ED-IES-14-R-0009_Amendment_0002.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 5 ED-IES-14-R-0009/0002

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 0002

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

U.S. Department of Education’s responses to additional clarification questions submitted:

WARNING! Offerors must note that there are email attachment size restrictions. The Department of Education cannot accept attachments larger than 25 MB. The Government is not responsible for attachment size restrictions that may exist on offerors' email servers! Offerors are advised to check with their provider for information on email size restrictions and plan accordingly.

If offerors attempt to submit a proposal to Thomas.Smith@ed.gov and receive an error message, they MUST contact the Contract Specialist, Thomas.Smith@ed.gov, PRIOR TO THE CLOSING OF THE SOLICITATION during standard business hours (8:00 A.M. ET to 5:00 P.M. ET, Monday through Friday). The solicitation closes promptly at 2:00 P.M. ET, on March 24, 2014. Late proposals will not be accepted.

1. Regarding the purchase of equipment, the only stipulation IES seems to have is buying American manufactured equipment. Are there any other requirements on research equipment, particularly computers and software?

Response: No other requirements outside of what is detailed in the RFP are provided.

2. Does the lead applicant have to be the ultimate owner and controller of the technology? Could they develop the technology and then turn it over to a non‐profit organization to own and manage?

Response: The offeror determines the ultimate ownership of the technology. Whether ownership is controlled by the offeror or turned over to a non‐profit is the determination of the offeror.

3. What constitutes an “Authentic Education Setting”? Would a private‐pay program, used by students and families as a way of supplementing and strengthening their learning, qualify?

Response: It is possible a private‐pay program as described above could qualify, so long as the learning is connected to what takes place in an authentic education setting (e.g., a school).

4. The first paragraph in the instructions for appendix G on page 50 of the RFP states that the offeror must complete the certifications contained in Appendices F and G. However, no

PAGE 3 OF 5 ED-IES-14-R-0009/0002

IES SBIR 2014 Phase I RFP certification appears to be included in the instructions for Appendix F. Besides the narrative for Appendix F, is any specific form required to be filled in and signed in F?

Response: There is no specific form required to be filled in for Appendix F. As stated on page 49, offerors do not need an assurance or IRB approval as a condition of offering for this contract.

5. Instructions for appendix G.7 indicates that the Conflict of Interest (COI) Plan will be evaluated as part of the offeror's overall proposal. Is the COI Plan evaluation an additional criterion to the SBIR criteria listed in section IV.B. of the RFP (pages 21‐22), and how many points are assigned to the evaluation of the COI Plan?

Response: The COI Plan is not an additional criterion to section IV.B., and does not have a point value. The plan and its contents are required in order to complete Appendix G.

6. Should we insert the COI Plan (Appendix G.7.B) between G7 and G8, or at the end of section G?

Response: The Request for Proposals (RFP) does not state a preference.

7. The RFP states that the offeror must include one letter of agreement from an authentic education setting for participation in the research. Can we involve more than one authentic education setting and include more than one letter? If yes, do we use one separate page for each letter from each institution?

Response: Offerors should only include one (1) such letter in Appendix B. If additional schools are participating in the research, the offeror may note this in the technical narrative.

8. On the proposal, do we include the footer with the page number in the 1 inch margin? Can we include company and project names and RFP number in the header/footer margins? If yes, do we use a 12pt font in the margin, or can we use a smaller 10 or 11pt font?

Response: The offeror may include a footer and can use a smaller font in the footer if desired.

9. Regarding this question from the RFP: 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?

Does this question imply that the product being proposed MUST have an impact on manufacturing or may we address this question from a wider production perspective? For example, software does not appear to be a candidate for the more traditional manufacturing route.

Response: The question does not imply that the proposed product must have an impact on manufacturing. The offeror must indicate if manufacturing will occur once development of the product is complete.

10. On page 11 of the RFP you state, “All offerors to the SBIR program are required to register at the SBA Company Registry (http://sbir.gov/registration) prior to application submission and attach proof of registration.”

This link, however, http://sbir.gov/faq/eligibility%23t46143n390810, provides the following:

“Does the company need to be founded prior to SBIR/STTR proposal submission? You do not have to certify eligibility until the time of award, and most agencies allow you to submit an application prior to establishing the business that will receive the award. However, to avoid potential complications, you should discuss this with the procuring agency’s contracts or grants

PAGE 4 OF 5 ED-IES-14-R-0009/0002

IES SBIR 2014 Phase I RFP officer before applying.” Could you please confirm by what date registration is required, prior to application, or until the time of award?

Response: The Department of Education SBIR requires proposals to be from a business, and all offerors to the SBIR program are required to register at the SBA Company Registry prior to application submission and attach proof of registration.

11. The SBIR specifies a maximum percentage of work that can be performed by subcontractors.

Many members of our team are technically subcontractors in that they work on a 1099 basis. Do people who work on a 1099 basis for a company count as company staff for the purpose of an

SBIR?

Response: The offeror must determine if individuals are employees. Subcontractors are not considered employees.

12. We have an EIN number but not a DUNS number. Do we need to obtain a DUNS number for the proposal?

Response: Yes, a DUNS number is required.

13. We currently have key individuals in place, however we foresee needing two additional individuals for Phase I. They are currently unidentified, though we have budgeted for the positions. The intended hires will not be considered key personnel, however within the biographical summary paragraph it states each member of the project team must be listed. Am I allowed to put down “To Be Hired” in the Appendix and not include them in the Biographical Summary?

Response: The offeror may indicate “To Be Hired.” Although, ED recommends offeror’s include names and biographical statements for key personnel.

14. We would appreciate a clarification on the type of signature that is required in many places in the proposal pdf. Are we required to submit 'real' signatures or will electronic signatures suffice? (And, by 'real' we mean a signature signed by the person in ink on a copy of a page that has been printed out and the page then scanned back in after the signature is affixed.) If electronic signatures are allowed, do you have any technical standards for the type of signature that is acceptable? For example, would a small image of a 'real' signature be acceptable? Or does the image need to include some sort of electronic authenticity stamp and, if so, what? Our team is spread out geographically and including 'real' signatures would be a hardship in terms of time and effort.

Response: An actual scanned signature, an electronic signature that is valid for the type of software being used (Adobe, for example), or an image of an actual signature are all acceptable.

15. Page 9 and Page 20 indicate that Section III.E is to be the first section of the application and that no pages may precede Section III.E. May I take that to mean that the application will not have a Section I, will not have a Section II, and will not have Parts A‐D of Section III? In addition, page 9 indicates that the appendices are to be placed in Section X. Because I see no sections between III and X, may I take that to mean the application will not have Sections IV through IX?

Response: To include the required information under E., offerors should include up to 3‐pages to begin the proposal. Offerors must begin the F. Technical Narrative on Page 1. Offerors can include all Appendices after the conclusion of the Technical Narrative, and can be labelled Appendix A, Appendix B, and so on.

PAGE 5 OF 5 ED-IES-14-R-0009/0002

IES SBIR 2014 Phase I RFP

16. Our team is filing out its SAM registry. As part of the process we are required to respond to whether or not the grants we intend to bid on include a 52.209‐7 Provision. Would you be able to please clarify if Appendix G.11 in the grant is an outline of the same FAR 52.209 or if this part of the SAM registry is referring to something different?

Response: Appendix G.11 is the same Federal Acquisition Regulation (FAR) 52.209‐7 Information Regarding Responsibility Matters (July 2013) that SAM is referring to.

17. Section 2 (technical objectives) is divided into parts a and b in the RFP, the second being a time line for the first. Can those sections be combined into a single table?

Response: The Sections should be labelled as A. and B.

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