Phase IB- 91990026R0004 Final.pdf

U.S. Department of Education

Institute of Education Sciences

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE IB

PROGRAM SOLICITATION FOR FY 2026 REQUEST FOR PROPOSALS

PHASE IB

RFP Number: #91990026R0004

Issue Date: April 30, 2026

Closing Date: June 29, 2026

11:00 a.m., Eastern Time (ET)

PHASE IB PRIORITY AREA (1)

Developing a New Component to be Integrated with an Existing Education Technology Prototype or Product for Use by Learners, Educators, or Administrators

2026 Phase IB ED/IES SBIR Solicitation

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I. PHASE IB SOLICITATION OVERVIEW 3

II. PHASE IB SOLICITATION DETAILS 6

III. PROPOSAL CONTENTS (SECTIONS A-N) 11

SECTION A: Cover Pages 12

SECTION B: Project Narrative (10-pages maximum) 19

SECTION C: Project Team and Company, Résumés, and Certifications 28

SECTION D: Phase IB Budget 31

SECTION E: Letter of Agreement for School Participation in the Phase IB R/R&D (Maximum 1 letter) 35

SECTION F: Letters of Support for Potential Pathways to Commercialize the New Proposed Education Technology Product (Maximum 3 letters for Phase IB) 36

SECTION G: Documentation and Status of SBIR Phase I and Phase II Awards Since 2010 38

SECTION H: Disclosure of Similar or Related Awards or Proposals 42

SECTION I: Technical and Business Assistance Plan (TABA) (Maximum 1 page) 43

SECTION J: Required Certifications to Include in the Proposal 45

SECTION K: Foreign Influence Disclosure and Certification 52

SECTION L: Patent Information 61

SECTION M: Foreign Funding Information 61

SECTION N. COVERED INDIVIDUAL AFFILIATIONS 62

IV. INSTRUCTIONS FOR PROPOSAL SUBMISSION 64

V. METHOD OF SELECTION AND EVALUATION CRITERIA 67

VI. ADDITIONAL INFORMATION 72

A. SBIR Program Information, Eligibility 72

B. Considerations for Offerors Who are Awarded Contracts 78

C. Definitions 89

D. Scientific and Technical Information Sources 93

E. Proposal Checklist 94

F. Navigating Solicitations in SAM.gov 96

VII. Contracts and Acquisition Management Clause 100

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I. PHASE IB SOLICITATION OVERVIEW

The U.S. Department of Education’s (ED) Small Business Innovation Research Program (SBIR), administered by the Institute of Education Sciences (IES), provides awards for the research and development of new, commercially viable education technology products (“products”). The goal of the program is to grow a portfolio of research-based products that are widely deployed to address pressing needs across education.

Solicitation #91990026R0004 invites eligible for-profit small business firms and partners to submit “Phase IB” proposals for $250,000 contracts to develop and evaluate a prototype of a new component to be integrated with an existing education technology prototype or product over a period of nine (9) months. Awardees who successfully complete a Phase IB project under this solicitation will be eligible to submit a proposal in 2027 for a $1,000,000 Phase II award to fully develop the component and the existing education technology prototype or product over a period of two (2) years and to prepare for commercialization.

ED/IES SBIR is a highly competitive program – historically between 5 and 7% of submitted proposals result in a Phase I award, and about 50% of Phase I awardees receive a Phase II award the following year.

A. ED/IES SBIR: Two Program Tracks

The 2026 ED/IES SBIR program is divided into two tracks, each with its own solicitation.

One solicitation (“Phase IA”) requests proposals for Phase I projects for the development of a prototype of a novel (i.e., first of its kind, not successfully tried before) education technology product for which no or limited previous technological development has occurred. The goal of the Phase IA track is to solicit proposals for ground-breaking high-risk high-reward approaches to solve pressing problems in education. See solicitation# 91990025R0003 for more information on the Phase IA program. The submission date for Phase IA proposals under these solicitations is the same date as under this Phase IB solicitation, June 29, 2026.

The current solicitation (“Phase IB”) requests proposals for Phase I projects for the development of a prototype for a new component (or multiple new components) to be integrated into an existing education technology prototype or product. The goal of the Phase IB track is to strengthen existing research-based prototypes or products in addressing pressing problems in education. See Section II “Phase IB Solicitation Details” for more information on the background and specifications for this Phase IB track.

ED/IES SBIR anticipates that up to a total of 16 Phase I awards will be made in https://sam.gov/workspace/contract/opp/9cc9c16c6e0447fbbb48e9d13408d060/view

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2026 overall, eight under each of its respective Phase I solicitations.

Offerors are not permitted to submit the same or similar proposals under the 2026 Phase IA, IB, or Direct to Phase II solicitations. Any duplicate or similar proposals that are submitted under more than one of these 2026 solicitations will be rejected without review.

Offerors are permitted to submit multiple proposals under either or both solicitations provided the proposals have different foci.

B. Additional 2026 ED/IES SBIR Solicitation for Direct to Phase II Projects

In addition to the Phase IA and IB solicitations, ED/IES SBIR has released a “Direct to Phase II” solicitation #91990026R0005, requesting proposals for awards of $1,000,000 over a period of 2 years, with a submission due date of June 29, 2026, at 2 p.m. ET.

The Direct to Phase II program requests proposals for the development of new education technology products to ready existing evidence-based innovations for use at scale.

To be eligible for the Direct to Phase II solicitation, projects are required to adhere to the below specifications:

• Projects must focus on readying existing evidence-based innovations for use at scale. Projects that focus on advancing innovations that are not evidence- based are not eligible for the Direct to Phase II program.

• The existing evidence-based innovation is required to have originally been conceptualized and developed by an academic researcher while at an academic institution or by a researcher at a non-profit education research organization.

• Innovations that were originally conceptualized and with development that was led by a small business or by an entrepreneurial developer outside of an academic institution or at a non-profit education research organization are not eligible for the Direct to Phase II program. Such projects may be appropriate for submission under ED/IES SBIR’s 2026 Phase IB solicitation #91990026R0004.

• One (or more) of the researchers who originally created and established evidence for the innovation is required to be part of the team in the proposed ED/IES SBIR project, whether as an employee of the small business or as a consultant to the small business that receives the SBIR award.

https://sam.gov/workspace/contract/opp/f7bc41b0ac23463190194001232a6987/view https://sam.gov/workspace/contract/opp/c1d3bae837664e0bb8bcdac754d37e97/view

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• Offerors are not permitted to submit the same or similar proposals under the 2026 Phase IA, IB, or Direct to Phase II solicitations. Any duplicate or similar proposals that are submitted under more than one of these 2026 solicitations will be rejected without review.

View this page for a link to the 2026 ED/IES SBIR solicitations on SAM.gov.

https://ies.ed.gov/funding/research/programs/small-business-innovation-research-sbir/solicitation-information https://sam.gov/

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II. PHASE IB SOLICITATION DETAILS

A. Key Dates

April 30, 2026 Solicitation release date.

May 21, 2026 Deadline to submit questions in writing about this solicitation to Contract Specialist David.Yadeta@ed.gov and Contracting Officer David.Geary@ed.gov, is 5 p.m. Eastern Time (ET). All responses will be posted publicly as an amendment on SAM.gov several days after this date. several days after this date.

Visit the ED/IES SBIR FAQ page to view frequently asked questions.

June 29, 2026 Proposal submission deadline is 11 a.m. ET. The submission timestamp is logged as the time received, not sent; there will be no exceptions to the deadline.

September 28, 2026 On or before this date, ED will email an official notification to all offerors with reviewer evaluations and list of potential awardees.

(This e-mail will be sent to the identified Project Director listed on the proposal).

October 5, 2026 ED anticipates this as the earliest possible award start date.

B. Phase IA or IB Program Track: Selecting the Correct Solicitation

The information presented below is designed to assist an offeror in deciding whether to submit a proposal for an intended project under the purview of the Phase IA #91990026R003 (novel prototype) or Phase IB #91990026R0004 (integrating a new component with an existing prototype/product) solicitations.

• Offerors must determine whether to prepare a proposal under the Phase IA or IB solicitations. Once the solicitation is open, ED/IES SBIR program officials are unable to provide guidance regarding whether a proposal is a better fit for the Phase IA or IB track.

• Offerors are not permitted to submit the same or similar proposals under the 2026 Phase IA, IB, or Direct to Phase II solicitations. Any duplicate or similar proposals that are submitted under more than one of these 2026 solicitations will be rejected without review. (Offerors are permitted to submit multiple proposals under either or both solicitations provided the proposals have different foci.)

Proposals under this Phase IB solicitation must be for the development of a prototype mailto:David.Yadeta@ed.gov mailto:David.Geary@ed.gov https://sam.gov/%22%EF%B7%9FHYPERLINK%20%22https:/sam.gov/opp/d07ca2a55f274b889c1fa152a7091e73/view https://ies.ed.gov/small-business-innovation-research-sbir/edies-sbir-frequently-asked-questions https://sam.gov/workspace/contract/opp/c1d3bae837664e0bb8bcdac754d37e97/view

Page | 7 of a new component to be integrated with an existing education technology prototype or product. By the end of the Phase I and II projects, a new version of the education technology product will consist of one or more new components that are added to the previously developed education technology prototype or product.

For the purpose of this solicitation:

• an existing prototype includes technology created by the offeror that is currently functioning when used by the intended end-users for testing or research without the assistance of a developer but is not yet ready be delivered as a commercial product in education settings.

o If a prototype is more limited and does not yet function outside of a laboratory setting without the assistance of the developer, the proposed SBIR project may be more appropriate for the Phase IA track. Please view the Phase IA solicitation #91990026R0003 for more information.

• an existing product includes technology created by the offeror that is functioning when used by an end-user without the assistance of a developer and is available for commercial use or ready to be distributed for commercial use in education settings.

(1) New Component to Significantly Improve the Existing Approach

• Phase IB proposals are required to be for the development of a new component that is distinct from the existing prototype or product. The project must propose a new technological approach to develop the new component, one that is different from the approach that was used to develop the existing prototype or product.

• The proposal must convince a reviewer that (a) the new component is distinct, (b) that the technology approach to develop the new component is new and different from previous approaches, and (c) that after the Phase IB and Phase II projects are completed the new version of the fully developed education technology prototype or product (including the new component) will significantly improve education outcomes relative to what already exists.

• Proposals to develop a component that is a continuation of, expansion of, or similar to components in the existing education technology prototype or product are not permitted.

• The following are examples of proposals that would likely be appropriate for the

Phase IB solicitation:

Page | 8 a proposal to develop new Artificial Intelligence (AI) component to be integrated with an existing math fractions game, which at present does not personalize learning for individual students.

a proposal to develop a new virtual reality laboratory component to extend learning opportunities with an existing online science textbook.

a proposal to develop new components including a new user interface and accommodation tools to be integrated with an existing education technology product so that students with or at risk for disabilities can independently access the product without the support of an educator or parent.

• The following are examples of proposals that would not be appropriate for the Phase IB because the component is a continuation or similar to the existing prototype or product:

X a proposal for a project to finish the development of an existing prototype of an AI-based math fractions learning game that was already functioning.

X a proposal for a project to finish the development of the final two chapters of a virtual textbook that already has 6 chapters finished, using the same approach.

X a proposal to expand an existing education technology product that is used by students in grade 1 to 3 to include students in grades 4 and 5, using the same approach.

(2) The Existing Prototype or Product is Required to be Research-Based

• Phase IB offerors are required to present findings demonstrating that the existing education technology prototype or product is research-based. The amount and type of research that is required will depend on the stage of a particular project.

For example, projects that are in an earlier stage of development that have only recently developed an initial functioning prototype that was tested in a classroom with students and an educator are required to demonstrate usability and feasibility, whereas projects that are at a later stage that have already fully developed and commercially launched products are required to demonstrate usability, feasibility, and promise of outcomes or efficacy. See SECTION B. “Project Narrative” of this solicitation for specific guidance on the prior research that is required for a Phase IB award.

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Proposals that do not clearly adhere to the above Phase IB solicitation requirements will likely be triaged and will not proceed to a review by a full panel. (See Section V. “Method of Selection and Evaluation Criteria” for more information on the Triage Round of the review.)

C. Priority Area

Developing a New Component to be Integrated with an Existing Education Technology Prototype or Product for Use by Learners, Educators, or Administrators

Proposals under the Phase IB solicitation must be for the development of a prototype of a new component to be integrated with an existing education technology prototype or product. The existing prototype or product is required to be research-based (see SECTION B. “Project Narrative”).By the end of the Phase I and II projects, a new version of the education technology product will consist of one or more new components that are integrated with a previously developed education technology prototype or product. The goal of the Phase IB track is to strengthen existing research-based prototypes or products to address pressing problems in education.

Products for learner use are intended to improve learning or promote relevant outcomes in one of more of the following areas: early childhood learning and school readiness; English language arts; civics education and social studies; foreign language or English language learning; STEM (science, technology, engineering [including cyber security], math, and data science); social and behavioral skills to support academic and other relevant school and career-related outcomes; the arts; and technical or vocational career readiness skills.

Products for educator or administrator use (or other school personnel use) must be intended to either: (a) facilitate instruction; (b) improve the efficiency or accuracy of day-to-day administrative tasks or responsibilities; or (c) support decision making on the selection, implementation, or evaluation of interventions including practices, programs, or policies.

Additional Specifications

• Products may be for use at any level from prekindergarten to Grade 16, or for adult education. Products for adult education programs must address basic or secondary reading, writing, or mathematics skills, or other skills needed for an occupational certificate or degree.

• Products for learners may be for use in schools or remote settings to replace, supplement, or enable the delivery of curricula or instruction or to facilitate out-

Page | 10 of-school learning opportunities (e.g., after-school or summer programs, distance learning programs, on-line programs, enrichment programs, self-directed learning).

• Products focusing on education technology products for learners may include elements engaging parents or caregivers for learners in pre-K to grade 12, provided the intended outcomes support learning or promote relevant outcomes listed in the paragraph regarding “products for learner use” above.

• Proposals for new components to be added to an existing education technology prototype or product in other areas not specified above will be considered based on the relevance and significance of the need in education.

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III. PROPOSAL CONTENTS (SECTIONS A-N)

Content and Formatting Requirements

To ensure that the text of the proposal is well-organized for reviewers and that all offerors have the same amount of available space in which to describe their projects, offerors must adhere to the below page, font size, and format specifications for Section III. PROPOSAL CONTENTS (A – N)

• For the purpose of proposals submitted under this solicitation, a page is 8.5 inches x 11 inches, with 1-inch margins at the top, bottom, and both sides.

• Single space text in the project narrative, including titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs.

• Type must conform to the following requirements:

o The height of the letters must not be smaller than 12 point using Microsoft Word.

o Type density, including characters and spaces, should be no more than 15 characters per inch (cpi).

o For proportional spacing, the average for any representative section of text should not exceed 15 cpi.

o Type size must yield no more than 6 lines of type within a vertical inch. Standard black type must be used for text.

o 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.

• Figures, charts, graphs, tables, or screen shots (outside of what is requested in other sections) must be included within the 10-page limit for “SECTION B. Project Narrative.”

• Offerors are strongly encouraged to follow the outline with the exact sections and headers in the same order as presented in the Technical Narrative Section. Offerors are also advised to adhere to the guidelines for page length for each section.

• Proposals may not be resubmitted with or without revision after the submission deadline under this program solicitation.

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SECTION A: Cover Pages

SOLICITATION Phase IB: #91990026R0004 A) Cover Page Certification: Offerors are not permitted to submit the same or similar proposals under the 2026 Phase IA, IB, or Direct to Phase II solicitations. Any duplicate or similar proposals that are submitted under more than one of these 2026 solicitations will be rejected without review.

Offerors are permitted to submit multiple proposals under either or both solicitations provided the proposals have different foci.

Did this offeror submit a similar proposal under either the 2026 ED/IES SBIR Phase IA or Direct to Phase II solicitation?

Choose an item.

B) Phase IB Project Title: Click or tap here to enter text.

C) Unique Entity Identifier (UEI) as registered on

SAM.gov: SAM.gov | Duns - Sam UEI

Note: the UEI is now required at the time of submission of the proposal. Proposals without a UEI will be rejected without review. If you do not already have a UEI registered on SAM.com please be advised, registration can take several weeks.

Click or tap here to enter text.

D) Name of Small Business to which the UEI is registered

Click or tap here to enter text.

E) If applicable, other company names operated under, including DBAs

Click or tap here to enter text.

Guidance for “SECTION A. COVER PAGES”

• All items in the “SECTION A. COVER PAGES” are required to be inserted as the opening pages of a Phase IB proposal. To structure Part I of a proposal, offerors must follow the exact format as the items below. Offerors should cut and paste the below table directly into the body of the proposal.

• Proposals shall not include any other cover pages beyond what is specified below.

• Do not include page numbers on the Cover Pages. Numbering should begin with “1” on the first page of the “SECTION B. Project Narrative.”

https://sam.gov/ https://sam.gov/content/duns-uei

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F) Contact Person: For the representative authorized to represent the small business concern in negotiations, fill in the information below:

a. Contact Name:

Click or tap here to enter text.

b. Contact Title: Click or tap here to enter text.

c. Contact Phone (format 555-555-1212) Click or tap here to enter text.

d. Contact Email: Click or tap here to enter text.

G) Project Director: For the Project Director, fill in the information below:

a. Project Director Name:

Click or tap here to enter text.

b. Project Director Title: Click or tap here to enter text.

c. Project Director Phone (format 555-555-

1212) Click or tap here to enter text.

d. Project Director Email: Click or tap here to enter text.

H) HUBZone-owned SBC Certification:

Does the offeror qualify as a HUBZone-owned SBC and meet the definition as stated in this solicitation as defined by SBA?

The website listed below contains information about the SBA’s HUBZone program:

HUBZone program | U.S. Small Business Administration

Choose an item.

I) Woman-owned SBC Certification: Does the offeror qualify as a woman- owned SBC and meet the definition as stated in this program solicitation as defined by SBA?

The website listed below contains information about the SBA’s Woman-Owned program:

Women-Owned Small Business Federal Contract program | U.S. Small Business Administration

Choose an item.

J) 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 as defined by SBA?

The website listed below contains information about the SBA’s Disadvantaged program:

Small Disadvantaged Business | U.S. Small Business Administration

Choose an item.

https://www.sba.gov/federal-contracting/contracting-assistance-programs/hubzone-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/hubzone-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/women-owned-small-business-federal-contract-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/women-owned-small-business-federal-contract-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/8a-business-development-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/8a-business-development-program

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K) Service-Disabled Veteran Owned Small Business Certification:

Does the offeror qualify as a Service-Disabled Veteran Owned Small Business as defined by SBA?

The website listed below contains information about the SBA’s Veteran program:

Veteran contracting assistance programs | U.S.

Small Business Administration

Choose an item.

L) Small Business Address: For the address of the small business, fill in the information below:

(Please do not enter address information in ALL

CAPS)

a. Street Address:

b. Address Line 2: Enter apartment, suite, or floor (optional).

Click or tap here to enter text.

c. City: Click or tap here to enter text.

d. State: Enter the state’s current postal abbreviation designated by the U.S. Postal Service.

The website listed below contains information about postal abbreviations for U.S. states and territories:

USPS State Abbreviations

Click or tap here to enter text.

e. ZIP Code (5 digits) Click or tap here to enter text.

M) Small Business Phone: (format 555-555-1212) Click or tap here to enter text.

N) Company Website URL: Click or tap here to enter text.

O) YouTube Video Demonstration in Support of the Proposal (Required for Phase IB proposals): Must include a URL (Uniform Resource Locator) link to a three-minute or shorter video demonstration of the proposed project.

INSERT YouTube URL to video demonstration here:

Click or tap here to enter text.

Video Demonstration Requirements

• Reviewers will be required to watch and evaluate the video as a component of the proposal.

Videos may be a maximum of 3 minutes. Reviewers will be instructed to stop watching a video at the end of minute 3.

Offerors must ensure that a reviewer will be able to click on a

“live” URL on YouTube to watch the video. URLs that are scanned and not clickable may not be able to be viewed by the reviewers.

• There is no sample of a successful video for the Phase IB program.

https://www.sba.gov/federal-contracting/contracting-assistance-programs/veteran-contracting-assistance-programs#id-service-disabled-veteran-owned-small-business-program https://www.sba.gov/federal-contracting/contracting-assistance-programs/veteran-contracting-assistance-programs#id-service-disabled-veteran-owned-small-business-program https://about.usps.com/who-we-are/postal-history/state-abbreviations.htm

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An effective video will (1) present the current version of the education technology prototype or product and provide a brief use-case, and (2) will describe the new component to be developed in the proposed Phase IB project.

• All video demonstrations must be posted to YouTube (http://www.youtube.com/) prior to the submission deadline and must remain available during the 90-day review period following submission. If the video demonstration is posted on a website other than YouTube, it is possible reviewers will not be able to watch the video. Videos can be posted as “public” or “private,” with private viewers only able to access the video with the URL link.

• Video demonstrations may not be updated after submission. If the posting date on YouTube for the video is later than the submission date on June 29, 2026, at 11 a.m. Eastern Time (ET), the video will be deemed ineligible for inclusion in the review process.

P) For every member of the project team, fill in the below table.

• At a minimum, each project must list two team members, including a Project Director and a Contractor Security Liaison.

• See “Section C. Project Team and Company, Résumés, and Certifications” and the Security Requirements for Contractors Doing Business with the Department of Education for more information on contractor security vetting processes and the role of the Contractor Security Liaison.

• Only one individual may serve as the Project Director. Co-Project Director are not permitted.

• The Contractor Security Liaison is permitted to serve in more than one role, and other roles may be added in the same box.

• The individual who is listed as the Project Director is not permitted to also be listed as the CSL.

• As many lines as needed may be added, to reflect additional members of the project team and the Project Roles. While there is no requirement for a proposal to list the names or qualifications of a subcontractor organization or individuals in key project roles – providing the names and qualifications of individuals and organizations will assist reviewers in determining if the project personnel have the relevant expertise and appropriate effort to conduct the work proposed.

http://www.youtube.com/ https://www2.ed.gov/fund/contract/about/bsp.html https://www2.ed.gov/fund/contract/about/bsp.html

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• All work must be conducted by individuals who are located within the United States who are either citizens or hold a green card. Individuals who are in the United States without citizenship, visa, or green card, and U.S. citizens working outside the U.S. are not eligible to conduct work on the contract.

• A determination will be made at the beginning of the contract by ED regarding which project teams members will be required to proceed through the data security moderate risk/public trust clearance process (to include non-U.S. citizen waivers as applicable). Project team members who have contact with students (whether in person or through remote interactions) or who have access to data or networks that include personally identifiable information will be required to undergo the data security moderate risk/public trust process prior to initiating such tasks on the contract. Refer to “Section C: Project Team and Company Résumés” for more details.

Name Professional Affiliation (list only one affiliation, whether at the small business or another organization, or as an independent consultant)

Project Role Email

Project Director (required)

Contractor Security Liaison (required)

(Add additional lines for more team members)

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Q) Certifications for Phase IB Projects The answer is required to be “Yes” for all four certifications below, otherwise the proposal does not meet the required specifications under the Phase IB solicitation.

Yes ☐ No ☐ The proposal is for the development of a new component to be integrated with an existing education technology prototype or product.

Yes ☐ No ☐ The new component is distinct from the existing education technology prototype or product (not a continuation or expansion of the already-developed components).

Yes ☐ No ☐ The project plans for the technological approach to develop the new component are different than the approach that was used to develop the existing prototype or product.

Yes ☐ No ☐ The proposal presents findings from studies demonstrating that the existing education technology prototype or product is research-based.

R) Project Abstract:

• Describe the existing education technology prototype or product.

• Describe the new component to be developed in the Phase IB project and that will be integrated with the existing prototype or product if an award is provided in Phase I and II from the ED/IES SBIR program (200 word maximum).

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S) Signatures for the Authorized Representative and the Project Director

X Authorized Signature

Provide the authorized signature for the representative authorized to represent the small business concern in negotiations in the above box.

Provide the authorized signature for the Project Director in the above box.

T) SBA Company Registry:

All offerors to the SBIR program are required to register at the SBA Company Registry (https://www.sbir.gov/) prior to proposal submission. Offerors are required to attach a .pdf FILE of the SBIR.gov SBC Registration Control ID Form as proof of registration in this section of the proposal. Proposals that do not include the .pdf file will be returned without review. See below an image of a blank SBIR.gov Registration Control ID Form that offerors will complete, save as a .pdf FILE, and include within the proposal.

https://www.sbir.gov/

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SECTION B: Project Narrative (10-pages maximum)

Guidance for Section B. PROJECT NARRATIVE

• All contents that make up “SECTION B. Project Narrative” must total ten (10) pages or less. Any content in this section beyond ten (10) pages will not be reviewed.

• Numbering should begin on the first page of the "SECTION B. Project Narrative” with “1” in the top right-hand corner.

• Offerors are required to follow the exact format specified in the items below to structure the proposal.

1. Significance

A. Problem Statement and Best Current Practices (About 1 page is recommended for this section)

(1) Succinctly describe the problem in education that the proposed new version of the education technology product (including the new component) is intended to address, if fully developed in Phase IB and Phase II projects.

• Cite the most recent data establishing the scope and nature of the problem, to support the significance of adding a new component to the existing education technology product.

• Describe why this problem persists.

B. The New Version of the Education Technology Product (About 2 pages are recommended for this section)

(1) The Existing Education Technology Prototype or Product

• Briefly describe either the existing prototype of the education technology product that is functioning when used by end-users but not fully ready to be used commercially in education settings, or the existing education technology product that is functioning when used by end-users and is available for commercial use in education settings.

• For proposals to add a new component to an existing prototype, describe: 1) the prototype, 2) how it is functioning when the intended user uses it without the assistance of the developer, and 3) what R&D is needed for the prototype to be ready for commercial use in education settings. Indicate how many

Page | 20 learners, educators, administrators, or schools have used the existing prototype for testing or research purposes.

• For proposals to add a new component to an existing product, describe the product and how it is functioning, and indicate how many learners, educators, administrators, or schools have used and are currently using the product if it has been commercialized.

(2) The New Component to be Added to the Existing Prototype of Product

• Describe the new component (or components) to be developed during the SBIR Phase IB and Phase II projects that will be integrated with the existing prototype or product described above to create a new version of the education technology product.

(3) The New Version of the Education Technology Product if Awards are Made for Phase IB and Phase II

• Describe the new version of the education technology product

(including the new component) that would be fully developed, following completion of the Phase IB and Phase II projects.

• In this description:

o List and briefly describe the key components of the product and any additional materials required to support implementation. Indicate the hardware on which this product will operate (e.g., desktop computer, tablet, smart phone, Virtual Reality headset).

o Describe how the new version of the education technology product will be intended to function and how it will be implemented.

o Specify the intended user(s) of the product and grade level(s) being addressed.

o Indicate whether the product would replace, supplement, or be integrated within existing education practice(s).

Describe whether the product will be used for formal or informal learning, for in-class or remote learning, or some combination of the above.

o Briefly discuss how the product will engage universal design principles and address the needs of all potential users for

Page | 21 which the product is intended. Include whether and how the product addresses accessibility to users with various needs, consistent with new guidance under Title II of the American s with Disabilities Act (ADA) (e.g. a student with visual impairment using a screen reader to access a mobile science app or an administrator who is deaf using closed captions to navigate training modules in a web-based continuing education application). See relevant resources below.

• Fact Sheet: New Rule on the Accessibility of Web Content and Mobile Apps Provided by State and Local Governments | ADA.gov

• Federal Register: Nondiscrimination on the Basis of Disability; Accessibility of Web Information and Services of State and Local Government Entities o Specify the intended education outcomes that are expected to result from the product’s use, including the new component.

o Indicate the expected cost to schools overall and per student to purchase the product, and the level of resources (e.g., time, schedules, equipment) needed to implement and use the product.

o Present a concise user case or hypothetical example to further detail the implementation and user experience when engaging with the product, emphasizing the value-added by the new component(s) to be developed in Phase IB and in a subsequent Phase II project.

C. Prior Research on the Existing Prototype or Product

(About 1 page is recommended for this section)

Offerors submitting a proposal in response to the Phase IB solicitation are required to present findings on the existing prototype or product in order to demonstrate that the prototype or product is research-based. In cases where research on the existing prototype or product has not been conducted, offerors are advised to not submit a proposal under this solicitation.

https://www.ada.gov/resources/2024-03-08-web-rule/ https://www.ada.gov/resources/2024-03-08-web-rule/ https://www.ada.gov/resources/2024-03-08-web-rule/ https://www.federalregister.gov/documents/2024/04/24/2024-07758/nondiscrimination-on-the-basis-of-disability-accessibility-of-web-information-and-services-of-state https://www.federalregister.gov/documents/2024/04/24/2024-07758/nondiscrimination-on-the-basis-of-disability-accessibility-of-web-information-and-services-of-state https://www.federalregister.gov/documents/2024/04/24/2024-07758/nondiscrimination-on-the-basis-of-disability-accessibility-of-web-information-and-services-of-state

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(1) For projects at an earlier stage in the development cycle only: For proposals to add a new component to an existing prototype that is functioning when used by end users for testing or research, offerors must detail prior research on the existing prototype’s usability and feasibility (and reliability and validity if applicable to the focus of the project). If available, offerors are also encouraged to present research findings on the promise of the prototype to lead to the intended outcomes when used by end-users.

(2) For projects at a later stage in the development cycle only: For proposals to add a new component to an existing product that is commercially available or that will be available soon (as opposed to a functioning prototype), offerors must detail prior research on the product’s usability and feasibility (and reliability and validity if applicable to the focus of the product), and empirical findings showing the promise or efficacy of the existing product for improving outcomes. Offerors should cite and provide URL links to peer-reviewed publications reporting empirical findings to support the argument that the product is research- or evidence-based.

• All Phase IB offerors must also include results from concept testing research where users provided feedback after viewing mock-ups detailing the new proposed education technology product (with the new proposed component) and its intended implementation.

• Based on the results from prior research presented above, provide a rationale for why an award from the ED/IES SBIR program is warranted for additional development to create a new component to be integrated with the existing prototype or product.

D. Theoretical and empirical support

• Describe the underlying theoretical framework and provide any data from relevant studies in the extant scientific literature to show that the new version of the education technology product, and its components, can be expected to produce the intended results. Relevant references to the scientific literature should be included.

E. Market Competitors and Potential Commercial Application

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• Describe the most commonly used products and practices that are currently being used in this area of education. Describe the shortcomings of the current products or practices. Explain why the proposed new version of the education technology product will have a competitive advantage in the marketplace relative to other products or practices.

Describe the current commercial status of the existing prototype or product. For existing prototypes, describe when commercial launch is expected to occur. For existing products that are commercially available, describe the number of end-users and the pathways that have been used to commercialize the product.

Indicate the total revenue from sales of the product that are commercialized.

After the new version of the education technology product is fully developed through Phase IB and Phase II R/R&D (including the new component), briefly describe how it will be commercialized (disseminated to potential end-users and revenue strategies to sustain the product over time) in the private sector marketplace. To support this commercialization plan, offerors must indicate how the letters included in “SECTION F. Letters of Support For Potential Pathways To Commercialize The New Proposed Education Technology Product” establish that pathways would be available toward the eventual commercial dissemination and sustainability of the proposed product in the private marketplace, highlighting the importance of the new component.

2. Phase IB Work Plan

The purpose of the Phase IB Work Plan under this solicitation is for offerors to present the plans to develop a prototype of a new component to be integrated with an existing education technology prototype or product, and to conduct a pilot study of the new component.

Offerors must determine what modifications (if any) will be needed to the existing prototype or product in order for the new component to be integrated, and prepare for the pilot study to be conducted with the end-users. Offerors may present plans to further develop and modify the existing prototype or product to achieve the goals of the project. However, the primary focus of the R&D effort must remain on creating, integrating, and testing the new component.

The technological approach to develop the new component must be different than the approach that was used to develop the existing prototype or product. The scope of the overall project must align to the period of the award and the amount of funding provided.

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A. Development of the Prototype of the New Component

• Describe the prototype of the new component (or components) to be developed in Phase IB and integrated with the existing education technology prototype or product. Describe how the component will be functioning by the end of the Phase I project. Indicate what additional R&D and modifications will be needed to prepare the existing protype or product to integrate the new component(s).

• Describe the R/R&D procedures through which the prototype of the new component will be developed, will be functioning, and will be successfully integrated with the existing prototype or product by the end of Phase IB. The development plan should include a description of the research procedures that will be used to iteratively test and refine the prototype as development occurs.

For this research, offerors should describe how and when data will be collected, the characteristics of the sample participating in the research, and the procedures for analyzing and drawing conclusions from the data.

B. Pilot Research at the End of Phase IB

Describe the pilot study that will be conducted near the end of the Phase IB funding period, after the prototype of the new component is developed, functioning, and integrated with the existing prototype or product. The pilot study should both (1) test the usability (or functioning) and feasibility of the new component prototype following integration with the existing prototype or product, when it is used by the anticipated end user, and (2) provide results from concept testing, in which users provide feedback following a presentation of the plans or mock-ups for the new version of the education technology product that would be developed by the end of Phase II. This pilot test should include hands-on interaction with the prototype by representative intended users.

When describing the pilot study, offerors should include the following details:

Research questions. Pose clear, concise research questions. For example:

To test usability: Does the new component prototype function as intended when integrated with the existing prototype or product? Are users able to physically use the new component prototype? Are users able to easily follow the instructions to learn to use the new component prototype? Does the

Page | 25 new component prototype generate and present data to the end-user as intended?

To test feasibility of the new component prototype: Are users engaged while using the new component prototype when integrated with the existing prototype or product? Were educators able to implement the prototype within standard practice (or a simulated version thereof) as intended by the developer? Do users report that the prototype shows promise for leading to the intended outcomes (e.g., improved student learning from pre- to post-test, improved student attitudes about learning in the target area, educators persuaded that a more efficient process is possible)?

Concept testing: After using the new component prototype and seeing plans or mock-ups for the full development of the new education technology product (with the new component), do users believe the education technology product (with the new component) after Phase II could be successfully implemented in the intended setting? Do users believe that the product has the potential to improve user outcomes if implemented as envisioned? Do users have feedback for improving or changing the component prototype or the concept during subsequent product development?

Sample. Phase IB studies should include a small sample of individuals who resemble the intended user population. For these studies, describe the population (e.g., learners, educators, administrators) and the setting (e.g., school, early intervention setting, remote setting) for the studies to inform iterative refinements to the prototype and to test the feasibility and usability of the prototype at the end of Phase IB. Provide information on the number and demographic characteristics of the participants who will participate in research.

Wherever appropriate, offerors are encouraged to include underserved learners in their samples. Offerors must include one letter of agreement for participation in research from a representative of an education setting, should the proposal be awarded. This letter should be no longer than one (1) page and is to be included in “SECTION E. Letter of Agreement for School Participation in the Phase IB R/R&D”.

Instruments. Describe the instruments that will be used to measure usability and initial feasibility of the prototype of the new component, and the integration of the new component with the existing prototype or product. Include information on reliability and validity of the instruments

Page | 26 that will be employed, if available.

Procedures. Describe how and when data will be collected to determine usability and initial feasibility, and to conduct concept testing for the new education technology product (including the new component) that will be ready for commercialization after Phase II.

Data Analysis. Include a clear and detailed description of the data analysis procedures, including the hypotheses to be tested and the outcome measures to be used. For quantitative data, specific statistical procedures must be described. For qualitative data, the specific methods used to index, summarize, and interpret data must be delineated.

Foundations for Phase II. In concluding this section, briefly discuss how the Phase IB R/R&D will provide a foundation for the Phase II R/R&D effort. Briefly describe any potential problem areas that are anticipated in Phase IB and provide alternative strategies that would be considered in such circumstances to address these problems.

Key Terms for the Phase IB Workplan

Education Settings: Education settings refers to the location where the product is used, whether in a physical school (e.g., in a class), from a remote setting (e.g., a home), or an out-of-school setting (e.g., summer program).

Usability of the Prototype: The extent to which the prototype developed during Phase I functions as intended, can collect data, or generate results as intended, can be understood and/or easily used and learned by the intended user, and functions effectively and efficiently.

Feasibility of the Prototype: The extent to which the prototype can be used in the intended education setting for pilot testing within the requirements and constraints;

evidence that users are engaged while using the prototype, that the prototype can be used as a standard education practice for formal or informal learning, instruction, or administration, and that the prototype shows promise for improving outcomes of interest.

Concept Testing the Full Product Concept: After using a prototype and seeing mock-ups or plans for the full concept of the completely new education technology product, the extent to which users believe that the full product (including the new component) would be a good fit to replace or supplement currently utilized content, could be implemented within the requirements and constraints of the targeted education setting, would engage learners or would be a product educators would

Page | 27 want to use, and would be likely to improve the outcomes of interest for end-users.

Fidelity of Implementation: The extent to which the prototype is able to be delivered and used as it was designed to be by end users in an education setting.

Promise of Education Outcomes: The extent to which the pilot research shows improvement in education outcomes of interest.

3. CITATIONS

All citations should be included on page 11 (and beyond if needed), or the page immediately following the project narrative.