QuestionsandResponses.PhaseISBIR.1.13.2016.pdf

January 12, 2016

Amendment 0001

Clarification Questions

1. Offeror question: I'm wondering if you can clarify two budget-related discrepancies in the RFP. They are both listed in the last paragraph on Page 2:

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 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 half of the total contract price.

The second sentence seems to contradict the budget template on Page 48, where subcontractors and consultants are listed differently. On Page 48, it seems that subcontractors alone should not exceed 1/3 of the contract price.

For the last two sentences, is that supposed to refer to Phase II? (With total agreements up to 1/2 of the contract price.)

Department Response: PLEASE NOTE: This same general question was submitted by multiple individuals. The below response from ED/IES SBIR addresses all questions in this regard:

The solicitation contained an error. In Phase I, the small business concern must propose to spend a minimum two-thirds of the funds, with a maximum of up to one-third of the budget to subcontractors.

The text should read: 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.

2. Offeror question: In the Note on page 17, it indicates: "Appendix D must also include two certifications and a 1-page resume for each of the key personnel listed in 4. Project team." Page 45, lists Appendix C requirements: Biographical Summary Certification and Resume Pages and page 46 lists Appendix D requirements: Similar or Closely Related Awards or Proposals - should the certifications and resumes be included in Appendix C?

Department Response: PLEASE NOTE: This same general question was submitted by multiple individuals. The below response from ED/IES SBIR addresses all questions in this regard:

The solicitation included a typo in the language at the top of Page 17. The text should read: two certifications must be included in Appendix C, not Appendix D.

3. Offeror question: Is the typing density and cpi standard for typing with a 12 point font in Microsoft Word? I am not sure what 6 lines of type within a vertical inch means. Is this also standard when you type in a 12 point font in Microsoft Word. How do you check the type size?

Department Response: PLEASE NOTE: This same general question was submitted by multiple individuals. The below response from ED/IES SBIR addresses all questions in this regard:

Yes, the guidance around 12 point font refers to proposals written using Microsoft Word. Type Density and type size must be the standard/default Microsoft Word settings.

4. Offeror question: Are there any other documents required other than a federal tax ID and DUNS number?

Department Response: Many documents and certifications are required. The offeror is advised to review the whole of the solicitation.

5. Offeror question: Is it possible to receive funding for an initiative that uses technology that will be commercially viable, but seeks to have its impact through the combined use of technology (website and video) supported by coaches who will be employees of the for-profit enterprise in the final model?

Department Response: Without more information, it is not possible to answer this question one way or another. From what is provided, it seems possible that such a proposal would be appropriate given the stated priority areas.

6. Offeror question: Would we qualify for the ED/IED SBIR Phase I program if we commercially launch our Version 1.0 to test customer acquisition channels and the product-market fit of the content and delivery of curriculum, but apply to the Phase I program with the key objective of launching Version 2.0 to test customer engagement strategies, teacher training methodologies, and the efficacy of incorporating tele-teacher support?

Department Response: Without more information, it is not possible to answer this question one way or another. From what is provided, it seems possible that such a proposal would qualify.

7. Offeror question: The RFP requires that the project be used in an authentic, educational setting. Does a distance learning /tele-teaching model that sets the user's home as the "authentic, educational setting" qualify?

Department Response: Distance learning and tele-teaching are appropriate authentic education settings, so long as the project meets the other requirements listed in the solicitation.

8. Offeror question: Our understanding is that, if granted, funds will be disbursed from May through November in order for grantees to conduct research. As the school year runs from late August through June, the timing of the study must be primarily conducted during the summer months. We would like to start our research study in January through June for a more authentic educational setting. May we use the data collected during this time instead? Data studies and interpretation would occur during the bulk of the summer months.

Department Response: All R&D for Phase I awards must be conducted during the Phase I contract period. An ED/IES SBIR contract would not reimburse firms for R&D done outside of a contract award. That being said, the Department does not require or expect potential offerors to halt R&D work until award notification occurs.

9. Offeror question: What was the number of applications for, and recipients of Phase I contracts, last year?

Department Response: ED/IES SBIR received 193 Phase I proposals and made 13 awards.

10. Offeror question: What was the number of applications for, and recipients of Phase II contracts, last year?

Department Response: ED/IES SBIR received 10 Phase II proposals and made 13 awards.

11. Offeror question: May a company apply for more than one contract award, under the headings of different priorities?

Department Response: Yes, a company may submit multiple proposals - so long as the projects are independent in nature.

12. Offeror question: Is the process for application for Priorities 1-3 the same?

Department Response: Yes.

13. Offeror question: For the certifications, do we just copy the verbatim from the solicitation document into the proposal?

14. Offeror question: Can a principle investigator submit two proposals, which are somewhat independent in scope?

Department Response: Yes, an individual Principle Investigator may submit multiple proposals. The proposals must be independent in nature.

15. Offeror question: I will be collaborating with school teachers and staff for assessment, product evaluation, reporting and capturing the feedback. Should I add the school as a sub - awardee for this so that part of the budget that I put in the application can compensate them for their time and effort? I have read through the program solicitation but I was unable to find a specific mention of how I might include the school as an institutional partner and budget them for their time and support. I would like if it were possible to fairly compensate the school for their collaboration. I read in an earlier phase I grant that it can't be used to buy equipment for school evaluation and I was wondering if that were still true.

Department Response: Offerors are free to decide who or what entity may be included in a subcontract, provided the language in the solicitation is adhered to.

Offerors may include costs for equipment.

16. Offeror question: Is there a maximum or minimum percentage allowed for indirect cost rate on Phase I budgets?

Department Response: There is no maximum or minimum, so long as other funding requirements are met. Offerors are advised to leave sufficient funds for the cost of the R&D that is necessary in Phase I.

17. Offeror question: Page 16 section 4. Project team, we understand that all members of the project team, including consultants need to be listed in the 15-page narrative. In reading the NOTE that follows that section, it appears that only key personnel need to have the two certifications and 1-page resume. I am writing to request confirmation that the two certifications and 1-page resume are not needed from the consultants listed within the 15-page narrative.

Department Response: Key personnel may likely include consultants. Hence, if the offeror considers consultants key personnel, certifications would be provided for these individuals.

18. Offeror question: Offerors must include one letter of agreement from an authentic education 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 B. Does a letter of intent suffice?

Department Response: So long as the letter of intent demonstrates an agreement for participation in research, it would seem to suffice.

19. Offeror question: The RFA encourages use of Open License resources. Is the data produced during the conduct of the SBIR project required to be shared publicly as open source material?

Department Response: Nothing produced from an ED/IES SBIR project will be required to be open source material.

20. Offeror question: Is there any requirement that we publish, share, or otherwise disclose computer code developed under SBIR support?

Department Response: No, there is no requirement for publishing, sharing, or disclosing computer code developed with ED/IES SBIR support.

21. Offeror question: I am an employee of the federal government but I own a business that I am applying under the grant. Does this disqualify my business?

Department Response: As ED/IES SBIR understands the policy, it is our position that your business is disqualified. From the SBIR Policy Directive dated February 24, 2014, page 23: (f) Conflicts of Interest. SBA cautions SBIR agencies that awards made to SBCs owned by or employing current or previous Federal Government employees may create conflicts of interest in violation of FAR Part 3 and the Ethics in Government Act of 1978, as amended. Each SBIR agency should refer to the standards of conduct review procedures currently in effect for its agency to ensure that such conflicts of interest do not arise.

22. Offeror question: Can the Principal Investigator be currently employed full-time by a university?

Department Response: It is possible that a Principle Investigator that is listed in a proposal could be currently employed full-time by a University. However, as stated in the solicitation, the Principle Investigator must be employed at least 51% of the time with the small business throughout the course of the project.

23. Offeror question: What does "in authentic education settings" mean?

24. Offeror question: Concerning G.9 FAR 52.204-8 -- Annual Representations and Certifications. (Dec 2014) Do we need supply that with the proposal?

Do we need to complete SAM with NAICS = 541720? We already completed SAM with a different number.

Do we include the complete provision in the proposal?

Do we need to complete the table on page 64?

Department Response: The complete text with the certification is required to be included in the proposal. If the offeror has completed SAM with a more appropriate NAICS code for their business, they should update the NAICS code contained in the provision for our consideration. The SBA policy requires that a small business concern not have more than 500 employees, but it does not mandate the use of a particular NAICS code. The table only needs to be completed if there is a change from the offeror’s SAM registration.

25. Offeror question: Do we include the complete text into the proposal or just the Certification G.12?

Department Response: Yes, the complete text would be included.

26. Offeror question: Is the Department expecting letters of support from the grant from teachers who would trial the prototype, directors in districts, or national educators?

Department Response: Page 79 provides examples of who may provide letters of endorsement.

27. Offeror question: I have a registered S-class corporation - does that qualify for this contract?

Department Response: Yes, so long as the company is a small business concern as defined by the SBA and is eligible to receive Government contracts.

28. Offeror question: If my corporation is registered in the United States, but I spend the majority of the year out of the country, does this situation quality me for the contract?

Department Response: Yes, so long as the company is a small business concern as defined by the SBA and is eligible to receive Government contracts. Note however, work performed under an SBIR award must be performed in the United States, unless a waiver is provided by the SBIR program.

29. Offeror question: On page 61 of the RFP document, there is a sentence under G.9 (a), which says that "The North American Industry classification System (NAICS) code for this acquisition is 541720". Could you please tell us what does this mean? Our company may have a different NAICS code associated with our DUNS number, not 541720. Will this prevent our company from being considered for the RFP? Does our company's NAICS code have to be 541720 for us to be qualified?

Department Response: Please see our response to Question #24.

30. Offeror question: Can a proposed product be one that helps an administrator manage a non-academic function, such as crisis management, for the School?

Department Response: According to the language provided in the Priority Area 3 (a), a crisis management product would be likely to fit.

31. Offeror question: Regarding the Letter of Agreement - Would it be acceptable if this letter comes from one of our partners (and a subcontractor who will receive some of the budget) who will also provide access to the authentic education setting? The RFP is clear that Letters of Endorsement must not come from subcontractors but we would like some clarity on the Letter of Agreement.

Department Response: The RFP provides general guidance on letters of commercial endorsement. There is no rule that prohibits subcontractors from providing letters.

32. Offeror question: Also regarding the Letter of Agreement, would it be acceptable to submit 1 Letter with multiple signatories (i.e. multiple schools or classrooms willing to test the product)?

Department Response: Offerors may submit letters with multiple signatures.

33. Offeror question: Certain sections of the application ask the respondent to select or indicate in some way a Yes or No answer or provide a signature (Section G.3 on SBIR Certification for instance). If submitting electronically, how does the department want the respondent to select a Yes or No in the document? How does the department want the respondent to include a signature?

Department Response: Boxes can be checked within the certification sections electronically, or an offeror can check the box by hand, scan the certification section, and integrate that section within the overall proposal. Signatures can be embedded electronically, or once more an offeror can hand sign signatures, scan the certification section, and integrate that section within the overall proposal.

34. Offeror question: There are a number of certifications that are required in Appendix G.

What form should these be submitted? Some require signature. Should these be checked in word, and then printed, scanned and then added to appendix? Or is there another mode that the department would prefer these be attached? Could I just clip out the required certifications or does the text in the document that explains the certification need to be also copied?

Department Response: Boxes can be checked within the certification sections electronically, or an offeror can check the box by hand, scan the certification section, and integrate that section within the overall proposal. Signatures can be embedded electronically, or once more an offeror can hand sign signatures, scan the certification section, and integrate that section within the overall proposal.

35. Offeror question: In Appendix G, the certification questions appear to be taken from an electronic form due to their format and yes/no check boxes. As a first time offeror, I'm not clear if these questions are somewhere in the System for Award Management and I'm not finding them OR if offerors answer the questions within the text of that section of the RFP, create a pdf of those pages and include with the single PDF proposal package submitted.

Department Response: The certifications in Appendix G comprise the required forms by the Department of Education. The offeror may answer all of the questions with the text, create a PDF, and include within the proposal to be submitted.

36. Offeror question: In the application, respondents are asked to “...include one letter of agreement from an authentic education 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 B.” Does this letter come from the LEA (schools or districts) in which the applicant intends to test and assess the proposed solution?

Department Response: The offeror determines which entity provides the letter to demonstrate an agreement for research to occur should the proposal be awarded.

37. Offeror question: Section A of the program overview states in regards to the research component that "Consultative or other arrangements between such firms and universities or other non-profit organizations are permitted, but the small business must serve as the contractor." Section D (Offeror Eligibility) states that "the primary employment of the principal investigator must be with the small business firm at the time of the award and during the conduct of the proposed research". Can you please clarify - if there is a consultative arrangement between my firm, and a university that will be performing research, can the principle investigator be an employee of that university and a consultant to our firm?

Department Response: As stated in the RFP, the Principle Investigator must be an employee of the small business and must spend a minimum of 51% of the time with the small business during the award period.

38. Offeror question: May a company submit more than one application for the SBIR ED- EIS-16-R-0003 RFP if each application covers a different component of the platform being created?

Department Response: One company may submit multiple proposals, so long as the proposals are independent in nature.

39. Offeror question: The specifications are that, "All of the E. Project Narrative components (1 through 3) must be included within pages i, ii, iii of the Phase I Proposal."

However, there is an interpretation problem regarding, "All of the E. Project inclusion (meaning all seven of the components listed in the E. heading) and the parenthetical 1 through 3 descriptor. Further, items 1, 2 and 3 are enumerated and defined, leaving resourcefulness to find items 4 through 7. And, several searches for item 4 (Company Registry) revealed NO definition of what is to be included in "Company Registry."

Absent any clarification of what is to be included as, "All of the E. Project Narrative components," should we include all of the seven components in pages i,ii, iii and include SAM, Duns, TIN and State incorporation information under the component "Company Registry?"

Department Response: SBA Company Registry information can be found on pages 54 and 55 of the Solicitation.

40. Offeror question: Can offerors preform user research to create a refined successful product or is academic research preferred?

Department Response: The research requirements in the solicitation detail the nature of the research that can be performed in Phase I. From the question, it is not clear what “user research” or “academic research” entail or how these terms differ, hence the question cannot be answered.

41. Offeror question: Appendix G: Department of Education Required Information (Forms).

Are we required to copy and include all of the language for the G-series definitions or just include the certifications for each section in this Appendix?

Department Response: Offerors should copy and include all of the language for the certification.

42. Offeror question: On page 48 of the solicitation the Budget Spreadsheet includes a line item under “Other Direct Costs” for “Travel”. On page 77, G.20 Clause 205.71 – Travel Costs indicates “The cost of invitational travel under this contract is unallowable unless the contractor receives written consent from the Contracting Officer prior to the incurrence of the cost. Consent is hereby given to the contractor to: Funds are not authorized for the use of travel.” Will travel be granted to collect research/R&D data under “Other Direct Costs/Travel” as shown in the spreadsheet on page 77?

Department Response: Yes, travel will be granted to collect research/R&D data.

Travel of that nature is not “invitational travel” as defined by the clause.

43. Offeror question: We do not find any direction to the citation format for reference sources in the solicitation. May the American Psychological Association (APA) 2010 citation format be used in order to cite reference sources on the final page (15) of the response?

Department Response: APA formatting would be appropriate.

44. Offeror question: Does producing a software product that uses CTOS computer hardware constitutes a manufacturing role, or is considered a manufacturing- related innovation?

Department Response: Based on the information provided, ED cannot provide an answer to this question.

45. Offeror question: Do we need to have a DC business license to submit the SBIR on January 21, 2016?

Department Response: Offerors must be a registered small business at the time of submission. Offerors are not required to operate their businesses in the District of Columbia; however, the Department is not familiar with DC business license requirements, or the requirements of any other locality. Offerors are advised to comply with all State and local requirements for a small business as appropriate.

46. Offeror question: Can you clarify situations where the Human Subjects compliance needs to be obtained?

Department Response: Human Subjects compliance, or clearance, is not required until an award is made. If the offeror plans to conduct research with students in Phase I, a plan may be included in Appendix H.

47. What information is required for Human Subjects (7). Page 49 includes the text below and it is unclear what needs to addressed. Appendix F: Human Subjects Note: Offerors are not required to obtain IRB approval as part of preparing and submitting a proposal Department Response: Human Subjects compliance, or clearance, is not required until an award is made. If the offeror plans to conduct research with students in Phase I, a plan may be included in Appendix H.

48. Offeror question: Could you please clarify the Eligible State clause and explain how one can determine if their state has received such funding in the year 1995?

Department Response: The definitions provided are taken verbatim from the SBA Policy Directive; however, the definitions for “Eligible State” and “Additionally Eligible State” are actually in reference to a section of the Policy Directive that is not applicable to the Department’s program. All states are “eligible” for the purposes of this RFP.

49. Offeror question: Is it possible to acquire an exemption to the rule stating that the PI of the contract is employed at least 50% by the company seeking the contract. Under what circumstances such an exemption is granted? I gather from appendix G, question 8 that such exemptions are possible, but could not find more information as to how one applies for such exemptions.

Department Response: An individual request may be submitted as part of the offeror’s proposal, including the rationale for such a request, but the offeror is strongly advised to adhere to the requirements as closely as possible, or risk an adverse score in the evaluation criteria. As stated in the RFP, the Contracting Officer does NOT anticipate holding discussions or negotiations, and the offeror’s proposal should be their best and final offer. Any exemption granted would not be issued until the time of award.

50. Offeror question: On page 24, section D. states “at least 2/3 of the research and/or analytic effect must be performed by the proposing small business concern unless otherwise approved in writing by the contract officer after consultation with the Contracting Office (CO) and the SBIR program manager. “ What constitutes 2/3 of the research? Time spent? Money spent? How do we quantify the work to demonstrate that 2/3 is PI and 1/3 is contractor/consultant? If we determine that we need to apply for a waiver for the 2/3 and 1/3 rule, to whom do we apply and by when?

Department Response: It is the responsibility of the offeror to determine what constitutes the 2/3 and 1/3 breakdown. To request a waiver, an individual request may be submitted as part of the offeror’s proposal, including the rationale for such a request. The offeror is strongly advised to adhere to the requirements as closely as possible, or risk an adverse score in the evaluation criteria. As stated in the RFP, the Contracting Officer does NOT anticipate holding discussions or negotiations, and the offeror’s proposal should be their best and final offer. Any exemption granted would not be issued until the time of award.

51. Offeror question: Last year we submitted a proposal that was not funded. We found the written feedback from the review panel to be very helpful and we have amended our proposal to address the concerns. Does Section D relate to resubmitting a proposal from 2015 or submitting multiple versions of a proposal for the 2016 RFP? If the clause relates to resubmitting a proposal from 2015, what constitutes a "new proposal"?

Department Response: Section D refers to small business concerns that received awards for related R&D or who have submitted a similar proposal that may be currently under review. Offerors who submitted a similar proposal that was unsuccessful in previous years do not need to provide notification of such proposals in Appendix D.

52. Offeror question: Must the “type specifications (font specifications)” be adhered to in Appendices A through H, including, but not limited to, the certification sections, budget narrative/spreadsheet, resumes, and letters of endorsement?

Department Response: The font specifications are appropriate as detailed in this question.

53. Offeror question: Do the graphics, footnotes, and any screen shots we include qualify as text to be 12- point font the same as the normal typed narrative text?

Department Response: No – graphics, footnotes, and screen shots do not need to conform to the font requirements.

54. Offeror question: After the contract is awarded, does the project start date have to be May 1 , 2016 or can the 6 month project time be moved to Sept 1, 2016 to Feb 1 ,2017 to maximize time to visit classrooms?

Department Response: The start date cannot be modified in the Phase I award period.

55. Offeror question: Is a letter of agreement from a foreign authentic education setting to be included in Appendix B accepted? Or does it have to be from a USA based education settings?

Department Response: All R&D must be performed in the U.S.

56. Offeror question: Does the Calibri size 11 font used in Phase I solicitation document on the FBO.gov website meet to the font specifications for the proposal?

Department Response: As detailed on Page 10, the height of the letters must not be smaller than 12 point.

57. Offeror question: Can we limit our research to the adults who are using the product with parent/child dyads, such as early childhood providers, and not conduct the research directly on children?

Department Response: Without more information, it is not possible to answer this question one way or another. From what is provided, limiting research to only on adults using the prototype may be possible under specific parts of the Priority Areas in the solicitation.

58. Offeror question: Page 23 and 58 mention the research being conducted “at my facilities.” The usability studies will be done at a university usability lab; the focus groups with teachers and parents at a public school. This is because my company is currently based in a home office and does not own the necessary facilities. I, or one of my employees, will be present at all of the research interactions. Since all of these will take place at off-site locations and not “at my facilities”, would this disqualify my project from the contract? If special permission is needed in order to conduct the research at these sites, how is that permission obtained?

Department Response: Given the information provided, it is likely the research would not be disqualified.

59. Offeror question: Page 63: What is “Ownership or Control of Offeror”?

Department Response: Refers to contract clause 52.204-17 Ownership or Control of Offeror (Nov 2014), specifically if the Offeror has more than one immediate owner (such as a joint venture). Review the contract clause in its entirety for more information.

60. Offeror question: Is there a specific bibliographic citation style (Chicago, MLA, APA, that should be used in the proposal)?

Department Response: The offeror may select the citation style.

61. Offeror question: Would paid subcontracting or consulting with a University be allowable?

62. Offeror question: On p 24 of the RFP under the Copyrights section, the royalty-free license piece is just for ED to have the rights to publish our findings without paying a royalty fee. Is there anything else that we should know?

Department Response: The solicitation provides the relevant information to offerors. As the question is written, there is not a way to provide any further response.

63. Offeror question: The RFP states that the 2016 Phase 1 project is supposed to start May 1, 2016. Can we start at another date? Or must we start May 1?

Department Response: The start date for all Phase I awards is required to be May 1.

64. Offeror question: Section IX of the solicitation states that use of “openly licensed educational resources” is a highlight. Will projects that do not utilize these type of tools be considered for funding?

Department Response: As noted in the solicitation, ED/IES SBIR is highlighting the potential use of open educational resources (OERs). That being stated, projects that do not utilize OERs will be considered for funding.

65. Offeror question: Proposal Submission: We understand that the proposal must be submitted via e-mail and cannot be over 25MB. Is a Dropbox or Gdrive link acceptable if we do not have an e-mail system that can transmit such a large file?

Department Response: No, proposals must adhere to the submission instructions within the solicitation.

66. Offeror question: Would it be possible for us to review past proposals which were awarded?

Department Response: Because proposals contain proprietary information, ED/IES SBIR does not make SBIR proposals available to the public. Those interested in viewing proposals may submit a Freedom of Information Act (FOIA) request through the Department. Please note: the ED/IES SBIR website (ies.ed.gov/sbir) provides detailed technical abstracts from all awards, and Success Stories and videos from select projects.

67. Offeror question: It is stated on page 2 that "Both the Phase I and Phase II award may include a reasonable profit/fee." and there is also a line labeled "Profit" in the Appendix E budget spreadsheet on page 48. Can you clarify what is meant by reasonable profit in these sections?

Department Response: The offeror determines the amount of profit to be proposed, while also considering the cost of the R&D of the prototype.

68. Offeror question: Where do we obtain the Contractor and Government Entity (CAGE) code required for SAM registration?

Department Response: Offeror’s do not need to have a CAGE code prior to registration. Once the Entity Registration is submitted for processing, information will be routed to DLA for CAGE Code assignment. Once the CAGE Code has been approved, it will be sent back to SAM and added to the Entity Registration.

69. Offeror question: What is the North American Industry Classification System (NAICS) Code? We've found the NAICS lookup system at http://www.census.gov/eos/www/naics but we do not know which keywords to look up.

Department Response: The North American Industry Classification System (NAICS) code for this acquisition is 541720.

70. Offeror question: G.6 - This section doesn't apply to our proposal. Should this section be left blank?

Department Response: If the answer is not applicable, then the answer should be “No.”

71. Offeror question: G.8 - If the proposal does not contain any trade secrets, do we check NO? Or do we check YES to acknowledge and affirm this provision regardless of whether there are trade secrets?

Department Response: Check “Yes” if you acknowledge and affirm the provision.

72. Offeror question: G.14 - Some of our employees and contractors might meet the Low Risk personnel criteria. How and when should we obtain clearance with the NACI (National Agency Check with Inquiries)?

Department Response: After awards are made official, ED will provide technical assistance to awardees in the area of data security clearance.

73. Offeror question: Would a science museum qualify as an "Authentic Education Setting?"

Department Response: A science museum may qualify as an authentic education setting, so long as the project meets the other requirements listed in the solicitation.

74. Offeror question: I'm on the SAM.gov registration and there is a question about if I'm applying for a grant or a contract. This particular SBIR would be classified as a grant, correct?

Department Response: This SBIR program is classified as a contract.

75. Offeror question: Is it required to have external evaluators in Phase I? Would it be okay if they worked with us as part-time consultants instead, guiding our formation of the evaluation and training us to collect and interpret the right data?

Department Response: There is no requirement for an external evaluator in Phase I under this solicitation.

76. Offeror question: Is the process for filing a patent something that could go into our project work flow and budget for an IES SBIR proposal?

Department Response: While the solicitation provides guidance on the R&D of education technology, it does not provide guidance that addresses this question.

77. Offeror question: What are the rules about including international candidates on the project team or as consultants?

Department Response: International candidates may be proposed on the project team. However, all work is to be performed in the United States unless previously approved by the Contracting Officer.

78. Offeror question: Is it allowable to include additional confirmation letters in our proposal? (i.e. if we include more than one letter, have we violated the rules and caused our application to be denied for review?)

Department Response: It is not permitted to include more letters than are allowed by the solicitation’s instructions.

79. Offeror question: Can we build our Phase I proposal around having multiple schools using our prototype while only providing 1 letter of confirmation in regards to having secured an authentic educational setting?

80. Offeror question: It is stated in section E. Project Narrative –Key Information, Priorities, Abstract, Company Registry, Certifications, Statements and Legend that "components (1 through 3) must be included within pages i, ii, and iii of the Phase I proposal. No other cover pages are permitted to precede page i." Does this mean that components 1-3 should be on individual pages i, ii, and iii?

Department Response: The components (1 through 3) do not need to align precisely to being on pages i, ii, and iii of the proposal. The solicitation instructs offerors to not go beyond 3 pages for the cover pages to the proposal.

81. Offeror question: For component 2, is any further information needed beyond the selection of the priority?

Department Response: Without more information, ED/IES SBIR cannot address this question.

82. Offeror question: In G3 #11 (page 75 the grant states that during performance of award the research and development will be performed in the United States unless a deviation is approved in writing by the funding agreement officer: Would it be acceptable if the development takes place outside the U.S., if the developer has offices in the U.S.? How can we obtain a waiver in time to meet the deadline for submission? If we need to obtain a signed form from the funding agreement officer, how do we reach this individual?

Department Response: From the SBA Policy Directive dated February 24, 2014, page 16, “For both Phase I and Phase II, the R/R&D work must be performed in the United States. However, based on a rare and unique circumstance, agencies may approve a particular portion of the R/R&D work to be performed or obtained in a country outside of the United States, for example, if a supply or material or other item or project requirement is not available in the United States. The funding agreement officer must approve each such specific condition in writing.” It is not possible from the level of detail provided to make a complete determination;

however, the mere location of a facility outside of the U.S. would not typically qualify as a “rare and unique circumstance”. The funding agreement officer is the Contracting Officer. To request a waiver, an individual request may be submitted as part of the offeror’s proposal, including the rationale for such a request, explaining the rare and unique circumstance. The offeror is advised that if a waiver is not granted, and no other method of compliance is proposed as an alternative, the offeror may be found to be non-responsive and the proposal will be rejected. As stated in the RFP, the Contracting Officer does NOT anticipate holding discussions or negotiations, and the offeror’s proposal should be their best and final offer. Any waiver granted would not be issued until the time of award.

83. Offeror question: The RFP states that each of subcontractors and staff working on the grant are required to undergo a criminal background check. Who specifically needs to be finger printed? Is this information required for the submission of the proposal or do we need to provide this information if the contract is awarded?

Department Response: All individuals who perform work for more than 30 days are required to undergo a criminal background check. Information on this process will be provided after award. No further information on this requirement is needed prior to award by offerors.

84. Offeror question: What specific information (besides the resumes of each subcontractor and staff) is required with the proposal?

Department Response: The solicitation details what information is required to be included in the proposal.

85. Offeror question: As a point of clarification can you confirm what percentage of phase I needs to be dedicated specifically to research? What percentage to development?

Department Response: As required by the solicitation, offerors will propose a mix of research and development. ED/IES SBIR does not provide estimates on how much time or funds are devoted to either, as this is the offeror’s responsibility.

86. Offeror question: Is there a standard format that must be used when submitting a proposal?

Department Response: Offerors are advised to review VI. PROPOSAL

SUBMITTAL INFORMATION.

87. Offeror question: Reporting is mentioned on page 21. Do I need to include an attestation that I will comply with that requirement?

Department Response: No attestation is required in the case of reporting requirements after an award is made.

88. Offeror question: On page 16 of the RFP, the last part of the section on Usability/Feasibility includes the text below. Is information on the envisioned Phase II required? 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.

Department Response: The solicitation asks offerors to discuss how Phase I R/R&D will provide a foundation for the Phase II R/R&D effort. No further guidance can be provided to this question.

89. Offeror question: What information is required if a portion of the work may be subcontracted?

Department Response: The solicitation provides guidance on subcontractors in several areas. At minimum, offerors would include information about the subcontractor in the budget section of the Appendix. Other requirements may apply based on the specific situation as explained in the RFP.

90. Offeror questionIs Ariel Narrow 12 acceptable to use? If not, Garamond 12?

Department Response: As detailed on Page 10, the height of the letters must not be smaller than 12 point, type is up to the offeror.

91. Offeror question: Is there a preference regarding references/works cited. Is a References

Cited page the standard way of listing out each source that is numbered in the narrative?

Or, is it equally acceptable to fully cite each source within the text and not have a References Cited page?

Department Response: Offerors are responsible for determining the placement, style and presentation of the References with the 15-page project narrative.

92. Offeror question: We are partnering with University researchers for the SBIR Phase I.

Now, University will subcontract their services to us but they are going to play a key role in research , so can they be listed as Co-PI in Key Personnel section or do we still have to list them as subcontractors?

Department Response: Only one (1) individual may act as the Principle Investigator for ED/IES SBIR projects.

93. Offeror question: Is a guidance counselor considered instructional personnel?

Department Response: An example in the Priority Areas does highlight guidance counselors. Hence it seems possible a proposal could focus on guidance counselor provided the proposal follows the guidelines in the solicitation.

94. Offeror question: In Section G.3, there is a paragraph that asks...(14) It is a Covered

Small Business Concern (a small business concern that: (a) 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 an SBIR solicitation; and (b) on the date of the SBIR award, which is made more than 9 months after the closing date of the solicitation, is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms).

☐Yes ☐No It is confusing if its asking whether the firm is valid firm now, and will be invalid later -to which the answer would be no.

Or is it asking whether the firm is valid now, and will be valid later - to which the answer would be yes.

Department Response: The question is asking whether the small business firm is valid now and will be valid later.

95. Offeror question: I am located in a HUBZone where I live but am not currently registered as a HUBZone-owned SBC. Is this sufficient to answer Yes to qualifying on this Certification G.5 section?

Department Response: The company must be registered as a HUBZone-Owned Small Business with the SBA.

96. Offeror question: Funding Percentages - With regard to requirement that the "proposing firm is spending a minimum of two-thirds of the Phase I funding”. Can you please clarify? Wouldn’t this be outlined in a budget?

Department Response: Yes, the offeror would break down the proposed plan for the small business to spend 2/3 or more of the funds in Phase I in its budget.

97. Offeror question: How do you set the typing density to 15 characters per inch (cpi)?

Department Response: The guidance around 12 point font refers to proposals written using Microsoft Word. Type Density and type size must be the standard/default Microsoft Word settings.

98. Offeror question: How do you set the type size to no more than 6 lines per vertical inch?

99. Offeror question: Does the 12 font point size come standard in word for 15 cpi and no more than 6 lines per vertical inch?

100. Offeror question: Does the certification pages for the project team that goes in Appendix C: Biographical Summary Certification and Résumé Pages have to be originals? Or will scanned copies suffice?

Department Response: Scanned Copies will suffice, provided the copies are legible.

101. Offeror question: Can we use the word document for the solicitation and just replace our information in the sections?

Department Response: Yes, the Word document could be used as a template.

102. Offeror question: Can a LLC perform 100% of all research, analytics and technology development? The LLC owners and employees will conduct all work. Thus, 100% of the project budget will be assigned to the LLC. Is this acceptable under the 2016 SBIR competition?

Department Response: Yes, the small business could perform 100% of the work.

103. Offeror question: What written verification is needed to confirm the Principal Investigator's employment in the LLC is at least 51% FTE?

Department Response: The small business concern and the Principle Investigator provide the required certifications with a proposal to verify the Principle Investigators employment, Part (8) of Certification G.3.

104. Offeror question: Should endorsements and the school partnership letter carry signatures as on paper? Then do we need to scan those in to the document? Or are you expecting digital endorsements with only typed signatures (not inked).

Department Response: Offerors determine whether letters include signatures, be it scanned or electronic.

105. Offeror question: Each key personnel need a certification page but please clarify

- if it is an outside expert/consultant's bio, does it get signed by their employer allowing them time to participate or by the applicant/PI agreeing that they should participate?

Department Response: For consultants outside of the small business, it is acceptable if the Employer signature comes from the small business itself, rather than the consultants Employer.

106. Offeror question: If we have not received our Contractor and Government Entity

(CAGE) code yet, but it is still pending, can we go ahead and apply for the program as long as we receive the CAGE code prior to award?

107. Offeror question: Are we allowed to add more columns, rows, and categories to the budget spreadsheet template to provide more extensive details?

108. Offeror question: Regarding the Manufacturing-Related Project Certification tie-breaker, might it be possible for the project to be 'manufacturing related' by teaching manufacturing workforce skills without producing/manufacturing a hard good on a wide scale basis?

Department Response: Without more information being provided, it would not appear that teaching about manufacturing equates to being a Manufacturing- Related project.