2012_SBIR_ Phase_ I_RFP_EDUCATION.docx

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

PHASE I

PROGRAM SOLICITATION FOR FY 2012

REQUEST FOR PROPOSALS

RFP Number: ED-IES-12-R-0006

PRIORITY 1: Education Technology Products Used by Students or Teachers (or other Instructional Personnel) PRIORITY 2: Education Technology Tools Used by Researchers

ISSUE DATE: January 3, 2011

CLOSING DATE: February 22, 2012 11:00 A.M., Eastern Time

NOTE: A separate Department of Education SBIR solicitation pertaining to funding for products in the area of special education is currently available here.

IES SBIR 2012 Phase I RFP

PHASE I TABLE OF CONTENTS

Top Section Page I. Program Overview……………………………… II. Definitions…………………………………………………………………………………………………...4 III. Contract Proposal Preparation Instructions and Requirements…………………………..8 IV. Method of Selection and Evaluation Criteria……………………………………………………21 V. Considerations…………………………………………………………………………………………….24 VI. Proposal Submittal Information………………………………………………… VII. Scientific and Technical Information Sources……………………………………………….…31 VIII. Phase I Proposal Checklist……………………………… IX. Research Priority Areas (2)………………………………….…………………………………….…33 X. Appendices to the Proposal A. Letter of Agreement for Participation…………………………………………….…35 B. Biographical Summary Certification and Resumé Pages…………………..…36 C. Similar or Related Awards or Proposals………………………………………….…37 D. Documentation and Status of Previous Phase II Awards………………….…38 E. Phase I Budget……………………………….……………………………………………..39 F. Human Subjects Information……………………………………………...…………..41 G Department of Education Required Information…………………….…..……..45 H. Letters of Endorsement – (Maximum 3 letters)………………………………...58

U.S. DEPARTMENT OF EDUCATION

INSTITUTE OF EDUCATION SCIENCES

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SOLICITATION

FY 2012

PHASE I

REQUEST FOR PROPOSALS RFP# ED-IES-12-R-0006

I. PROGRAM OVERVIEW

A. Introduction The Department of Education (ED) invites qualified small business firms to submit a Phase I 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 nonprofit organizations are permitted, but the small business must serve as the contractor.[footnoteRef:1] [1: Note: Such arrangements may be permitted as long as they do not affect the small business size, status, or eligibility of the prime awardee as provided for in Definitions – “Small Business Concern.”]

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 The SBIR program consists of three phases, as described below. The current solicitation is for submitting a Phase I proposal in 2012. NOTE: The Institute’s SBIR program is not offering a Fast-Track (Phase II) option in conjunction with this Fiscal Year 2012 Phase I program in education.

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 establish 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 $150,000.

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 that outlines the effort in detail and describes the commercial potential of the product or tool. Awards are for periods up to 2-years in amounts up to $900,000.

Phase III – In Phase III, the small business uses non-SBIR capital to pursue commercial proposals of the R/R&D.

Both the Phase I and Phase II award may include a reasonable profit/fee.

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 ED, 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/aboutsba/sbaprograms/sbir/sbirstir/index.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 II).

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 onethird of the total contract 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 onehalf of the total contract 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 priority areas listed in this program solicitation (see Section IXSection VIII for the priorities under this solicitation). There is no limitation on the number of different proposals that an offeror may submit under this competition. However, additional packages with duplicate proposals will not be reviewed.

F. Key Dates and Award Information ED is required under P.L. 106-554 to participate in the SBIR program. The Government’s obligation is contingent upon the availability of appropriated funds from which payments are made. ED is not bound by the estimates given below.

The number of Phase I awards shall be determined based on the number of high quality proposals that are submitted and the availability of funds. It is expected that ED will announce the Phase I awards on the Federal Business Opportunities website in June, 2012. All offerors shall receive notification and reviewer evaluations from ED approximately two weeks after the announcement on the Federal Business Opportunities website. The project start date shall be June 15, 2012. Successful offerors have up to 6-months to carry out the proposed Phase I effort. Specific instructions for the preparation and submission of Phase II proposals shall be sent to qualifying Phase I awardees near the completion of the Phase I work in November, 2012.

NOTE: Prior to the posting of the awards on the Federal Business Opportunities website, offerors should not contact ED personnel with questions regarding the timing of the announcement.

G. Important Notices Award Limits This Department has an award limit of $150,000 for Phase I in 2012.

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

H. 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>.

I. AGENCY CONTACT

All questions must be directed in writing to Contract Specialist, Joseph Gibbs. Any responses would be posted as an amendment to the solicitation on FedBizOpps. The Government cannot guarantee that questions submitted after January 13, 2012, 2 P.M. EST, will receive a response.

Joseph Gibbs Email: Joseph.Gibbs@ed.gov

NOTE: Prior to the posting of the awards on the Federal Business Opportunities website, offerors are advised to not contact ED personnel with questions regarding the timing of the announcement.

II. DEFINITIONS

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

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

B. Awardee The Small Business Concern (SBC) receiving an SBIR contract.

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

D. 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, tool, or service and binding the agency to provide payment therefore.

E. 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.

F. 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.

G. Feasibility The extent to which the product or tool (or prototype if during Phase I) operates or functions as intended when used by the intended end-user.

H. 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, tools, or services, funded in whole or in part by the Federal Government.

I. Historically Underutilized Business Zone (HUBZone) An SBC meeting the following criteria:

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

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

· 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

· Lands within the boundaries of federally recognized Indian reservations.

· Owned and controlled by one or more US Citizens; and

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

J. 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.

K. 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.

L. 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.

M. 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.

N. 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 or tool design. It is likely that some products or tools 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>.

O. 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.

P. 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.

Q. 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 contract.

R. Prototype A model of something to be further developed, and may include designs, protocols, questionnaires, software, and devices.

S. Research or Research and Development (R/R&D) Any activity that is:

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

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

· 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.

T. SBIR Technical Data All data generated in the performance of any SBIR funding agreement.

U. 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. (See FAR 52.277-20, Rights in data – SBIR program.)

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

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

· is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the firm 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;

· 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

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

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

· Black Americans;

· Hispanic Americans;

· Native Americans;

· Asian Pacific Americans

· Subcontinent Asian Americans;

· 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).

X. Subcontract Any agreement, other than one involving an employer/employee relationship, entered into by an awardee of a contract calling for supplies or services required solely for the performance of the original contract. For Phase I, the proposing firm must perform at least two-thirds of the R/R&D. For Phase II, the proposing firm must perform at least one-half of the R/R&D.

Y. 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.

Z. 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.

III. CONTRACT PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Proposal Requirements The Department is concerned with the scientific and technical merit of all of the research it supports and the relevance of the research for improving the education system and student outcomes. Proposals to the Department under the SBIR program should present a sound scientific and technical approach to the R/R&D of an education technology product for the purpose of improving student learning, teacher practices, or education research. The proposal must be self-contained and written with the care and thoroughness accorded to papers for publication.

Proposals submitted to the Department 's SBIR program must be responsive to the Department 's SBIR program priorities. The proposal should serve as the base for new commercial education technology products or tools 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.

B. Protection of Information in Proposals It is ED’s policy to use information included in proposals for evaluation purposes only and to protect such information from unauthorized use or disclosure. Although this policy does not require that the proposal bear a notice, protection can be assured only to the extent that the legend specified in the “Rights in Data – SBIR Program” 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. Content and Formatting Requirements This Phase I program solicitation is designed to reduce the investment of time and money required by small firms in preparing a proposal. The proposal will be rejected if it does not conform to the requirements listed below.

1. What to Include, Page Limitations, and Page Numbering

a. Section III.E. Project Narrative – Key Information, Abstract, Certifications, and Legend This section must be no more than 3 pages in length and numbered as pages i, ii, and iii.

b. Section III.F. Project Narrative – Technical Content This section must be no more than 15 pages in length. Pages should be numbered consecutively beginning with the first page of this section numbered as "1." Any references, figures, charts, graphs, tables, or screen shots must be included within this 15-page section.

c. Section X. Appendices Offerors must include the required information in Section X. Appendices A, B, E, and G are required for all offerors. (Appendices C “Similar Awards or Proposals” and D “Prior Phase II Awards” are required for offerors with previous awards that fit the criteria listed within.)

2. General Format and Binding Requirements 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 page, type size, and format specifications for the entire proposal narrative, including footnotes.

a. Page and margin specifications For the purpose of proposals submitted under this solicitation, a “page” is 8.5 inches x 11 inches, on one side only, with 1 inch margins at the top, bottom, and both sides.

b. Spacing 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.

c. Type specifications (font specifications) Type 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.

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

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

· Offerors must check the type size using a standard device for measuring type size, rather than relying on the font selected for a particular word processing/printer combination.

d. Figures, charts, and graphs The proposal can contain color figures, charts, or graphs, but it must contain only material that reproduces well when printed out or photocopied in black and white. Such figures, charts, or graphs must be included within this 15-page section.

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

f. Double-Sided Printing To conserve paper and save on shipping costs associated with the weight of the packages mailed, offerors are encouraged to submit proposals with double-sided printed pages (i.e., print on both sides of the page).

D. Phase I 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 Registry (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. ORCA is a web-based system that centralizes, standardizes, and moves the collection and storing of contractor representation and certifications online.

· To register in CCR, go to www.ccr.gov or call 1-888-227-2423.

· To register in ORCA go to 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 be excluded from the competition.

2. Contractor Certifications In addition to registering in CCR and ORCA, offerors must complete the certifications contained in Appendix G of this document. Offers submitted without completed Appendix G 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 for Section III.F. Project Narrative – Technical Content.

E. Project Narrative – Key Information, Priorities, Abstract, Certifications, Statements and Legend All of the “E. Project Narrative” components (1 through 6) must be included within pages i, ii, and iii of the Phase I proposal. No other cover pages are permitted to precede page i.

1. Key Information for the Phase I Proposal

· Solicitation Number ED-IES-12-R-0006

· Small Business name

· Small Business address, phone, fax, and website

· Small Business DUNS Number

· Project title

· Typed name, signature, title, contact information (address, phone/fax, and email) and date of signature for the Principal Investigator

· Typed name, signature, title, contact information and date of signature for a representative authorized to represent the small business concern in negotiations

· Names and professional affiliations of all project team members

2. Priorities Select one (not both) priority area. See Section IX. for additional information on the Priority Areas.

PRIORITY 1: Education technology products used by students or teachers (or other instructional personnel)

PRIORITY 2: Education technology tools used by researchers

3. Abstract The offeror must provide an abstract with the following two components. Nothing in this section should be proprietary or confidential.

· Technical abstract limited to 200 words.

· A summary of the commercial potential of the product or tool if development were completed as described above limited to 100 words.

4. Certifications The offeror must respond to the following certifications required by the Small Business Administration.

· Small Business Certification – Does the offeror certify that it is a small business concern and meets the definition as stated in the program solicitation or that it will meet that definition at the time of award?

Yes No

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?

Yes No

· Manufacturing-Related Project Certification – If R/R&D from an eventual Phase II award leads to a completed product or tool, is it possible that this product or tool 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.)

5. Statements The offeror must respond to the following statements required by the Small Business Administration.

· Duplicate Research Statement – The offeror and/or principal investigator (choose one: “has” or “has not”) submitted proposals/proposals for essentially equivalent work under other Federal program solicitations (choose one: “has” or “has not”) received other Federal awards for essentially equivalent work? (Identify proposals and/or awards in “Appendix C. Similar or Related Awards or Proposals.”)

· 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

6. 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 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 contract 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 contract 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 (insert page number here) 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.

NOTE: In responding to this solicitation, a Project Narrative - Technical Content section must address either F. PRIORITY 1 or G. PRIORITY 2. Offerors are not permitted to respond to both priority areas in one proposal.

F. PRIORITY 1: PRODUCTS USED BY STUDENTS OR TEACHERS (OR OTHER INSTRUCTIONAL PERSONEL)

Project Narrative – Technical Content (NOTE: See page 17 for G. PRIORITY 2: Project Narrative – Technical Content)

For PRIORITY 1 proposals for the development of products to be used by students or teachers (or other instructional personnel), the project narrative constitutes the main body of the Phase I proposal. The project narrative must be titled "PRIORITY 1: Project Narrative – Technical Content" and shall begin on page "1".

1. Significance

a. Problem Describe the education problem that the proposed product is intended to address and justify the importance of investing in R/R&D to solve this problem.

b. The product, its implementation, and the intended outcomes Describe the product that would be developed after Phase I and Phase II R/R&D is complete. Specify the intended user of this product (e.g., middle school social studies students or high school biology teachers). Describe the features or components of this product and any additional materials required to support implementation (e.g., student or teacher handbooks). Describe how this product will function. Describe how this product would be implemented in an authentic education delivery setting (e.g., classroom, supplemental education service, after school program). For example, would the product replace or supplement existing curricula, instructional approaches, or programs? How would it be integrated within existing practices as an intervention? Specify the intended outcomes that would come from using this product (e.g., improve vocabulary or improve understanding of Civil War battles). For products to be used by teachers, specify outcomes at the teacher and the student level.

c. Theoretical and empirical support, and the theory of change Describe the theoretical rationale and provide empirical evidence to support the idea that the proposed product will achieve the intended goals (e.g., improve student outcomes or improve the way teachers teach). Provide a theory of change for the product; the theory of change is an explanation of how the features or components of the product relate to each other and to the intended outcomes temporally, operationally, and theoretically (e.g., why A leads to B and the pathway through which A leads to B). Further, describe how the unique features or "active ingredients" of the product are hypothesized to produce the desired outcomes.

d. Related R/R&D by the project team Describe significant R/R&D conducted by the project team members or by the proposing small business that is directly related to the proposal. Describe results from relevant research. Describe how previous R/R&D relates to and provides a foundation for the proposed effort.

e. Similar products or typical practices Describe similar products or current typical practices in the proposed area. Include a description of relevant research on these products or practices that is available. Describe why the proposed product is an improvement on these products or practices.

f. Potential commercial application Describe the potential commercial application of the product after Phase I and Phase II R/R&D, and why the technology has potential to be widely disseminated and utilized.

NOTE: Offerors may provide up to three (3) letters to endorse the significance and the potential commercial application of the proposed product in Appendix H. See Appendix H for further information.

2. Phase I Technical Objectives

a. Phase I R/R&D objectives State the specific objectives of the Phase I R/R&D effort. Clearly identify each of the components or features of the prototype that must be developed in Phase I and what work must be completed in order to have a fully functioning prototype. The Phase I R/R&D objectives should include activities to test the feasibility of the prototype with the intended end-user.

b. Project period Explain how the proposed objectives will be accomplished within a 6-month period. A timeline should be included.

3. Phase I Work Plan Offerors should provide a detailed plan of the technological R/R&D activities 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 plan should address the objectives detailed in Section III.F.2.a. (Phase I Technical Objectives). Offerors should make clear how the work plan addresses each of the objectives.

a. Development of the prototype As part of the plan, offerors should describe the R/R&D procedures through which the prototype will be developed and the procedures that will be used to test and refine the prototype so that the completed prototype functions as intended. Describe the steps that will be followed to develop the prototype. Describe how and when data will be collected, the characteristics of the sample (e.g., students), and the procedures for analyzing data to inform refinement and further development to produce a fully functioning prototype.

b. Research on the feasibility of the prototype Offerors should describe the research process that will be used to demonstrate that the prototype will function as intended when used by the anticipated end user (e.g., student or teacher). Such research might involve conducting a small pilot test of the prototype being used in a classroom setting by the students and collecting data to determine if students are able to use the prototype in the way that it is intended, whether students are attentive and engaged in learning when they use the prototype, and whether students appear to learn what they are intended to learn when they use the prototype. Offerors might also include a think-aloud study in which a small sample of intended end-users use the product and say what they are thinking as they use the product. Such studies can help developers, for example, identify instructions that are not clear, determine if users will click on links to obtain additional information, or detect trouble spots that users have difficulty navigating. Pilot studies should include a small sample of individuals who are like those for whom the fully developed product is intended.

To describe the feasibility research, offerors should include the following details:

Research questions. Offerors should pose clear, concise hypotheses or research questions (e.g., Does the prototype function as intended? Are teachers and students able to follow the instructions for using the product? Are students engaged in the material when using the product? Do results show the promise of improving student outcomes after using the prototype?).

Sample. Describe the population (e.g., students or teachers) and the setting (e.g., school or laboratory) that will be used in the R/R&D activities to develop the prototype and to assess the feasibility of the prototype.

NOTE: Offerors must include one letter of agreement from an authentic education delivery setting for participation in research should the proposal be awarded. This letter should be no longer than one (1) page, and is to be included in Appendix A.

Measures. Describe the measures that will be used in this research and where appropriate, include information on reliability and validity of instruments.

Procedures. Describe when and how data will be collected to determine the feasibility of the prototype. 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 specify how the collected data will be used to refine the product.

c. Potential Problems, relation of Phase I R/R&D to Phase II R/R&D Describe any potential problem areas that are anticipated in Phase I and provide alternative strategies that would be considered in such circumstances. Discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort.

4. Project Team – Biographical Summary of Each Key Project Personnel Within this section in the 15-page narrative, offerors must list and provide a short biographical summary for each member of the project team, including consultants.

The project team should have expertise in education technology, education theory and practice, education research, research methods for the development and research of education technology (including experience performing research in authentic education delivery settings), and in the commercial application of education or technology-related products. In addition, ED strongly encourages offerors interested in applying to this program to assemble research teams that collectively have expertise in the development of advanced technology (e.g., artificial intelligence capabilities), instructional design, and the targeted content domain (e.g., history or mathematics).

In the summary of the principal investigator, describe relevant educational qualifications and experience. List all other commitments that the principal investigator has during the proposed period of performance. Describe why this individual is capable of managing the proposed project. In the summary of each of the remaining key personnel, describe the role of each individual in the project, and describe relevant educational qualifications and experience.

NOTE: While biographical summaries must be included within the 15-pages, Appendix B must also include two certifications and a 1-page resumé for each of the key personnel listed above in 4. Project Team.

5. Resources The conduct of advanced R/R&D may require the use of sophisticated instrumentation or computer facilities. The offeror must describe the adequacy of available support, including facilities, equipment, supplies, and other resources, from the proposing firm and from sub-contractors to carry out necessary Phase I R/R&D.

6. Cost Breakdown/Proposed Budget Offerors must provide Phase I budget information in Appendix E. The budget cannot exceed the maximum dollar amount of $150,000. Proposals with budgets exceeding $150,000 will be rejected prior to review. See Appendix E for formatting requirements.

7. Human Subjects Offerors should include information on human subjects (if applicable) in Appendix F. See Appendix F for information.

8. Similar or Closely Related Awards or Proposals If the small business concern has received ANY prior Phase I or Phase II award(s) from ED, or any other Federal agency for similar or closely related research, submit the name of the awarding agency, the date of award, the funding agreement number, the amount, and the project title. Describe the technical differences and reasons why the proposed new Phase I (and eventually Phase II) research is different from the research conducted under prior SBIR awards. This required proposal information shall not be counted toward proposal pages count limitation and shall be included in Appendix C in the proposal.

It is acceptable for an offeror to submit identical proposals or proposals containing a significant amount of essentially equivalent work under other Federal program solicitations. If an offeror does submit identical proposals or proposals containing a significant amount of essentially equivalent work, a statement must be included in this proposal indicating: the name and address of agencies to which the proposal(s) was/were submitted; the date of the proposal submission and date of award; the title, number and date of the SBIR program solicitation under which the proposal was/were submitted; the applicable research priority in the program solicitation for each SBIR proposal submitted or award received; the titles of research projects; and the name and title of the principal investigator for each proposal submitted.

WARNING

Although with prior notification it is permissible to submit identical or essentially equivalent proposals for consideration under numerous Federal program solicitations, it is unlawful to enter into contracts requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

9. Documentation and Status of Prior SBIR Phase II Awards If the small business concern or the principal investigator (when previously at a different firm) has received ANY prior Phase II awards from any Federal agency in the prior 7 fiscal years, provide the following:

· Name of the awarding agency and office

· Dates of award (start and finish)

· Contract/grant number

· Award amount

· Title of the project

· A short description of the product that was developed as a result of the award

· Details on the commercialization history and current status of the product, including:

· details on any follow-on agreements or partnerships

· the sales and marketing strategy for how the product is made available for purchase (e.g., website, trade magazines, licensing agreements)

· the sales history and revenue generated from the product

· data on the number of past and current users (e.g., schools, students)

· Details on peer-reviewed journal publications resulting from the R/R&D of the product

This required proposal information shall not be counted toward proposal 15-page limit of the project narrative and shall be included in Appendix D in the proposal.

G. PRIORITY 2: TOOLS TO BE USED BY RESEARCHERS IN THE FIELD OF EDUCATION

Project Narrative – Technical Content (NOTE: See page 12 for F. PRIORITY 1: Project Narrative – Technical Content)

For PRIORITY 2 proposals for the development of tools to be used by researchers in the field of education, the project narrative constitutes the main body of the Phase I proposal. The project narrative should be titled "PRIORITY 2: Project Narrative – Technical Content” and shall begin on page "1".

1. Significance

a. Problem Describe the problem in the field of education research that the proposed tool is intended to address and justify the importance of investing in R/R&D to solve this problem.

b. The tool, its use, and the intended outcomes Clearly describe the tool that would be developed after Phase I and Phase II R/R&D is complete. Specify its purpose and the intended user of the proposed tool. Describe the features or components of the tool and any additional materials to support use (e.g., instruction manuals or handbooks). Describe how the fully developed tool is intended to function. For example, where appropriate, describe how the tool would be used in a research setting (e.g., office, laboratory, classroom, or remote or distance circumstance). Describe whether the tool would replace or supplement existing approaches. Specify the intended outcomes that will come from using the tool (e.g., improve survey response rates, improve accuracy of statistical analyses to inform practice, improve efficiency of classroom observation from remote locations).

c. Theoretical and empirical Support If applicable to the tool being developed, describe the theoretical rationale for the tool (e.g., the reason why student response rates are expected to improve or the reason why classroom observations should be more reliable). Discuss the empirical evidence (relevant research) to support the idea that the proposed tool will achieve the intended goals (e.g., improve the validity and reliability of education research, improve response rates, or enable researchers to more easily analyze quantitative data from single case experimental designs).

d. Related R/R&D by the project team Describe significant R/R&D conducted by the project team members or by the proposing small business that is directly related to the proposal. Describe results from relevant research. Describe how previous R/R&D relates to and provides a foundation for the proposed effort.

e. Similar tools or typical practices Describe similar tools or current typical practices in the proposed area. Include a description of relevant research on these tools or practices that is available. If applicable, include information on the validity and reliability of such tools or practices. Describe why the proposed technology is an improvement on similar research tools or current typical research practices.

f. Potential commercial application Describe the potential commercial application of the tool after Phase I and Phase II R/R&D is complete, and why the technology has potential to be widely disseminated and utilized. Offerors might also address the relevance of the proposed tool in relation to the type of work that the Institute funds.

NOTE: Offerors may provide up to three (3) letters to endorse the significance and the potential commercial…