ED-IES-13-R-0006.doc

IES SBIR 2013 FAST-TRACK RFP

U.S. Department of Education

Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

FAST-TRACK (PHASE I & PHASE II) OPTION

PROGRAM SOLICITATION FOR FY 2013

REQUEST FOR PROPOSALS

RFP Number: ED-IES-13-R-0006

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

PRIORITY 2: Education Technology Products Used by Infants, Toddlers, or Students With or At Risk for Disabilities, or Teachers (or other Instructional Personnel, Related Services Providers, or Family Members) in Early Intervention or Special Education

ISSUE DATE: December 20, 2012

CLOSING DATE: February 5, 2013

2:00 P.M., Eastern Standard Time

FAST-TRACK (Phase I & II)

TABLE OF CONTENTS

Top Section

Page

I. Program Overview……………………………… II. Definitions………………………………………………………………………………………….……….… III. Contract Proposal Preparation Instructions and Requirements………………….….…10

IV. Method of Selection and Evaluation Criteria…………………………………………….……..25 V. Considerations……………………………………………………………………………………….………..28 VI. Proposal Submittal Information………………………………………………… VII. Scientific and Technical Information Sources………………………………………………..…37

VIII. FAST-TRACK Proposal Checklist……………………………… IX. 2013 Priorities Areas..……………………………………………………………………………………..39 X. Appendices to the Proposal

A. Letter of Agreement for Participation………………………………………….……..45 B. Biographical Summary Certification and Resumé Pages………………….….46 C. Similar or Related Awards or Proposals ……………………………………………..47 D. Documentation and Status of Previous Phase II Awards……………………..48 E. Phase I Budget and Phase II Budget Information……….………………………..49 F. Human Subjects Information……………………………………………...……… G. Department of Education Required Information…………………….…..… H. Letters of Endorsement – (Maximum 5 letters)…………………………….……72

U.S. DEPARTMENT OF EDUCATION

INSTITUTE OF EDUCATION SCIENCES

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SOLICITATION

FY 2013

FAST-TRACK (PHASE I & II) OPTION

REQUEST FOR PROPOSALS (RFP) # ED-IES-13-R-0006

I. PROGRAM OVERVIEW

A. Introduction

The U.S. Department of Education (ED) invites qualified small business firms to submit a SBIR Fast-Track proposal under this program solicitation. This solicitation is for offerors who are submitting a SBIR Fast-Track proposal (Phase I and Phase II combined into one proposal) to develop an education technology product for use by students or teachers (or other instructional personnel) in education, or a product for use by infants, toddlers, or students with or at risk for disabilities, or teachers (or other instructional personnel, related services providers, or family members) in early intervention or special education. 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 prime contractor.

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 SBIR Fast-Track proposal in 2013.

Phase I – Phase I is to determine, insofar as possible, the scientific or technical merit of ideas submitted under the SBIR program. The proposal shall 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. 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.

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

· In order to apply for SBIR Fast-Track funding, offerors must submit both (1) a full SBIR Phase I proposal and (2) a Fast-Track proposal. SBIR Fast-Track proposals that are submitted without a full Phase I proposal will not be evaluated. (See Section VI “Proposal Submittal Information,” for instructions on submitting a full Phase I proposal and a Fast-Track proposal within the same package.)

· The SBIR Fast-Track proposal includes descriptions of the proposed Phase I activities and the proposed Phase II activities.

· In the Phase I portion of the SBIR Fast-Track proposal, the offeror must (1) describe the significance of the project; (2) specify clear, measurable goals (milestones) that detail the development of a functioning prototype of a technology product in early intervention or special education programs; and (3) specify a research plan to test the usability and initial feasibility of the prototype. This work must be achieved prior to initiating Phase II, as it will be used to judge the success of the Phase I effort.

· In the Phase II portion of the SBIR 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 technology product, (2) provide a research plan to test the usability, feasibility, fidelity of implementation, and promise of the product for achieving the intended outcomes when implemented in an education setting, and (3) detail a commercialization plan for the sale and distribution of the product.

· The Phase I proposals will be evaluated by a Phase I Technical Evaluation Review Panel. The Phase I Technical Evaluation Review Panel will not have access to the SBIR Fast-Track proposal that was submitted in the same package.

· After the review of the Phase I proposals, if an offeror’s Phase I proposal is under consideration for a Phase I award, the SBIR Fast-Track proposal will then be evaluated. In cases where an offeror’s Phase I proposal is not under consideration for a Phase I award, the SBIR Fast-Track proposal will not be evaluated.

· All eligible SBIR Fast-Track proposals will be evaluated by a Fast-Track Technical Evaluation Review Panel. The SBIR Fast-Track proposal will receive a single rating for the proposed Phase I and Phase II project.

· The government reserves the right to award a contract solely for Phase I to offerors who have also submitted a SBIR Fast-Track proposal. Offerors who submit a SBIR proposal who are unwilling to accept a Phase I-only award, should not submit a proposal.

NOTE: Offerors who intend to submit a proposal through the SBIR Fast-Track option must submit both 1) a full Phase I proposal and 2) a SBIR Fast-Track proposal in the same package. For the SBIR Fast-Track option in 2013, when an offeror’s Phase I proposal is not under consideration for an award, the SBIR Fast-Track (Phase I & Phase II) proposal will not be reviewed.

· For specific SBIR Fast-Track proposal submittal information, view Section VI of this solicitation.

· To view the Phase I RFP and for more information on preparing the full Phase I proposal, click here.

C. Authorization

The “Small Business Reauthorization Act of 2011” (the “Act”) was enacted on December 31, 2011. 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. 77, No. 151 on Monday, August 6, 2012 . It is also available at: https://www.federalregister.gov/articles/2012/08/06/2012-18119/small-business-innovation-research-program-policy-directive. 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 one‑third 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 one‑half 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 IX

Section VIII for the priority 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 SBIR Fast-Track 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 SBIR Fast-Track awards on the Federal Business Opportunities website in May 2013. All offerors shall receive notification and reviewer evaluations from ED approximately two weeks after the announcement on the Federal Business Opportunities website.

The Phase I portion of the SBIR Fast-Track project start date shall be May 15, 2013. Successful offerors have up to 6-months to carry out the proposed Phase I effort. The decision to fund the Phase II portion of the SBIR Fast-Track award will occur in November 2013, 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. Awardees whose objectives are not met will not be funded during Phase II. The Phase II portion of the Fast-Track project start date shall be December 3, 2013. Successful offerors have up to 2-years to carry out the proposed Phase II effort.

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 of the SBIR Fast-Track in 2013.

This Department has an award limit of $900,000 for Phase II of the SBIR Fast-Track in 2013.

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. Report Fraud, Waste and Abuse

The Office of Inspector General Hotline at the U.S. Department of Education accepts tips from all sources about potential fraud, waste, abuse, and mismanagement in Department of Education programs. The reporting individual should indicate that the fraud, waste, and/or abuse concerns an SBIR grant or contract, if relevant.

http://www2.ed.gov/about/offices/list/oig/hotline.html

J. AGENCY CONTACT

All questions must be directed in writing to Contract Specialist, Jennifer Arthur at Jennifer.Arthur@ed.gov. Any responses would be posted as an amendment to the solicitation on FedBizOpps. The Government cannot guarantee that questions submitted after January 4, 2013, 2 P.M. EST, will receive a response.

Jennifer Arthur

Email: Jennifer.Arthur@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) Act. The Small Business Act (15 U.S.C. 631, et seq.), as amended.

(b) Additionally Eligible State. A State in which the total value of funding agreements awarded to SBCs (as defined in this section) under all agency SBIR Programs is less than the total value of funding agreements awarded to SBCs in a majority of other States, as determined by SBA's Administrator in biennial fiscal years and based on the most recent statistics compiled by the Administrator.

(c) Applicant. The organizational entity that qualifies as an SBC at all pertinent times and that submits a contract proposal or a grant application for a funding agreement under the SBIR Program.

(d) Affiliate. This term has the same meaning as set forth in 13 CFR part 121—Small Business Size Regulations, §121.103, What is affiliation? Further information about SBA’s affiliation rules and a guide on affiliation is available at www.SBIR.gov and www.SBA.gov/size.

(e) Awardee. The organizational entity receiving an SBIR Phase I, Phase

II, or Phase III award.

(f) Commercialization. The process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of the products, processes, technologies, or services for sale to or use by the Federal government or commercial markets.

(g) Cooperative Agreement. A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative Agreement contains the responsibilities and respective obligations of the parties.

(h) Covered Small Business Concern. A small business concern that:

(1) was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms on the date on which it submitted an application in response to a solicitation under the SBIR program; and

(2) is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms on the date of the SBIR award.

(i) Eligible State. A State: (1) where the total value of SBIR and Small Business Technology Transfer (STTR) Program awards made to recipient businesses in the State during fiscal year 1995 was less than $5,000,000 (as reflected in SBA's database of fiscal year 1995 awards); and (2) that certifies to SBA's Administrator that it will, upon receipt of assistance, provide matching funds from non-Federal sources in an amount that is not less than 50% of the amount of assistance provided.

(j) Essentially Equivalent Work. Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.

(k) 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. For the Agency for International Development, the “extramural budget” must not include amounts obligated solely for general institutional support of international research centers or for grants to foreign countries. For the Department of Energy, the “extramural budget” must not include amounts obligated for atomic energy defense programs solely for weapons activities or for naval reactor programs. (Also see §7(i) of this Policy Directive for additional exemptions related to national security.)

(l) Feasibility. The practical extent to which a project can be performed successfully.

(m) Federal Agency. An executive agency as defined in 5 U.S.C. §105, and a military department as defined in 5 U.S.C. 102 (Department of the Army, Department of the Navy, Department of the Air Force), except that it does not include any agency within the Intelligence Community as defined in Executive Order 12333, §3.4(f), or its successor orders.

(n) Federal Laboratory. As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

(o) 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.

(p) Funding Agreement Officer. A contracting officer, a grants officer, or a cooperative agreement officer.

(q) Grant or Contract. A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. A grant or contract is used whenever the Federal agency anticipates no substantial programmatic involvement with the awardee during performance.

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

(s) Intellectual Property. The separate and distinct types of intangible property that are referred to collectively as “intellectual property,” including but not limited to: (1) patents; (2) trademarks; (3) copyrights; (4) trade secrets; (5) SBIR technical data (as defined in this section); (6) ideas; (7) designs; (8) know-how; (9) business; (10) technical and research methods; (11) other types of intangible business assets; and (12) all types of intangible assets either proposed or generated by an SBC as a result of its participation in the SBIR Program.

(t) Joint Venture. See 13 C.F.R. §121.103(h).

(u) Key Individual. The principal investigator/project manager and any other person named as a “key” employee in a proposal submitted in response to a program solicitation.

(v) Principal Investigator/Project Manager. The one individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement.

(w) Program Solicitation. A formal solicitation for proposals issued by a Federal agency that notifies the small business community of its R/R&D needs and interests in broad and selected areas, as appropriate to the agency, and requests proposals from SBCs in response to these needs and interests. Announcements in the Federal Register or the GPE are not considered an SBIR Program solicitation.

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

(y) 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 application 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.

(z) Small Business Concern. A concern that meets the requirements set forth in 13 C.F.R. §121.702.

(aa) Socially and Economically Disadvantaged SBC (SDB). See 13 CFR part 124, Subpart B.

(bb) Socially and Economically Disadvantaged Individual. See 13 C.F.R. §§ 124.103 & 124.104.

(cc) SBIR Participants. Business concerns that have received SBIR awards or that have submitted SBIR proposals/applications.

(dd) SBIR Technical Data. All data generated during the performance of an SBIR award.

(ee) SBIR Technical Data rights. The rights an SBIR awardee obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

(ff) 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 for the performance of the original funding agreement.

(gg) Technology Development Program.

(1) the Experimental Program to Stimulate Competitive Research of the National Science Foundation as established under 42 U.S.C. 1862g;

(2) the Defense Experimental Program to Stimulate Competitive Research of the Department of Defense;

(3) the Experimental Program to Stimulate Competitive Research of the Department of Energy;

(4) the Experimental Program to Stimulate Competitive Research of the Environmental Protection Agency;

(5) the Experimental Program to Stimulate Competitive Research of the National Aeronautics and Space Administration;

(6) the Institutional Development Award Program of the National Institutes of Health; and

(7) the Agriculture and Food Research Initiative (AFRI).of the Department of Agriculture.

(hh) 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.

(ii) Women-Owned SBC (WOSB). An SBC that is at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.

III. FAST-TRACK 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 early childhood or student outcomes, or teacher or caregiver practices. 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 Fast-Track 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 25 pages in length. Pages shall 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 25-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, shall be no more than 15 characters per inch (cpi). For proportional spacing, the average for any representative section of text shall 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 the 25-pages in this section.

e. Binding proposals

Proposals must be bound by binder clips only and not staples. Offerors are asked not to use binders, tabs, or blank color pages within the proposal to divide or delineate sections. Offerors shall 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. SBIR Fast-Track 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 System for Award Management (SAM) database . The SAM website allows Federal Government contractors or firms interested in conducting business with the Federal Government to provide basic information on business capabilities and financial information. The Online Representations and Certifications (ORCA) site located at http://orca.bpn.gov has been relocated to SAM. Offerors are required to register and input their Representations and Certifications in https://www.sam.gov/. Please contact the SAM site directly for technical support. ED does not provide technical support for SAM. Offerors that do not have a current registration in SAM.gov at the time of award will be excluded from the competition.

· To register in SAM, go to http://www.sam.gov.

2. Contractor Certifications

In addition to registering in SAM, 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 proposal. No other cover pages are permitted to precede page i.

1. Key Information for the Fast-Track Proposal

· Solicitation Number ED-IES-13-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 priority area. See Section IX. for additional information on the Priority Area.

( PRIORITY 1: Education Technology Products Used by Students or Teachers (or Other Instructional Personnel)

( PRIORITY 2: Education Technology Products Used by Infants, Toddlers, or Students With or At Risk for Disabilities, or Teachers (or other Instructional Personnel, Related Services Providers, or Family Members) in Early Intervention or Special Education

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 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 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.)

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 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.

F. Project Narrative – Technical Content

The project narrative must be titled "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 in Phase I and Phase II. Specify the intended user of this product (e.g., middle school social studies students, high school special education guidance counselor, parents of children with disabilities). Describe the critical components of this product and any additional materials required to support implementation (e.g., student or teacher handbooks). Describe how this product will function once completed.

Describe how this product would be implemented in the intended education setting (e.g., early intervention setting, classroom, supplemental education service, after school program, homes of children with or at risk for disability). For example, would this product replace, supplement, or be integrated within existing practice as an intervention, or would it alter instructional approaches? Describe the expected level of resources and why this product’s implementation will be feasible for users given their resource constraints (e.g., time, funds, schedules).

Specify the intended outcomes that would come from using this product (e.g., improve vocabulary, improve understanding of Civil War battles, improve teaching efficiency, improve career readiness).

c. The theory of change, and theoretical and empirical support

Describe the theory of change for the proposed product. The theory of change details the process through which the key components of this product are expected to lead to the desired student or teacher outcomes. The theory of change describes the relation between the product and the outcome measures (e.g., the proposed measures tap the constructs that the product is intended to address). For products designed to directly affect the teaching and learning environment and, thereby, indirectly affect student outcomes, offerors should be clear in the theory of change to identify the proximal outcomes that this product is designed to affect (e.g., teacher practices) and how these proximal outcomes are to impact the more distal student outcomes intended to be improved. Logic models are often used to illustrate the theory of change.

Describe the theoretical justifications supporting the theory of change (i.e., describe how the product is grounded and supported by theory) and provide empirical evidence supporting the theory of change (i.e., use data from past studies to show that the proposed product or its components can be expected to have the intended 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 relevant results from this 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 the relevant research that is available on these products or practices. Describe why the proposed product will be sufficiently different from and better than current products or practices. In doing so describe shortcomings of the current products or practices and why the proposed product will not suffer from the same shortcomings.

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 critical components of the prototype that will be developed in Phase I and what work will be completed in order to have a fully functioning prototype. The Phase I R/R&D objectives should include activities to test the usability of the prototype and the initial feasibility of the product concept 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. (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 a prototype will be developed and fully functioning (e.g., usability). Offerors should also describe the procedures that will be used to test and refine the prototype. For such research, offerors should describe how and when data will be collected, the characteristics of the sample (e.g., students, teachers), and the procedures for analyzing data.

b. Research on the usability of the prototype and the initial feasibility of the product concept

At the end of the Phase I period, offerors should describe the research process that will be used to demonstrate the usability (or functioning) of the prototype when it is used by the anticipated end user (e.g., student, teacher), and to assess the initial feasibility of the product concept after being presented to end users.

Such research might involve conducting a small pilot test of the prototype being used in a classroom to determine if the prototype functions in the way that it is intended (usability), and whether users are attentive and engaged when they use the prototype in the context of understanding the product concept (initial feasibility). Offerors might also include a think-aloud study in which a small sample of intended end-users provides feedback on what they are thinking as they use the prototype and see additional plans for the fully developed 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, detect trouble spots that users have difficulty navigating, or determine if the product concept makes sense in relation to the Phase I prototype. Pilot studies should include a small sample of individuals who are like those for whom the fully developed product is intended.

To describe the usability and initial 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 users able to follow the instructions for using the prototype? Are users engaged in the material when using the prototype or when viewing the full product concept? After testing the prototype and seeing plans for the full development of the product, do users believe the product has potential for improving user outcomes?).

Sample. Describe the population (e.g., students, instructors) and the setting (e.g., laboratory, school, child-care facility) that will be used in the R/R&D activities to develop the prototype and to assess the usability and initial feasibility of the prototype.

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 usability and initial 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.

In concluding this section, offerors should discuss how the Phase I R/R&D will provide a foundation for the Phase II R/R&D effort.

c. Potential Problems

Describe any potential problem areas that are anticipated in Phase I and provide alternative strategies that would be considered in such circumstances.

3. Phase II Technical Objectives

a. R/R&D objectives

State the specific objectives of the Phase II R/R&D effort. The Phase II R/R&D objectives must include activities to (1) fully develop the product, (2) iteratively refine the product to establish preliminary usability and feasibility, and (3) conduct pilot research in an education delivery setting to test the usability, feasibility, and fidelity of implementation, and promise of the product for achieving the intended outcomes.

Usability of the product includes whether the product functions properly and whether the intended user is physically able to use the product and understands how to use it. Feasibility demonstrates whether the end user can use the product within the requirements and constraints of an authentic education delivery setting (e.g., classroom or school). There may be overlap between usability and feasibility but the primary distinction between them is that usability addresses whether the product functions given the individual abilities of the user while feasibility addresses whether it is practical to implement the product given the supports and constraints of the user’s setting. Fidelity of implementation is whether the product is being delivered as it was designed to be by the end users in an authentic education delivery setting. Promise of the product to achieve intended outcomes means initial evidence that the student and/or instructional personnel outcomes intended to be improved by the product are improved either directly or indirectly (through intermediaries) by the product.

b. Project period

Explain how the proposed objectives will be accomplished within a 2-year period. A timeline should include details on when each of the critical components of the product will be developed, refined, and finalized, and when the pilot research will occur.

4. Phase II Work Plan

a. Full-scale development of the product

Provide a description of the technological R/R&D procedures through which the prototype will become (or will be on a trajectory to become) a commercially viable product. When describing the development process, the offeror should discuss how the current prototype will be refined and improved upon by implementing it (or critical components of it), observing its usability or functioning, and making necessary adjustments to provide preliminary evidence of usability and feasibility.

Iterative Design

The offeror must describe the plan for carrying out a systematic, iterative, development process. This process often includes small-scale studies in which different components of or approaches to using the product are tried out in order to obtain feedback useful for revision. The Institute does not require or endorse any specific model of iterative development but recommends that offeror’s review models that have been used to develop interventions in order to identify processes appropriate for the work. Similarly, as there is no preset number of iterations (revise, implement, observe, and revise), the offeror should identify and justify the proposed number of iterations based on the complexity of the product and its implementation. The iterative development process should continue until the offeror determines that the intervention can be successfully and feasibly used by the intended end users in an education setting or a laboratory setting. Providing a timeline (as noted in Section 3.b. above) that delineates the iterative development process can help the reviewers understand the ordering of the steps in the development process.

Preliminary evidence of usability and feasibility

The offeror must discuss how evidence will be collected to demonstrate that the product can be successfully used in an education setting or a laboratory setting. Such evidence can be collected late in the development process, as a separate study, and/or early in the pilot study. The data collection can be done on a small scale; however, it should be conducted with the types of users (e.g., teachers, students) for whom the product is intended.

b. Pilot study

Offerors must provide a detailed plan for a pilot study in an education setting to test usability, feasibility, and the fidelity of implementation, and promise of the product to achieve the intended outcomes.

Evidence of the promise of interventions should include a comparison of performance on intended outcomes between those using the intervention and those who do not use the intervention or comparison…