in laypersons’ terminology, the proposed project and its key technology objectives. Clarify the need(s) addressed, specifying weaknesses in the current approaches attempting to meet this need. In addition, describe the commercial potential of the research and the innovation inherent in this proposal. Be sure to also specify the potential educational benefits of this work. Explain how the non-commercial impacts contribute to the overall significance of the project. Briefly explain how the SBIR project integrates with the overall business plan of the company.

b) Company. Give a brief description of your company, including: corporate objectives, core competencies, present size (annual sales level and number and types of employees), history of previous Federal and non-Federal funding, regulatory experience and subsequent commercialization, and any current products/services that have significant sales. Include a short description of the origins of the company. Indicate your vision for the future, how you will grow/maintain a sustainable business entity, and explain how you will meet critical management functions as your company evolves from a small technology R/R&D business to a successful commercial entity.

c) Market, Customer, and Competition. Describe your marketing and sales strategy, and provide a description of the market and/or market segments you are targeting (detailing a brief profile of the potential customer). Explain what significant advantages your innovation will bring to the market, e.g., better performance, lower cost, faster, more efficient or effective, new capability Include the hurdles you must overcome to gain market/customer acceptance of your innovation. Describe any strategic alliances, partnerships, licensing agreements, or endorsements you have in place to help market and sell your product.

· Provide letters detailing such agreements or endorsements in Appendix G.

Give an overview of the current competitive landscape and any potential competitors over the next several years.

d) Intellectual Property (IP) Protection and Licensing. Describe how you are going to protect the IP that results from your innovation. Also note other actions you may consider taking that will constitute at least a temporal barrier to others aiming to provide a solution similar to yours. Describe the steps you will take to license your product.

e) Finance Plan. Describe the necessary financing you will require, and when it will be required, as well as your plans to raise the requisite financing to launch your innovation into Phase III and begin the revenue stream. Plans for this financing stage may be demonstrated in one or more of the following ways:

· Letter of commitment of funding (include in Appendix G);

· Letter of intent or evidence of negotiations to provide funding, should the Fast-Track project be successful and the market need still exist (include in Appendix G);

· Letter of support for the project and/or some in-kind commitment (include in Appendix G);

· Specific steps you are going to take to secure Phase III funding.

f) Production Plan. Describe how the production of your product will occur (e.g., in-house manufacturing, contract manufacturing).

g) Revenue Stream. Explain how you plan to generate a revenue stream for your company should this project be a success. Examples of revenue stream generation include (but are not limited to) manufacture and direct sales, sales through value added resellers or other distributors, joint venture, and licensing, service. Describe how your staffing will change to meet your revenue expectations.

Offerors through the Fast-Track mechanism are encouraged to seek commitment(s) of funds and/or resources from an investor or partner organization for commercialization of the product(s) resulting from the SBIR award. Your Phase III funding may stem from any one of a number of different sources, including (but not limited to): the SBIR firm itself, private investors or "angels", venture capital firms, investment companies, joint ventures, R/R&D limited partnerships, strategic alliances, research contracts, sales of prototypes (built as part of this project), public offering, state finance programs, non SBIR-funded R/R&D, or production commitments from a Federal agency, with the intention that the results will be used by the United States government or other industrial firms. Documentation of such commitments should be included in Appendix G.

NOTES: Offerors may provide up to five (5) letters of interest or endorsement in Appendix G. Each letter must be less than one (1) page in length. Letters in Appendix G are not counted toward the 25 page limit of the Fast-Track proposal.

Strong letters of interest or endorsement must be from organizations or individuals not affiliated with the project. Such letters endorse the commercial potential of the proposed product.