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U.S. Department of Education

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

FAST-TRACK (PHASE I & II) OPTION

REQUEST FOR PROPOSALS

RFP Number: ED-08-R-0008

Institute of Education Sciences

Priority 1: Education Technology Products for Students

Priority 2: Education Technology Products for Teachers

Priority 3: Education Technology Products for School Administrators

ISSUE DATE: December 5, 2007

CLOSING DATE: January 22, 2008

12:00 Noon Eastern Standard Time


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IES SBIR 2008 FAST-TRACK RFP

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FAST-TRACK TABLE OF CONTENTS

Top

Section Page

1. Program Overview ...2

2. Agency Contact73. Definitions84. Contract Proposal Preparation Instructions and Requirements135. Method of Selection and Evaluation Criteria.. 276. Considerations. 307. Proposal Submittal Information.. 378. 2008 Priorities.. 399. Scientific and Technical Information Sources. 4110. Fast-Track Proposal Package Checklist...42

Appendix A (Letter of agreement for participation - maximum 1 letter)..43

Appendix B (Biographical summary certification pages)..44Appendix C (Documentation of Previous Phase II awards)45Appendix D (Phase I and Phase II Budgets) ..46Appendix E (Human subjects information).47Appendix F (ED Required Information). 49Appendix G (Letters of endorsement maximum 5 letters)57


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Phase III. In Phase III, the small business uses non-SBIR capital to pursue commercialproposals of the R/R&D. Also, under Phase III, Federal agencies may award non-SBIRfollow-on funding for products or processes that meet the needs of those agencies.

Both Phase I and Phase II awards may include a reasonable profit/fee.

Fast-Track option. A Fast-Track proposal is a single proposal that contains both PhaseI and Phase II activities. Through the Fast-Track (Phase I & II) option, the Instituteintends to fund meritorious proposals that have high potential for the commercializationof technologically innovative products that contribute to improved student learning andacademic achievement in the field of education. By providing the opportunity toconcurrently submit and review a proposal that contains both Phase I and Phase IIactivities, the Fast-Track option has the potential to minimize any funding gap betweenthe Phase I and Phase II periods.

The following provides details on the preparation, submission, and review of the

Fast-Track proposal: In order to apply for Fast-Track funding, offerors must submit both 1) a full

Phase I proposal and2) a Fast-Track proposal. Fast-Track proposals that aresubmitted without a Phase I proposal will not be evaluated. (See Section 7Proposal Submittal Information, for instructions on submitting a full Phase I

proposal and a Fast-Track proposal within the same package.)

In the Phase I portion of the Fast-Track proposal, the offeror must (1) describe thesignificance of the project; (2) specify clear, measurable goals (milestones) thatdetail the development of a functioning prototype of an education technologyproduct; and (3) specify a research plan to test the feasibility of the prototype forimplementation in a school or formal education delivery setting. This work must

be achieved prior to initiating Phase II, as it will be used to judge the success ofthe Phase I effort.

In the Phase II portion of the Fast-Track proposal, the offeror must (1) specifyclear, measurable goals (milestones) that detail the R/R&D process through whichthe prototype will become, or will be on a trajectory to become, a commerciallyviable education technology product, (2) provide an evaluation plan to test theefficacy of the product for achieving the intended outcomes in schools or formaleducation delivery settings, and (3) detail a commercialization plan for the saleand distribution of the product should all the technical objectives be achieved.

The Phase I proposals will be evaluated by a Phase I Technical EvaluationReview Panel. The Phase I Technical Evaluation Review Panel will not have

access to the Fast-Track proposal that was submitted in the same package. If an offerors Phase I proposal is under consideration for a Phase I award, the

Fast-Track proposal will then be evaluated.In cases where an offerors Phase Iproposal is not under consideration for a Phase I award, the Fast-Track proposal

will not be evaluated.

All eligible Fast-Track proposals will be evaluated by a Fast-Track TechnicalEvaluation Review Panel. The Fast-Track proposal will receive a single rating forthe proposed Phase I and Phase II project.

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The government reserves the right to award a contract solely for Phase I to

offerors who have also submitted a Fast-Track proposal. Offerors who submit aFast-Track proposal that are unwilling to accept a Phase I-only award, should notsubmit a proposal.

NOTE: Offerors who intend to submit a proposal through the Fast-Track optionmustsubmit both 1) a full Phase I proposal and 2) a Fast-Track proposal in the same

package. For the Fast-Track option in 2008, when an offerors Phase I proposal is not underconsideration for an award, the Fast-Track (Phase I & Phase II) proposal will not bereviewed. For specific Fast-Track proposal submittal information, view Section 7 of this

solicitation. For more information on preparing the full Phase I proposal, view the Phase I

solicitation at


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Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated Statesof Micronesia, and the Republic of Palau.

Joint ventures are permitted, provided that the business entity created qualifies as a smallbusiness in accordance with the Small Business Act, 15 U.S.C. 631. 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 othersubcontracts or purchase agreements may not exceed one-third of the total fundingagreement price. For Phase II, the proposing firm must perform at least one-half of theresearch and/or analytic effort. Furthermore, the total of all consultant fees, facility leases orusage fees, and other subcontracts or purchase agreements may not exceed one-half of thetotal funding agreement price.

ED staff will examine all SBIR proposals with the above considerations in mind. If itappears that an offeror organization does not meet the eligibility requirements, ED willrequest an evaluation by the SBA. Under circumstances in which eligibility is unclear, ED

will not make an SBIR award until the SBA provides a determination.

E. Proposal Limitations

A proposal must be relevant and appropriate to priorities listed in this program solicitation(see Section 8 for the priorities under this solicitation). There is no limitation on the numberof different proposals that an offeror may submit under this competition. Duplicateproposals will be returned without review.

F. Key Dates and Award Information

The Department of Education is required under P.L. 106-554 to participate in the SmallBusiness Innovation Research (SBIR) program. The Governments obligation under thisaward is contingent upon the availability of appropriated funds from which payments aremade. The Department is not bound by the estimates given below.

The number Fast-Track awards will be determined based on the number of high qualityproposals that are submitted and the availability of funds. A Fast-Track includes a Phase Iaward of up to $100,000 and a Phase II award up to $750,000. The Institute expects toannounce Fast-Track awards by May, 2008. The Phase I portion of the Fast-Track awardwill begin in June 2008. The decision to fund the Phase II portion of the Fast-Trackaward will occur in December 2008, after the successful completion of the technicalobjectives that are set forth for the Phase I period, and after the submission and review ofthe Phase I final report. Awardees whose Phase I objectives are achieved will proceed toPhase II, which will begin in January 2009. Awardees whose objectives are not met willnot be funded during Phase II.

G. Important Notices

Award Limits

The Institute has the following award limits for the SBIR program:Phase I limit -- $100,000Phase II limit -- $750,000

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The Institute is under no obligation to fund any specific proposal or make any specificnumber of awards in a given research priority area. The Institute is not responsible for anymonies expended by an offeror before an award.Executive Order 13329: Manufacturing-Related InnovationExecutive Order 13329 states that continued technological innovation is critical to astrong manufacturing sector of the United States economy. The U.S. Department ofEducations SBIR Program encourages innovative manufacturing-related projects, asdefined by the Executive Order. For more information on Executive Order 13329, visit thefollowing website or contact the Department ofEducation SBIR Program Manager Edward Metz at [email protected].

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2. AGENCY CONTACTSAll questions must be directed in writing to Lenox Coles. Any responses would be posted asan amendment to the solicitation on FedBizOpps. The Government cannot guarantee thatquestions submitted after November 26, 2007, will receive a response.

Joseph GibbsContract SpecialistUS Department of Education550 12th Street, SW Room 7121Washington, DC 20065-4230Phone: (202) 245-6016Email: [email protected]

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3. DEFINITIONS

The Small Business Administration (SBA) developed the following definitions relevant tothe Small Business Innovation Research (SBIR) Program:

Affiliate

This term has the same meaning as set forth in 13 CFR Part 121 - Small Business SizeRegulations, 121.103.

Awardee

The SBC receiving an SBIR funding agreement.

Commercialization

The process of developing marketable products and producing and delivering productsfor sale (whether by the originating party or by others) to Government and/or commercialmarkets.

ContractAn award instrument establishing a binding legal procurement relationship between afunding agency and the recipient, obligating the latter to furnish an end product or serviceand binding the agency to provide payment therefore.

Essentially Equivalent Work

The "scientific overlap," which occurs when (1) substantially the same research isproposed for funding in more than one contract proposal or grant proposal submitted tothe same Federal agency; (2) substantially the same research is submitted to two or moredifferent Federal agencies for review and funding consideration; or (3) a specific researchobjective and the research design for accomplishing an objective are the same or closelyrelated in two or more proposals or awards, regardless of the funding source.

Extramural Budget

The sum of the total obligations for R/R&D minus amounts obligated for R/R&Dactivities by employees of a Federal agency in or through Government-owned,Government-operated facilities.

Feasibility

The practical extent to which a project is capable of being successfully performed.

Funding Agreement

Any contract, grant, or cooperative agreement entered into between any Federal agencyand any SBC for the performance of experimental, developmental, or research work,including products or services, funded in whole or in part by the Federal Government.

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Historically Underutilized Business Zone (HUBZone)

An SBC meeting the following criteria:1. Located in a historically underutilized business zone or HUBZone area located

in one or more of the following:

a) A qualified census tract (as defined in section 42(d)(5)(C)(i)(l) of the InternalRevenue Code of 1986);b) A qualified non-metropolitan county (as defined in section 143(k)(2)(B) of

the Internal Revenue Code of 1986) with a median household income of lessthan 80 percent of the State median household income or with anunemployment rate of not less than 140 percent of the Statewide average,based on US Department of Labor recent data; or

c) Lands within the boundaries of federally recognized Indian reservations.2. Owned and controlled by one or more US Citizens; and3. At least 35% of its employees must reside in a HUBZone.

InnovationSomething new or improved, having marketable potential, including (1) development ofnew technologies, (2) refinement of existing technologies, or (3) development of newproposals for existing technologies.

Intellectual Property

The separate and distinct types of intangible property that are referred to collectively asintellectual property," including but not limited to: patents, trademarks, copyrights,trade secrets, SBIR technical data (as defined in this section), ideas, designs, know-how,business, technical and research methods, and other types of intangible business assets,and including all types of intangible assets either proposed or generated by an SBC as aresult of its participation in the SBIR Program.

Joint Venture

An association of persons or concerns with interests in any degree or proportion by wayof contract, express or implied, consorting to engage in and carry out a single specificbusiness venture for joint profit, for which purpose they combine their efforts, property,money, skill, or knowledge, but not on a continuing or permanent basis for conductingbusiness generally. A joint venture is viewed as a business entity in determining powerto control its management, has its own Employer Identification Number as assigned bythe Internal Revenue Service, and is eligible under the SBIR Program provided that theentity created qualifies as a "SBC" as defined in this section.

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Key Personnel

In addition to the principal investigator, Key Personnel are defined as individuals whocontribute to the scientific development or execution of the project in a substantive,measurable way, whether or not salaries are requested. Typically, these individuals have

doctoral or other professional degrees, although individuals at the masters orbaccalaureate level should be included if their involvement meets the definition of KeyPersonnel. Consultants should also be included if they meet the definition of KeyPersonnel. Key Personnel must devote measurable effort to the project whether or notsalaries are requested - zero percent" effort or "as needed" are not acceptable levels forthose designated as Key Personnel.

Manufacturing (Executive Order 13329)

Executive Order 13329 ensures that Federal agencies assist the private sector in itsmanufacturing innovation efforts. Manufacturing-related R/R&D encompassesimprovements in existing methods or processes, or wholly new processes, machines or

systems. Broadly speaking, EDs SBIR program encourages R/R&D in manufacturingthrough systems level technology development. These projects encompass a range oftopics, such as artificial intelligence, IT devices, software, delivery systems,rehabilitation technology, assistive technology and devices, and product design, amongothers. It is likely that some products funded under this solicitation will be manufactured(e.g. large-scale production) after the Phase II R/R&D is completed. For more informationon Executive Order 13329, please visit the following websiteor contact the Department of Educations SBIRProgram Manager Edward Metz at [email protected].

Other significant contributors

This category identifies individuals who have committed to contribute to the scientificdevelopment or execution of the project, but are not committing any specified measurableeffort to the projects. These individuals are typically presented at "zero percent" effort or"as needed" (individuals with measurable effort cannot be listed as Other SignificantContributors). Consultants should be included if they meet this definition.

Offeror

The organizational entity that, at the time of award, will qualify as a Small BusinessConcern (SBC) and submits a contract proposal for a funding agreement under the SBIRProgram.

Principal Investigator/Project Manager

The one individual designated by the offeror to provide the scientific and technicaldirection to the project that will be supported by the funding agreement.

Prototype

A model of something to be further developed, which includes designs, protocols,questionnaires, software, and devices.

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Research or Research and Development (R/R&D)

Any activity that is:1. A systematic, intensive study directed toward greater knowledge or understanding

of the subject studied;2. A systematic study directed specifically toward applying new knowledge to meet

a recognized need; or3. A systematic proposal of knowledge toward the production of useful materials,devices, and systems or methods, including design, development, andimprovement of prototypes and new processes to meet specific requirements.

SBIR Technical Data

Means all data generated in the performance of any SBIR funding agreement.

SBIR Technical Data Rights

The rights an SBC obtains in data generated in the performance of any SBIR fundingagreement that an awardee delivers to the Government during or upon completion of a

Federally-funded project, and to which the Government receives a license.

Small Business Concern

A concern that, on the date of award for both Phase I and Phase II funding agreements:1. is organized for profit, with a place of business located in the United States, which

operates primarily within the United States or which makes a significantcontribution to the United States economy through payment of taxes or use ofAmerican products, materials or labor;

2. is in the legal form of an individual proprietorship, partnership, limited liabilitycompany, corporation, joint venture, association, trust or cooperative, except thatwhere the form is a joint venture (as defined in this section) there can be no morethan 49 percent participation by foreign business entities in the joint venture;

3. is at least 51 percent owned and controlled by one or more individuals who arecitizens of, or permanent resident aliens in, the United States; and

4. has, including its affiliates, not more than 500 employees.

Socially and Economically Disadvantaged Individual

A member of any of the following groups:1. Black Americans;2. Hispanic Americans;3. Native Americans;4. Asian Pacific Americans5. Subcontinent Asian Americans;6. Other groups designated from time to time by SBA to be socially disadvantaged;

or any other individual found to be socially and economically disadvantaged bySBA pursuant to Section 8(a) of the Small Business Act, 15 U.S. C. 637(a).

Subcontract

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Any agreement, other than one involving an employer/employee relationship, enteredinto by an awardee of a funding agreement calling for supplies or services required solelyfor the performance of the original funding agreement.

United States

Means the 50 states, the territories and possessions of the Federal Government, theCommonwealth of Puerto Rico, the District of Columbia, the Republic of the MarshallIslands, the Federated States of Micronesia, and the Republic of Palau.

Woman-Owned Small Business Concern

A small business concern that is at least 51 percent owned and operated by a woman orwomen who also control and operate it. Control in this context means exercising thepower to make policy decisions. Operate in this context means being actively involvedin the day-to-day management.

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4. PROPOSAL PREPARATION INSTRUCTIONS & REQUIREMENTS

A. Proposal Requirements

A proposal to the Institute under the SBIR program shall present a sound approach to the

research and development of an education technology product for the purpose of improvingstudent learning and achievement. A proposal should be self-contained and written withthe care and thoroughness accorded to papers for publication. The scientific and technicalmerit of the proposed research is the primary concern for all research supported by theInstitute. The proposed R/R&D must be responsive to the Institute's SBIR programpriorities. The proposal should also serve as the base for new commercial educationtechnology products that may benefit the public. A firm must not propose market research,patent proposals, or litigation. Proposals for the development of proven concepts towardcommercialization or for market researchshould notbe submitted because such efforts areconsidered the responsibility of the private sector.

NOTE: In order to apply for Fast-Track funding, offerors mustsubmit both a Phase Iproposal anda Fast-Track proposal. Fast-Track proposals that are submitted without aPhase I proposal will not be evaluated. For instructions on completing the Phase I proposal,view the Phase I solicitation at: < http://www.fedbizopps.gov.>.

From the Institute's standpoint, a Fast-Track project would be successful if:

At the end of a 6-month Phase I period of the Fast-Track award, the investigators had: (1)developed a functioning prototype of an education technology product, and (2) conductedresearch to determine the feasibility of the prototype for implementation in a school orother formal education delivery settings. This form of feasibility research typically

involves observation and collection of data on the users of the prototype (e.g., students,teachers, principals) in laboratory and school settings.

At the end of the 2-year Phase II period, the investigators had: (1) developed acommercially viable education technology product (including materials and componentsnecessary for implementation of the product in a school), (2) evaluated the efficacy of theproduct for attaining the intended outcomes (e.g., improving student readingachievement), and (3) developed a commercialization plan for the sale and distribution ofthe product.

B. Protection of Information in Proposals

It is ED policy to use information included in proposals for evaluation purposes only and toprotect such information from unauthorized use or disclosure. While this policy does notrequire that the proposal bear a notice, protection can be assured only to the extent that thelegend specified below in Rights in Data Developed Under SBIR Funding Agreements isapplied to those data that constitute trade secrets or to other commercial or financialinformation that is confidential or privileged. Other information may be afforded protectionto the extent permitted by law, but ED assumes no liability for use and disclosure ofinformation to which the legend has not been appropriately applied.

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C. Limitations on Length of Proposal

This program solicitation is designed to reduce the investment of time and money to smallfirms in preparing a Fast-Track proposal.

Offerors must ensure that Section 4.2 Project Narrative Key Information;

Abstract, Certifications, and Legend is no more than 3 pages in length (and noted aspages i, ii, & iii);

Offerors must ensure that Section 4.3 Project Narrative Technical Content is 30pages or less in length;

Offerors must ensure to include the required information in Appendices A, B, D, E,and F;

Your proposal will be rejected if it does not conform to the following requirements:

A page is 8.5 x 11, on one side only, with 1 margins at the top, bottom, and bothsides. Single space all text in the proposal narrative, including titles, headings, footnotes,

quotations, references, and captions, as well as all text in charts, tables, figures, andgraphs.

To ensure that the text is easy for reviewers to read and that all offerors have the sameamount of available space in which to describe their projects, offerors must adhere to thetype size and format specifications for the entire proposal narrative, including footnotes.

The proposal must conform to the following requirements:

The height of the letters must not be smaller than 12 point.

Type density, including characters and spaces, must be no more than 15characters per inch (cpi). For proportional spacing, the average for any

representative section of text must not exceed 15 cpi. Standard black type should be used for text to permit photocopying.

The proposal can contain color figures, charts, or graphs, but must contain onlymaterial that reproduces well when printed out or photocopied in black and white.

Offerors should check the type size using a standard device for measuring type size,rather than relying on the font selected for a particular word processing/printercombination.

NOTE:Offerors are not required, nor is it necessary, to use binders, tabs, or blank colorpages within the proposal to divide or delineate sections. Offerors are not required to

use, nor is it necessary, to use forms or bindings, such as plastic covers bound by combbinding, 3-ring binders, or folders. Proposals should be bound by binder clips or staples.Any other method increases cost and does not affect the evaluation of the technicalproposal.

In Section 4.3 Project Narrative - Technical Content, a proposal should place pagenumbers consecutively throughout the document.

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D. Fast-Track Proposal Guidance

To avoid any misunderstanding, offerors should be aware that proposals not satisfying allthe required instructions will be returned to the proposing organization without review.Those proposals may not be resubmitted with or without revision under this programsolicitation.

1. Contractor Registration: Before ED can award a contract to a successful offeror underthis solicitation, the offeror must be registered in the Central Contractor Registration(CCR) database and the Online Representations and Certifications Application (ORCA).The CCR allows Federal Government contractors or firms interested in conductingbusiness with the Federal Government to provide basic information on businesscapabilities and financial information. To register, visit www.ccr.gov or call 1-888-227-2423. ORCA is a web-based system that centralizes, standardizes, and moves thecollection and storing of contractor representation and certifications online. To register inORCA visit http://orca.bpn.gov/. Please contact those sites directly for technicalsupportED does not provide technical support for either CCR or ORCA. Offerors that

do not have a current registration in both CCR and ORCA at the time of award willexcluded from the competition.

In addition to registering in CCR and ORCA, offerors must complete the certificationscontained in Appendix F of this document. Offers without completed Appendix Fcertifications are not eligible for award. Offerors shall submit one copy of the completedcertifications with the proposal. This should be a separate document from the proposaland will not be counted the page limit.

2. PROJECT NARRATIVE KEY INFORMATION, ABSTRACT,

CERTIFICATIONS, STATEMENTS, AND LEGEND

NOTE: All of the 2. Project Narrative components (a through e) must be included

within pages i, ii, and iii of the Fast-Track proposal. No other cover pages are permitted

to precede page i.

a) KEY INFORMATION FOR THE FAST-TRACK PROPOSAL1) Project title:2) Name and website (if applicable) of the small business concern:3) Name and contact information (address, phone/fax, and email) for the

principle investigator:4) Name and contact information for a representative of the concern

authorized to represent the concern in negotiations:5) Names and professional affiliations of all project team members:

b) PRIORITIES.Select the one priority area that is most appropriate for this project: (Note: SeeSection 8 for information on the Priority Areas.)Priority 1: Education technology products for studentsPriority 2: Education technology products for teachers

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Priority 3: Education technology products for school administrators

c) ABSTRACT. The offeror should provide an abstract with the following twocomponents. (NOTE: Nothing in this section should be proprietary orconfidential.)

1) Technical Abstract (describing Phase I & II R/R&D) of no more than200 words.2) Summary of Anticipated Results and Potential Commercial Proposals of

the research for both Phases I & II of no more than 200 words.

d) CERTIFICATIONS. The offeror should respond to the followingcertifications required by the Small Business Administration.

Small Business Certification

Does the offeror certify that it is a SBC and meets the definition as stated inthe program solicitation or that it will meet that definition at the time ofaward?

Yes

No

[NOTE: The next 4 items are for statistical purposes only.]

Socially and Economically Disadvantaged SBCCertification Does the offeror qualify as a socially and economically disadvantaged SBCand meet the definition as stated in this program solicitation? Yes NoWoman-owned SBCCertification Does the offeror qualify as a woman-owned SBC and meet the definition asstated in this program solicitation? Yes NoHUBZone-owned SBCCertification Does the offeror qualify as a HUBZone-owned SBC and meet the definitionas stated in this solicitation? Yes NoThe website listed below contains information about the SBAs HUBZone

program:http://www.sba.gov/hubzone/

Service Disable Veteran Owned Small Business Certification

Does the offeror qualify as a Service Disable Veteran Owned Small Businessand meet the definition as stated in this program solicitation? Yes No[NOTE: The next item would be used as a tie-breaker in cases where there isa tie between offerors]

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Manufacturing-Related Project Certification

If Phase I and Phase II R/R&D leads to a completed product, is it possiblethat this product will be manufactured (e.g. production) on a wide scalebasis? Yes NoIn cases where there is a tie in the award selection process, ED will givepriority to projects that are manufacturing-related. (This tie-breaker

specification allows the ED program to apply an additional preference

without compromising the quality standards or established criteria of theprogram.)

e) STATEMENTS. The offeror should respond to the following statementsrequired by the Small Business Administration.

Duplicate Research Statement

Other than the Phase I proposal that is included in this package, has theofferor and/or Principal Investigator submitted proposals/proposals for

essentially equivalent work under other Federal program solicitations orreceived other Federal awards for essentially equivalent work? Yes NoIf yes, identify proposals and/or awards in Project Narrative RELATEDPROPOSAL(S) OR AWARD(S).

Disclosure Permission Statement

Will the offeror permit the Government to disclose the title and technicalabstract page of the proposed project, plus the name, address, and telephonenumber of the corporate official of the offerors firm, if the proposal does notresult in an award, to concerns that may be interested in contacting you forfurther information? Yes No

f) LEGEND FOR PROPRIETARY INFORMATION. Information containedin unsuccessful proposals will remain the property of the offeror. TheGovernment may, however, retain copies of all proposals. Public release ofinformation in any proposal submitted will be subject to existing statutory andregulatory requirements.

If proprietary information provided by an offeror in a proposal constitutes a tradesecret, proprietary commercial or financial information, confidential personalinformation, or data affecting the national security, it will be treated inconfidence, to the extent permitted by law. This information must be clearlymarked by the offeror with the term "confidential proprietary information andthe following legend must appear in this section of the proposal:

These data shall not be disclosed outside the Government and shall notbe duplicated, used, or disclosed in whole or in part for any purpose other

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than evaluation of this proposal. If a funding agreement is awarded to thisofferor as a result of or in connection with the submission of these data,the Government shall have the right to duplicate, use, or disclose the datato the extent provided in the funding agreement and pursuant toapplicable law. This restriction does not limit the Governments right to

use information contained in the data if it is obtained from another sourcewithout restriction. The data subject to this restriction are contained inpages ______ of this proposal.

Any other legend may be unacceptable to the Government and may constitutegrounds for removing the proposal from further consideration, without assumingany liability for inadvertent disclosure. The Government will limitdissemination of such information to/within official channels.

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3. PROJECT NARRATIVE TECHNICAL CONTENT

NOTE: Begin the main body of the Fast-Track proposal 3. Project Narrative

Technical Content on page 1.

1. Significance. Describe the intended product that would be developed as a result of the Phase I

andPhase II R/R&D. Describe the features or components of the product. Notethe intended user of the product (e.g., middle school science students, strugglingadult readers, school administrators). Describe how the proposed product will beimplemented in a school or other formal education delivery setting and how it willbe integrated within existing practices as an intervention. For example, would theproduct replace or supplement existing curricula, instructional approaches, orprograms? Note the intended outcomes that will come from using the product(e.g., improve knowledge of biology, improve English vocabulary knowledge,improve school leadership).

Describe the problem in the field of education that the product would address. Describe the theoretical and empirical foundations for the product. For example,

what theory and empirical evidence support that idea that the proposed productwould improve student outcomes, improve the way teachers teach, or the wayadministrators operate schools?

Describe the proposed products potential commercial application and why theproduct would be likely to be successful relative to similar education products (ifsimilar products exist) or current education practices.

2. Phase I Technical Objectives.

State the specific objectives of the Phase I R/R&D effort, including the technical

questions it will try to answer to determine the feasibility of the proposedapproach. Briefly describe the prototype that will be developed through the PhaseI R/R&D. Describe why the stated objectives are appropriate for a 6-monthperiod. A timeline may be included.

3. Phase I Workplan.

Include a detailed plan describing the technological R/R&D that will occur in PhaseI, including what will be done, where it will be done, and how it will be carried out.The Phase I R/R&D technological plan should address the objectives and thequestions cited in Section 4.3.2 (Phase I Technical Objectives) immediately above.

Describe the technological R/R&D procedures through which the prototype will be

developed and through which the feasibility testing will occur. Describe theiterative research process that will be used throughout Phase I to collect data toinform further development. Describe the research process that will be used at theend of the Phase I period to demonstrate the feasibility of the prototype. Describehow the prototype will be functioning at the end of Phase I, including its mainfeatures and components.

In Fast-Track proposals, offerors shall include details on the following:

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o Research questions. Offerors should pose clear, concise hypotheses or

research questions.o The sample (e.g., students, teachers) and settings (e.g., laboratory,

schools) that will be used to assess the feasibility of the prototype.NOTE:Offerors should include one letter of agreement from a school or

other formal education delivery setting that has agreed to participate in thePhase I & Phase II research should the proposal be awarded. This lettershould be no longer than 1-page, and can be included in Appendix A.

o The measures used in collecting feasibility data. Offerors should clearlydescribe what needs to be observed in order to inform further developmentof the prototype and to determine if the prototype is operating as intendedat the end of Phase I.

o The procedures for determining if the prototype is functioning as intended

(e.g., Does the initial prototype of the software program crash whenstudents use it? Are teachers able to integrate an initial version of theintervention within their existing curriculum?) Offerors should clearly

describe how data will be collected and analyzed to determine feasibility.Observational, survey, or qualitative methodologies are encouraged.

Discuss how the Phase I R/R&D will provide a foundation for the Phase IIR/R&D effort. Offerors should describe any potential problem areas that areanticipated, and provide alternative strategies that would be considered in suchcircumstances.

4. Phase II Technical Objectives

State the technical objectives of the Phase II R/R&D effort, including the specificresearch questions that will be addressed in the project. In strong proposals, theofferor clearly links the stated technical objectives with the research plan and

shows how the state objectives can be met within a 2-year project period. Atimeline may be included.

NOTE: The Phase II portion of the Fast-Track proposal should describe the R/R&D

process through which the prototype will become (or will be on a trajectory to become) a

commercially viable education technology product.

5. Phase II Work and Research Plan.

Include a detailed plan describing the technological R/R&D that will occur in thePhase II portion of the Fast-Track period. The offeror should specify what will bedone, how it will be carried out, and where it will be done. The Phase II R/R&D

technological plan should address the objectives and the questions cited in Section4.3.4 (Phase II Technical Objectives) immediately above. In strong proposals, theofferor makes it is easy for reviewers to understand how the research plan relates tothe technical objectives of the project.

Describe the R/R&D procedures through which the prototype will become (or willbe on a trajectory to become) a commercially viable education technologyproduct.

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o Sample: Describe the sample that will be selected, and the sampling

procedures to be employed. Indicate whether/how many school(s)have agreed to participate in this research.NOTE:Offerors should include one letter of agreement from a school(or other formal education delivery setting) that has agreed to

participate in the Phase I & Phase II research should the proposal beawarded. This letter should be no longer than 1-page, and can beincluded in Appendix A. Letters that have been secured from otherschool(s) (formal education delivery settings) that are noted in aproposal should be available to be provided to ED upon request.

o Research design: The offeror must provide a detailed research design.Offerors should describe how potential threats to internal and externalvalidity would be addressed. Because the Institute intends for the thePhase II portion of the Fast-Track awards to test the impact of thetechnology products for improving student outcomes or the teachingand learning environment, studies using randomized assignment to

treatment and comparison conditions are strongly preferred. When arandom assignment is used, the offeror should clearly identify the unitof randomization (e.g., students, classroom, teacher, or school) anddescribe the procedures to be used for the random assignment. Only incircumstances in which a randomized experimental design is notfeasible should alternatives be employed. Offerors proposing analternative design must make a compelling case that randomization isnot possible.

o Describe strategies employed to avoid contamination betweentreatment and comparison groups, and to account for what occurs inthe comparison group relative to the impact of the treatment.

o Power. Offerors should clearly address the power of the evaluation todetect a reasonably expected and minimally important effect. Whenofferors justify what constitutes a reasonably expected effect, offerorsshould indicate clearly (e.g., including the statistical formula) how theeffect size was calculated. For more information on power analysis,refer to the National Center for Education Research 2007 Request forApplications, p.60, at .

o Measures. Specify what measures will be used to evaluate outcomes,and when and how the measures will be collected. Include informationon the reliability, validity, and appropriateness of the proposedmeasures. In strong proposals, investigators will make clear that theskills or content the intervention is designed to address are captured inthe various measures that are proposed.

o Data analysis. Include a clear and detailed description of the dataanalysis procedures. For quantitative data, specific statisticalprocedures should be described. The relation between hypotheses,measures, and independent and dependent variables should be clear.For qualitative data, the specific methods used to index, summarize,and interpret data should be delineated. Most evaluations of education

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interventions involve clustering of students in classes and schools andrequire the effects of such clustering to be accounted for in theanalyses, even when individuals are randomly assigned to condition.Such circumstances generally require specialized multilevel statisticalanalyses using computer programs designed for such purposes. Strong

applications will provide sufficient detail for reviewers to judge theappropriateness of the data analysis strategy. For random assignmentstudies, applicants need to be aware that typically the primary unit ofanalysis is the unit of random assignment.

o Documentation of the resources required to implement the product anda cost analysis are also encouraged as part of the Phase II research.

6. Related R/R&D

Describe any significant R/R&D that is directly related to the proposal including anyconducted by the project manager/principal investigator or by the proposing smallbusiness concern. Describe how it relates to the proposed effort, and any planned

coordination with outside sources. The offeror must persuade reviewers of his or herawareness of key, recent, R/R&D conducted by others in the specific topic area.

7. Relationship with Future R/R&D

State the anticipated results of the proposed approach if the project is successful(Phase I and Phase II).

8. Commercialization Plan

The Phase II portion of the Fast-Track proposal must include a succinctCommercialization Plan. Provide a description in each of the following areas:

a)Project Value, Expected Outcomes, and Impact. Describe, in layperson's terms, theproposed project and its key technology objectives. Clarify the need addressed,specifying weaknesses in the current approaches to meet this need. In addition, describethe commercial proposals of the research and the innovation inherent in this proposal. Besure to also specify the potential educational benefits of this work. Explain the non-commercial impacts to the overall significance of the project. Briefly explain how theSBIR project integrates with the overall business plan of the company.

b) Company. Give a brief description of your company including corporate objectives,core competencies, present size (annual sales level and number and types of employees),history of previous Federal and non-Federal funding, regulatory experience, and

subsequent commercialization, and any current products/services that have significantsales. Include a short description of the origins of the company. Indicate your vision forthe future, how you will grow/maintain a sustainable business entity, and how you willmeet critical management functions as your company evolves from a small technologyR/R&D business to a successful commercial entity.

c) Market, Customer, and Competition. Describe your marketing and sales strategy.Describe the market and/or market segments you are targeting and provide a brief profile

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of the potential customer. Tell what significant advantages your innovation will bring tothe market, e.g., better performance, lower cost, faster, more efficient or effective, newcapability. Explain the hurdles you will have to overcome in order to gainmarket/customer acceptance of your innovation. Describe any strategic alliances,partnerships, licensing agreements, or endorsements you have in place to help market and

sell your product. Provide letters detailing such agreements or endorsements in Appendix G.

Give an overview of the current competitive landscape and any potential competitorsover the next several years.

d)Intellectual Property (IP) Protection and Licensing. Describe how you are going toprotect the IP that results from your innovation. Also note other actions you mayconsider taking that will constitute at least a temporal barrier to others aiming to providea solution similar to yours. Describe the steps you will take to license your product.

e)Finance Plan. Describe the necessary financing you will require, and when it will be

required, as well as your plans to raise the requisite financing to launch your innovationinto Phase III and begin the revenue stream. Plans for this financing stage may bedemonstrated in one or more of the following ways:

Letter of commitment of funding (include in Appendix G);

Letter of intent or evidence of negotiations to provide funding, should the Phase IIproject be successful and the market need still exist (include in Appendix G);

Letter of support for the project and/or some in-kind commitment (include inAppendix G);

Specific steps you are going to take to secure Phase III funding.

f)Production Plan. Describe how the production of your product will occur (e.g., in-

house manufacturing, contract manufacturing).

g)Revenue Stream. Explain how you plan to generate a revenue stream for your companyshould this project be a success. Examples of revenue stream generation include, but arenot limited to, manufacture and direct sales, sales through value added resellers or otherdistributors, joint venture, licensing, service. Describe how your staffing will change tomeet your revenue expectations.

Phase II offerors through the Fast-Track mechanism are encouraged to seekcommitment(s) of funds and/or resources from an investor or partner organization forcommercialization of the product(s) resulting from the SBIR award. Your Phase III

funding may be from any of a number of different sources including, but not limited to:SBIR firm itself; private investors or "angels"; venture capital firms; investmentcompanies; joint ventures; R/R&D limited partnerships; strategic alliances; researchcontracts; sales of prototypes (built as part of this project); public offering; state financeprograms; non SBIR-funded R/R&D or production commitments from a Federal agencywith the intention that the results will be used by the United States government; or otherindustrial firms. Documentation of such commitments should be included in Appendix G.

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NOTES: Offerors may provide up to 5 letters of interest or endorsement in Appendix G.Each letter must be less than 1-page in length. Letters in Appendix G are not countedtoward the 30-page limit of the Fast-Track proposal.

Strong letters of interest or endorsement are from organizations or individuals not

affiliated to the project. Such letters endorse the commercial potential of the proposedproduct. Letters of interest or endorsement may come from future potential commercialpartners or manufacturers, associations or organizations in the specific area of theproposal, or from school practitioners who would purchase or use the product if it wereavailable. Strong letters of endorsement may 1) state the endorsers qualifications, 2)refer to the specifics of the proposal, and 3) specify any future roles or involvement withthe project should it be successful. For example, strong letters of support maydemonstrate the intent of an outside organization to possibly provide or invest fundsshould the project goals be achieved and the market need still exist, or may demonstratethe intent of an outside organizations to provide an endorsement of the product should itbecome commercially viable.

Offerors should notinclude letters of interest or endorsement from members of theproject team, such as consultants or subcontractors. The confirmation of involvement ofmembers of the project team is to be provided in the Bibliographical Summary of KeyPersonnel (Section 3.6 below) and can be discussed in terms of how the project ismanaged.

9. Bibliographical Summary of Key Personnel Detailing Directly Related Work

Identify any additional key personnel from the Phase I and Fast track periods.Provide a short biographical summary for each key personnel, focusing on theirmost relevant experience and publications.

NOTE:Each biographical summary in the Fast-Track proposal must beaccompanied by two certifications in Appendix B.(Biographical summaries must be included within the 30 pages.

Certifications should not be included with the 30-page limit, but rather

should be included in Appendix B.)

Describe whether the principal investigator is appropriately trained and capable ofmanaging the proposed Fast-Track project. List all other commitments that theprincipal investigator has during the proposed period of performance. Involvementof consultants in the planning and research stages of the project is permitted. If suchinvolvement in intended, discuss how the project will be managed.

Describe whether members of the investigative team bring qualified expertise in

the following areas: technological R/R&D, and education theory, practice, andresearch (including research performing school-based randomized controlledtrials), and an individual with experience in the commercialization of educationtechnology products. Describe their directly-related education, experience, andbibliographic information.

10. Facilities

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The conduct of advanced research may require the use of sophisticated

instrumentation or computer facilities. The offeror should provide a detaileddescription of the availability and location of the facilities and equipmentnecessary to carry out the Fast-Track project.

11. Cost Breakdown/Proposed Budget Offerors must provide a Phase I budget and a Phase II budget in Appendix D. See

Appendix D for formatting requirements.

12. Human Subjects

Offerors must include information on human subjects in Appendix E. SeeAppendix E for information.

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5. METHOD OF SELECTION AND EVALUATION CRITERIA

A. Introduction

The goal of Institute-supported R/R&D is to contribute to the solution of educationproblems and to provide reliable information about the effect of products for supporting

learning and improving academic outcomes. Reviewers will be expected to assess severalaspects of a proposal in order to judge the likelihood that the proposed R/R&D will meetthis goal. In the evaluation and handling of proposals, the Institute will make every effort toprotect the confidentiality of the proposal and any reviews of the proposal. All Fast-Trackproposals will be judged on a competitive basis solely against the evaluation criteria (seebelow under D).

B. Pre-Review ScreeningAll Fast-Track proposals will proceed through a pre-review screening to determineresponsiveness to the specific requirements of the solicitation. If the answer to any of thefollowing questions is "NO," the proposal will be returned to the offeror without review

or further consideration.

Does the proposal contain all of the information required under "2-ProjectNarrative-Key Information, Abstract, Certifications, Statements, and Legend"?

Is the proposal, excluding the cover pages (pages i, ii, & iii) and the Appendices(A through G), 30 pages or less?

Is the proposed R/R&D in the field of education, and applicable to the priorityareas?

In Appendix A, is there a letter of agreement from one school that has agreed toparticipate in the Phase I and Phase II research?

In Appendix B, is there a certification page for each individual listed on theproject personnel team, signed by the proposed employee and by someone withthe authority to bind the company?

In Appendix D, is there a Phase I budget and a separate Phase II budget?

Any deviations from the proposal instructions may lead to a proposal being rejected.

C. Review Panels

The evaluation process is as follows:

For offerors submitting a Phase II Fast-Track proposal, the Phase I proposal will beevaluated first. An offeror's Phase II Fast-Track proposal will only be evaluated ifthe offerors Phase I proposal is under consideration for a Phase I award. In cases

where an offerors Phase I proposal is not under consideration for an award, theFast-Track proposal will not be evaluated.The government reserves the right toaward a contract solely for Phase I to a Phase II Fast-Track offeror. Fast-Trackofferors that are unwilling to accept a Phase I-only award should not submit aproposal.

Fast-Track Technical Evaluation Review Panels will consist of three reviewersfrom the agency, including research scientists and technology experts. Fast-Track

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reviewers will review proposals and complete written evaluations by identifyingstrengths and weaknesses for each of the evaluation criteria (listed below under D).

Fast-Track reviewers will assign scores based on these evaluation criteria, with themaximum number of points for each criteria listed in parentheses.

Scores on each of the five criteria will be summed (for a maximum of 100 points).

Proposals from all of the Fast-Track Technical Evaluation Review Panels will beranked in order from highest average score out of 100 to lowest average score,with the top scores recommended for funding based on the availability of funds.

Contracts staff will evaluate business-related aspects of proposals. The finalaward decision is made by the Contracting Officer, informed, but in no wayobligated, by the recommendation of the technical evaluators.

D. Evaluation Criteria

Each Fast-Track proposal will be evaluated according to the following criteria:

I. Significance (15 points)

Did the offeror clearly describe the intended product that would be developed as aresult of the Phase I andPhase II R/R&D. Are the intended user and anticipatedoutcomes described? Does the proposal provide a reasonable explanation as tohow the product would be implemented in schools (or other formal educationdelivery setting) and integrated within existing practice?

Is the proposed product likely to contribute to solving an important problem in thefield of education?

Do the theoretical and empirical foundations for the project suggest that theproduct is likely to result in the intended outcomes (e.g., improved studentlearning)?

Are the aims of the technological development new, original, and innovative?

Does the proposed technology have a high degree of potential to lead to a widelydisseminated and utilized product?

II. Phase I Workplan (15 points)

Does the workplan specify clear, appropriate, well-integrated, and measurablegoals (milestones) for the technological development of the prototype?

Is the research design adequate for collecting empirical data to informdevelopment and for demonstrating the feasibility of the prototype at the end ofPhase I?

Is the workplan that is proposed appropriate for the 6-month period?

Does the Phase I R/R&D provide a foundation for the Phase II efforts?

III. Phase II Workplan (30 points)

Does the workplan specify clear, appropriate, well-integrated, and measurablegoals (milestones) for the full-scale technological development of the prototype?

Is the research design adequate to demonstrate technological feasibility of theproduct?

Is the research evaluation design adequate for demonstrating the efficacy of theproduct under conditions that would be typical if a school or other source were to

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implement the intervention? Has the offeror provided one letter of agreementfrom a school indicating the intention to participate in efficacy research of theproduct? Has the offeror indicated that letters of agreement from other schools (oranother education delivery setting) are available to ED upon request?

Is the workplan that is proposed are appropriate for the 2-year period?

IV. Commercialization Plan (25 points)

Is the marketing plan to sell the product clear, appropriate, and well-integrated?Would the plan provide a competitive advantage in the current marketplace?

To what extent did the offeror obtain letters of intent to provide funding (shouldthe project goals be achieved and the market need still exist) or letters of supportfor endorsing the product should it become commercially viable?

Does the offeror adequately detail the necessary financing required to launch theinnovation into Phase III and to begin the revenue stream?

V. Phase I & II Project Team, Company/Resources, and Budget (15 points)

Is the principal investigator appropriately trained and capable of managing theproposed project?

Does the investigative team bring qualified expertise in the following areas:technological R/R&D; education theory, practice, and research methods for thedevelopment and evaluation of the proposed product; and business marketing?

Is there adequacy of support, including facilities, equipment, supplies, and otherresources, from the proposing firm and from sub-contractors? Has the proposingfirm successfully commercialized SBIR-supported technology where prior awardshave been made? (Or, has the firm been successful at commercializing non-SBIRrelated technology?)

Are the Phase I and II budgets adequate to support the proposed project? Or, is the

scope of the project beyond the scope of the funding to be provided? Are the costsreasonable in relation to the objectives, design, and potential significance of theproposed project?

The Government intends to evaluate proposals and award a contract without discussionswith offerors (except clarifications as described in FAR 15.306(a)). Therefore, theofferors initial proposal should contain the offerors best terms from a cost or price andtechnical standpoint. The Government reserves the right to conduct discussions if theContracting Officer later determines them to be necessary. If the Contracting Officerdetermines that the number of proposals that would otherwise be in the competitive rangeexceeds the number at which an efficient competition can be conducted, the Contracting

Officer may limit the number of proposals in the competitive range to the greatestnumber that will permit an efficient competition among the most highly rated proposals.All provisions of FAR 52.215-1 are incorporated by reference into this solicitation.The Contracting Officer has waived the requirement to evaluate past performance for thissolicitation.

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6. CONSIDERATIONS

A. Reports

Phase I period the Fast-Track Award:

For Phase I, an interim progress report is required and will be due at the end of month 3.For Phase I, a final report is required and will be due at the end of month 6. The contractorshall email each report to the Contracting Officer's Representative and to the ContractSpecialist.

The interim report shall include a brief description of the technological R/R&D carried outup to the end of month 3, the plans for feasibility testing and the pilot evaluation, an updateon the commercial plan, an update on any obstacles encountered during the period, and abrief description of the potential commercial applications which will result from the Phase IIR/R&D. This project summary is to be submitted without restriction on publication and may

be published by ED.

The Phase I final report shall include a one-page project summary as the first page. Thereport shall identify the purpose of the R/R&D, include a brief description of thetechnological R/R&D carried out, the findings or results from the feasibility testing and thepilot evaluation, an update on the commercial plan, an update on any obstacles encounteredduring the period, and a description of the potential commercial applications which willresult from the Phase II R/R&D. This project summary is to be submitted without restrictionon publication and may be published by ED.

NOTE: The Phase I final report will be reviewed and judged in order to

determine whether the contractors should proceed to Phase II. Awardees whose

Phase I objectives are achieved will proceed to Phase II. Awardees whose

objectives are not met will not be funded during Phase II.

All reports shall carry the following acknowledgment statement on the cover page:This material is based upon work supported by the U.S. Department ofEducation under purchase order number _____________. Any opinions,findings, conclusions or recommendations expressed in this publicationare those of the author(s) and do not necessarily reflect the views orpolicies of the Department of Education.

Phase II of the Fast-Track:

For Phase II, a tri-yearly interim progress report is required and will be due at the end ofmonths 10, 14, 18, 22, and 26. For Phase II, a final project report is required and will be dueat the end of month 30. The contractor shall email each report to the Contracting Officer'sRepresentative and to the Contract Specialist.

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The interim reports shall include a brief description of the technological R/R&D carried outup to the end of the particular reporting period, an update on the feasibility testing and theresearch evaluation, an update on the commercial plan, an update on any obstaclesencountered during the period, and a brief description of an update on the potentialcommercial applications which will result from the Phase II R/R&D. This project summary

is to be submitted without restriction on publication and may be published by ED.

The Phase II final project report shall include a one-page project summary as the first page.The report shall identify the purpose of the R/R&D, include a detailed description of thetechnological R/R&D carried out, the findings or results from the feasibility testing and theresearch evaluation, an update on the commercial plan, a description of obstacles that wereencountered, and a detailed description of the commercial applications resulting from thePhase II R/R&D. This project summary is to be submitted without restriction on publicationand may be published by ED.

All reports shall carry the following acknowledgment statement on the cover page:

This material is based upon work supported by the U.S. Department of Educationunder purchase order number _____________. Any opinions, findings, conclusionsor recommendations expressed in this publication are those of the author(s) and donot necessarily reflect the views or policies of the Department of Education.

B. Payment SchedulePayments will be made in accordance with the payment schedule negotiated and agreed toby the Contracting Officer. The offeror shall include his or her cash flow requirements aspart of the budgets for Phase I and Phase II. Once invoices are received, the due date forpaying invoice is the 30th day after the designated billing office receives a proper invoicefrom the contractor (i.e., one that has been approved by the COR) or the 30th day after EDaccepts goods or supplies performed by the contractor, whichever is later (FAR 52.232-25).Contractors shall be paid upon completion of the final project summary report, normally 6months after project start. The invoice shall accompany the final summary report.

Contractors may propose to receive up to 2 payments during the Phase I portion of thecontract. Contractor's may propose a payment of no more than 50% of the Phase I price toaccompany the successful completion of the Interim Progress Report.

Contractors may propose to receive up to 6 payments during the Phase II portion of thecontract, each to accompany an interim or final progress report. Contractors are free topropose any breakdown they wish, as long as at least 20% of the Phase II portion of thecontract price is reserved for payment after acceptance of the final report.

C. Government Performance and Results Act

The Government Performance and Results Act (GPRA) of 1993 places new managementexpectations and requirements on Federal departments and agencies by creating aframework for more effective planning, budgeting, program evaluation, and fiscalaccountability for Federal programs. The intent of the Act is to improve public confidenceby holding departments and agencies accountable for achieving program results.

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royalty-free license for Federal Government use, reserves the right to require thepatent holder to license others in certain circumstances, and requires that anyoneexclusively licensed to sell the invention in the United States must normallymanufacture it domestically. To the extent authorized by 35 U.S.C. 205, theGovernment will not make public any information disclosing a

Government-supported invention for a 4 year period (that may be extended bysubsequent SBIR funding agreements) to allow the awardee a reasonable time topursue a patent.

E. Subcontracting Limits Research and Analytical Work

For Phase II, at least one-half of the research and/or analytic effort must be performed by theproposing small business concern unless otherwise approved in writing by the fundingagreement officer after consultation with the agency SBIR Program Manager/Coordinator.

F. Contractor Requirements

Upon award, the contractor will be required to make certain legal commitments through

acceptance of numerous provisions in the Phase I procurement.

The outline that follows is illustrative of the types of provisions that will be included in thefunding agreement. This is not a complete list, nor does it contain the specific wording ofthese clauses. ED will make awards as described in CFR Title 48-Federal AcquisitionRegulations. The resultant agreement will contain legally binding clauses. Copies ofcomplete general clauses will be made available prior to award. A complete set of theserequirements is available now upon request.

1. Standards of Work. Work performed under the funding agreement mustconform to high professional standards.

2. Contract Type. The funding agreement will be a Firm-Fixed-Price contract.This obligates the Contractor to complete all work successfully on time inorder to get paid. The value of this contract will not vary with the costexperience of the contractor.

3. Inspection. Work performed under the funding agreement is subject toGovernment inspection and evaluation at all reasonable times.

4. Examination of Records. The Comptroller General (or a duly authorizedrepresentative) shall have the right to examine any directly pertinent recordsof the contractor involving transactions related to this contract.

5. Default. The Government may terminate the agreement if the contractorfails to perform the work contracted.

6. Termination for Convenience. The agreement may be terminated at anytime by the Government if it deems termination to be in its best interest, in

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which case the contractor will be compensated for work performed and forreasonable termination costs.

7. Disputes. Any dispute concerning the funding agreement that cannot beresolved by agreement shall be decided by the Contracting Officer with right

of appeal.

8. Contract Work Hours. The contractor may not require an employee towork more than eight (8) hours a day or forty (40) hours a week unless theemployee is compensated accordingly (that is, receives overtime pay).

9. Equal Opportunity. The contractor will not discriminate against anyemployee or applicant for employment because of race, color, religion, sex,or national origin; or because he or she is a disabled veteran or a veteran ofthe Vietnam era; or because he or she is physically or mentally handicapped.

10. Officials Not to Benefit. No Government official shall benefit personallyfrom the agreement.

11. Covenant Against Contingent Fees. No person or agency has beenemployed to solicit or secure the agreement upon an understanding forcompensation except bonafide employees or commercial agenciesmaintained by the contractor for the purpose of securing business.

12. Gratuities. The agreement may be terminated by the Government if anygratuities have been offered to any representative of the Government tosecure the agreement.

13. Patent Infringement. The contractor shall report each notice or claim ofpatent infringement based on the performance of the agreement.

14. American Made Equipment and Products. When purchasing equipmentor a product under the SBIR funding agreement, purchase only American-made items whenever possible.

15. Publicity. Any publications resulting from this contract will need adisclaimer noting that the project was funded by the US Department ofEducation and that publication does not necessarily reflect the views orpolicies of the U.S. Department of Education.

16. Background Investigation Requirement: Any contractor/subcontractorstaff or consultants who will work on the contract for 30 days or more (intotal) and who will have access to sensitive data (for example, but not limitedto, data protected by the Privacy Act or FERPA) must undergo a governmentbackground investigation. This investigation will include, among otherthings, a credit check and criminal background check. The cost of

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performing the investigation is born by the Government, however, theContractor will be responsible for the costs of fingerprinting any proposedstaff that need an investigation. The cost of fingerprinting may be includedin your proposed budget. Offerors should check with their local policyagency to determine the cost of fingerprinting (2 fingerprint sets are required

per person).

17. Research Activities Involving Human Subjects. Research activitiesinvolving human subjects must be in compliance with the regulationsissued by the Department of Education to safeguard the rights and welfareof human research subjects. The human subjects contracts clause can befound at: http://www.ed.gov/policy/fund/reg/clibrary/humansub.html

G. Joint Ventures or Limited Partnerships

Joint ventures and limited partnerships are permitted provided that the entity createdqualifies as a small business concern as defined in this program solicitation.

H. Cost-Sharing

Cost-sharing is permitted for proposals under this program solicitation; however, costsharing is not required. Cost-sharing will not be an evaluation factor in consideration ofyour Phase I proposal.

I. Profit/Fee

Contracts may include a reasonable fee or profit on SBIR funding agreements, consistentwith normal profit margins provided to profit-making firms for R/R&D work.

J. Standard Terms and Conditions

Upon acceptance of an award, the Contractor must comply with the terms and conditionscontained or referenced in the Notice of Award document. These terms and conditions,constituting legal requirements, are imposed on an awardee by statute, regulations,administrative policy, or the award document itself.

K. Additional Information

1. This program solicitation is intended for informational purposes and reflects currentplanning. If there is an inconsistency between the information contained herein andthe terms of any resulting SBIR funding agreement, then the terms of the fundingagreement are controlling.

2. In the interests of those with special needs, the Offeror is encouraged to developproducts that include alternate formats (e.g., closed- or open-captioning for filmsand/or videotapes, Braille, large print, audiotape).

3. The SBIR program is not a substitute for existing unsolicited proposal mechanisms.The Government shall not accept unsolicited proposals under the SBIR program ineither Phase I or Phase II.

4. If an award is made pursuant to a proposal submitted under this program solicitation,the Contractor will be required to certify that they have not previously been, nor is

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currently being, paid for essentially equivalent work by any agency of the FederalGovernment.

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7. PROPOSAL SUBMITTAL INFORMATION

1. A single package must either be mailed or hand-delivered to:

Joseph Gibbs

US Department of Education550 12th Street, SW #7121Washington, DC 20202-4230

If mailing, offerors are advised to use a next-day or 2-day mail carrierservice provider (e.g., Federal Express, UPS, USPS, etc.) to ensure that thepackage is received prior to the deadline.

If hand delivering-proposals, check-in at the security desk and call JosephGibbs at (202) 245-6016 and William Spitzgo at (202) 245-6497 to acceptthe proposal.

The due date and time for the receipt of proposals is 12 noon EST onJanuary 22, 2008.

NOTE: Fax or emailed proposals will not be reviewed.

2. The proposal package must contain the following:

One (1) original and three (3) copies of the Phase I proposal;

One (1) original and three (3) copies of the Fast-Track

proposal;

Two (2) Compact Discs that contain electronic versions of the

Phase I proposal andthe Fast-Track proposal, in one or both

of the following formats: Microsoft Word and/or Portable

Document Format (PDF).

NOTE: Please include all components of the electronic versions

of the proposals (Project Information, Project Narrative, all

appendices) in a single file.

NOTE: Fast-Track proposals that are submitted in a package without aPhase I proposal will not be evaluated.

3. Any proposal, modification, or revision received at the Government officedesignated in the solicitation after the exact time specified for receipt ofoffers is late and will not be considered unless it is received beforeaward is made, the Contracting Officer determines that accepting the lateoffer would not unduly delay the acquisition; and

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8. 2008 PRIORITY AREAS (3)

For fiscal year 2008, the Institute has selected three priorities for the SBIR program.These priorities consist of the development of technological products that directly orindirectly lead to improved student learning and academic achievement in school orformal education settings, from pre-kindergarten through the post-secondary level.

Products must fall within one of the three priority areas below:(1) R/R&D of technological products used by students

o Products intended for student use must be within one (or more) of thefollowing content areas: reading, writing, math, science, or social andbehavioral contexts for academic learning.2

(2) R/R&D of technological products used by teachers

o Products for teachers to use must be within one (or more) of the followingcontent areas: reading, writing, math, or science, or social and behavioralcontexts for academic learning, ormust be a tool designed to improve theefficiency or accuracy with which teachers carry out their administrative

responsibilities (e.g., recording and calculating grades).(3) R/R&D of technological products used by administratorso Technological products intended for use by school-level administrators

(e.g., principal, guidance counselors, special education administrators) forimproving the manner in which a school is operated (e.g., products thatinform school operation, school data systems to inform practice).NOTE: Projects focusing on the R/R&D of products to be used by districtor state level administrators are not eligible for submission to thisprogram.

Products may be in the following forms, but are not limited to: software (e.g., intelligenttutors, assessment engines), digital format readers, multi-media products (e.g., DVDs,videotapes, videoconferencing, television programs), technological devices (e.g., interactivewhiteboards, clickers, personal computing devices, tablets, handheld devices), on-lineinstruction (e.g., "e-learning" products, distance learning products), or systems-leveltechnologies (e.g., network infrastructure devices, school management programs).

Products may be implemented or integrated within school practice in the following manners:as a replacement to existing curricula, as a supplement to existing curricula, as a teacherprofessional development program, as an instructional approach, as a student assessment, oras a management tool for school administrators.

Other specifications:

2For more information on the content areas that are specified in this solicitation (including reading, writing,math, science, or social and behavioral contexts for academic learning), see the National Center forEducation Research (NCER) 2008 Request for Applications at

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Products may address the needs of students in regular education classes or special

education classes.

Products may address the needs of students who are English Language Learners,however products for foreign language learning are not permitted under the abovepriorities.

For both Phase I and Phase II, the scope of the proposed project (in terms of time neededto complete the R/R&D work and resources needed to do so) must be appropriate for theInstitutes SBIR program. The Institute recognizes that some technological projectsR/R&D requirements exceed the time and resources provided by the SBIR program. Insuch cases offerors should consider other avenues for funding.

For more information on the rationale for the content areas listed above and on thespecific interests of the Institute of Education Sciences, or for other funding opportunitiesfor education technology development and evaluation, offerors are strongly encouragedto consult the National Center for Education Research (NCER) Request for Applications

for research grant competitions http://ies.ed.gov/ncer/funding/ and the National Center forSpecial Education Research (NCSER) Request for Applications for research grantcompetitions http://ies.ed.gov/ncser/funding.

For additional information on the types of projects the Institute has funded through itsresearch grant competitions, please see descriptions of projects funded through NCER athttp://ies.ed.gov/ncer/projects and descriptions of projects funded through NCSER athttp://ies.ed.gov/ncser/projects.

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9. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

Certain sources can provide information that can be useful in preparing SBIR proposals.The Internet sites listed below can provide you with helpful material and links to other sites.

SBIR Program-RelatedED SBIR Program: http://www.ed.gov/programs/sbir/index.htmlSBIR State Support Entities: http://www.ed.gov/programs/sbir/state_awards.htmlSmall Business Administration (SBA)

Office of Technology (SBIR): www.sba.gov/sbir/Small Business Administration (SBA)

Technical Resources Network (TECH-Net): tech-net.sba.gov/

Institute of Education Sciences (IES)IES Home Page: http://ies.ed.gov/

IES Funding Opportunities: http://ies.ed.gov/funding/

National Center for Education Research: http://ies.ed.gov/ncer/

National Center for Special Education Research Funding Opportunities:http://ies.ed.gov/ncer/funding/

General

U.S. Department of Education: http://www.ed.gov/What Works Clearinghouse: http://www.whatworks.ed.gov/

No Child Left Behind Actof 2001:http://www.ed.gov/nclb/overview/intro/edpicks.jhtml?src=lnEducational Resources Information Center (ERIC):http://www.ed.gov/about/offices/list/ies/ncee/eric.html

Federal Acquisition Regulation: http://www.acqnet.gov

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10. FAST-TRACK PROPOSAL PACKAGE CHECKLIST

CHECK:

CLOSING DATE: JANUARY 10, 2008 at 4PM ET

Does the offerors package include 1 original and 3 copies of the Phase Iproposal?

Does the offerors package include 1 original and 3 copies of the Fast-Track proposal?

Does the Fast-Track proposal 3. Project Narrative Technical Contentbegin on page 1 and contain no more than 30 pages?

Have you addressed each of the components of the Project Narrative TECHNICAL CONTENT section? Including

Significance: Quality of Project Design for Phase I and Phase II; Quality of Project Personnel; and, Adequacy of Resources

Did your Phase II Workplan describe a research plan to empirical evidenceas to the efficacy of the proposed product?

Are issues (and, if applicable, exemptions) relating to Research ActivitiesInvolving Human Subjects adequately addressed?

Have you included all the required components of the 2. ProjectNarrative Key Information section?

Have you provided notification ofRelated Proposal(s) or Award(s) inthe proposal narrative, if applicable?

Have you provided notification ofDocumentation of Multiple Phase IIAwards in the appendix, if applicable?

Have you registered with CCR and with ORCA?

Have you submitted all applicable appendices (including, at a minimum,appendices A, B, C, and E.

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Appendix A: Letter of agreement to participate in the Phase I & II research

In Appendix A, offerors should provide a letter of agreement from one school that hasagreed to participate in the Phase I & Phase II research. The letter must not exceed 1 pagein length.

NOTE: If the offeror is proposing to employ a randomized control trial to evaluate theimpact of the product in Phase II, the letter should clearly indicate whether the school hasagreed to participate in such research.

NOTE: In Appendix A on a separate page, offerors should also list the names of theschools that have agreed to participate in the Phase II research study. Letters ofagreement from these schools are not to be included in Appendix A, but should beavailable to be provided to the Institute upon request.

Schools (or education delivery settings) that have agreed to participate in the Phase IIresearch include:

This proposal information is not counted toward the 30-page limit.

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Appendix B: Biographical Summary Certification Pages

For each individual whose biographical summary is included within the Fast-Trackproposal, a separate page with the following certifications must appear within AppendixB.

NOTE: Each individuals biographical summary must be included within Section 4.3.9(not in Appendix B). Biographical summaries will be counted toward the 30-page limit.

Each individual on the project team must certify the following statement by providing theinformation below:

"I hereby certify that this information is accurate to the best of knowledge andbelief."

Individuals Name (TYPED):

Written signature: ___________________________

Date:

Each employee of the offeror with the authority to bind the offeror must certify thefollowing statement by providing the information below:

"I hereby certify that (FILL IN THE COMPANY NAME) has verified the

foregoing information and it is accurate to the best of our knowledge and belief."

Individuals Name (TYPED):

Individuals Title (TYPED):

Written signature: ___________________________

Date:


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Appendix C: Documentation of Previous Phase II awards

If the small business concern has received ANY prior Phase II award from any Federalagency in the prior 5 fiscal years, submit the following information for each award:

Name of awarding agency:

Date of award:Funding agreement number:Amount:Title of project:Follow-on agreement amount (if any):Source and date of commitment:Current commercialization status:


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Appendix D: Budget

In Appendix D, offerors must provide justification by including a detailed narrativedescription for each Phase I budget line item and Phase II budget line item. The Phase IIbudget should be a separate budget from Phase I and should follow. For each budget:

Budget information should be displayed in a spreadsheet. All personnel should be listed by name.

The number of hours assigned to the project for personnel should be included.

Hourly rates for personne

description: tags: ed08r0008 fasttrack

Documents

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