SOW.pdf

Statement of Work

RESEARCH ON Minority and/or Immigrant Entrepreneurship in STEM

This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in FAR 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested from this document and a written solicitation shall NOT be issued. The

NAICS is 541720 and the small business size standard is $19.0 million. This is issued as a request for quote (RFQ). The solicitation number is SBAHQ-14-Q-0034. FAR 15 is not applicable to this procurement. This solicitation shall be a 100% SMALL

BUSINESS SET ASIDE. This document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) FAC 2005-74 May 30, 2014.

This acquisition is being conducted in accordance with FAR Subpart 13, Simplified

Acquisition Procedures. In accordance to FAR Subpart 4.1102 contractors MUST be registered in System for Award Management (SAM) and DUNS number shall be required for award https://www.sam.gov/portal/public/SAM/.

Location of Work: To be completed by the contractor off-site (not at SBA headquarters)

Clearance Required: None

Statement of Work

1. Introduction

The Office of Advocacy of the U.S. Small Business Administration examines the role and status of small business in the economy and independently represents the views of small business to federal agencies, Congress, and the President. It is the source for small business statistics presented in user-friendly formats, and it funds research into small business issues. For more information on the Office of

Advocacy, including past research projects, see http://www.sba.gov/advocacy/847 and http://www.sba.gov/advo/research/ for archived reports.

2. Background

Policymakers have been generally concerned about underrepresentation of minorities, particularly African Americans and Hispanics, in the often high-growth Science, Technology, Engineering, and Mathematics (STEM) fields (see e.g., National Academy of Sciences, Expanding Underrepresented Minority

Participation – America’s Science and Technology Talent at the Crossroads, 2011). It follows that minority entrepreneurs are underrepresented in the STEM fields as well. In addition, discussion and scholarship has also focused on http://www.sba.gov/advocacy/847 http://www.sba.gov/advo/research/ immigration and STEM entrepreneurship (see e.g., http://conference.nber.org/confer/2014/IPEs14/summary.html).

3. Scope

In addition to the terms listed in this Statement of Work and other documents incorporated into the contract, the contractor’s complete research proposal will be incorporated by reference into the research contract.

This is a non-personal services contract to provide services as detailed herein and in the contractor’s complete research proposal). The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform this service as defined in this Statement of Work (SOW). The Contractor shall perform to the standards identified in this contract.

Type of Contract: The Government anticipates awarding a firm-fixed price type award.

This research project should aim to identify significant factors relevant to minority and/or immigrant entrepreneurship in STEM fields. Data permitting, the study should attempt to empirically model significant variables impacting minority and/or immigrant entrepreneurship in the STEM fields. Relevant variables in this analysis might include academic mentorship or general academic representation by like minorities in STEM fields, rate of patent generation among minorities relative to non-minorities, attendance at academic institutions with significant R&D funding, level of student debt, and immigration status. To the extent that patent generation has previously been used as a metric of entrepreneurship, this might be a significant consideration in the research analysis approach. However, other viable metrics of minority or immigrant entrepreneurship could be considered either in addition to or in lieu of the patent metric.

Specific milestones the research should address include but are not limited to:

Relevant descriptive statistics for minority- and or immigrant-owned entities in STEM fields, including any distinctions according to firm size.

Relevant descriptive statistics for patent generation and commercialization among minorities and/or immigrants.

Relevant data sets may include: USPTO data (1963-2013), NSF Higher

Education and Research and Development (HERD) data, National Survey of Post-secondary Faculty (NSOPF), Survey of Doctorate Recipients

(SDR), NSF National Survey of College Graduates

(http://www.nsf.gov/statistics/srvygrads/), the Survey of Business Owners

(http://www.census.gov/econ/sbo/), labor force participation from the http://conference.nber.org/confer/2014/IPEs14/summary.html

Current Population Survey (http://www.bls.gov/cps/demographics.htm),), or other relevant data.

Identification of general longitudinal trends, data permitting.

Research to identify specific STEM fields that have demonstrated particular success in entrepreneurship, small business creation or longevity, or industry growth. If such fields are identified, a more granular examination should be conducted according to minority and/or immigration demographics.

4. Applicable Directives

Other information of relevance when submitting a proposal:

Research proposals should include a review of the literature, establish a set of hypotheses to be tested, describe the model, and describe the data to test the model, show the policy relevance of the research, list a timeline, include resumes for relevant subject matter and technical experts who will conduct and present the research.

Some data sources require special access due to privacy concerns. Offers must document the proposed process for acquiring access to such data if such data is proposed for use under this award. All costs associated with performing this service shall be inclusive of the offered fixed price for the service.

Surveys are not preferred over using existing data, as they can place a burden on small businesses, but we recognize that on occasion they are necessary.

Offers that include uses of additional survey(s) for information should:

demonstrate familiarity with the proposed survey procedures; provide the source for respondents; provide clarification of the collection process; and provide realistic estimates of the response rates. Offers suggesting that surveys be conducted need to include the survey approval process in the timeline as required under the Paperwork Reduction Act’s clearance process within the Office of Management and Budget

(http://www.whitehouse.gov/omb/inforeg_infocoll).

Previously completed research funded by the Office of Advocacy can give researchers perspective when creating offers. See http://www.sba.gov/advocacy/7540

Proposals are strongly preferred to be no longer than 25 pages, not including company credentials and references

5. Performance Requirements http://www.whitehouse.gov/omb/inforeg_infocoll http://www.sba.gov/advocacy/7540

The methodology and hypotheses put forth in the proposal will clearly show how the research will be conducted, are binding upon award, and are expected to be reflected in the final report. All research team members listed in the proposal, including but not limited to subject matter and technical experts, will actively contribute through the performance of this services. The resulting final submission will fully document the analysis and conclusions to fully support the position asserted.

The final product should contain a thorough review of the current and relevant literature, discussion of the data and findings, and overall conclusions. The report should demonstrate policy relevance to current issues. Draft products will reflect reasonable progress toward the final product and should be submitted according to final product formatting requirements. For other details on the final product, see the “Deliverables” and “Performance Requirement Summary” sections that follow.

6. Deliverables

Deliverable Due Date Format For Written

Submissions

Transition

Method

Transmitted to Whom

Post Award

Conference

10 business days after award

N/A -- Phone

Conference N/A CO and COR

Monthly progress reports

3rd business day of the month following initial award and each month thereafter

Microsoft Word document Via Email COR

Discussions on reports/submittals

As scheduled by request of the COR

N/A -- Phone

Conference N/A COR/Vendor

Draft(s) Report sections and data development

Months 1-3 of contract term

Microsoft Word documents and/or statistical results (no

Adobe Acrobat PDF files or locked files)

Via Email COR

Rough Draft of

Report

Months 3-4 of contract term

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF

Via Email COR files or locked files)

First Draft; Peer

Review Initiated

Months 4-6 of contract term

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF files or locked files)

Via Email COR

Reworked, Resubmissions of

First Draft Based on

Peer Review

Months 6-8 of contract term

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF files or locked files)

Via Email COR

Final Draft Months 8-9 of contract term

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF files or locked files)

Via Email COR

Reworked, Resubmission of

Proposed Final

Document

Months 9-11 contract term

Written, submitted in a

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF files or locked files)

Via Email COR

Final Report

Submission

Month 12 contract term

Written, submitted in a

Microsoft Word documents and formatted in accordance with specifications (no

Adobe Acrobat PDF files or locked files)

Via Email COR

7. Performance Requirement Summary

Contractors must adhere to the following when submitting drafts and the final report, with the final version completed not more than one year from the date of award:

All submissions will be presented by the prescribed timelines; presented under the prescribed methodology; in the prescribed format to the contracting officer’s representative (COR). Documents shall be clearly annotated and/or identified as either a draft or a final document.

Contractors must seek prior written approval from the contracting officer and

COR before any changes are implemented among the key personnel and other staff listed in the proposal. Individuals that the contractor proposes to use as replacements for those listed in the proposal shall satisfy the personnel experience requirements contained in the solicitation and the contractor must provide resumes for each proposed replacement as part of its request for prior written approval.

The documented submissions related to the post award service, including the final report and all intervening drafts, must be thoroughly edited and of high professional quality before submission to the COR. These high professional quality drafts and reports should include professional language, presentation, and citations commensurate with published research in academic journals in the relevant subject matter field and should be free of typographical and grammatical errors.

All research and data projects are subject to the Office of Management and

Budget Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies

(http://www.whitehouse.gov/sites/default/files/omb/assets/omb/fedreg/reprodu cible2.pdf). Per these guidelines, peer review may range from internal

Advocacy staff review to that of external reviewers in relevant fields such as academics or technical experts. Feedback from this process will be incorporated into subsequent drafts before the report can be finalized for release.

The final report must contain an executive summary and table of contents. It must conform with the current version of one of the major style guides, such as the University of Chicago Manual of Style or the American Psychological

Association (APA) Style Manual, in terms of grammar, style, and organization. In particular, each table and figure must have a source specified on the page; references, footnotes and bibliographies shall be formatted consistent with a major style guide; and all pages shall have page numbers, including tables and figures.

All government agency websites are required to comply with the Americans with Disabilities Act of 1990. Section 508 of the ADA’s 1998 amendments http://www.whitehouse.gov/sites/default/files/omb/assets/omb/fedreg/reproducible2.pdf http://www.whitehouse.gov/sites/default/files/omb/assets/omb/fedreg/reproducible2.pdf requires the electronic documents posted by Federal agencies to be accessible to employees and members of the public with disabilities to the extent that it does not pose an “undue burden.” To comply with this mandate, the final report must be formatted according to the Office of Advocacy’s guidelines to achieve 508 compatibility, with these guidelines to be provided by the COR at the time of the award. Per the guidelines, written descriptions of all figures and charts in the final report must be provided in a separate document.

The contractor will provide the Office of Advocacy with an electronic version of the study within twelve months from the contract start date. The research is expected to progress along the timeline and benchmarks as noted in the

Deliverables section.

The final report must be double-spaced. The format of the electronic version must be a native word processing software format. An Acrobat (PDF) file is not acceptable. All tables, graphics, and charts must be supplied in an editable software format. The type used in the document will be no smaller than 12 point for manuscript text; 10 point for tables, graphics and charts; and 9 point for footnotes.

The Office of Advocacy will prepare a cover page carrying the following disclaimer, "The statements, findings, conclusions, and recommendations found in this study are those of the authors and do not necessarily reflect the views of the Office of Advocacy, the United States Small Business

Administration, or the United States Government.”

Following approval and acceptance of the final report, the Office of Advocacy will assign a date for public release of the report. Upon release, an electronic final report, along with an Office of Advocacy-prepared research summary, will be posted on Advocacy's web site, http://www.sba.gov/advocacy/847, and the report also will be available for sale at cost through the National Technical

Information Service.

The definition of small businesses should be the same as used by the U.S.

Small Business Administration’s Office of Size Standards.

The Office of Advocacy encourages contractors to publish their findings in professional journals, if possible, but they can do so only after completing the contract. They must also give appropriate citation to the Office of Advocacy for sponsoring the research and reference the SBA contract number.

http://www.sba.gov/advocacy/847