ED-IES-14-R-0009_Amendment_0001.pdf

NSN 7540-01-152-8070 STANDARD FORM 30. (Rev. 10-83) Previous Edition unusable Prescribed by GSA FAR (48 CFR) 53.243

Page of Pages AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. Contract ID Code

2. AMENDMENT MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (if applicable)

6. ISSUED BY CODE 7. ADMINISTERED BY (If other than item 6) CODE

(x) 9A. AMENDMENT OF SOLICITATION NO.

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NO.

8. NAME AND ADDRESS OF CONTRACTOR (NO., Street, Country, State and ZIP Code)

CODE FACILITY CODE

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of offers is extended, is not extended.

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning ______ copies of amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OR OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

Check One

A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE

CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return _______ copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible)

Except as provided herein, all terms and conditions of the document referenced in item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print)

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

15B. CONTRACTOR/OFFEROR 16B. UNITED STATES OF AMERICA

(Signature of person authorized to sign)

15C. DATE SIGNED

(Signature of Contracting Officer)

16C. DATE SIGNED

Attachment Page

PAGE 2 OF 7 ED-IES-14-R-0009/0001

IES SBIR 2014 Phase I RFP

U.S. Department of Education Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

PHASE I

PROGRAM SOLICITATION FOR FY 2014

REQUEST FOR PROPOSALS

RFP Number: ED‐IES‐14‐R‐0009

Amendment 0001

CLOSING DATE: March 24, 2014 2:00 P.M., Eastern Time

U.S. Department of Education’s responses to clarification questions submitted by February 20, 2014, 2

P.M. ET:

1. I presume this is for any discipline. In the past STEM was clearly noted and our focus is STEM instruction?

Response: Please review Section IX. Priority Areas.

2. In the past an upper grade level of grade 16 (terminal year of college) was specified. This does not seem to be the case for this year. Is there an upper grade limit?

Response: Please review Section IX. Priority Areas.

3. We plan to partner with a University and perhaps a local Community College and or School District. They would be subcontractors but clearly not small businesses. We understand the amount of internal work that must be done as specified in the solicitations. They would be part of the portion that can be done outside the company. Is this allowed?

Response: Yes, so long as the small business spends two‐thirds of the funds in Phase I.

4. Would you please clarify the wording on the top of page 3 of the solicitation regarding how much of the research and/or analytic effort must be performed by the proposing firm. Within this paragraph, the solicitation identifies this as two‐thirds and one‐half in two different instances.

Response: A minimum of two‐thirds of the funds must be spent by the small business in Phase I.

A minimum of one‐half of the funds must be spent by the small business in Phase II.

5. Should we employ a continuous page numbering system throughout the entire submittal?

Response: The Technical Narrative should be included and numbered as pages 1 through 15.

Offerors may continue with the numbering pages through the Appendices if they choose.

6. Should we use page numbers for the appendices?

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7. Are there requirements for section numbering?

8. On page 25 under D. Subcontracting Limits – Research and Analytic Work, it is indicated that for Phase I at least two‐thirds of the research and/or analytic effort must be performed by the proposing small business concern unless otherwise approved in writing by the contract officer after consultation with the Contracting Officer (CO) and the SBIR program manager. Would you please advise as to when and how this request is to be made?

Response: Such a request could be made to the CO after the award notification.

9. Does Appendix A need to be physically included in the document if we do not have any prior SBIR awards?

Response: Offerors may include a page with the heading “Appendix A: No prior Phase II SBIR awards to report.”

10. Regarding font size, I saw 12pt was acceptable but did not know if "TIMES NEW ROMAN 12pt" was acceptable. Can you confirm?

Response: Yes.

11. Page 65 offers a great explanation of what's required or needed in the Letters of Endorsement required for Appendix H, however, there is no such explanation of what's expected in Appendix B Letter of Agreement to Participate from authentic education setting. Can you make a public announcement or clarify for me what you're looking for beyond a statement indicating a School is working with me.

Response: A letter in Appendix B is required. In the current example, a letter from an authentic education setting could detail that teachers and students at this organization will participate in the Phase I research.

12. Lastly, with regard to letters of endorsement, I've received one already, which conforms to the 4‐side, 1 inch margin requirements but it is on letterhead containing a logo in the margin. Is this a violation of the layout requirement? Would letterhead disqualify my proposal or the endorsement?

Response: Given the information provided, it appears this would be acceptable.

13. On page 33, under the 2014 priority areas, the example provided includes education technology products for students and teachers. Products for teacher use focuses on improving instruction or administrative work. Would products for teacher leaders, principals and other school/district leadership be under this priority?

Response: If an offeror proposes to develop a product for teacher leaders, principals and other school/district leadership, the offeror would need to indicate why such individuals would be considered instructional personnel.

14. Section V Paragraph E. 16 describes a Background Investigation Requirement. All the employees we are proposing, except for one, hold security clearances. Do these clearances satisfy the requirement or will additional fingerprints need to be taken in the event that our proposal results in an award?

Response: Yes, given the information provided, it appears this would be likely.

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15. Part 8 of Appendix G describes the Department Security Requirements as per CFR 3452.239‐71.

All risk levels have been marked “N/A”, so what action, if any, do we need to take during the proposal process to satisfy this requirement?

Response: No further action is required by the offeror at this time.

16. Does paying a small incentive to study participants count as part of the subcontractor fee (and thus subject to the 1/3 stipulations of the budget)?

Response: If the subcontractor is providing the fee to participants, yes.

17. Are consultants (for instance if we have a content specialist or UDL specialist help with a couple of days of work) part of the 1/3 budget or is the company submitting the proposal allowed to pay them out of their 2/3 of the budget?

Response: Any member of the team not an employee of the small business is considered a subcontractor.

18. Throughout the RFP, but especially on Pg. 33, there is reference to authentic education settings. Appendix B (page 41) talks about getting a letter of support from an authentic education setting willing to participate in research. Teachers of students with special needs will review the design and usability of the tool for their daily lesson planning and use within the classroom. Our tool would be implemented in an authentic education setting and we have agreement from authentic education settings who will participate in this research, but during Phase 1 prototype development we would be conducting design studies that would not require use in the classroom yet. Is that acceptable for Phase 1? The Phase 2 research would happen in the classroom.

Response: A letter from the authentic education setting is required in Appendix B for Phase I. If a project is proposing research outside of a classroom setting (e.g., in a laboratory), a letter might indicate that teachers and students are available to participate in this type of Phase I research.

19. Pages 44 and 63‐64. The RFP seems to indicate that travel that is justified and related to the needs of the project, such as an initial face‐to‐face meeting to mock up the design specifications and database needs, may be included in the budget because that does not fall into the definition of “invitational travel”, yet, page 64 states “funds are not authorized for the use of travel”. Are offers allowed to include a single trip for the offer and subcontractors to meet face to face for the purpose of technology design? And if so, and we would like that travel to occur right after the grant begins, how do we obtain permission for such a meeting?

Response: Travel by project team members related to R&D of the prototype is allowable.

Additional funds will not be given for any travel related expenses. This is a fixed price contract.

20. Appendix H Phase II asks for up to 5 letters showing our marketability and commercial potential.

May we use some of the 3 letters from Phase I that outline our marketing partnership and support from State Departments of Education or should all of these letters be original to Phase

II?

Response: Appendix H in the Phase I RFP allows for up to three (3) letters endorsement. The offeror should refer to the specifications as listed in the RFP.

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21. Do subcontractors need to complete Appendix D, Similar or Closely Related Awards or proposals or only the proposer?

Response: No.

22. Human studies is the best way to validate our technology however, considering the time and budget of Phase I, human studies usually seem to be out of the scope. Is it ok to propose human testing in Phase I or is it best to defer it to Phase II?

Response: The offeror may refer to the Phase I R&D requirements for information.

23. Is there a separate section for Commercialization or is it supposed to be included in the 15 page project narrative?

Response: The Phase I RFP does not request a formal commercialization plan. The significance section does request offerors describe the potential commercial application of the intended product, and the offeror may include up to three (3) letters to endorse the significance of the proposed product or the potential pathways for commercial dissemination and sustainability of the proposed product.

24. Is there a schedule as to when the proposals will be evaluated and notification will be made?

Response: Notification of awards is planned to be within 90 days of the submission day, or on or before June 24.

25. Who are the reviewers? Are the applications peer reviewed by DOED personnel or are the reviewers picked from universities and industries?

Response: Federal employees will be the reviewers. The offeror should refer to Section IV of the RFP for more detail.

26. If we provide the technology to students and schools for free, there will be no direct revenues generated. However, there is likely to be related sales of other complementary products as a result. Can these derivative revenues be used to provide the financial support/viability for this free technology?

27. Can a nonprofit educational organization apply for these funds?

Response: The offeror must be a for‐profit small business. Non‐profit organizations may act as subcontractors.

28. Could a for profit educational publisher provide the financial support for a nonprofit educational organization to provide this free technology?

29. Do you have sample Department of Education SBIR Phase I proposals?

30. Is it possible to discuss our Phase I idea with someone?

Response: As is noted in the RFP, ED does not provide technical assistance during the time in which the solicitation is open.

PAGE 6 OF 7 ED-IES-14-R-0009/0001

31. May we send you a 1‐2 page summary of the project to see if it is a good fit for this solicitation?

Response: As is noted in the RFP, ED cannot provide technical assistance during the time in which the solicitation is open.

32. Will there be a webinar regarding the Phase I solicitation?

33. Do you have any guidance on selecting a priority if educators are indicating they see the proposed solution as ideal for both categories?

Response: No guidance can be provided.

34. On page 17 of the solicitation under 3. Phase I Work Plan, item b. Research on the usability of the prototype and initial feasibility of the product concept, the text reads, “At the end of the Phase I period, offerors should describe the research process that will be used to demonstrate the usability of the prototype….” Would you please clarify whether this is to take place within the 6 month Phase I period, or, is the offeror expected to describe a process that will take place subsequent to Phase II?

Response: This form of research must take place during Phase I.

35. How should citations be made?

Response: As is noted in the RFP, citations must be included with the 15 page technical narrative. The RFP does not specify the format of the citations.

36. At a former employer I was PI for several DoD SBIR I, II & III Projects. Some of the information requested I'm not at liberty to disclose (e.g. Commercialization Financials); how should I document where information requested is proprietary to my former employer?

Response: No guidance can be provided in response to this question.

37. Is there an expectation for the PI to have a scientific/research background?

Response: There is no such expectation.

38. Can there be co‐PIs?

Response: Not within the proposal.

39. What's a realistic profit percentage to expect (if any)?

Response: The RFP does not provide guidance in regard to this question.

40. If chosen, when would the actual funds be dispersed and under what schedule? (i.e. "Lump sum on 7/7/14") Response: Review Section V. Considerations.

41. Are there page limits/restrictions for bios? Can we have multiple per page?

Response: The Resume in Appendix C can be a maximum of 1‐page in length. The offeror may refer to the solicitation for additional guidance.

42. If we are developing a web‐based tool to be used by teachers to organize classroom observations, would that be considered human subject testing?

Response: The offeror may refer to Appendix F for information on human subjects.

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43. In the Fast‐Track RFP, page 4, par 3 states (referring to Phase I): “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.” Yet, on the Phase I budget template on page 53, the note “(no more than 33% of the total Phase I price)” is placed to only refer to Subcontractors. The same information regarding Phase 2 contains this inconsistency also.

Which reference contains the correct information?

Response: The information provided on Page 4 is correct. For Phase I, the proposing firm must perform at least two‐thirds of the research and/or analytic effort. 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. The sample budget sheet is erroneous, and all offerors should adhere to the language contained in Page 4 of the solicitation document.

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