U.S. Department of Education
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
Phase I
REQUEST FOR PROPOSAL
RFP Number: ED-01-Q-0003
ISSUE DATE:
January 26, 2001
CLOSING DATE:
April 18, 2001 (2:00 P.M. EDT)
TABLE OF CONTENTS
PAGE
SECTION NUMBER
1.0Program Description ...... 1
2.0Definitions ...... 4
3.0Proposal Preparation Instructions and Requirements ...... 5
4.0Method of Selection and Evaluation Criteria ...... 12
5.0Considerations ...... 14
6.0Submission of Proposals ...... 19
7.0Scientific and Technical Information Sources ...... 21
8.0Research Topics ...... 23
9.0Points of Contact for Technical Topics ...... 30
Section K ...... …………………………………...... 31
U.S. DEPARTMENT OF EDUCATION
PROGRAM SOLICITATION
FOR
SMALL BUSINESS INNOVATION RESEARCH (SBIR)
FY 2001
1.0 PROGRAM DESCRIPTION
1.1 Introduction
The U.S. Department of Education (ED) invites small business firms to submit research proposals under this program solicitation entitled Small Business Innovation Research(SBIR). Firms with strong research capabilities in educational technology, science, or engineering in any of the topic areas listed below are encouraged to participate. Consultative or other arrangements between such firms and universities or other nonprofit organizations are permitted with the small business serving as the prime contractor.[1]
Objectives of this solicitation include stimulating technological innovation in the private sector, strengthening the role of small business in meeting Federal research and development (R&D) needs, increasing the commercial application of EDsupported research results, and improving the return on investment from Federally-funded research for economic and social benefits to the Nation.
This solicitation is for Phase I proposals only.
Please note, the Department of Education has the sole discretion to select SBIR topics and awardees, and to make several or no awards under a given topic. Furthermore, ED is not responsible for any monies expended by the offeror
before the award of any funding agreement.
1.2SBIR Program Description
15 U.S.C. 638, P.L. 102-564, the “Small Business Research and Development Enhancement Act of 1992” (the “Act”) was enacted on October 28, 1992. The Act requires certain agencies, including the Department of Education, to establish SBIR programs by reserving a statutory percentage of their extramural research and development budgets to be awarded to small business concerns for research or R&D through a uniform, highly competitive three-phase process, as described below.
Phase I. -- Phase I is to determine, insofar as possible, the scientific or technical merit and feasibility of ideas submitted under the SBIR program. The proposal should concentrate on research that will significantly contribute to proving the scientific or technical feasibility of the approach or concept and that would be prerequisite to further ED support in Phase II. Proposals are evaluated based on criteria published in this solicitation (Section 4.2, pages 12-13) by panels of expert reviewers. Awards are for periods up to six (6) months in amounts up to $60,000. For FY 2001, ED anticipates making approximately twenty-five (25) awards.
Since the ED award is limited to $60,000, the Department uses the Simplified Acquisition Procedures to make these awards using purchase orders. This method helps to expedite the awards process.
Phase II. -- Phase II is to expand on the results of and to further pursue the development of Phase I. Phase II is the principal research or R&D effort. It requires a more comprehensive proposal, outlining the effort in detail including the commercial potential. Phase II applicants must be Phase I awardees with approaches that appear sufficiently promising as a result of Phase I. Once again, proposals are evaluated based on published criteria by panels of experts. The Phase II funding vehicle is a contract.
Awards are for periods up to two (2) years in amounts up to $300,000.
Phase III. -- It is intended that under Phase III non-Federal capital be used by the small business to pursue commercial applications of the research or research and development. Also, under Phase III, Federal agencies may award non-SBIR follow-on funding for products or processes that meet the needs of those agencies.
Both Phase I and Phase II awards may include a profit or fee.
1.3Eligibility and Limitations
Eligibility. -- Each organization submitting a proposal must qualify as a small for-profitbusiness for research purposes as defined by the Small Business Administration (SBA) at the time of the award. In addition, the primary employment of the principal investigator must be with the small business firm at the time of award and during the conduct of the proposed research. That is, more than one-half of the principal investigator’s working time must be spent with the small business firm during the period of performance. Also, for both Phase I and Phase II the research or R&D work must be performed in the United States. “United States” means the fifty (50) states, the territories and possessions of the United States, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Trust Territory of the Pacific Islands, and the District of Columbia.
Joint ventures are permitted, provided that the entity created qualifies as a small business in accordance with the Small Business Act, 15 U.S.C. 631 [the definition for “small business concern” is included in section 2.2 (page 4 )].
Limitations. -- A proposal must be limited to one topic listed in this program solicitation. When a proposal is relevant to more than one topic, the offeror must decide which topic is most relevant and submit it under that topic only. However, there is no limitation on the number of different proposals that a small business may submit under this solicitation, even to the same topic. A firm may submit separate proposals on different topics, or different proposals on the same topic, but each proposal must respond to exactly one topic. Duplicate proposals will be returned without review.
1.4Agency Contacts
Questions about technical aspects of the ED SBIR program, but not pertaining to administrative processing of solicitations, can be submitted to:
Lee Eiden
ED SBIR Program Coordinator
US Department of Education
Capitol Place - Room 508D
555 New Jersey Avenue, N.W.
Washington, D.C. 20208-5644
or by telephone at (202) 219-2004.
Questions pertaining to the administrative processing(including form Section K) and procurement issues regarding the solicitation shall be directed to:
LaShawn Flemming-PettawayIsadora Binder
Procurement TechnicianContract Specialist
(202) 708-8576(202) 708-5141
Questions pertaining to human subjects research issues shall be directed to:
Helene Deramond
Coordinator
Protection of Human Subjects
(202) 260-5353
Program Office contacts for each R&D topic are provided in Section 9.0 (page30).
2.0 DEFINITIONS
2.1Research or Research and Development (R/R&D)
Any activity that is:
- A systematic intensive study directed toward greater knowledge or understanding of the subject studied.
- A systematic study directed specifically toward applying new knowledge to meet a recognized need.
- A systematic application of knowledge toward the production of useful materials, devices and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.
2.2Small Business Concern
A small business concern is one that, at the time of Phase I and Phase II funding agreements, meets the following criteria:
- Is independently owned and operated, is not dominant in the field of operation in which it is proposing, and has its principal place of business located in the United States;
- Is at least 51 percent owned, or in the case of a publicly-owned business, at least 51 percent of its voting stock is owned by United States citizens or lawfully admitted permanent resident aliens;
- Has, including its affiliates, a number of employees not exceeding 500, and meets the other regulatory requirements found in 13 CFR part 121. Business concerns, other than investment companies licensed, or state development companies qualifying under the Small Business Investment Act of 1958, 15 U.S.C. 661, et.seq., are affiliates of one another when either directly or indirectly:
a)one concern controls or has the power to control the other; or
b)a third party or parties controls or has the power to control both.
Control can be exercised through common ownership, common management, and contractual relationships. The term “affiliates” is defined in greater detail in 13 CFR 121.3-2(a). The term “number of employees” is defined in 13 CFR 121.3-2(t). Business concerns include, but are not limited to, any individual, partnership, corporation, joint venture, association or cooperative.
2.3Socially and Economically Disadvantaged Small Business Concern
A socially and economically disadvantaged small business concern is one:
(a) that is at least 51 percent owned by:
(i) an Indian tribe or a native Hawaiian organization, or
(ii) one or more socially and economically disadvantaged individuals; and;
(b) whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals. A socially and economically disadvantaged individual is defined as a member of any of the following groups: Black Americans; Hispanic Americans; Native Americans; Asian-Pacific Americans; Subcontinent Asian Americans; other groups designated from time to time by the Small Business Administration (SBA) to be socially disadvantaged; or any other individual found to be socially and economically disadvantaged by SBA pursuant to section 8(a) of the Small Business Act, 15 U.S.C. 637(a).
2.4Woman-Owned Small Business Concern
A small business that is at least 51 percent owned by a woman or women who also control and operate it. “Control” in this context means exercising the power to make policy decisions. “Operate” in this context means being actively involved in the day-to-day management.
2.5Subcontract
Any agreement, other than one involving an employer-employee relationship, entered into by a Federal Government funding agreement awardee calling for supplies or services required solely for the performance of the original funding agreement.
2.6Equivalent
Equal in value, force, measure, volume, power and effect or having equal or corresponding impact, meaning or significance.
2.7Essentially
The quality or qualities of a thing that give it its identity; the intrinsic or indispensable properties of a thing.
3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS
3.1Proposal Requirements
A proposal to ED under the SBIR program should represent a sound approach to the investigation of an important education, technological, engineering or scientific question, and that it is worthy of support under the stated criteria of this solicitation.
A proposal should be self-contained and written with the care and thoroughness accorded to papers for publication. The offeror should review the proposal carefully to ensure that information and data essential for evaluation are included. The scientific and technical merit of the proposed research is the primary concern for all research supported by ED. [NOTE: The number of points weighted to this area are contained in the “Evaluation Criteria” - Section 4.2, pages 12-13.]
The proposal's research or R&D must be responsive to the ED program objectives, but it can also serve as the base for technological innovation, new commercial products, processes or services that may benefit the public.
Proposals must be confined principally to advanced concepts in educational technology, scientific or engineering research or research and development. A firm must not propose market research, patent applications, or litigation. The research may be carried out through construction and evaluation of a laboratory prototype, where necessary.
Proposals primarily for the development of proven concepts toward commercialization or for market research should not be submitted because such efforts are considered the responsibility of the private sector.
3.2Protection of Information in Proposals
It is ED policy to use information included in proposals for evaluation purposes only, and to protect such information from unauthorized use or disclosure. While this policy does not require that the proposal bear a notice, protection can be assured only to the extent that the “Legend” specified in section 5.12 (page 18) is applied to those data that constitute trade secrets or to other commercial or financial information that is confidential or privileged. Other information may be afforded protection to the extent permitted by law, but ED assumes no liability for use and disclosure of information to which the “Legend” has not been appropriately applied.
3.3Limitations on Length of Proposal
This solicitation is designed to reduce the investment of time and money to small firms in preparing a formal proposal. Those who wish to respond should submit a SBIR Phase I proposal of no more than 25 pages; excluding: any documentation of prior multiple Phase II awards [see section 3.4.5 (pages 11-12)], if applicable; and attachment responding to “Section K” (see last page of the solicitation).
The page size should be the standard size (8 ½” x 11”; 21.6 cm x 27.9 cm) and should conform to the standard formatting instructions; in particular, 2.5 cm margins and type no smaller than 10-point font size. The type size restriction applies to figures and illustrations as well as to the text. Standard black type should be used to permit photocopying. Photo reduction of larger pages is not permitted. Each page with any writing will be counted as a page. Draw all graphs, diagrams, tables, and charts in black ink. Do not include glossy photographs, or materials that cannot be photocopied in the body of the proposal.
In the interest of equity to all offerors, all information must be in the 25 pages. No appendices, other than the exclusions cited above, may be submitted and, if submitted, they will not be considered in the review of the proposal for scientific and technical merit.
Proposals that contain more than 25 pages will be
rejected without considerations.
The proposal should be direct, concise, and informative. Promotional and other discussion not related to the project is discouraged. The proposal must be primarily directed at research or R&D on the specific topic chosen. It is not necessary to provide a lengthy description of the commercial applications in the Phase I proposal except to mention them briefly under section 3.4.3 (a)(iii) (page 9).
3.4Phase I Proposal Instructions
To avoid any misunderstanding, offerors should be aware that proposals not satisfying all the required instructions will be returned to the proposing organization without review. Those proposals may not be resubmitted with or without revision under this solicitation. All copies of the proposals not accepted for evaluation will be returned with the letter of notification.
- Proposal Cover Sheet. Every proposal is required to have a cover sheet. This page should be numbered “1” at the center of the bottom of the page. It should be the topmost page of the proposal; that is, no additional cover page should be used. The cover sheet must contain the following information:
a)The words “Department of Education” and the solicitation number from the cover page of this solicitation.
b)The topic number and name of topic (e.g., Topic 5: Development of Assistive Technology to Improve the Functional Ability of Students and Adults with Disabilities).
c)A project title, which should briefly describe the particular project proposed. [NOTE: Please limit the title to no more than 100 characters]
d)The name and complete address of the firm.
e)A small business certification as follows:
"The above concern certifies that it is a small business firm
and meets the definition as stated in the solicitation."
f)A socially and economically disadvantaged small business certification as follows:
“The above concern certifies that it (does/does not) qualify as a socially and economically disadvantaged small business as defined in the Definitions section of the program solicitation.”
[NOTE: This item is for statistical purposes only.]
g)A woman-owned small business certification as follows:
“The above concern certifies that it (does/does not) qualify as a womenowned small business as defined in the Definitions section of the program solicitation.”
[NOTE: This item is for statistical purposes only.]
h)An employment and subcontracting limit statement as follows:
"The above concern certifies that:
- The primary employment of the Principal Investigator (51% or more of time) will be with this small business concern at the time of the award and during the period of the award; and,
- A minimum of two-thirds of the research and/or analytical effort will be performed by the proposing firm."
i)An information statement regarding duplicate research as follows:
"This firm and/or Principal Investigator (has/has not) submitted proposals for essentially equivalent work under other Federal program solicitations or (has/has not) received other Federal awards for essentially equivalent work.”
j)A disclosure permission statement as follows:
“Will you permit the Government to disclose the title and technical abstract page of your proposed project, plus the name, address, and telephone number of the corporate official of your firm, if your proposal does not result in an award, to concerns that may be interested in contacting you for further information (e.g., possible collaboration, investment) ?
Yes _____ No _____.”
k)The signature of a company official of the proposing firm and that individual’s typed name, title, telephone number, e-mail address, and date of signature.
l)The signature of the principal investigator and that individual’s typed name, title, telephone number, e-mail address, and date of signature.
m)Legend for proprietary information as described in the “Considerations” section of this program solicitation (Section 5.12, page 18), if appropriate.
n)The total amount of funds requested. This figure should agree with the total line of offeror's budget; the figure cannot exceed $60,000.
o)The proposed Phase I duration (not to exceed six months).
- Abstract or Summary. The second page of the proposal, numbered “2” at the center of the bottom, should be a onepage summary of the proposed research or R&D that includes the following information:
a)The name, address and telephone number of the firm.
b)The name and title of the principal investigator.
c)The same information as in Section 3.4, items 1(a), 1(b), and 1(c).
d)A technical abstract of no more than 200 words.
[NOTE: Please be clear and concise.]
e)A summary of the anticipated results and implications of the approach (for both Phases I and II) and the potential commercial applications/anticipated benefits of the research. Nothing in the abstract should be proprietary or confidential.
- Technical Content. Beginning on page 3 of the proposal, include the following:
a)Importance:
i)Identification and Significance of the Problem or Opportunity. Make a clear statement of the specific research problem or opportunity addressed and why it is important.
ii)Related Research or R&D. Describe significant research or R&D that is directly related to the proposal, including any conducted by the principal investigator or by the offeror’s firm. Describe how it relates to the proposed effort, and describe any planned coordination with outside sources. The purpose of this section is to persuade reviewers of the offeror’s awareness of key recent developments in the specific topic area.