Phase I 2014 RFP 1 16 14-2

ILS S8Ik 2014 hase I kI
a

U.S. Department of Lducat|on
Inst|tute of Lducat|on Sc|ences
SMALL 8USINLSS INNCVA1ICN kLSLAkCn kCGkAM

nASL I

kCGkAM SCLICI1A1ICN ICk I 2014
kLULS1 ICk kCCSALS

kI Number: LD-ILS-14-k-0009

kICkI1 1: Lducat|on 1echno|ogy roducts Used by Students or 1eachers (or other Instruct|ona|
ersonne|) |n Authent|c Lducat|on Sett|ngs

kICkI1 2: Lducat|on 1echno|ogy roducts Used by Infants, 1odd|ers, or Students W|th or At k|sk for
D|sab|||t|es, or 1eachers (or other Instruct|ona| ersonne|, ke|ated Serv|ces rov|ders, or Iam||y
Members) |n Lar|y Intervent|on or Spec|a| Lducat|on Sett|ngs

ISSUL DA1L: Iebruary 6, 2014

CLCSING DA1L: March 24, 2014
2:00 .M., Lastern 1|me

b

Add|t|ona| S8Ik Iund|ng Cpportun|t|es for k]k&D of Lducat|on 1echno|ogy roducts

1he S8l8 program aL Lhe naLlonal Sclence loundaLlon (nSl) accepLs appllcaLlons for Lhe
developmenL of educaLlon Lechnology producLs Lhrough lLs educaLlon Loplc area. lor more
lnformaLlon, see here.

1he S8l8 rogram aL Lhe u.S. ueparLmenL of 1ransporLaLlon's (uSuC1) 14.1 SollclLaLlon lncludes
one educaLlon-relaLed Loplc from Lhe lederal Plghway AdmlnlsLraLlon. 1o vlew Lhe sollclLaLlon and
Loplc please vlslL Lhe uSuC1's S8l8 webslLe see here. 1he 14.1 SollclLaLlon wlll be open lebruary 4,
2014 and wlll close Aprll 4, 2014.

c

nASL I
1A8LL CI CCN1LN1S
1op
Sect|on age
I. rogram Cvervlew.................................................................................... 1
II. ueflnlLlons...................................................... 3
III. ConLracL roposal reparaLlon lnsLrucLlons and 8equlremenLs.............. 9
IV. MeLhod of SelecLlon and LvaluaLlon CrlLerla..........................20
V. ConslderaLlons...........................................23
VI. roposal SubmlLLal lnformaLlon....................................... ...... 29
VII. SclenLlflc and 1echnlcal lnformaLlon Sources................... ...... 31
VIII. hase l roposal CheckllsL............................................................ ...... 32
IX. rlorlLy Areas (2).................................................. 33
X. Appendlces Lo Lhe roposal
A. uocumenLaLlon and SLaLus of revlous hase ll Awards............ 39
B. LeLLer of AgreemenL for arLlclpaLlon....................... 41
C. 8lographlcal Summary CerLlflcaLlon and 8esume ages........ ...... 42
D. Slmllar or 8elaLed Awards or roposals.......................43
E. hase l 8udgeL.......................................44
F. Puman Sub[ecLs lnformaLlon.............................. 46
C ueparLmenL of LducaLlon 8equlred lnformaLlon............... ...... 30
P. LeLLers of LndorsemenL - (Maxlmum 3 leLLers)............. ...... 63

1

U.S. DLAk1MLN1 CI LDUCA1ICN
INS1I1U1L CI LDUCA1ICN SCILNCLS
SMALL 8USINLSS INNCVA1ICN kLSLAkCn (S8Ik) kCGkAM SCLICI1A1ICN
I 2014
nASL I
kLULS1 ICk kCCSALS kI# LD-ILS-14-k-0009

I. kCGkAM CVLkVILW

A. Introduct|on
1he purpose of Lhe Small 8uslness lnnovaLlon 8esearch (S8l8) program ls Lo sLlmulaLe
Lechnologlcal lnnovaLlon ln Lhe prlvaLe secLor, sLrengLhen Lhe role of small buslness ln meeLlng Lhe
u.S. ueparLmenL of LducaLlon's (Lu or ueparLmenL) research and developmenL needs, lncrease Lhe
commerclal poLenLlal of Lu-supporLed research resulLs, and lmprove Lhe reLurn on lnvesLmenL from
lederally-funded research for economlc and soclal beneflLs Lo Lhe naLlon. 1he ueparLmenL lnvlLes
quallfled small buslness flrms Lo submlL a hase l proposal under Lhls program sollclLaLlon. 1hls
sollclLaLlon ls for proposals Lo develop an educaLlon Lechnology producL for use by sLudenLs or
Leachers (or oLher lnsLrucLlonal personnel) ln educaLlon, or an educaLlon Lechnology producL for
use by lnfanLs, Loddlers, or sLudenLs wlLh or aL rlsk for dlsablllLles, or Leachers (or oLher
lnsLrucLlonal personnel, relaLed servlces provlders, or famlly members) ln early lnLervenLlon or
speclal educaLlon. llrms wlLh sLrong research or research and developmenL (8/8&u) capablllLles ln
educaLlon Lechnology ln Lhe prlorlLy areas llsLed wlLhln are encouraged Lo parLlclpaLe. ConsulLaLlve
or oLher arrangemenLs beLween such flrms and unlverslLles or oLher non-proflL organlzaLlons are
permlLLed, buL Lhe small buslness musL serve as Lhe conLracLor.
1

8. S8Ik rogram Descr|pt|on and Award Leve|s
1he S8l8 program conslsLs of Lhree phases, as descrlbed below. 1he currenL sollclLaLlon ls for
submlLLlng a hase l proposal ln 2014.

hase l - hase l ls Lo deLermlne, lnsofar as posslble, Lhe sclenLlflc or Lechnlcal merlL of ldeas
submlLLed under Lhe S8l8 program. 1he proposal should concenLraLe on 8/8&u LhaL wlll esLabllsh
Lhe feaslblllLy of Lhe Lechnologlcal approach, a prerequlslLe for furLher Lu supporL ln hase ll.
Awards are for perlods up Lo 6-monLhs ln amounLs up Lo $130,000.

hase ll - hase ll ls Lo expand on Lhe resulLs of and Lo furLher pursue Lhe developmenL of hase l
pro[ecLs. hase ll ls Lhe prlnclpal 8/8&u efforL. lL requlres a more comprehenslve plan LhaL ouLllnes
Lhe efforL ln deLall and descrlbes Lhe commerclal poLenLlal of Lhe producL or Lool. Awards are for
perlods up Lo 2-years ln amounLs up Lo $900,000.

8oLh Lhe hase l and hase ll award may lnclude a reasonable proflL/fee.

1
Note: Such arrangements may be permitted as long as they do not affect the small business size, status, or eligibility of
the prime awardee as provided for in Definitions Small Business Concern.
2

lasL-1rack (hase l & ll) opLlon - A lasL-1rack proposal ls a slngle proposal LhaL
conLalns boLh hase l and hase ll acLlvlLles. 1hrough Lhe lasL-1rack opLlon, Lhe
ueparLmenL lnLends Lo fund merlLorlous proposals LhaL have a hlgh poLenLlal for
Lhe commerclallzaLlon of Lechnologlcal producLs LhaL conLrlbuLe Lo lmproved
ouLcomes ln educaLlon. 8y lncorporaLlng a submlsslon and revlew process ln whlch
Lhe key acLlvlLles of hase l and hase ll are submlLLed and revlewed concurrenLly,
lasL-1rack has Lhe poLenLlal Lo mlnlmlze any fundlng gap beLween Lhe hase l and
hase ll perlods. lor more lnformaLlon and for lnsLrucLlons on how Lo submlL a lasL-
1rack proposal, vlew Lhe ueparLmenL's 2014 lasL-1rack sollclLaLlon Lu-lLS-14-8-0003
here.

"#$%& ln order Lo apply for lasL-1rack fundlng, offerors musL submlL botb 1) a full
hase l proposal under Lhls sollclLaLlon ooJ 2) a lasL-1rack proposal under
sollclLaLlon Lu-lLS-14-8-0003.

C. Author|zat|on
1he Small 8uslness 8eauLhorlzaLlon AcL of 2011" (Lhe AcL") was enacLed on uecember 31, 2011.
1he AcL requlres cerLaln agencles, lncludlng Lu, Lo esLabllsh S8l8 programs by reservlng a sLaLuLory
percenLage of Lhelr exLramural research and developmenL budgeLs Lo be awarded Lo small buslness
concerns for 8/8&u Lhrough a unlform, hlghly compeLlLlve, Lhree-phase process. 1he AcL furLher
requlres Lhe Small 8uslness AdmlnlsLraLlon (S8A) Lo lssue pollcy dlrecLlves for Lhe general
conducL of Lhe S8l8 programs wlLhln Lhe lederal CovernmenL.
1he mosL recenL Small 8uslness lnnovaLlon 8esearch ollcy ulrecLlve noLlce was publlshed ln Lhe
lederal 8eglsLer" vol. 77, no. 131 on !anuary 8, 2014. lL ls also avallable aL:
hLLps://www.federalreglsLer.gov/arLlcles/2014/01/08/2013-31374/small-buslness-lnnovaLlon-
research-program-pollcy-dlrecLlve
1he S8l8 pollcy dlrecLlve guldes Lhe lnformaLlon and requlremenLs seL forLh ln Lhls proposal
package.

1he deslgn of Lhe lnsLlLuLe's S8l8 program ls ln accordance wlLh Lhe Small 8uslness
AdmlnlsLraLlon (S8A) S8l8 rogram ollcy ulrecLlve daLed CcLober 18, 2012. 1he S8l8 pollcy
dlrecLlve guldes Lhe lnformaLlon and requlremenLs seL forLh ln Lhls proposal package. lease go
Lo hLLp://www.sblr.gov/abouL/sblr-pollcy-dlrecLlve Lo read Lhe S8l8 ollcy ulrecLlve lssued by
Lhe Small 8uslness AdmlnlsLraLlon.

D. Cfferor L||g|b|||ty
Lach organlzaLlon submlLLlng a proposal musL quallfy as a small buslness concern as deflned by Lhe
S8A. 1he deflnlLlon of a small buslness concern ls lncluded ln ueflnlLlons" (see SecLlon ll). ln
addlLlon, Lhe prlmary employmenL of Lhe prlnclpal lnvesLlgaLor musL be wlLh Lhe small buslness flrm
aL Lhe Llme of award and durlng Lhe conducL of Lhe proposed research. 1haL ls, more Lhan one-half
of Lhe prlnclpal lnvesLlgaLor's worklng Llme musL be spenL wlLh Lhe small buslness flrm durlng Lhe
perlod of performance. Also, for boLh hase l and hase ll Lhe 8/8&u work musL be performed ln
Lhe unlLed SLaLes. unlLed SLaLes" means Lhe 30 sLaLes, Lhe LerrlLorles and possesslons of Lhe
lederal CovernmenL, Lhe CommonwealLh of uerLo 8lco, Lhe ulsLrlcL of Columbla, Lhe 8epubllc
of Lhe Marshall lslands, Lhe lederaLed SLaLes of Mlcronesla, and Lhe 8epubllc of alau.

3

!olnL venLures are permlLLed, provlded LhaL Lhe buslness enLlLy creaLed quallfles as a small buslness
ln accordance wlLh Lhe Small 8uslness AcL, 13 u.S.C. 631. lor hase l, Lhe proposlng flrm musL
perform aL leasL Lwo-Lhlrds of Lhe research and/or analyLlc efforL. lurLhermore, Lhe LoLal of all
consulLanL fees, faclllLy leases or usage fees, and oLher subconLracLs or purchase agreemenLs may
noL exceed one-Lhlrd of Lhe LoLal conLracL prlce. lor hase l, Lhe proposlng flrm musL perform aL
leasL Lwo-Lhlrds of Lhe research and/or analyLlc efforL. lurLhermore, Lhe LoLal of all consulLanL fees,
faclllLy leases or usage fees, and oLher subconLracLs or purchase agreemenLs may noL exceed
one-half of Lhe LoLal conLracL prlce.

hase l Lo hase ll 1ranslLlon 8enchmark. SecLlon 4(a) of Lhe S8l8 ollcy ulrecLlve calls for each
lederal agency parLlclpaLlng ln S8l8 Lo seL a hase l Lo hase ll LranslLlon raLe benchmark ln
response Lo SecLlon 3163 of Lhe S8l8 8eauLhorlzaLlon AcL of 2011. 1he raLe ls Lhe mlnlmum
requlred raLlo of pasL hase ll/hase l awards LhaL an awardee flrm musL malnLaln Lo be ellglble
for a new hase l award from a parLlcular agency. 1he benchmark wlll apply Lo Lhose hase l
appllcanLs LhaL have recelved 20 or more hase l awards rogram-wlde. Small buslnesses can
vlew Lhelr LranslLlon raLe on www.sblr.gov upon compleLlon of reglsLraLlon. When logglng ln, Lhe
hase l Lo hase ll LranslLlon raLe wlll be dlsplayed ln Lhe welcome screen. 1he Lu S8l8
benchmark uses a flve-year perlod and counLs an appllcanL's LoLal number of hase l awards
over Lhe lasL flve flscal years, excludlng Lhe mosL recenLly compleLed flscal year, and Lhe LoLal
number of hase ll awards over Lhe lasL flve flscal years, lncludlng Lhe mosL recenLly compleLed
year. 1he Lu S8l8 hase l Lo ll 1ranslLlon 8enchmark as publlshed ln Lhe lederal 8eglsLer ls: lor
all S8l8 rogram hase l conLracL appllcanLs LhaL have recelved 20 or more hase l awards over
Lhe 3-year perlod, Lhe raLlo of hase ll awards recelved Lo hase l awards recelved musL be aL
leasL 0.23.

Lu sLaff wlll examlne all S8l8 proposals wlLh Lhe above conslderaLlons ln mlnd. lf lL appears LhaL an
offeror organlzaLlon does noL meeL Lhe ellglblllLy requlremenLs, Lu wlll requesL an evaluaLlon by Lhe
S8A. under clrcumsLances ln whlch ellglblllLy ls unclear, Lu wlll noL make an S8l8 award unLll Lhe
S8A provldes a deLermlnaLlon.

L. key Dates and Award Informat|on
Lu ls requlred under .L. 106-334 Lo parLlclpaLe ln Lhe S8l8 program. 1he CovernmenL's obllgaLlon
ls conLlngenL upon Lhe avallablllLy of approprlaLed funds from whlch paymenLs are made. Lu ls noL
bound by Lhe esLlmaLes glven ln Lhls sollclLaLlon. 1he number of hase l awards shall be
deLermlned based on Lhe number of hlgh quallLy proposals LhaL are submlLLed and Lhe
avallablllLy of funds. lL ls expecLed LhaL Lu wlll announce Lhe hase l awards on Lhe lederal
8uslness CpporLunlLles webslLe by !une 21, 2014. All offerors shall recelve noLlflcaLlon and revlewer
evaluaLlons from Lu approxlmaLely Lwo weeks afLer Lhe announcemenL on Lhe lederal 8uslness
CpporLunlLles webslLe. 1he pro[ecL sLarL daLe shall be !uly 7, 2014. Successful offerors have up Lo
slx monLhs Lo carry ouL Lhe proposed hase l efforL. "#$%& '()*( +* +,- .*/+)01 *2 +,- 343(5/ *0
+,- 6-5-(37 89/)0-// #..*(+90)+)-/ 4-:/)+-; *22-(*(/ /,*975 0*+ <*0+3<+ %= .-(/*00-7 4)+,
>9-/+)*0/ (-13(5)01 +,- +)?)01 *2 +,- 300*90<-?-0+@

G. Important Not|ces
Award L|m|ts: 1hls ueparLmenL has an award llmlL of $130,000 for hase l ln 2014. 1he ueparLmenL
ls under no obllgaLlon Lo fund any speclflc proposal or make any speclflc number of awards ln a
glven research prlorlLy area. 1he ueparLmenL ls noL responslble for any monles expended by an
offeror before an award.
4

n. Lxecut|ve Crder 13329: Manufactur|ng-ke|ated Innovat|on
LxecuLlve Crder 13329 sLaLes LhaL conLlnued Lechnologlcal lnnovaLlon ls crlLlcal Lo a sLrong
manufacLurlng secLor of Lhe unlLed SLaLes economy. 1he u.S. ueparLmenL of LducaLlon's S8l8
rogram encourages lnnovaLlve manufacLurlng-relaLed pro[ecLs, as deflned by Lhe LxecuLlve Crder.

I. keport Iraud, Waste and Abuse
1he Cfflce of lnspecLor Ceneral PoLllne aL Lhe u.S. ueparLmenL of LducaLlon accepLs Llps from all
sources abouL poLenLlal fraud, wasLe, abuse, and mlsmanagemenL ln ueparLmenL of LducaLlon
programs. 1he reporLlng lndlvldual should lndlcaLe LhaL Lhe fraud, wasLe, and/or abuse concerns
an S8l8 granL or conLracL, lf relevanL.
hLLp://www2.ed.gov/abouL/offlces/llsL/olg/hoLllne.hLml

I. AGLNC CCN1AC1
All quesLlons musL be dlrecLed ln wrlLlng Lo ConLracL SpeclallsL, 1homas SmlLh. Any responses
would be posLed as an amendmenL Lo Lhe sollclLaLlon on led8lzCpps. 1he CovernmenL cannoL
guaranLee LhaL quesLlons submlLLed afLer Iebruary 20, 2014, 2 .M. L1, wlll recelve a response.
1homas SmlLh
Lmall: 1homas.SmlLh[ed.gov

"#$%& '()*( +* +,- .*/+)01 *2 +,- 343(5/ *0 +,- 6-5-(37 89/)0-// #..*(+90)+)-/ 4-:/)+-; *22-(*(/
3(- 35A)/-5 +* 0*+ <*0+3<+ %= .-(/*00-7 4)+, >9-/+)*0/ (-13(5)01 +,- +)?)01 *2 +,-
300*90<-?-0+@
5

II. DLIINI1ICNS
1he Small 8uslness AdmlnlsLraLlon (S8A) developed Lhe followlng deflnlLlons relevanL Lo Lhe Small
8uslness lnnovaLlon 8esearch (S8l8) rogram.

(a) AcL. 1he Small 8uslness AcL (13 u.S.C. 631, eL seq.), as amended.

(b) AddlLlonally Lllglble SLaLe. A SLaLe ln whlch Lhe LoLal value of fundlng agreemenLs awarded
Lo S8Cs (as deflned ln Lhls secLlon) under all agency S8l8 rograms ls less Lhan Lhe LoLal value of
fundlng agreemenLs awarded Lo S8Cs ln a ma[orlLy of oLher SLaLes, as deLermlned by S8A's
AdmlnlsLraLor ln blennlal flscal years and based on Lhe mosL recenL sLaLlsLlcs complled by Lhe
AdmlnlsLraLor.

(c) AppllcanL. 1he organlzaLlonal enLlLy LhaL quallfles as an S8C aL all perLlnenL Llmes and LhaL
submlLs a conLracL proposal or a granL appllcaLlon for a fundlng agreemenL under Lhe S8l8
rogram.

(d) AfflllaLe. 1hls Lerm has Lhe same meanlng as seL forLh ln 13 Cl8 parL 121-Small 8uslness
Slze 8egulaLlons, 121.103, WhaL ls afflllaLlon? lurLher lnformaLlon abouL S8A's afflllaLlon rules
and a gulde on afflllaLlon ls avallable aL www.S8l8.gov and www.S8A.gov/slze.

(e) Awardee. 1he organlzaLlonal enLlLy recelvlng an S8l8 hase l, hase
ll, or hase lll award.

(f) CommerclallzaLlon. 1he process of developlng producLs, processes, Lechnologles, or servlces
and Lhe producLlon and dellvery (wheLher by Lhe orlglnaLlng parLy or oLhers) of Lhe producLs,
processes, Lechnologles, or servlces for sale Lo or use by Lhe lederal governmenL or commerclal
markeLs.

(g) CooperaLlve AgreemenL. A flnanclal asslsLance mechanlsm used when subsLanLlal lederal
programmaLlc lnvolvemenL wlLh Lhe awardee durlng performance ls anLlclpaLed by Lhe lssulng
agency. 1he CooperaLlve AgreemenL conLalns Lhe responslblllLles and respecLlve obllgaLlons of
Lhe parLles.

(h) Covered Small 8uslness Concern. A small buslness concern LhaL:
(1) was noL ma[orlLy-owned by mulLlple venLure caplLal operaLlng companles (vCCCs), hedge
funds, or prlvaLe equlLy flrms on Lhe daLe on whlch lL submlLLed an appllcaLlon ln response Lo a
sollclLaLlon under Lhe S8l8 program, and
(2) ls ma[orlLy-owned by mulLlple venLure caplLal operaLlng companles, hedge funds, or prlvaLe
equlLy flrms on Lhe daLe of Lhe S8l8 award.

(l) Lllglble SLaLe. A SLaLe: (1) where Lhe LoLal value of S8l8 and Small 8uslness 1echnology
1ransfer (S118) rogram awards made Lo reclplenL buslnesses ln Lhe SLaLe durlng flscal year
1993 was less Lhan $3,000,000 (as reflecLed ln S8A's daLabase of flscal year 1993 awards), and
(2) LhaL cerLlfles Lo S8A's AdmlnlsLraLor LhaL lL wlll, upon recelpL of asslsLance, provlde maLchlng
funds from non-lederal sources ln an amounL LhaL ls noL less Lhan 30 of Lhe amounL of
asslsLance provlded.

6

([) LssenLlally LqulvalenL Work. Work LhaL ls subsLanLlally Lhe same research, whlch ls proposed
for fundlng ln more Lhan one conLracL proposal or granL appllcaLlon submlLLed Lo Lhe same
lederal agency or submlLLed Lo Lwo or more dlfferenL lederal agencles for revlew and fundlng
conslderaLlon, or work where a speclflc research ob[ecLlve and Lhe research deslgn for
accompllshlng Lhe ob[ecLlve are Lhe same or closely relaLed Lo anoLher proposal or award,
regardless of Lhe fundlng source.

(k) LxLramural 8udgeL. 1he sum of Lhe LoLal obllgaLlons for 8/8&u mlnus amounLs obllgaLed for
8/8&u acLlvlLles by employees of a lederal agency ln or Lhrough CovernmenL-owned,
CovernmenL-operaLed faclllLles. lor Lhe Agency for lnLernaLlonal uevelopmenL, Lhe exLramural
budgeL" musL noL lnclude amounLs obllgaLed solely for general lnsLlLuLlonal supporL of
lnLernaLlonal research cenLers or for granLs Lo forelgn counLrles. lor Lhe ueparLmenL of Lnergy,
Lhe exLramural budgeL" musL noL lnclude amounLs obllgaLed for aLomlc energy defense
programs solely for weapons acLlvlLles or for naval reacLor programs. (Also see 7(l) of Lhls
ollcy ulrecLlve for addlLlonal exempLlons relaLed Lo naLlonal securlLy.)

(l) leaslblllLy. 1he pracLlcal exLenL Lo whlch a pro[ecL can be performed successfully.

(m) lederal Agency. An execuLlve agency as deflned ln 3 u.S.C. 103, and a mlllLary deparLmenL
as deflned ln 3 u.S.C. 102 (ueparLmenL of Lhe Army, ueparLmenL of Lhe navy, ueparLmenL of Lhe
Alr lorce), excepL LhaL lL does noL lnclude any agency wlLhln Lhe lnLelllgence CommunlLy as
deflned ln LxecuLlve Crder 12333, 3.4(f), or lLs successor orders.

(n) lederal LaboraLory. As deflned ln 13 u.S.C. 3703, means any laboraLory, any federally
funded research and developmenL cenLer, or any cenLer esLabllshed under 13 u.S.C. 3703 &
3707 LhaL ls owned, leased, or oLherwlse used by a lederal agency and funded by Lhe lederal
CovernmenL, wheLher operaLed by Lhe CovernmenL or by a conLracLor.

(o) lundlng AgreemenL. Any conLracL, granL, or cooperaLlve agreemenL enLered lnLo beLween
any lederal agency and any S8C for Lhe performance of experlmenLal, developmenLal, or
research work, lncludlng producLs or servlces, funded ln whole or ln parL by Lhe lederal
CovernmenL.

(p) lundlng AgreemenL Cfflcer. A conLracLlng offlcer, a granLs offlcer, or a cooperaLlve
agreemenL offlcer.

(q) CranL or ConLracL. A flnanclal asslsLance mechanlsm provldlng money, properLy, or boLh Lo
an ellglble enLlLy Lo carry ouL an approved pro[ecL or acLlvlLy. A granL or conLracL ls used
whenever Lhe lederal agency anLlclpaLes no subsLanLlal programmaLlc lnvolvemenL wlLh Lhe
awardee durlng performance.

(r) lnnovaLlon. SomeLhlng new or lmproved, havlng markeLable poLenLlal, lncludlng: (1)
developmenL of new Lechnologles: (2) reflnemenL of exlsLlng Lechnologles: or (3) developmenL
of new appllcaLlons for exlsLlng Lechnologles.

(s) lnLellecLual roperLy. 1he separaLe and dlsLlncL Lypes of lnLanglble properLy LhaL are referred
Lo collecLlvely as lnLellecLual properLy," lncludlng buL noL llmlLed Lo: (1) paLenLs, (2)
Lrademarks, (3) copyrlghLs, (4) Lrade secreLs, (3) S8l8 Lechnlcal daLa (as deflned ln Lhls secLlon),
7

(6) ldeas, (7) deslgns, (8) know-how, (9) buslness, (10) Lechnlcal and research meLhods, (11)
oLher Lypes of lnLanglble buslness asseLs, and (12) all Lypes of lnLanglble asseLs elLher proposed
or generaLed by an S8C as a resulL of lLs parLlclpaLlon ln Lhe S8l8 rogram.

(L) !olnL venLure. See 13 C.l.8. 121.103(h).

(u) key lndlvldual. 1he prlnclpal lnvesLlgaLor/pro[ecL manager and any oLher person named as a
key" employee ln a proposal submlLLed ln response Lo a program sollclLaLlon.

(v) rlnclpal lnvesLlgaLor/ro[ecL Manager. 1he one lndlvldual deslgnaLed by Lhe appllcanL Lo
provlde Lhe sclenLlflc and Lechnlcal dlrecLlon Lo a pro[ecL supporLed by Lhe fundlng agreemenL.

(w) rogram SollclLaLlon. A formal sollclLaLlon for proposals lssued by a lederal agency LhaL
noLlfles Lhe small buslness communlLy of lLs 8/8&u needs and lnLeresLs ln broad and selecLed
areas, as approprlaLe Lo Lhe agency, and requesLs proposals from S8Cs ln response Lo Lhese
needs and lnLeresLs. AnnouncemenLs ln Lhe lederal 8eglsLer or Lhe CL are noL consldered an
S8l8 rogram sollclLaLlon.

(x) roLoLype. A model of someLhlng Lo be furLher developed, whlch lncludes deslgns, proLocols,
quesLlonnalres, sofLware, and devlces.

(y) 8esearch or 8esearch and uevelopmenL (8/8&u). Any acLlvlLy LhaL ls:
(1) A sysLemaLlc, lnLenslve sLudy dlrecLed Loward greaLer knowledge or undersLandlng of Lhe
sub[ecL sLudled,
(2) A sysLemaLlc sLudy dlrecLed speclflcally Loward applylng new knowledge Lo meeL a
recognlzed need, or
(3) A sysLemaLlc appllcaLlon of knowledge Loward Lhe producLlon of useful maLerlals, devlces,
and sysLems or meLhods, lncludlng deslgn, developmenL, and lmprovemenL of proLoLypes and
new processes Lo meeL speclflc requlremenLs.

(z) Small 8uslness Concern. A concern LhaL meeLs Lhe requlremenLs seL forLh ln 13 C.l.8.
121.702.

(aa) Soclally and Lconomlcally ulsadvanLaged S8C (Su8). See 13 Cl8 parL 124, SubparL 8.

(bb) Soclally and Lconomlcally ulsadvanLaged lndlvldual. See 13 C.l.8. 124.103 & 124.104.

(cc) S8l8 arLlclpanLs. 8uslness concerns LhaL have recelved S8l8 awards or LhaL have submlLLed
S8l8 proposals/appllcaLlons.

(dd) S8l8 1echnlcal uaLa. All daLa generaLed durlng Lhe performance of an S8l8 award.

(ee) S8l8 1echnlcal uaLa rlghLs. 1he rlghLs an S8l8 awardee obLalns ln daLa generaLed durlng Lhe
performance of any S8l8 hase l, hase ll, or hase lll award LhaL an awardee dellvers Lo Lhe
CovernmenL durlng or upon compleLlon of a lederally-funded pro[ecL, and Lo whlch Lhe
CovernmenL recelves a llcense.

(ff) SubconLracL. Any agreemenL, oLher Lhan one lnvolvlng an employer-employee relaLlonshlp,
8

enLered lnLo by an awardee of a fundlng agreemenL calllng for supplles or servlces for Lhe
performance of Lhe orlglnal fundlng agreemenL.

(gg) 1echnology uevelopmenL rogram.
(1) Lhe LxperlmenLal rogram Lo SLlmulaLe CompeLlLlve 8esearch of Lhe naLlonal Sclence
loundaLlon as esLabllshed under 42 u.S.C. 1862g,
(2) Lhe uefense LxperlmenLal rogram Lo SLlmulaLe CompeLlLlve 8esearch of Lhe ueparLmenL of
uefense,
(3) Lhe LxperlmenLal rogram Lo SLlmulaLe CompeLlLlve 8esearch of Lhe ueparLmenL of Lnergy,
(4) Lhe LxperlmenLal rogram Lo SLlmulaLe CompeLlLlve 8esearch of Lhe LnvlronmenLal
roLecLlon Agency,
(3) Lhe LxperlmenLal rogram Lo SLlmulaLe CompeLlLlve 8esearch of Lhe naLlonal AeronauLlcs
and Space AdmlnlsLraLlon,
(6) Lhe lnsLlLuLlonal uevelopmenL Award rogram of Lhe naLlonal lnsLlLuLes of PealLh, and
(7) Lhe AgrlculLure and lood 8esearch lnlLlaLlve (Al8l).of Lhe ueparLmenL of AgrlculLure.

(hh) unlLed SLaLes. Means Lhe 30 sLaLes, Lhe LerrlLorles and possesslons of Lhe lederal
CovernmenL, Lhe CommonwealLh of uerLo 8lco, Lhe ulsLrlcL of Columbla, Lhe 8epubllc of Lhe
Marshall lslands, Lhe lederaLed SLaLes of Mlcronesla, and Lhe 8epubllc of alau.

(ll) Women-Cwned S8C (WCS8). An S8C LhaL ls aL leasL 31 owned by one or more women, or
ln Lhe case of any publlcly owned buslness, aL leasL 31 of Lhe sLock ls owned by women, and
women conLrol Lhe managemenL and dally buslness operaLlons.
9

lll. CCn18AC1 8CCSAL 8LA8A1lCn lnS18uC1lCnS Anu 8LCul8LMLn1S

A. roposa| kequ|rements
1he ueparLmenL ls concerned wlLh Lhe sclenLlflc and Lechnlcal merlL of all of Lhe research lL
supporLs and Lhe relevance of Lhe research for lmprovlng Lhe educaLlon sysLem and sLudenL
ouLcomes. roposals Lo Lhe ueparLmenL under Lhe S8l8 program should presenL a sound sclenLlflc
and Lechnlcal approach Lo Lhe 8/8&u of an educaLlon Lechnology producL for Lhe purpose of
lmprovlng early chlldhood or sLudenL ouLcomes, or Leacher or careglver pracLlces. 1he proposal
musL be self-conLalned and wrlLLen wlLh Lhe care and Lhoroughness accorded Lo papers for
publlcaLlon.

roposals submlLLed Lo Lhe ueparLmenL's S8l8 program musL be responslve Lo Lhe ueparLmenL's
S8l8 program prlorlLles. 1he proposal should serve as Lhe base for new commerclal educaLlon
Lechnology producLs or Lools LhaL may beneflL Lhe publlc. A flrm musL noL propose markeL
research, paLenL proposals, or llLlgaLlon. roposals for Lhe developmenL of proven concepLs Loward
commerclallzaLlon or for markeL research sboolJ oot be submlLLed because such efforLs are
consldered Lhe responslblllLy of Lhe prlvaLe secLor.

8. rotect|on of Informat|on |n roposa|s
lL ls Lu's pollcy Lo use lnformaLlon lncluded ln proposals for evaluaLlon purposes only and Lo
proLecL such lnformaLlon from unauLhorlzed use or dlsclosure. AlLhough Lhls pollcy does noL
requlre LhaL Lhe proposal bear a noLlce, proLecLlon can be assured only Lo Lhe exLenL LhaL Lhe
legend speclfled ln Lhe 8lghLs ln uaLa - S8l8 rogram" ls applled Lo Lhose daLa LhaL consLlLuLe
Lrade secreLs or Lo oLher commerclal or flnanclal lnformaLlon LhaL ls confldenLlal or prlvlleged.
CLher lnformaLlon may be afforded proLecLlon Lo Lhe exLenL permlLLed by law, buL Lu assumes
no llablllLy for use and dlsclosure of lnformaLlon Lo whlch Lhe legend has noL been approprlaLely
applled.

C. Content and Iormatt|ng kequ|rements
1hls hase l program sollclLaLlon ls deslgned Lo reduce Lhe lnvesLmenL of Llme and money requlred
by small flrms ln preparlng a proposal. 1be ptoposol wlll be tejecteJ lf lt Joes oot coofotm to tbe
tepoltemeots llsteJ below.

1. What to Inc|ude, age L|m|tat|ons, and age Number|ng
a. Sect|on III.L. ro[ect Narrat|ve - key Informat|on, Abstract, Cert|f|cat|ons, and Legend
1hls secLlon musL be no more Lhan 3 pages ln lengLh and numbered as pages l, ll, and lll.

b. Sect|on III.I. ro[ect Narrat|ve - 1echn|ca| Content
1hls secLlon musL be no more Lhan 13 pages ln lengLh. ages should be numbered consecuLlvely
beglnnlng wlLh Lhe flrsL page of Lhls secLlon numbered as "1." Any references, flgures, charLs,
graphs, Lables, or screen shoLs musL be lncluded wlLhln Lhls 13-page secLlon.

c. Sect|on k. Append|ces
Cfferors musL lnclude Lhe requlred lnformaLlon ln SecLlon x. Appendlces 8, C, L, l, and C are
requlred for all offerors. Appendlces A rlor hase ll Awards" and u Slmllar Awards or roposals"
are requlred for offerors wlLh prevlous awards LhaL flL Lhe crlLerla llsLed wlLhln.

10

2. Genera| Iormat
1o ensure LhaL Lhe LexL ls easy for revlewers Lo read and LhaL all offerors have Lhe same amounL
of avallable space ln whlch Lo descrlbe Lhelr pro[ecLs, offerors musL adhere Lo Lhe page, Lype
slze, and formaL speclflcaLlons for Lhe enLlre proposal narraLlve, lncludlng fooLnoLes.

a. age and marg|n spec|f|cat|ons
lor Lhe purpose of proposals submlLLed under Lhls sollclLaLlon, a page" ls 8.3 lnches x 11 lnches,
wlLh 1 lnch marglns aL Lhe Lop, boLLom, and boLh sldes.

b. Spac|ng
Slngle space all LexL ln Lhe proposal narraLlve, lncludlng LlLles, headlngs, fooLnoLes, quoLaLlons,
references, and capLlons, as well as all LexL ln charLs, Lables, flgures, and graphs.

c. 1ype spec|f|cat|ons (font spec|f|cat|ons)
1ype musL conform Lo Lhe followlng requlremenLs:
1he helghL of Lhe leLLers musL noL be smaller Lhan 12 polnL.
1ype denslLy, lncludlng characLers and spaces, should be no more Lhan 13 characLers per
lnch (cpl). lor proporLlonal spaclng, Lhe average for any represenLaLlve secLlon of LexL
should noL exceed 13 cpl.
1ype slze musL yleld no more Lhan 6 llnes of Lype wlLhln a verLlcal lnch.
SLandard black Lype musL be used for LexL Lo permlL phoLocopylng.
Cfferors musL check Lhe Lype slze uslng a sLandard devlce for measurlng Lype slze,
raLher Lhan relylng on Lhe fonL selecLed for a parLlcular word processlng/prlnLer
comblnaLlon.

d. I|gures, charts, and graphs
1he proposal can conLaln color flgures, charLs, or graphs, buL lL musL conLaln only maLerlal LhaL
reproduces well when prlnLed ouL or phoLocopled ln black and whlLe. Such flgures, charLs, or
graphs musL be lncluded wlLhln Lhls 13-page secLlon.

D. hase I roposa| Gu|dance
1o avold any mlsundersLandlng, offerors should be aware LhaL proposals noL saLlsfylng all Lhe
requlred lnsLrucLlons wlll be reLurned Lo Lhe proposlng organlzaLlon wlLhouL revlew. 8eLurned
proposals may noL be resubmlLLed wlLh or wlLhouL revlslon under Lhls program sollclLaLlon.

1. Contractor keg|strat|on on SAM
8efore Lu can award a conLracL Lo a successful offeror under Lhls sollclLaLlon, Lhe offeror musL
be reglsLered ln Lhe SysLem for Award ManagemenL (SAM) daLabase. 1he SAM webslLe allows
lederal CovernmenL conLracLors or flrms lnLeresLed ln conducLlng buslness wlLh Lhe lederal
CovernmenL Lo provlde baslc lnformaLlon on buslness capablllLles and flnanclal lnformaLlon.
1he Cnllne 8epresenLaLlons and CerLlflcaLlons (C8CA) slLe locaLed aL hLLp://orca.bpn.gov has
been relocaLed Lo SAM. Cfferors are requlred Lo reglsLer and lnpuL Lhelr 8epresenLaLlons and
CerLlflcaLlons ln hLLps://www.sam.gov/. lease conLacL Lhe SAM slLe dlrecLly for Lechnlcal
supporL. Lu does noL provlde Lechnlcal supporL for SAM. Cfferors LhaL do noL have a currenL
reglsLraLlon ln SAM.gov aL Lhe Llme of award wlll be excluded from Lhe compeLlLlon.
1o reglsLer ln SAM, go Lo hLLp://www.sam.gov.

11

2. Contractor Cert|f|cat|ons
ln addlLlon Lo reglsLerlng ln SAM and Lhe S8A Company 8eglsLry, offerors musL compleLe Lhe
cerLlflcaLlons conLalned ln Appendlx C of Lhls documenL. Cffers submlLLed wlLhouL compleLed
Appendlx C cerLlflcaLlons are noL ellglble for award. Cfferors shall submlL one copy of Lhe
compleLed cerLlflcaLlons wlLh Lhe proposal. 1hls should be a separaLe documenL from Lhe
proposal and wlll noL be counLed as parL of Lhe page llmlL for SecLlon lll. l. ro[ecL narraLlve -
1echnlcal ConLenL.

3. S8A Company keg|stry
All offerors Lo Lhe S8l8 program are requlred Lo reglsLer aL Lhe S8A Company 8eglsLry
(hLLp://sblr.gov/reglsLraLlon) prlor Lo appllcaLlon submlsslon and aLLach proof of reglsLraLlon.
CompleLed reglsLraLlons wlll recelve a unlque S8C ConLrol lu and .pdf flle. lf offerors have
prevlously reglsLered, you are sLlll requlred Lo aLLach proof of reglsLraLlon. 1he S8A Company
8eglsLry recommends verlflcaLlon wlLh SAM, buL a SAM accounL ls noL requlred Lo compleLe Lhe
reglsLraLlon. ln order Lo be verlfled wlLh SAM, your emall address musL maLch one of Lhe
conLacLs ln SAM. lf you are unsure whaL ls llsLed ln SAM for your company, you may verlfy Lhe
lnformaLlon on Lhe SAM slLe. ConflrmaLlon of your company's uunS ls necessary Lo verlfy your
emall address ln SAM. lollow Lhese sLeps llsLed below Lo reglsLer and aLLach proof of
reglsLraLlon Lo your appllcaLlon.

a. navlgaLe Lo Lhe S8A Company 8eglsLry (hLLp://sblr.gov/reglsLraLlon).
b. lf you are a prevlous S8l8 awardee from any agency, search for your small buslness by
Company name, Lln/1ax lu, uunS, or LxlsLlng S8l8 ConLracL/CranL number ln Lhe search flelds
provlded. ldenLlfy your company and cllck roceed Lo 8eglsLraLlon".
c. lf you are a flrsL Llme appllcanL, cllck Lhe new Lo Lhe S8l8 rogram
(hLLp://sblr.gov/flrm_user_reglsLer) llnk on lower rlghL of reglsLry screen.
d. llll ouL Lhe requlred lnformaLlon on Lhe 8aslc lnformaLlon" and LllglblllLy SLaLemenL"
screens.
e. ress CompleLe 8eglsLraLlon" on Lhe lower rlghL of Lhe LllglblllLy SLaLemenL" screen and
follow all lnsLrucLlons.
f. uownload and save your S8A reglsLry ul locally. 1he name wlll be ln Lhe formaL of
S8C_123436789.pdf, where S8C_123436789 (9 dlglL number) ls your flrm's S8C ConLrol lu.
g. A copy of Lhe compleLed S8A Company 8eglsLraLlon for your organlzaLlon musL be submlLLed
as parL of your hase l 8udgeL.

L. ro[ect Narrat|ve - key Informat|on, r|or|t|es, Abstract, Cert|f|cat|ons, Statements and Legend
All of tbe . ltoject Nottotlve compooeots (1 tbtooqb 6) most be locloJeJ wltblo poqes l, ll, ooJ lll
of tbe lbose l ptoposol. No otbet covet poqes ote petmltteJ to pteceJe poqe l.

1. key Informat|on for the hase I roposa|
A) SollclLaLlon number: Lu-lLS-14-8-0009
8) Small 8uslness name:
C) ro[ecL 1lLle:
u) Small 8uslness Address and hone:
12

L) Small 8uslness WebslLe:
l) Small 8uslness uunS number:
C) norLh Amerlcan lndusLry ClasslflcaLlon SysLem Code (nAlCS):
P) 1yped name, slgnaLure, LlLle, conLacL lnformaLlon (address, phone, and emall) and daLe of
slgnaLure for Lhe rlnclpal lnvesLlgaLor:
l) 1yped name, slgnaLure, LlLle, conLacL lnformaLlon and daLe of slgnaLure for a
represenLaLlve auLhorlzed Lo represenL Lhe small buslness concern ln negoLlaLlons:
!) LlsL Lhe names and professlonal afflllaLlons for each key member:
o
o
o
o

2. r|or|t|es
SelecL one (noL boLh) prlorlLy area. See SecLlon lx. for addlLlonal lnformaLlon on Lhe rlorlLy Areas.

! kICkI1 1: Lducat|on 1echno|ogy roducts Used by Students or 1eachers (or Cther
Instruct|ona| ersonne|) |n Authent|c Lducat|on Sett|ngs

! kICkI1 2: Lducat|on 1echno|ogy roducts Used by Infants, 1odd|ers, or Students
W|th or At k|sk for D|sab|||t|es, or 1eachers (or other Instruct|ona| ersonne|, ke|ated
Serv|ces rov|ders, or Iam||y Members) |n Authent|c Lar|y Intervent|on or Spec|a|
Lducat|on Sett|ngs

3. Abstract
1he offeror musL provlde an absLracL wlLh Lhe followlng Lwo componenLs. Notbloq lo tbls sectloo
sboolJ be ptoptletoty ot cooflJeotlol.
1echnlcal absLracL llmlLed Lo 200 words.
A summary of Lhe commerclal poLenLlal of Lhe producL or Lool lf developmenL were
compleLed as descrlbed above llmlLed Lo 100 words.

4. Cert|f|cat|ons
1he offeror musL respond Lo Lhe followlng cerLlflcaLlons requlred by Lhe Small 8uslness
AdmlnlsLraLlon.
Sma|| 8us|ness Cert|f|cat|on -
uoes Lhe offeror cerLlfy LhaL lL ls a small buslness concern and meeLs Lhe deflnlLlon as
sLaLed ln Lhe program sollclLaLlon or LhaL lL wlll meeL LhaL deflnlLlon aL Lhe Llme of award?
! es ! No

1he nexL four (4) lLems are for sLaLlsLlcal purposes only.

Soc|a||y and Lconom|ca||y D|sadvantaged S8C Cert|f|cat|on -
uoes Lhe offeror quallfy as a soclally and economlcally dlsadvanLaged S8C and meeL Lhe
deflnlLlon as sLaLed ln Lhls program sollclLaLlon?
! es ! No

Woman-owned S8C Cert|f|cat|on -
13

uoes Lhe offeror quallfy as a woman-owned S8C and meeL Lhe deflnlLlon as sLaLed ln Lhls
program sollclLaLlon?
! es ! No

nU82one-owned S8C Cert|f|cat|on -
uoes Lhe offeror quallfy as a Pu8Zone-owned S8C and meeL Lhe deflnlLlon as sLaLed ln Lhls
sollclLaLlon?
! es ! No
1be webslte llsteJ below cootolos lofotmotloo oboot tbe 58As nu82ooe ptoqtom.
hLLp://www.sba.gov/hubzone/

Serv|ce D|sab|ed Veteran Cwned Sma|| 8us|ness Cert|f|cat|on -
uoes Lhe offeror quallfy as a Servlce ulsabled veLeran Cwned Small 8uslness?
! es ! No

Manufactur|ng-ke|ated ro[ect Cert|f|cat|on -
lf 8/8&u from an evenLual hase ll award leads Lo a compleLed producL or Lool, ls lL
posslble LhaL Lhls producL or Lool wlll be manufacLured (e.g. producLlon) on a wlde scale
basls?
! es ! No
lo coses wbete tbete ls o tle lo tbe owotJ selectloo ptocess, u wlll qlve ptlotlty to
ptojects tbot ote mooofoctotloq-teloteJ. (1bls tle-bteoket speclflcotloo ollows tbe u
ptoqtom to opply oo oJJltloool ptefeteoce wltboot comptomlsloq tbe poollty stooJotJs
ot estobllsbeJ ctltetlo of tbe ptoqtom.)

S. Statements
1he offeror musL respond Lo Lhe followlng sLaLemenLs requlred by Lhe Small 8uslness
AdmlnlsLraLlon.
Dup||cate kesearch Statement -
1he offeror and/or prlnclpal lnvesLlgaLor (<,**/- *0-& has" or has noL") submlLLed
proposals/proposals for essenLlally equlvalenL work under oLher lederal program
sollclLaLlons (<,**/- *0-& has" or has noL") recelved oLher lederal awards for essenLlally
equlvalenL work? (ldenLlfy proposals and/or awards ln Appendlx C. Slmllar or 8elaLed
Awards or roposals.")

D|sc|osure erm|ss|on Statement -
Wlll Lhe offeror permlL Lhe CovernmenL Lo dlsclose Lhe LlLle and Lechnlcal absLracL page of
Lhe proposed pro[ecL, plus Lhe name, address, and Lelephone number of Lhe corporaLe
offlclal of Lhe offeror's flrm, lf Lhe proposal does noL resulL ln an award, Lo concerns LhaL
may be lnLeresLed ln conLacLlng you for furLher lnformaLlon?
! es ! No

6. Legend for ropr|etary Informat|on
lnformaLlon conLalned ln unsuccessful proposals wlll remaln Lhe properLy of Lhe offeror. 1he
CovernmenL may, however, reLaln coples of all proposals. ubllc release of lnformaLlon ln any
proposal submlLLed wlll be sub[ecL Lo exlsLlng sLaLuLory and regulaLory requlremenLs.

14

lf proprleLary lnformaLlon provlded by an offeror ln a proposal consLlLuLes a Lrade secreL,
proprleLary commerclal or flnanclal lnformaLlon, confldenLlal personal lnformaLlon, or daLa
affecLlng naLlonal securlLy, lL wlll be LreaLed ln confldence Lo Lhe exLenL permlLLed by law. 1hls
lnformaLlon musL be clearly marked by Lhe offeror wlLh Lhe Lerm "confldenLlal proprleLary
lnformaLlon" and Lhe followlng legend musL appear ln Lhls secLlon of Lhe proposal:

1hese daLa shall noL be dlsclosed ouLslde Lhe CovernmenL and shall noL be dupllcaLed,
used, or dlsclosed ln whole or ln parL for any purpose oLher Lhan evaluaLlon of Lhls
proposal. lf a conLracL ls awarded Lo Lhls offeror as a resulL of (or ln connecLlon wlLh)
Lhe submlsslon of Lhese daLa, Lhe CovernmenL shall have Lhe rlghL Lo dupllcaLe, use, or
dlsclose Lhe daLa Lo Lhe exLenL provlded ln Lhe conLracL and pursuanL Lo appllcable law.
1hls resLrlcLlon does noL llmlL Lhe CovernmenL's rlghL Lo use lnformaLlon conLalned ln
Lhe daLa lf lL ls obLalned from anoLher source wlLhouL resLrlcLlon. 1he daLa sub[ecL Lo
Lhls resLrlcLlon are conLalned ln pages (lnserL page number here) of Lhls proposal."

1he use of any oLher legend ls unaccepLable Lo Lhe CovernmenL and may consLlLuLe grounds for
removlng Lhe proposal from furLher conslderaLlon wlLhouL assumlng any llablllLy for lnadverLenL
dlsclosure. 1he CovernmenL wlll llmlL dlssemlnaLlon of such lnformaLlon Lo/wlLhln offlclal channels.

15

I. ro[ect Narrat|ve - 1echn|ca| Content
Note. 1be ptoject oottotlve coostltotes tbe molo boJy of tbe lbose l ptoposol fot ltlotlty 1 ooJ
ltlotlty 2 ptoposols. 1be ptoject oottotlve most be tltleJ "ltoject Nottotlve - 1ecbolcol cooteot"
ooJ sboll beqlo oo poqe "1".

1. S|gn|f|cance

a. rob|em
uescrlbe Lhe educaLlon problem LhaL Lhe proposed producL ls lnLended Lo address and [usLlfy
Lhe lmporLance of lnvesLlng ln 8/8&u Lo solve Lhls problem.

b. 1he product, |ts |mp|ementat|on, and the |ntended outcomes
uescrlbe Lhe producL LhaL would be fully developed ln hase l ooJ lbose ll. Speclfy Lhe lnLended
user of Lhls producL (e.g., mlddle school soclal sLudles sLudenLs, parenLs of preschool chlldren
wlLh auLlsm). uescrlbe Lhe crlLlcal componenLs of Lhls producL and any addlLlonal maLerlals
requlred Lo supporL lmplemenLaLlon (e.g., sLudenL or Leacher handbooks). uescrlbe how Lhls
producL wlll funcLlon once compleLed.

uescrlbe how Lhls producL would be lmplemenLed ln Lhe lnLended an educaLlon dellvery seLLlng
(e.g., classroom, guldance counselor offlce, afLer school program) or an auLhenLlc early
lnLervenLlon or speclal educaLlon seLLlng (e.g., speclal educaLlon classroom, supplemenLal
educaLlon servlce, home seLLlng for sLudenLs wlLh or aL rlsk or dlsablllLles). lor example, would
Lhls producL replace, supplemenL, or be lnLegraLed wlLhln exlsLlng pracLlce as an lnLervenLlon, or
would lL alLer lnsLrucLlonal approaches? uescrlbe Lhe expecLed level of resources and why Lhls
producL's lmplemenLaLlon wlll be feaslble for users glven Lhelr resource consLralnLs (e.g., Llme,
funds, schedules).

Speclfy Lhe lnLended ouLcomes LhaL would come from uslng Lhls producL (e.g., lmprove
vocabulary, lmprove undersLandlng of Clvll War baLLles, lmproved Leachlng efflclency, lmprove
career readlness, lmprove undersLandlng of compuLer sclence).

c. 1he theory of change, and theoret|ca| and emp|r|ca| support
uescrlbe why you belleve Lhe lnLended producL wlll lead Lo lLs lnLended ouLcomes, and Lhe
sequence of sLeps LhaL wlll be requlred ln order Lo achleve Lhese ouLcomes. lor example, how ls
Lhe producL grounded and supporLed by Lheory? WhaL daLa from pasL sLudles show LhaL Lhe
proposed producLs or lLs componenLs can be expecLed Lo have Lhe lnLended ouLcomes? Lxplaln
Lhe LheoreLlcal and emplrlcal basls for Lhe producL ln sufflclenL deLall so LhaL revlewers wlll
undersLand Lhe reasonlng behlnd your producL. lL ls ofLen helpful Lo lnclude a dlagram LhaL
shows how Lhe producL wlll lead Lo lmprovemenLs ln sLudenL or Leacher performance and LhaL
dlsLlngulshes beLween shorL- and long-Lerm ouLcomes. lor lnsLance, a producL deslgned Lo help
sLudenLs learn sLaLlsLlcs may begln by showlng Lhem how lL ls used Lo predlcL Lhe performance
of a favorlLe baseball Leam. ln Lurn, Lhe percelved relevance of Lhe maLerlal may lead sLudenLs
Lo devoLe more Llme Lo sLudylng Lhe sub[ecL, whlch ln Lurn may lead Lo lmproved LesL scores ln
sLaLlsLlcs. 1hls loglcal sequence ls referred Lo as a 1heory of Change.

lor producLs deslgned Lo dlrecLly affecL Lhe Leachlng and learnlng envlronmenL and, Lhereby,
lndlrecLly affecL sLudenL ouLcomes, offerors should be clear ln Lhe Lheory of change Lo ldenLlfy
16

Lhe shorL-Lerm ouLcomes LhaL Lhls producL ls deslgned Lo affecL (e.g., Leacher pracLlces) and how
Lhese shorL-Lerm ouLcomes are Lo lmpacL Lhe longer-Lerm sLudenL ouLcomes lnLended Lo be
lmproved.

d. ke|ated k]k&D by the pro[ect team
uescrlbe prevlous 8/8&u conducLed by Lhe pro[ecL Leam LhaL ls dlrecLly relaLed Lo Lhe proposed
producL. uescrlbe how Lhls prevlous 8/8&u guldes and provldes a foundaLlon for Lhe proposed
efforL.
lor proposals Lo add a new and unlque componenL Lo an exlsLlng producL, Lhe offeror
(1) musL [usLlfy Lhe need for Lhe addlLlonal componenL, (2) musL deLall prlor research on
Lhe exlsLlng producL, lncludlng usablllLy, feaslblllLy, fldellLy of lmplemenLaLlon, and
evldence LhaL Lhe producL ln lLs currenL form shows promlse for lmprovlng ouLcomes,
and (3) may lnclude resulLs from concepL LesLlng where users (e.g., sLudenLs, Leachers,
servlce provlders) provlde feedback afLer vlewlng mock-ups deLalllng Lhe proposed
producL wlLh Lhe new componenL and lLs lnLended lmplemenLaLlon.
lor proposals Lo fully develop a producL on Lhe basls of a proLoLype LhaL ls already
developed, Lhe offeror (1) musL deLall prlor research on Lhe proLoLype's usablllLy and
lnlLlal feaslblllLy when used by sLudenLs or Leachers and (2) may lnclude resulLs from
concepL LesLlng where users (e.g., sLudenLs, Leachers, servlce provlders) provlde
feedback afLer vlewlng mock-ups deLalllng Lhe proposed producL and lLs lnLended
lmplemenLaLlon.
lor proposals where no prevlous developmenL work has occurred, Lhe offeror may
lnclude resulLs from concepL LesLlng where users (e.g., sLudenLs, Leachers, servlce
provlders) provlde feedback afLer vlewlng mock-ups deLalllng Lhe proposed producL and
lLs lnLended lmplemenLaLlon.

e. S|m||ar products or typ|ca| pract|ces
uescrlbe slmllar producLs or currenL Lyplcal pracLlces ln Lhe proposed area. Summarlze Lhe
relevanL research LhaL ls avallable on Lhese producLs or pracLlces. uescrlbe why Lhe proposed
producL wlll be sufflclenLly dlfferenL from and beLLer Lhan currenL producLs or pracLlces. ln dolng
so, descrlbe shorLcomlngs of Lhe currenL producLs or pracLlces and why Lhe proposed producL
wlll noL suffer from Lhe same shorLcomlngs.

f. otent|a| commerc|a| app||cat|on
AfLer Lhe producL ls fully developed Lhrough hase l and ll 8/8&u, descrlbe how lL wlll be
commerclallzed ln Lhe prlvaLe secLor markeLplace. 1hls descrlpLlon should lnclude examples of
how Lhe producL wlll be dlssemlnaLed Lo poLenLlal end-users and revenue sLraLegles Lo susLaln
Lhe producL over Llme.
"#$%& lo AppeoJlx n, offetots moy locloJe op to tbtee (J) lettets to eoJotse tbe slqolflcooce of
tbe ptoJoct ooJ tbe ploos fot lts commetclollzotloo lo tbe ptlvote motket. 5ee AppeoJlx n fot
fottbet lofotmotloo.

2. hase I 1echn|ca| Cb[ect|ves

a. hase I k]k&D ob[ect|ves
SLaLe Lhe speclflc ob[ecLlves of Lhe hase l 8/8&u efforL. Clearly ldenLlfy each of Lhe crlLlcal
componenLs of Lhe proLoLype LhaL wlll be developed ln hase l and whaL work wlll be compleLed
ln order Lo have a fully funcLlonlng proLoLype. 1he hase l 8/8&u ob[ecLlves should lnclude
17

acLlvlLles Lo LesL Lhe usablllLy of Lhe proLoLype and Lhe lnlLlal feaslblllLy of Lhe producL concepL
wlLh Lhe lnLended end-user.

b. ro[ect per|od
Lxplaln how Lhe proposed ob[ecLlves wlll be accompllshed wlLhln a 6-monLh perlod. A Llmellne
should be lncluded.

3. hase I Work |an
Cfferors should provlde a deLalled plan of Lhe Lechnologlcal 8/8&u acLlvlLles LhaL wlll occur ln hase
l, lncludlng whaL wlll be done, where lL wlll be done, and how lL wlll be carrled ouL. 1he hase l
8/8&u plan should address Lhe ob[ecLlves deLalled ln SecLlon lll.l.2. (hase l 1echnlcal Cb[ecLlves).
Cfferors should make clear how Lhe work plan addresses each of Lhe ob[ecLlves.

a. Deve|opment of the prototype
As parL of Lhe plan, offerors should descrlbe Lhe 8/8&u procedures Lhrough whlch a proLoLype wlll
be developed and fully funcLlonlng (e.g., usablllLy). Cfferors should also descrlbe Lhe procedures
LhaL wlll be used Lo LesL and reflne Lhe proLoLype. lor such research, offerors should descrlbe
how and when daLa wlll be collecLed, Lhe characLerlsLlcs of Lhe sample (e.g., sLudenLs, Leachers),
and Lhe procedures for analyzlng daLa.

b. kesearch on the usab|||ty of the prototype and the |n|t|a| feas|b|||ty of the product concept
AL Lhe end of Lhe hase l perlod, offerors should descrlbe Lhe research process LhaL wlll be used
Lo demonsLraLe Lhe usablllLy (or funcLlonlng) of Lhe proLoLype when lL ls used by Lhe anLlclpaLed
end user (e.g., sLudenL, Leacher, guldance counselor, speech LheraplsL), and Lo assess Lhe lnlLlal
feaslblllLy of Lhe proLoLype and Lhe full producL concepL afLer belng presenLed Lo end users.

Such research mlghL lnvolve conducLlng a small plloL LesL of Lhe proLoLype belng used ln a
classroom Lo deLermlne lf Lhe proLoLype funcLlons ln Lhe way LhaL lL ls lnLended (usablllLy), and
wheLher users are aLLenLlve and engaged when Lhey use Lhe proLoLype ln Lhe conLexL of
undersLandlng Lhe full producL concepL and lLs lnLended lmplemenLaLlon (lnlLlal feaslblllLy).
Cfferors mlghL also lnclude a Lhlnk-aloud sLudy ln whlch a small sample of lnLended end-users
provldes feedback on whaL Lhey are Lhlnklng as Lhey use Lhe proLoLype and as Lhey see
addlLlonal plans for Lhe fully developed producL. Such sLudles can help developers, for example,
ldenLlfy lnsLrucLlons LhaL are noL clear, deLermlne lf users wlll cllck on llnks Lo obLaln addlLlonal
lnformaLlon, deLecL Lrouble spoLs LhaL users have dlfflculLy navlgaLlng, or deLermlne lf Lhe full
producL concepL ls mlsslng a necessary componenL LhaL was noL orlglnally planned. lloL sLudles
should lnclude a small sample of lndlvlduals who are llke Lhose for whom Lhe fully developed
producL ls lnLended.

1o descrlbe Lhe usablllLy and lnlLlal feaslblllLy research, offerors should lnclude Lhe followlng
deLalls:

keseotcb poestloos. Cfferors should pose clear, conclse hypoLheses or research quesLlons (e.g.,
uoes Lhe proLoLype funcLlon as lnLended? Are users able Lo follow Lhe lnsLrucLlons for uslng Lhe
proLoLype? Are users engaged ln Lhe maLerlal when uslng Lhe proLoLype or when vlewlng Lhe
full producL concepL? AfLer LesLlng Lhe proLoLype and seelng plans for Lhe full developmenL of
Lhe producL, do users belleve Lhe producL could be successfully lmplemenLed and LhaL Lhe
producL has poLenLlal for lmprovlng user ouLcomes?).
18

5omple. uescrlbe Lhe populaLlon (e.g., sLudenLs, lnsLrucLors) and Lhe seLLlng (e.g., laboraLory,
school, chlld-care faclllLy) LhaL wlll be used ln Lhe 8/8&u acLlvlLles Lo develop Lhe proLoLype and
Lo assess Lhe usablllLy and lnlLlal feaslblllLy of Lhe proLoLype.
"#$%& Offetots most locloJe ooe lettet of oqteemeot ftom oo ootbeotlc eJocotloo settloq ot oo
ootbeotlc eotly lotetveotloo ot speclol eJocotloo settloq fot pottlclpotloo lo teseotcb sboolJ tbe
ptoposol be owotJeJ. 1bls lettet sboolJ be oo looqet tboo ooe (1) poqe, ooJ ls to be locloJeJ lo
AppeoJlx 8.

Meosotes. uescrlbe Lhe measures LhaL wlll be used ln Lhls research and where approprlaLe,
lnclude lnformaLlon on rellablllLy and valldlLy of lnsLrumenLs.

ltoceJotes. uescrlbe when and how daLa wlll be collecLed Lo deLermlne Lhe usablllLy and lnlLlal
feaslblllLy of Lhe proLoLype. lnclude a clear and deLalled descrlpLlon of Lhe daLa analysls
procedures. lor quanLlLaLlve daLa, speclflc sLaLlsLlcal procedures musL be descrlbed. 1he
relaLlon beLween hypoLheses, and Lhe lndependenL and dependenL measures should be clear.
lor quallLaLlve daLa, Lhe speclflc meLhods used Lo lndex, summarlze, and lnLerpreL daLa musL be
dellneaLed.

ln concludlng Lhls secLlon, offerors should dlscuss how Lhe hase l 8/8&u wlll provlde a
foundaLlon for Lhe hase ll 8/8&u efforL.

c. otent|a| rob|ems
uescrlbe any poLenLlal problem areas LhaL are anLlclpaLed ln hase l and provlde alLernaLlve
sLraLegles LhaL would be consldered ln such clrcumsLances.

4. ro[ect 1eam - 8|ograph|ca| Summary of Lach key ro[ect ersonne|
WlLhln Lhls secLlon ln Lhe 13-page narraLlve, offerors musL llsL and provlde a shorL blographlcal
summary for each member of Lhe pro[ecL Leam, lncludlng consulLanLs.

ln Lhe summary of Lhe prlnclpal lnvesLlgaLor, descrlbe educaLlonal quallflcaLlons and experlence
LhaL ls mosL relevanL Lo Lhe proposed pro[ecL. uescrlbe why Lhls lndlvldual ls capable of managlng
Lhe proposed pro[ecL.

ln Lhe summary of Lhe quallflcaLlons of each of Lhe remalnlng key personnel, descrlbe Lhe role of
each lndlvldual ln Lhe pro[ecL, descrlbe Lhelr relevanL experlence, and demonsLraLe LhaL Lhelr Llme
commlLmenL ls large enough Lo compleLe Lhelr work.

1he pro[ecL Leam should have experLlse ln educaLlon Lechnology, educaLlon Lheory and pracLlce,
educaLlon (or speclal educaLlon) research, research meLhods for Lhe developmenL and research
of educaLlon Lechnology (lncludlng experlence performlng research ln educaLlon seLLlngs), and
ln Lhe commerclal appllcaLlon of educaLlon or Lechnology-relaLed producLs. ln addlLlon, Lu
sLrongly encourages offerors lnLeresLed ln applylng Lo Lhls program Lo assemble research Leams
LhaL collecLlvely have experLlse ln Lhe developmenL of advanced Lechnology (e.g., arLlflclal
lnLelllgence capablllLles), lnsLrucLlonal deslgn, and Lhe LargeLed conLenL domaln (e.g., hlsLory,
early lnLervenLlon chlld developmenL).

19

"#$%& B,)7- :)*1(3.,)<37 /9??3()-/ ?9/+ :- )0<795-5 4)+,)0 +,- CDE.31-/; F..-05)G = ?9/+
37/* )0<795- +4* <-(+)2)<3+)*0/ 305 3 CE.31- (-/9?H 2*( -3<, *2 +,- I-J .-(/*00-7 7)/+-5 3:*A-
)0 K@ '(*L-<+ $-3?@

S. kesources
1he conducL of advanced 8/8&u may requlre Lhe use of sophlsLlcaLed lnsLrumenLaLlon or
compuLer faclllLles. 1he offeror musL descrlbe Lhe adequacy of avallable supporL, lncludlng
faclllLles, equlpmenL, supplles, and oLher resources, from Lhe proposlng flrm and from sub-
conLracLors Lo carry ouL necessary hase l 8/8&u.

6. Cost 8reakdown]roposed 8udget
Cfferors musL provlde hase l budgeL lnformaLlon ln Appendlx L. 1he budgeL cannoL exceed Lhe
maxlmum dollar amounL of $130,000. roposals wlLh budgeLs exceedlng $130,000 wlll be re[ecLed
prlor Lo revlew. See Appendlx L for formaLLlng requlremenLs. 1bls boJqet lofotmotloo )/ 0*+
coooteJ towotJ tbe 15-poqe llmlt of tbe ptoject oottotlve.

7. numan Sub[ects
Cfferors should lnclude lnformaLlon on human sub[ecLs (lf appllcable) ln Appendlx l. See Appendlx
l for lnformaLlon. 1bls bomoo sobjects lofotmotloo )/ 0*+ coooteJ towotJ tbe 15-poqe llmlt of tbe
ptoject oottotlve.

8. S|m||ar or C|ose|y ke|ated Awards or roposa|s
Cfferors should lnclude lnformaLlon on Slmllar or Closely 8elaLed Awards or roposals (lf appllcable)
ln Appendlx u. See Appendlx u for lnformaLlon. 1bls ptoposol lofotmotloo )/ 0*+ coooteJ towotJ tbe
15-poqe llmlt of tbe ptoject oottotlve.

WAkNING
AlLhough wlLh prlor noLlflcaLlon lL ls permlsslble Lo submlL ldenLlcal or essenLlally equlvalenL
proposals for conslderaLlon under numerous lederal program sollclLaLlons, lL ls unlawful Lo enLer
lnLo conLracLs requlrlng essenLlally equlvalenL efforL. lf Lhere ls any quesLlon concernlng Lhls, lL
musL be dlsclosed Lo Lhe sollclLlng agency or agencles before award.

9. Documentat|on and Status of r|or S8Ik hase II Awards
Cfferors are requlred Lo lnclude lnformaLlon on uocumenLaLlon and SLaLus of rlor hase ll Awards
(lf appllcable) ln Appendlx A. See Appendlx A for lnformaLlon. 1bls ptoposol lofotmotloo )/ 0*+
coooteJ towotJ tbe 15-poqe llmlt of tbe ptoject oottotlve.

20

IV. ML1nCD CI SLLLC1ICN AND LVALUA1ICN CkI1LkIA

A. Introduct|on
1he goal of Lu-supporLed 8/8&u Lhrough Lhe S8l8 program ls Lo conLrlbuLe Lo Lhe soluLlon of
educaLlon problems Lhrough Lhe developmenL of commerclally vlable producLs, and Lo provlde
rellable lnformaLlon abouL Lhe promlse of producLs for lmprovlng learnlng or lnsLrucLlon. 8evlewers
wlll assess several aspecLs of Lhe proposal ln order Lo [udge Lhe llkellhood LhaL Lhe proposed 8/8&u
wlll meeL Lhls goal. ln Lhe evaluaLlon and handllng of proposals, Lu wlll make every efforL Lo
proLecL Lhe confldenLlallLy of Lhe proposal and any revlews of Lhe proposal.

All hase l proposals wlll poLenLlally go Lhrough Lhree sLages of revlew: (1) re-revlew screenlng,
(2) 1rlage evaluaLlon, and (3) lull Lechnlcal revlew.

1) re-kev|ew Screen|ng
All hase l proposals wlll proceed Lhrough a pre-revlew screenlng Lo deLermlne responslveness
Lo Lhe speclflc requlremenLs of Lhe sollclLaLlon. lf Lhe answer Lo any of Lhe followlng quesLlons ls
"nC," Lhe proposal wlll noL be revlewed or recelve furLher conslderaLlon.
uoes Lhe proposal conLaln all of Lhe lnformaLlon requlred under "lll.L. ro[ecL narraLlve-
key lnformaLlon, rlorlLles, AbsLracL, CerLlflcaLlons, SLaLemenLs, and Legend"?
ls Lhe pro[ecL narraLlve of Lhe proposal 13-pages or less ln lengLh, excludlng Lhe cover
pages (pages l, ll, & lll) and Lhe Appendlces?
ln Appendlx C, ls Lhere a cerLlflcaLlon page and a 1-page resume for each lndlvldual
llsLed on Lhe pro[ecL personnel Leam, slgned by Lhe proposed employee and by
someone wlLh Lhe auLhorlLy Lo blnd Lhe company?
ln Appendlx L, ls Lhere a hase l narraLlve budgeL [usLlflcaLlon and budgeL spreadsheeL?
Any devlaLlons from Lhe proposal lnsLrucLlons wlll lead Lo a proposal belng re[ecLed wlLhouL
furLher revlew.

2) 1r|age Lva|uat|on kound
1he purpose of Lhe 1rlage LvaluaLlon 8ound ls Lo deLermlne wheLher a proposal ls recommended
for revlew by a full panel. 1he hase l 1rlage wlll lnclude Lwo revlewers per proposal, lncludlng
research sclenLlsLs and educaLlon Lechnology experLs from Lhe agency or oLher federal agencles.
1he 1rlage LvaluaLlon 8ound process ls as follows:
8evlewers wlll lndependenLly revlew each proposal based on Lhe evaluaLlon crlLerla llsLed
below under 8.
Lach revlewer wlll provlde a recommendaLlon for each proposal Lo elLher (a) advance for
furLher revlew" or (b) noL advance for furLher revlew."
lf boLh or elLher revlewer provldes an advance for furLher revlew" recommendaLlon, a
proposal wlll advance Lo Lhe 1echnlcal LvaluaLlon 8evlew anel 8ound.
lf boLh revlewers provlde a noL advance for furLher revlew" recommendaLlon, a proposal
wlll noL advance Lo Lhe 1echnlcal LvaluaLlon 8evlew anel 8ound.
roposals LhaL do noL advance for furLher revlew" wlll recelve a wrlLLen evaluaLlon
explalnlng Lhe ma[or sLrengLhs and weaknesses of Lhe proposal.
roposals LhaL are recommended Lo advance for furLher revlew" wlll recelve a wrlLLen
evaluaLlon from Lhe 1echnlcal LvaluaLlon 8evlew anel below under 3.

21

3) 1echn|ca| Lva|uat|on kev|ew ane| kound
1he purpose of Lhe 1echnlcal LvaluaLlon 8evlew anel 8ound ls Lo Lechnlcally evaluaLe proposals
Lo deLermlne Lhe mosL promlslng approaches. hase l 1echnlcal LvaluaLlon 8evlew anels wlll
conslsL of Lhree revlewers from Lhe agency or oLher lederal agencles, lncludlng research
sclenLlsLs and educaLlon Lechnology experLs. 1he 1echnlcal LvaluaLlon 8evlew anel 8ound
process ls as follows:
8evlewers wlll revlew proposals and compleLe wrlLLen evaluaLlons by ldenLlfylng sLrengLhs
and weaknesses for each of Lhe evaluaLlon crlLerla (llsLed below under 8).
8evlewers wlll asslgn scores based on Lhese evaluaLlon crlLerla, wlLh Lhe maxlmum number
of polnLs for each crlLerla llsLed ln parenLheses.
Scores on each of Lhe Lhree crlLerla wlll be summed (for a maxlmum of 100 polnLs).
roposals from all of Lhe hase l 1echnlcal LvaluaLlon 8evlew anels wlll be ranked ln
order from hlghesL average score ouL of 100 Lo lowesL average score, wlLh Lhe Lop
scores recommended for fundlng based on Lhe avallablllLy of funds.
SLaff from Lu's ConLracLs and AcqulslLlon ManagemenL offlce wlll evaluaLe buslness-
relaLed aspecLs of proposals. 1he flnal award declslon ls made by Lhe ConLracLlng
Cfflcer.

8. Lva|uat|on Cr|ter|a
Lach hase l proposal wlll be evaluaLed accordlng Lo Lhe (1) Slgnlflcance, (2) hase l 8&u lan,
and (3) ro[ecL 1eam, Company/8esources, and 8udgeL. ueLalls are descrlbed ln Lhe secLlons
below.

1. S|gn|f|cance (40 po|nts)
uld Lhe offeror [usLlfy Lhe lmporLance of solvlng Lhe educaLlon problem LhaL Lhe producL
wlll address? ls compelllng evldence provlded Lo supporL Lhe clalm LhaL Lhe proposed
producL ls llkely Lo conLrlbuLe Lo solvlng Lhls problem?
uld Lhe offeror clearly descrlbe Lhe producL - lLs crlLlcal componenLs and any addlLlonal
maLerlals requlred Lo supporL lLs lmplemenLaLlon - Lo be developed as a resulL of Lhe
hase l and hase ll 8/8&u? uld Lhe offeror clearly ldenLlfy Lhe lnLended user of Lhe
proposed producL? uld Lhe offeror clearly descrlbe how Lhe producL ls lnLended Lo
funcLlon, how lL would be lmplemenLed ln an auLhenLlc educaLlon seLLlng or an
auLhenLlc early lnLervenLlon or speclal educaLlon seLLlng, and wheLher Lhere wlll be
resources for such lmplemenLaLlon? ls Lhere a clear descrlpLlon of Lhe lnLended
ouLcomes from uslng Lhe producL?
ls Lhe Lheory of change loglcal and plauslble? uo Lhe LheoreLlcal and emplrlcal
foundaLlons for Lhe pro[ecL suggesL LhaL Lhe producL ls llkely Lo produce Lhe lnLended
ouLcomes?
uoes Lhe prlor 8/8&u by Lhe pro[ecL Leam LhaL dlrecLly relaLes Lo Lhls proposal provlde a
foundaLlon for Lhe proposed producL?
uld Lhe offeror adequaLely deLall Lhe slmllar producLs or pracLlces ln Lhe proposed area?
Would Lhe proposed producL be an lmprovemenL on slmllar producLs or currenL
pracLlces?
uoes Lhe proposed Lechnology have a hlgh degree of poLenLlal Lo lead Lo a commerclally
vlable and wldely dlssemlnaLed and uLlllzed producL?
uo Lhe leLLers of endorsemenL supporL Lhe slgnlflcance and poLenLlal commerclal
appllcaLlon of Lhe producL?
22

2. hase I k]k&D Cb[ect|ves and Work |an (30 po|nts)
uoes Lhe offeror descrlbe Lhe proLoLype Lo be developed ln hase l?
uoes Lhe hase l Work lan speclfy clear, approprlaLe, well-lnLegraLed, and compleLe
plans for Lhe developmenL and reflnemenL of Lhe proLoLype ln hase l?
ls Lhe hase l research deslgn approprlaLe for demonsLraLlng Lhe usablllLy of Lhe
proLoLype and Lhe lnlLlal feaslblllLy of Lhe producL concepL by Lhe end of hase l?
Pas Lhe offeror provlded one leLLer of agreemenL from an auLhenLlc educaLlon seLLlng or
an auLhenLlc early lnLervenLlon or speclal educaLlon seLLlng Lo parLlclpaLe ln hase l
research?

3. ro[ect 1eam, Company]kesources, and 8udget (30 po|nts)
uoes Lhe prlnclpal lnvesLlgaLor have Lhe approprlaLe experlence and Lralnlng Lo oversee
and manage Lhe proposed pro[ecL?
uoes Lhe research Leam brlng quallfled experLlse ln Lhe followlng areas: Lechnologlcal
8/8&u, educaLlon (or speclal educaLlon lf appllcable) Lheory, pracLlce, and research
meLhods for Lhe developmenL and research of Lhe proposed producL, and
commerclallzaLlon of educaLlon or Lechnology-relaLed producLs?
ls Lhere adequaLe supporL, lncludlng faclllLles, equlpmenL, supplles, and oLher resources,
from Lhe proposlng flrm and from sub-conLracLors?
ls Lhe narraLlve budgeL [usLlflcaLlon for hase l approprlaLe for Lhe pro[ecL and ln llne
wlLh Lhe budgeL llne-lLems? ls Lhe hase l budgeL adequaLe Lo supporL Lhe proposed
pro[ecL? Cr, ls Lhe scope of Lhe pro[ecL beyond Lhe scope of Lhe fundlng Lo be provlded?
ln addlLlon Lo all of Lhe above crlLerla, Lhe evaluaLlon welghs Lhe record of 8&u and
commerclallzaLlon of pasL S8l8-funded producLs by Lhe flrm and Lhe rlnclpal
lnvesLlgaLor (lf appllcable). 1hls record lncludes relevanL deLalls provlded ln whole of Lhe
proposal and ln parLlcular ln Appendlx A.

1he CovernmenL lnLends Lo evaluaLe proposals and award a conLracL wlLhouL dlscusslons wlLh
offerors (excepL clarlflcaLlons as descrlbed ln lA8 13.306(a)). 1herefore, Lhe offeror's lnlLlal
proposal should conLaln Lhe offeror's besL Lerms from a cosL or prlce and Lechnlcal sLandpolnL.
1he CovernmenL reserves Lhe rlghL Lo conducL dlscusslons lf Lhe ConLracLlng Cfflcer laLer
deLermlnes Lhem Lo be necessary. lf Lhe ConLracLlng Cfflcer deLermlnes LhaL Lhe number of
proposals LhaL would oLherwlse be ln Lhe compeLlLlve range exceeds Lhe number aL whlch an
efflclenL compeLlLlon can be conducLed, Lhe ConLracLlng Cfflcer may llmlL Lhe number of
proposals ln Lhe compeLlLlve range Lo Lhe greaLesL number LhaL wlll permlL an efflclenL
compeLlLlon among Lhe mosL hlghly raLed proposals.

23

V. CCNSIDLkA1ICNS

A. hase I keports
lor hase l, lnLerlm progress reporLs are requlred and wlll be due aL Lhe end of monLh one (1) and
Lhree (3). A flnal reporL ls requlred and wlll be due aL Lhe end of monLh slx (6). 1he conLracLor shall
emall each reporL Lo Lhe ConLracLlng Cfflcer's 8epresenLaLlve (CC8) and Lo Lhe ConLracL SpeclallsL
(CS).

1he lnLerlm reporLs shall lnclude a brlef descrlpLlon of Lhe Lechnologlcal 8/8&u carrled ouL up Lo
Lhe end of monLhs one (1) and Lhree (3), Lhe plans for feaslblllLy LesLlng, an updaLe on any obsLacles
encounLered durlng Lhe perlod, and an updaLe on poLenLlal commerclal appllcaLlons whlch wlll
resulL from Lhe hase l 8/8&u. 1hls pro[ecL summary ls Lo be submlLLed wlLhouL resLrlcLlon on
publlcaLlon and may be publlshed by Lu.

1he hase l flnal reporL shall lnclude a one (1) page pro[ecL summary as Lhe flrsL page. 1he reporL
shall ldenLlfy Lhe purpose of Lhe 8/8&u, lnclude descrlpLlons of Lhe proLoLype LhaL was developed,
Lhe 8/8&u process, Lhe flndlngs or resulLs from Lhe feaslblllLy LesLlng, an updaLe on any obsLacles
encounLered durlng Lhe perlod, and of Lhe poLenLlal commerclal appllcaLlons whlch would resulL
from Lhe hase l 8/8&u. 1hls pro[ecL summary ls Lo be submlLLed wlLhouL resLrlcLlon on publlcaLlon
and may be publlshed by Lu.

1he hase l flnal reporL shall also lnclude a vldeo demonsLraLlon Lo hlghllghL Lhe maln feaLures and
componenLs of Lhe proLoLype developed ln hase l. Speclflc lnsLrucLlons on Lhe formaL for Lhe
vldeo and for submlLLlng Lhe vldeo wlll be provlded Lo Lhe conLracLor by Lhe ConLracLlng Cfflcer's
8epresenLaLlve along wlLh Lhe requesL for Lhe flnal reporL approxlmaLely one monLh prlor Lo Lhe
end of hase l.

All reporLs shall carry Lhe followlng acknowledgmenL sLaLemenL on Lhe cover page:
1hls maLerlal ls based upon work supporLed by Lhe u.S. ueparLmenL of
LducaLlon under purchase order number (lnserL conLracL number here). Any
oplnlons, flndlngs, concluslons or recommendaLlons expressed ln Lhls
publlcaLlon are Lhose of Lhe auLhor(s) and do noL necessarlly reflecL Lhe vlews
or pollcles of Lhe ueparLmenL of LducaLlon."

M->9)(-5 N-(+)2)<3+)*0 +* O9:?)+ '()*( +* F43(5
Submlsslon of Lhls cerLlflcaLlon ls requlred prlor Lo conLracL award:
1be coottoctot cettlfles tbot.
(1) tbe ptloclpol lovestlqotot ooJ tbe smoll bosloess fltm bove oot occepteJ fooJloq
fot tbe some ot ovetlopploq wotk except os stoteJ lo tbe ooJetlyloq ptoposol,
(2) oll ptoposols Jesctlbloq tbe some ot ovetlopploq wotk bove beeo wltbJtowo ftom
otbet oqeocles,
(J) tbe ptlmoty employmeot of tbe ptloclpol lovestlqotot ls wltb tbls fltm ot tbe tlme
of tbe owotJ ooJ wlll cootlooe Jotloq tbe cooJoct of tbe teseotcb,
(4) tbe owotJee ls o smoll bosloess os JefloeJ lo tbe 58lk 5ollcltotloo ooJet wblcb
tbe owotJee sobmltteJ lts ptoposol, ooJ tbe ptloclpol lovestlqotot ls oo employee of
tbe fltm ooJ ls cotteotly ovolloble to petfotm tbe ptoposeJ wotk, ooJ
24

(5) tbe ooJetslqoeJ ooJetstooJs tbot wlllfolly mokloq o folse stotemeot to ot
cooceolloq o motetlol foct ftom u ls o ctlmlool offeose (u.5. coJe, tltle 18, 5ectloo
1001).

AuLhorlzed Company Cfflcer:
SlgnaLure: ____________________________ uaLe: ________________
rlnclpal lnvesLlgaLor:
SlgnaLure: ____________________________ uaLe: _________________

M->9)(-5 N-(+)2)<3+)*0 +* O9:?)+ 4)+, P0+-()? 305 6)037 M-.*(+/
Submlsslon of Lhls cerLlflcaLlon ls requlred wlLh Lhe all lnLerlm reporLs and Lhe flnal reporL:
l cettlfy tbot tbe ltloclpol lovestlqotot cotteotly ls___, ls oot___ ptlmotlly employeJ by
tbe fltm os JefloeJ lo tbe 58lk sollcltotloo.
l cettlfy tbot tbe wotk ooJet tbls ptoject bos___, bos oot___, beeo sobmltteJ fot fooJloq
to oootbet leJetol oqeocy ooJ tbot lt bos___, bos oot____ beeo fooJeJ ooJet ooy otbet
leJetol qtoot, coottoct, ot sobcoottoct.
l cettlfy tbot to tbe best of my koowleJqe tbe wotk fot wblcb poymeot ls beteby
tepoesteJ wos petfotmeJ lo occotJooce wltb tbe owotJ tetms ooJ cooJltloos ooJ tbot
poymeot ls Joe ooJ bos oot beeo ptevloosly tepoesteJ.
l cettlfy tbot to tbe best of my koowleJqe, (1) tbe stotemeots betelo (excloJloq scleotlflc
bypotbeses ooJ scleotlflc oploloos) ote ttoe ooJ complete, ooJ (2) tbe text ooJ qtopblcs
lo tbls tepott os well os ooy occompooyloq pobllcotloos ot otbet Jocomeots, ooless
otbetwlse loJlcoteJ, ote tbe otlqlool wotk of tbe slqoototles ot loJlvlJools wotkloq ooJet
tbelt sopetvlsloo.
l ooJetstooJ tbot tbe wlllfol ptovlsloo of folse lofotmotloo ot cooceolloq o motetlol foct
lo tbls tepott ot ooy otbet commoolcotloo sobmltteJ to u ls o ctlmlool offeose (u.5.
coJe, tltle 18, 5ectloo 1001).

AuLhorlzed Company Cfflcer:
SlgnaLure: ____________________________ uaLe: ________________
rlnclpal lnvesLlgaLor:
SlgnaLure: ____________________________ uaLe: ________________

8. ayment Schedu|e
aymenLs wlll be made ln accordance wlLh Lhe paymenL schedule negoLlaLed and agreed Lo by Lhe
ConLracLlng Cfflcer. 1he offeror shall lnclude hls or her cash flow requlremenLs as parL of Lhe
budgeL for hase l. Cnce lnvolces are recelved, Lhe ueparLmenL lnLends Lo pay on Lhe 13Lh day
afLer Lhe deslgnaLed bllllng offlce recelves a proper lnvolce from Lhe conLracLor or Lhe 13Lh day
afLer Lu accepLs goods or supplles performed by Lhe conLracLor, whlchever ls laLer. ConLracLors
shall be pald upon compleLlon of Lhe flnal pro[ecL summary reporL, normally 6 monLhs afLer pro[ecL
sLarL. 1he lnvolce shall accompany Lhe flnal summary reporL.

ConLracLors shall recelve Lhree (3) paymenLs durlng Lhe hase l conLracL performance perlod. Lach
lnvolce shall be accompanled by an lnLerlm or flnal progress reporL. 33 of Lhe hase l conLracL
prlce ls reserved for Lhe lnlLlal paymenL and 33 ls reserved for paymenL afLer accepLance of Lhe
flnal reporL. 33 of Lhe conLracL prlce ls reserved for lnLerlm reporL.

25

C. Innovat|ons, Invent|ons and atents
1. k|ghts |n Data Deve|oped Under S8Ik Iund|ng Agreements
1o preserve Lhe S8l8 daLa rlghLs of Lhe awardee, Lhe Legend (or sLaLemenLs) used ln Lhe S8l8 uaLa
8lghLs clause lncluded ln Lhe S8l8 award musL be afflxed Lo any submlsslons of Lechnlcal daLa
developed under LhaL S8l8 award. lf no uaLa 8lghLs clause ls lncluded ln Lhe S8l8 award, Lhe
followlng legend, aL a mlnlmum, should be afflxed Lo any daLa submlsslons under LhaL award.

LLGLND
S8l8 8lghLs noLlce (uec 2007)
1hese S8l8 daLa are furnlshed wlLh S8l8 rlghLs under ConLracL no._____ (and subconLracL
_____, lf approprlaLe). lor a perlod of 4 years, unless exLended ln accordance wlLh lA8 27.409
(h), afLer accepLance of all lLems Lo be dellvered under Lhls conLracL, Lhe CovernmenL wlll use
Lhese daLa for CovernmenL purposes only, and Lhey shall noL be dlsclosed ouLslde Lhe
CovernmenL (lncludlng dlsclosure for procuremenL purposes) durlng such perlod wlLhouL
permlsslon of Lhe ConLracLor, excepL LhaL, sub[ecL Lo Lhe foregolng use and dlsclosure
prohlblLlons, Lhese daLa may be dlsclosed for use by supporL ConLracLors. AfLer Lhe proLecLlon
perlod, Lhe CovernmenL has a pald-up llcense Lo use, and Lo auLhorlze oLhers Lo use on lLs
behalf, Lhese daLa for CovernmenL purposes, buL ls relleved of all dlsclosure prohlblLlons and
assumes no llablllLy for unauLhorlzed use of Lhese daLa by Lhlrd parLles. 1hls noLlce shall be
afflxed Lo any reproducLlons of Lhese daLa, ln whole or ln parL.

2. Copyr|ghts
WlLh prlor wrlLLen permlsslon of Lhe ConLracLlng Cfflcer, Lhe awardee normally may copyrlghL and
publlsh maLerlal (conslsLenL wlLh approprlaLe naLlonal securlLy conslderaLlons, lf any) developed
wlLh Lu supporL. 1he u.S. ueparLmenL of LducaLlon recelves a royalLy-free llcense for Lhe lederal
CovernmenL and requlres LhaL each publlcaLlon conLaln an approprlaLe acknowledgmenL and
dlsclalmer sLaLemenL.

3. atents
Small buslness flrms normally may reLaln Lhe prlnclpal worldwlde paLenL rlghLs Lo any lnvenLlon
developed wlLh CovernmenL supporL. 1he CovernmenL recelves a royalLy-free llcense for lederal
CovernmenL use, reserves Lhe rlghL Lo requlre Lhe paLenL holder Lo llcense oLhers ln cerLaln
clrcumsLances, and requlres LhaL anyone excluslvely llcensed Lo sell Lhe lnvenLlon ln Lhe unlLed
SLaLes musL normally manufacLure lL domesLlcally. 1o Lhe exLenL auLhorlzed by 33 u.S.C. 203, Lhe
CovernmenL wlll noL make publlc any lnformaLlon dlscloslng a CovernmenL-supporLed lnvenLlon for
a 4-year perlod (LhaL may be exLended by subsequenL S8l8 conLracLs) Lo allow Lhe awardee a
reasonable Llme Lo pursue a paLenL.

4. Invent|on keport|ng
S8l8 awardees musL reporL lnvenLlons Lo Lhe awardlng agency wlLhln 2 monLhs of Lhe lnvenLor's
reporL Lo Lhe awardee. 1he reporLlng of lnvenLlons may be accompllshed by submlLLlng paper
documenLaLlon, lncludlng fax.

D. Subcontract|ng L|m|ts - kesearch and Ana|yt|ca| Work
lor hase l, aL leasL Lwo-Lhlrds of Lhe research and/or analyLlc efforL musL be performed by Lhe
proposlng small buslness concern unless oLherwlse approved ln wrlLlng by Lhe conLracL offlcer afLer
consulLaLlon wlLh Lhe ConLracLlng Cfflcer (CC) and Lhe S8l8 program manager.

26

L. Awardee Comm|tments
upon award, Lhe conLracLor wlll be requlred Lo make cerLaln legal commlLmenLs Lhrough
accepLance of numerous clauses ln Lhe procuremenL.

1he ouLllne LhaL follows ls lllusLraLlve of Lhe Lypes of clauses LhaL wlll be lncluded ln Lhe conLracL.
1hls ls noL a compleLe llsL, nor does lL conLaln Lhe speclflc wordlng of Lhese clauses. Lu wlll make
awards as descrlbed ln Cl8 1lLle 48-lederal AcqulslLlon 8egulaLlons. 1he resulLanL agreemenL wlll
conLaln legally blndlng clauses. Coples of compleLe general clauses wlll be made avallable prlor Lo
award. A compleLe seL of Lhese requlremenLs ls avallable now upon requesL.

1. Standards of Work
Work performed under Lhe conLracL musL conform Lo hlgh professlonal sLandards.

2. Contract 1ype
1hls wlll be a llrm llxed-rlce conLracL. 1he ConLracLor ls obllgaLe Lo compleLe all work successfully
on Llme ln order Lo geL pald. 1he value of Lhls conLracL wlll noL vary wlLh Lhe cosL experlence of Lhe
conLracLor.

3. Inspect|on
Work performed under Lhe conLracL ls sub[ecL Lo CovernmenL lnspecLlon and evaluaLlon aL all
reasonable Llmes.

4. Lxam|nat|on of kecords
1he CompLroller Ceneral (or a duly auLhorlzed represenLaLlve) shall have Lhe rlghL Lo examlne any
dlrecLly perLlnenL records of Lhe conLracLor lnvolvlng LransacLlons relaLed Lo Lhls conLracL.

S. Defau|t
1he CovernmenL may LermlnaLe Lhe agreemenL lf Lhe conLracLor falls Lo perform Lhe work
conLracLed.

6. 1erm|nat|on for Conven|ence
1he agreemenL may be LermlnaLed aL any Llme by Lhe CovernmenL lf lL deems LermlnaLlon Lo be ln
lLs besL lnLeresL, ln whlch case Lhe conLracLor wlll be compensaLed for work performed and for
reasonable LermlnaLlon cosLs.

7. D|sputes
Any dlspuLe concernlng Lhe conLracL LhaL cannoL be resolved by agreemenL shall be declded by Lhe
ConLracLlng Cfflcer wlLh rlghL of appeal.

8. Contract Work nours
1he conLracLor may noL requlre an employee Lo work more Lhan elghL (8) hours a day or forLy (40)
hours a week unless Lhe employee ls compensaLed accordlngly (LhaL ls, recelves overLlme pay).

9. Lqua| Cpportun|ty
1he conLracLor wlll noL dlscrlmlnaLe agalnsL any employee or appllcanL for employmenL because of
race, color, rellglon, sex, or naLlonal orlgln, or because he or she ls a dlsabled veLeran or a veLeran
of Lhe vleLnam era, or because he or she ls physlcally or menLally handlcapped.

27

10. Cff|c|a|s Not to 8enef|t
no CovernmenL offlclal shall beneflL personally from Lhe agreemenL.

11. Covenant Aga|nst Cont|ngent Iees
no person or agency has been employed Lo sollclL or secure Lhe agreemenL upon an undersLandlng
for compensaLlon excepL bonaflde employees or commerclal agencles malnLalned by Lhe
conLracLor for Lhe purpose of securlng buslness.

12. Gratu|t|es
1he agreemenL may be LermlnaLed by Lhe CovernmenL lf any graLulLles have been offered Lo any
represenLaLlve of Lhe CovernmenL Lo secure Lhe agreemenL.

13. atent Infr|ngement
1he conLracLor shall reporL each noLlce or clalm of paLenL lnfrlngemenL based on Lhe performance
of Lhe agreemenL.

14. Amer|can Made Lqu|pment and roducts
When purchaslng equlpmenL or a producL under Lhe S8l8 conLracL, purchase only Amerlcan-made
lLems whenever posslble.

1S. ub||c|ty
Any publlcaLlons resulLlng from Lhls conLracL wlll need a dlsclalmer noLlng LhaL Lhe pro[ecL was
funded by Lhe u.S. ueparLmenL of LducaLlon and LhaL publlcaLlon does noL necessarlly reflecL Lhe
vlews or pollcles of Lhe u.S. ueparLmenL of LducaLlon.

16. 8ackground Invest|gat|on kequ|rement
Any conLracLor/subconLracLor sLaff or consulLanLs who wlll work on Lhe conLracL for LhlrLy (30) days
or more (ln LoLal) and who wlll have access Lo senslLlve daLa (for example, buL noL llmlLed Lo, daLa
proLecLed by Lhe rlvacy AcL or lL8A) musL undergo a governmenL background lnvesLlgaLlon. 1hls
lnvesLlgaLlon wlll lnclude, among oLher Lhlngs, a credlL check and crlmlnal background check. 1he
cosL of performlng Lhe lnvesLlgaLlon ls born by Lhe CovernmenL, however, Lhe ConLracLor wlll be
responslble for Lhe cosLs of flngerprlnLlng any proposed sLaff LhaL need an lnvesLlgaLlon. 1he cosL of
flngerprlnLlng may be lncluded ln your proposed budgeL. Cfferors should check wlLh Lhelr local
pollcy agency Lo deLermlne Lhe cosL of flngerprlnLlng (Lwo flngerprlnL seLs are requlred per person).

17. kesearch Act|v|t|es Invo|v|ng numan Sub[ects
8esearch acLlvlLles lnvolvlng human sub[ecLs musL be ln compllance wlLh Lhe regulaLlons lssued
by Lhe u.S. ueparLmenL of LducaLlon Lo safeguard Lhe rlghLs and welfare of human research
sub[ecLs. 1he human sub[ecLs conLracLs clause can be found aL
hLLp://www.ed.gov/pollcy/fund/reg/cllbrary/humansub.hLml

I. Io|nt Ventures or L|m|ted artnersh|ps
!olnL venLures and llmlLed parLnershlps are permlLLed, provlded LhaL Lhe enLlLy creaLed quallfles as
a small buslness concern as deflned ln Lhls program sollclLaLlon.

G. Cost-Shar|ng
CosL-sharlng ls permlLLed for proposals under Lhls program sollclLaLlon, however, cosL-sharlng ls noL
requlred. CosL-sharlng wlll noL be an evaluaLlon facLor ln conslderaLlon of your proposal.
28

n. rof|t]Iee
ConLracLs may lnclude a reasonable fee or proflL on S8l8 conLracLs, conslsLenL wlLh normal proflL
marglns provlded Lo proflL-maklng flrms for 8/8&u work.

I. Standard 1erms and Cond|t|ons
upon accepLance of an award, Lhe ConLracLor musL comply wlLh Lhe Lerms and condlLlons
conLalned or referenced ln Lhe noLlce of Award documenL. 1hese Lerms and condlLlons,
consLlLuLlng legal requlremenLs, are lmposed on an awardee by sLaLuLe, regulaLlons, admlnlsLraLlve
pollcy, or Lhe award documenL lLself.

I. Add|t|ona| Informat|on
1hls program sollclLaLlon ls lnLended for lnformaLlonal purposes and reflecLs currenL
plannlng. lf Lhere ls an lnconslsLency beLween Lhe lnformaLlon conLalned hereln and Lhe
Lerms of any resulLlng S8l8 conLracL, Lhen Lhe Lerms of Lhe conLracL are conLrolllng.
ln Lhe lnLeresLs of Lhose wlLh speclal needs, Lhe Cfferor ls encouraged Lo develop producLs
LhaL also lnclude alLernaLe formaLs (e.g., closed- or open-capLlonlng for fllms and/or
vldeoLapes, 8rallle, large prlnL, or audloLape).
8efore award of an S8l8 fundlng agreemenL, Lhe CovernmenL may requesL Lhe appllcanL
Lo submlL cerLaln organlzaLlonal, managemenL, personnel, and flnanclal lnformaLlon Lo
assure responslblllLy of Lhe appllcanL.
1he CovernmenL ls noL responslble for any monles expended by Lhe appllcanL before
award of any fundlng agreemenL.
1hls program sollclLaLlon ls noL an offer by Lhe CovernmenL and does noL obllgaLe Lhe
CovernmenL Lo make any speclflc number of awards. Also, awards under Lhe S8l8
rogram are conLlngenL upon Lhe avallablllLy of funds.
1he S8l8 program ls noL a subsLlLuLe for exlsLlng unsollclLed proposal mechanlsms. 1he
CovernmenL shall noL accepL unsollclLed proposals under Lhe S8l8 program ln elLher hase
l or hase ll.
lf an award ls made pursuanL Lo a proposal submlLLed under Lhls program sollclLaLlon, Lhe
ConLracLor wlll be requlred Lo cerLlfy LhaL Lhey have noL prevlously been, nor are currenLly
belng, pald for essenLlally equlvalenL work by any agency of Lhe lederal CovernmenL.

k. Awards
1he ueparLmenL anLlclpaLes awardlng up Lo 12 flrm-flxed prlce conLracLs under Lhls sollclLaLlon.

29

VI. kCCSAL SU8MI11AL INICkMA1ICN

A. roposa| Subm|ss|on
A slngle WC8u or ul documenL musL be emalled Lo:
1homas SmlLh
ConLracL SpeclallsL
1homas.SmlLh[ed.gov

1he ueparLmenL's emall servers wlll oot accepL flles larger Lhan 30M8, Lherefore .(*.*/37/ *A-(
QRS8 4)77 0*+ :- 3<<-.+-5@ Pence, Lhe ueparLmenL sLrongly recommends LhaL offerors assess Lhe
slze of Lhelr documenL and flle prlor Lo submlLLlng Lhe proposal vla emall.

nC physlcal packages wlll be accepLed. Cnly proposals submlLLed Lo Lhe emall address above
submlLLed prlor Lo Lhe deadllne wlll be consldered. no oLher meLhod of elecLronlc proposal
submlsslon (e.g., faxed proposals) wlll be accepLed.

1he due date and t|me for the rece|pt of proposa|s |s 2 .M. LS1 on March 24, 2014.

8. roposa| ackage

1he emall Lo 1homas.SmlLh[ed.gov musL conLaln one (1) hase l proposal ln ul or WC8u
formaL.

1he documenL most be saved uslng Lhe followlng flle nomenclaLure:
Companyname.hasel.roposal1lLle.pdf" or
Companyname.hasel.roposal1lLle.doc(x)"

All compooeots of tbe electtoolc vetsloo of tbe ptoposol (ltoject lofotmotloo, ltoject Nottotlve,
oll AppeoJlces) most be locloJeJ os o sloqle flle.

ApproxlmaLely 1-week afLer Lhe proposal ls recelved, Lu personnel wlll send an emall Lo Lhe
lndlvldual llsLed as Lhe rlnclpal lnvesLlgaLor Lo provlde noLlflcaLlon LhaL Lhe proposal was
recelved.

C. Add|t|ona| Instruct|ons
Any proposal, modlflcaLlon, or revlslon recelved aL Lhe CovernmenL offlce deslgnaLed ln
Lhe sollclLaLlon afLer Lhe exacL Llme speclfled for recelpL of offers ls laLe" and wlll noL be
consldered unless lL ls recelved before award ls made, Lhe ConLracLlng Cfflcer
deLermlnes LhaL accepLlng Lhe laLe offer would noL unduly delay Lhe acqulslLlon, and
o lf lL was LransmlLLed Lhrough an elecLronlc commerce meLhod auLhorlzed by Lhe
sollclLaLlon, lL was recelved aL Lhe lnlLlal polnL of enLry Lo Lhe CovernmenL
lnfrasLrucLure noL laLer Lhan 3:00 .M. one worklng day prlor Lo Lhe daLe
speclfled for recelpL of proposals, or
o 1here ls accepLable evldence Lo esLabllsh LhaL lL was recelved aL Lhe CovernmenL
lnsLallaLlon deslgnaLed for recelpL of proposals and was under Lhe CovernmenL's
conLrol prlor Lo Lhe Llme seL for recelpL of proposals, or
o lL was Lhe only proposal recelved.
30

1he CovernmenL reserves Lhe rlghL Lo make amendmenLs Lo Lhe sollclLaLlon aL any Llme
durlng Lhe procuremenL process. Cfferors are requlred Lo comply wlLh any new provlslons
or oLher requlremenLs ln sollclLaLlon amendmenLs. Any amendmenL would be posLed aL
Lhe ledblzopps.gov posLlngs for Lhls sollclLaLlon.
roposals may be wlLhdrawn aL any Llme before award. WlLhdrawals are effecLlve upon
recelpL of noLlce by Lhe ConLracLlng Cfflcer.
1he CovernmenL lnLends Lo make Lhe awards wlLhouL holdlng dlscusslons wlLh Lhe
offerors. Powever, Lhe CovernmenL may hold dlscusslons lf lL deLermlnes LhaL Lhey are
necessary.
1he CovernmenL wlll conslder any offer submlLLed ln response Lo Lhls sollclLaLlon Lo be
good for 180 days from Lhe closlng daLe of Lhe sollclLaLlon, unless oLherwlse speclfled by
Lhe offeror. uebrlefs wlll be conducLed ln accordance wlLh lederal AcqulslLlon 8egulaLlon
13.3.

31

VII. SCILN1IIIC AND 1LCnNICAL INICkMA1ICN SCUkCLS
1he below lnLerneL resources may provlde useful lnformaLlon ln preparlng S8l8 proposals.

S8Ik rogram-ke|ated

Lu S8l8 rogram: hLLp://www.ed.gov/programs/sblr/lndex.hLml

lLS S8l8 rogram: hLLp://les.ed.gov/sblr/

Cfflclal u.S. CovernmenL Small 8uslness lnnovaLlon 8esearch rogram (S8l8) webslLe:
www.sblr.gov

Inst|tute of Lducat|on Sc|ences (ILS)

lLS Pome age: hLLp://les.ed.gov/

lLS lundlng CpporLunlLles: hLLp://les.ed.gov/fundlng/

naLlonal CenLer for LducaLlon 8esearch: hLLp://les.ed.gov/ncer/

naLlonal CenLer for Speclal LducaLlon: hLLp://les.ed.gov/ncser/

Genera|

u.S. ueparLmenL of LducaLlon: hLLp://www.ed.gov/

WhaL Works Clearlnghouse: hLLp://les.ed.gov/ncee/wwc/

lederal AcqulslLlon 8egulaLlon: hLLps://www.acqulslLlon.gov/

lederal 8uslness CpporLunlLles (led8lzCpps): hLLps://www.fbo.gov

32

VIII. hase I kCCSAL ACkAGL CnLCkLIS1

CnLCk:
! CLCSING DA1L: March 24, 2014 at 2 .M. Lastern 1|me

! Pave you prepared Lhe proposal accordlng Lo Lhe lnsLrucLlons seL forLh?

! uld you provlde your uunS no.?

! uoes SecLlon lll.l. ro[ecL narraLlve 1echnlcal ConLenL" conLaln no more Lhan 13
pages?

! Pave you lncluded all Lhe requlred componenLs of Lhe ro[ecL narraLlve - Cover
ages" secLlon? lncludlng Lhe followlng: key lnformaLlon, AbsLracLs, CerLlflcaLlons,
SLaLemenLs, and Legend?

! Pave you addressed each of Lhe componenLs of Lhe ro[ecL narraLlve - 1echnlcal
ConLenL secLlon? lncludlng Lhe followlng: Slgnlflcance, 1echnlcal Cb[ecLlves, Work
lan for hase l, ro[ecL ersonnel, and 8esources?

! uld your hase l Work lan descrlbe Lhe 8/8&u process ln whlch a proLoLype of
an educaLlon Lechnology producL wlll be developed and researched?

! Are lssues (and, lf appllcable, exempLlons) relaLlng Lo 8esearch AcLlvlLles lnvolvlng
Puman Sub[ecLs adequaLely addressed?

! Pave you submlLLed all appllcable Appendlces (lncludlng, aL a mlnlmum
Appendlces 8, C, L, l, and C.)?

! ln Appendlx u, have you provlded noLlflcaLlon of Slmllar or 8elaLed Award(s) or
roposal(s)" ln Lhe proposal narraLlve, lf appllcable?

! Pave you provlded noLlflcaLlon of uocumenLaLlon and SLaLus of hase ll Awards"
ln Appendlx u, lf appllcable?

! Pave you reglsLered wlLh SAM?

! Pave you submlLLed all requlred coples of documenLs ln Lhe emall as descrlbed ln
SecLlon vl. roposal SubmlLLal lnformaLlon?

33

Ik. 2014 kICkI1 AkLAS (2)

1he 2014 prlorlLy areas conslsL of elLher (1) 8/8&u of producLs used by sLudenLs or Leachers (or
oLher lnsLrucLlonal personnel) ln auLhenLlc educaLlon seLLlngs, or (2) 8/8&u of educaLlon
Lechnology producLs for use by lnfanLs, Loddlers, or sLudenLs wlLh or aL rlsk for dlsablllLles, or
Leachers (or oLher personnel, relaLed servlces provlders, or famlly members) ln auLhenLlc early
lnLervenLlon or speclal educaLlon seLLlngs (lncludlng general educaLlon classes wlLh sLudenLs
wlLh dlsablllLles - however chlldren wlLh dlsablllLles musL be Lhe focus of Lhe work).

roducLs musL fall ln one of Lhese Lwo prlorlLy areas (noL boLh):

kICkI1 AkLA 1:

Lducat|on 1echno|ogy roducts Used by Students or 1eachers (or other Instruct|ona|
ersonne|) |n Authent|c Lducat|on Sett|ngs

roducLs for sLudenL use musL be deslgned Lo lmprove sLudenL learnlng or promoLe relevanL
ouLcomes ln one of more of Lhe followlng Loplc areas:
" readlng or wrlLlng
" S1LM (sclence, Lechnology, englneerlng, maLh)
" compuLer sclence, codlng, web deslgn, dlglLal compeLency credenLlals allgned wlLh
lndusLry sLandards and professlonal cerLlflcaLlons
" Lechnlcal or vocaLlonal skllls Lo lncrease career readlness
" soclal sLudles, hlsLory, geography, clvlcs, or economlcs, forelgn languages, Lngllsh
language learnlng
" soclal skllls, aLLlLudes, and behavlors (e.g., moLlvaLlon, perseverance, declslon maklng
skllls, lnLerpersonal skllls, leadershlp skllls) LhaL supporL academlc and oLher relevanL
school-relaLed ouLcomes (e.g., aLLendance, hlgh school graduaLlon raLes, career
readlness, college preparaLlon), or
" general sLudy skllls.

lor more lnformaLlon on some of Lhe conLenL areas LhaL are speclfled ln Lhls sollclLaLlon
(lncludlng readlng, wrlLlng, maLh, sclence, or soclal and behavloral conLexLs for academlc
learnlng), vlew Lhe naLlonal CenLer for LducaLlon 8esearch fundlng opporLunlLles page by
cllcklng here.

roducLs for Leacher use (or oLher lnsLrucLlonal personnel) musL be lnLended elLher

(a) Lo faclllLaLe lnsLrucLlon (e.g., acLlvlLles for sLudenLs ln Lhe classroom) ln Lhe Loplc areas
descrlbed above.

ot

(b) Lo lmprove Lhe efflclency or accuracy wlLh whlch Leachers carry ouL Lhelr admlnlsLraLlve
responslblllLles (e.g., managlng Lhe classroom, gradlng homework, organlzlng
coursework, sLreamllnlng communlcaLlon wlLh sLudenLs).

34

Lxamples of pro[ecLs could lnclude:
lnLeracLlve blology slmulaLlons Lo lmprove sclence ouLcomes for sLudenLs.
An lnLelllgenL LuLor deslgned Lo Leach maLhemaLlcs concepLs and skllls, LhaL provldes
sLudenLs and Leachers wlLh real-Llme feedback on Lhelr performance and progress
Loward masLery.
A smarL phone app LhaL enables Leachers Lo lnpuL observaLlonal daLa or Lrack sLudenL
progress ln real-Llme.
A daLa dashboard Lo supporL Leachers ln undersLandlng and uslng daLa from an already
exlsLlng maLh game Lo lnform personallzed lnsLrucLlon Lo sLudenLs.
A Lool LhaL makes lL easler for Leachers Lo flnd, organlze, and use open educaLlonal
resources.

Spec|f|cat|ons

1ypes of roducts
roducLs may be ln Lhe followlng forms, buL are noL llmlLed Lo: web or moblle-based
producLs or games LhaL promoLe personallzed or lndlvlduallzed learnlng (e.g., lnLelllgenL
LuLors, formaLlve assessmenL Lools, adapLlve englnes LhaL scaffold learnlng), mulLl-medla
medla producLs (e.g., vldeos, slmulaLlons), web or moblle-based professlonal developmenL,
admlnlsLraLlve, and lnsLrucLlonal Lools, or producLs Lo supporL and lmprove Lhe efflclenL
and effecLlve lmplemenLaLlon of already exlsLlng Lechnology producLs wlLhln sLandard
lnsLrucLlonal pracLlce.
roducLs may be, buL are noL llmlLed Lo, producLs LhaL: replace exlsLlng currlcula or
lnsLrucLlon, supplemenL exlsLlng currlcula or lnsLrucLlon, or assess sLudenL performance Lo
lnform Lhelr learnlng Lra[ecLorles.

Age and grade |eve|
roducLs for sLudenLs or Leachers LhaL address Lhe Loplc areas above can be for any level
from preklndergarLen Lhrough Crade 16.
roducLs for sLudenLs or Leachers ln adulL educaLlon programs musL address baslc or
secondary readlng, wrlLlng, or maLhemaLlcs skllls.
roducLs may address Lhe needs of sLudenLs who are Lngllsh language learners pre-
klndergarLner Lhrough grade 16, or for Lngllsh language learners ln adulL educaLlon
programs for baslc or secondary readlng, wrlLlng, or maLhemaLlcs skllls.

roducts subm|tted under r|or|ty Area 1 through th|s so||c|tat|on may address the needs of
students |n genera| educat|on. roposals addresslng Lhe needs of lnfanLs, Loddlers, or sLudenLs
ln Lhe areas of speclal educaLlon should noL be submlLLed under rlorlLy Area 1, buL raLher
would be approprlaLe for submlsslon under rlorlLy Area 2.

lor a hase l pro[ecL, Lhe scope of Lhe proposed pro[ecL (ln Lerms of Llme needed Lo compleLe
Lhe 8/8&u work and resources needed Lo do so) musL be approprlaLe for Lhe ueparLmenL's S8l8
program. Lu recognlzes LhaL 8/8&u requlremenLs for some educaLlon Lechnology exceed Lhe
Llme and resources provlded by Lhe S8l8 program. ln such cases offerors should conslder oLher
avenues for fundlng.

35

lor more lnformaLlon on Lhe speclflc lnLeresLs of Lhe lnsLlLuLe of LducaLlon Sclences (lLS) ln Lhe
u.S. ueparLmenL of LducaLlon, or for oLher fundlng opporLunlLles for educaLlon Lechnology
developmenL and evaluaLlon, offerors are sLrongly encouraged Lo consulL Lhe lLS fundlng
opporLunlLy webpage for lnformaLlon on research granL compeLlLlons. lor addlLlonal
lnformaLlon on Lhe Lypes of pro[ecLs Lhe lnsLlLuLe has funded Lhrough lLs research granL
compeLlLlons, please see descrlpLlons of pro[ecLs funded Lhrough Lhe naLlonal CenLer for
LducaLlon 8esearch (nCL8) by cllcklng here.

kICkI1 AkLA 2:
Lducat|on 1echno|ogy roducts Used by Infants, 1odd|ers, or Students W|th or At k|sk for
D|sab|||t|es, or 1eachers (or other Instruct|ona| ersonne|, ke|ated Serv|ces rov|ders, or
Iam||y Members) |n Lar|y Intervent|on or Spec|a| Lducat|on Sett|ngs.

roducLs for use by or wlLh lnfanLs, Loddlers, or sLudenLs wlLh or aL rlsk for dlsablllLles ln early
lnLervenLlon or speclal educaLlon programs (lncludlng general educaLlon classes wlLh sLudenLs
wlLh dlsablllLles) musL be deslgned Lo lmprove ouLcomes ln one of more of Lhe followlng areas:
" cognlLlve, funcLlonal and adapLlve skllls, physlcal skllls, school readlness, readlng,
wrlLlng, communlcaLlon and language
" readlng, wrlLlng
" S1LM (sclence, Lechnology, englneerlng, or maLh)
" compuLer sclence, codlng, web deslgn, oLher dlglLal compeLency skllls allgned wlLh
lndusLry sLandards and professlonal cerLlflcaLlons
" Lechnlcal or vocaLlonal skllls Lo lncrease career readlness
" soclal sLudles, hlsLory, geography, clvlcs, economlcs, forelgn language, Lngllsh language
learnlng
" soclal skllls, aLLlLudes, and behavlors (e.g., moLlvaLlon, perseverance, declslon maklng
skllls, lnLerpersonal skllls, leadershlp skllls) LhaL supporL academlc and oLher relevanL
school-relaLed ouLcomes (e.g., aLLendance, hlgh school graduaLlon raLes),
" LranslLlon ouLcomes for secondary sLudenLs wlLh dlsablllLles,
" general sLudy skllls.

roducLs for use by Leachers or oLher servlce dellvery provlders (e.g., early lnLervenLlonlsLs,
guldance counselors, speech/language paLhologlsLs, school psychologlsLs, or parenLs) ln early
lnLervenLlon or speclal educaLlon programs musL lnLended elLher:

(a) Lo faclllLaLe lnsLrucLlon (e.g., acLlvlLles for sLudenLs ln Lhe classroom) ln Lhe Loplc areas
descrlbed above.

ot

(b) Lo lmprove Lhe efflclency or accuracy wlLh whlch Leachers or oLher servlce provlders
carry ouL Lhelr admlnlsLraLlve responslblllLles (e.g., recordlng and LransmlLLlng
lnformaLlon Lo a cenLral daLabase, monlLorlng progress on lndlvlduallzed LducaLlon
rogram (lL) goals).

36

lor more lnformaLlon on some of Lhe conLenL areas LhaL are speclfled ln Lhls sollclLaLlon
(lncludlng readlng, wrlLlng, maLh, sclence, or soclal and behavloral conLexLs for academlc
learnlng), vlew Lhe naLlonal CenLer for Speclal LducaLlon 8esearch fundlng opporLunlLles page
by cllcklng here.

Lxamples of producLs could lnclude:
A compuLer-based lnsLrucLlonal program for blology LhaL ls palred wlLh a hapLlc
hardware devlce Lo lmprove sclence ouLcomes for sLudenLs wlLh vlsual lmpalrmenLs.
An lnLelllgenL LuLor deslgned Lo Leach baslc maLhemaLlcs concepLs for sLudenLs wlLh
learnlng dlsablllLles and provlde parenLs and Leachers wlLh real Llme progress reporLs.
An lnLeracLlve Lechnology LhaL ls lnLended Lo help young chlldren wlLh auLlsm learn Lo
read faclal expresslons.
A personal compuLlng devlce or handheld devlce Lo help early lnLervenLlon servlce
provlders record lmprovemenLs ln developmenLal skllls of Loddlers wlLh developmenLal
dlsablllLles and presenL daLa ln a way LhaL can be easlly undersLood by parenLs.
An lnLeracLlve Lool LhaL maps early physlcal, cognlLlve and soclal-emoLlonal
developmenLal progresslons and lnLegraLes lnpuLs from varlous sources (e.g. varlous
moblle apps, gamlng plaLforms) Lo enable parenLs and sLudenLs Lo Lrack sLudenL
progress.

Spec|f|cat|ons

1ypes of roducts
roducLs may creaLe or adapL exlsLlng Lechnologles speclflcally Lo enhance ouLcomes for or
enable access by lnfanLs, Loddlers, or sLudenLs wlLh dlsablllLles.
roducLs may be, buL are noL llmlLed Lo, producLs LhaL: provlde lnsLrucLlon or lnLervenLlon,
replace exlsLlng currlcula, supplemenL exlsLlng currlcula, or assess sLudenL learnlng Lo
lnform lnsLrucLlon.
roducLs may be ln Lhe followlng forms, buL are noL llmlLed Lo: web or moblle-based
producLs or games LhaL promoLe personallzed or lndlvlduallzed learnlng (e.g., lnLelllgenL
LuLors, formaLlve assessmenL Lools, adapLlve englnes LhaL scaffold learnlng), mulLl-medla
medla producLs (e.g., vldeos, slmulaLlons), web or moblle-based professlonal developmenL,
admlnlsLraLlve, and lnsLrucLlonal Lools, or producLs Lo supporL and lmprove Lhe efflclenL
and effecLlve lmplemenLaLlon of already exlsLlng Lechnology producLs wlLhln sLandard
lnsLrucLlonal pracLlce.

Def|n|t|ons
rlorlLy Area 2 ls resLrlcLed Lo 8/8&u for lnfanLs, Loddlers, or sLudenLs wlLh dlsablllLles or
aL rlsk for dlsablllLles. lor Lhe purpose of 1he ueparLmenL's 8/8&u programs, a sLudenL
wlLh a dlsablllLy ls deflned ln ubllc Law 108-446, Lhe lndlvlduals wlLh ulsablllLles
LducaLlon lmprovemenL AcL of 2004 (luLA), as a chlld - "(l) wlLh menLal reLardaLlon,
hearlng lmpalrmenLs (lncludlng deafness), speech or language lmpalrmenLs, vlsual
lmpalrmenLs (lncludlng bllndness), serlous emoLlonal dlsLurbance (referred Lo ln Lhls
LlLle as 'emoLlonal dlsLurbance'), orLhopedlc lmpalrmenLs, auLlsm, LraumaLlc braln ln[ury,
oLher healLh lmpalrmenLs, or speclflc learnlng dlsablllLles, and (ll) who, by reason
Lhereof, needs speclal educaLlon and relaLed servlces" (arL A, Sec. 602).
37

An lnfanL or Loddler wlLh a dlsablllLy ls deflned ln luLA as, - "an lndlvldual under 3
years of age who needs early lnLervenLlon servlces because Lhe lndlvldual (l) ls
experlenclng developmenLal delays, as measured by approprlaLe dlagnosLlc lnsLrumenLs
and procedures ln 1 or more of Lhe areas of cognlLlve developmenL, physlcal
developmenL, communlcaLlon developmenL, soclal or emoLlonal developmenL, and
adapLlve developmenL, or (ll) has a dlagnosed physlcal or menLal condlLlon LhaL has a
hlgh probablllLy of resulLlng ln developmenLal delay" (arL C, Sec. 632).

roduct Usage
roducLs musL be for use ln schools, alLernaLlve school seLLlngs, early lnLervenLlon or
early chlldhood speclal educaLlon seLLlngs, or supplemenLal educaLlon servlces as
deflned ln SecLlon 1116(e) of Lhe LlemenLary and Secondary LducaLlon AcL of 1963, as
amended by Lhe no Chlld LefL 8ehlnd AcL of 2001.
roducLs Lo be used wlLh lnfanLs and Loddlers recelvlng early lnLervenLlon servlces may
be lmplemenLed ln oLher naLural seLLlngs (e.g., home-based, chlld care seLLlngs, famlly-
focused lnLervenLlons). roducLs for preklndergarLen Lhrough Crade 12 sLudenLs musL
be lmplemenLed as school-based alone or as school-based wlLh a home or communlLy
componenL.

Age and grade |eve|
roducLs for use by or wlLh lndlvlduals wlLh dlsablllLles or aL rlsk for dlsablllLles musL be
for lndlvlduals from lnfancy Lhrough Crade 12.
roducLs for use by Leachers, lnLervenLlon dellvery provlders ln early lnLervenLlon or
speclal educaLlon programs, or parenLs or famlly members, musL be for servlng
lndlvlduals wlLh or aL rlsk for dlsablllLles from lnfancy Lhrough Crade 12.

Measures and Cutcomes
All appllcanLs musL lnclude measures of chlld or sLudenL ouLcomes. 8y chlld or sLudenL
ouLcomes, Lhe ueparLmenL means Lhose measures of developmenL, learnlng, and
achlevemenL LhaL are lmporLanL Lo parenLs, Leachers, and school admlnlsLraLors (e.g.,
school readlness for young chlldren, grades, achlevemenL LesL scores, percenLage of
Llme spenL ln Lhe general educaLlon envlronmenL).
1ranslLlon ouLcomes for mlddle or hlgh school sLudenLs lnclude Lhe behavloral, soclal,
communlcaLlve, funcLlonal, occupaLlonal, and academlc skllls LhaL enable young adulLs
wlLh dlsablllLles Lo obLaln and hold meanlngful employmenL, llve lndependenLly, and
obLaln furLher Lralnlng and educaLlon (e.g., posLsecondary educaLlon, vocaLlonal
educaLlon programs).

Cther spec|f|cat|ons
roducLs may address Lhe needs of sLudenLs wlLh dlsablllLles who are also Lngllsh
language learners (excludlng games for Lngllsh learners).
1he ueparLmenL encourages research on hlgh-lncldence (e.g., speclflc learnlng dlsablllLy)
and low-lncldence dlsablllLles (e.g., vlsual lmpalrmenLs).
Cfferors proposlng Lo sLudy chlldren aL rlsk for dlsablllLles should presenL research-
based evldence of an assoclaLlon beLween rlsk facLors ln Lhelr proposed sample and Lhe
poLenLlal ldenLlflcaLlon of dlsablllLles. 1he deLermlnaLlon of aL-rlsk sLaLus musL be made
on an lndlvldual chlld basls and may lnclude, for example, facLors used for movlng
38

chlldren Lo hlgher Llers ln a 8esponse Lo lnLervenLlon model. 1he meLhod Lo be used for
deLermlnlng aL-rlsk sLaLus should be made expllclL ln proposals and should be compleLed
as parL of Lhe sample selecLlon process. Lvldence conslsLlng only of general populaLlon
characLerlsLlcs (e.g., labellng all chlldren ln a school or dlsLrlcL as aL rlsk for dlsablllLles"
because of communlLy socloeconomlc characLerlsLlcs) ls not sufflclenL for Lhls purpose.

lor a hase l pro[ecL, Lhe scope of Lhe proposed pro[ecL (ln Lerms of Llme needed Lo compleLe
Lhe 8/8&u work and resources needed Lo do so) musL be approprlaLe for Lhe ueparLmenL's S8l8
program. Lu recognlzes LhaL 8/8&u requlremenLs for some educaLlon Lechnology exceed Lhe
Llme and resources provlded by Lhe S8l8 program. ln such cases offerors should conslder oLher
avenues for fundlng.

lor more lnformaLlon on Lhe speclflc lnLeresLs of Lhe lnsLlLuLe of LducaLlon Sclences (lLS) ln Lhe
u.S. ueparLmenL of LducaLlon, or for oLher fundlng opporLunlLles for educaLlon Lechnology
developmenL and evaluaLlon, offerors are sLrongly encouraged Lo consulL Lhe (lLS) fundlng
opporLunlLy webpage for lnformaLlon on research granL compeLlLlons. lor addlLlonal
lnformaLlon on Lhe Lypes of pro[ecLs Lhe lnsLlLuLe has funded Lhrough lLs research granL
compeLlLlons, please see descrlpLlons of pro[ecLs funded Lhrough Lhe naLlonal CenLer for Speclal
LducaLlon 8esearch by cllcklng here.

39

k. ALNDICLS 1C 1nL nASL I kCCSAL

Append|x A: Documentat|on and Status of hase II Awards s|nce 200S

lf Lhe small buslness concern or Lhe prlnclpal lnvesLlgaLor (when aL Lhe small buslness concern or
prevlously aL a dlfferenL flrm) has recelved An? prlor lasL-1rack or hase ll awards from any
lederal agency slnce 2003, Lhe below lnformaLlon musL be provlded ln Appendlx A for each
award.

noLes: ueLalls musL be provlded for each award wlLhln Lhe formaLLed 1able below. Cfferors may
expand Lhe secLlons of Lhe 1able as much ls needed. roposals LhaL do noL lnclude Lhe
lnformaLlon ln Lhls formaL wlll be re[ecLed wlLhouL revlew.

ro[ect Informat|on:
name of Lhe awardlng agency
and offlce:

uaLes of award (sLarL and
flnlsh):

ConLracL/granL number:

WebslLe llnk Lo Lhe pro[ecL
absLracL:

1oLal Award AmounL (hase l
and ll comblned):

1lLle of Lhe pro[ecL:

A shorL descrlpLlon of Lhe
producL LhaL was developed as
a resulL of Lhe award:

lf lL ls an onllne sofLware
producL, provlde a llnk Lo Lhe
producL (and logln
lnformaLlon) so LhaL a
revlewer can access Lhe
producL.

Commerc|a||zat|on h|story and current status of the product, |nc|ud|ng:
ueLall any follow-on fundlng
agreemenLs or ouLslde
lnvesLmenLs for
commerclallzaLlon:

ueLall Lhe commerclallzaLlon
paLhways Lhrough whlch Lhe
producL ls made avallable for

40

purchase (e.g., posLed on
webslLe or LMS plaLform,
llcenslng agreemenLs wlLh a
dlssemlnaLlon parLner,
conLracLs wlLh sLaLes, dlsLrlcLs,
or schools):

ueLall Lhe LoLal revenue
generaLed from Lhe sale of Lhe
producL:

ueLall Lhe number of pasL and
currenL users of Lhe producL,
lncludlng schools, Leachers,
and sLudenLs:

Cther ke|evant Informat|on:
LlsL lndusLry awards won by
Lhe producL:

LlsL peer-revlewed [ournal
publlcaLlons resulLlng from Lhe
8/8&u of Lhe producL.
(rovlde a webslLe llnk Lo
Lhese publlcaLlons as well.)

ueLall any research LhaL has
been conducLed Lo evaluaLe
Lhe efflcacy or effecLlveness of
Lhe producL aL scale (lncludlng
Lhe fundlng source of Lhls
research).

1hls proposal lnformaLlon |s not counLed Loward Lhe 13-page llmlL of Lhe pro[ecL narraLlve.

41

Append|x 8: Letter of Agreement to art|c|pate |n the hase I k]k&D
ln Appendlx 8, offerors should provlde one leLLer of agreemenL from an auLhenLlc educaLlon
seLLlng or an auLhenLlc early lnLervenLlon or speclal educaLlon seLLlng Lo parLlclpaLe ln Lhe hase
l research. 1he leLLer musL noL exceed one (1) page ln lengLh.

42

Append|x C: 8|ograph|ca| Summary Cert|f|cat|on and ksum ages

lor each lndlvldual who ls llsLed and whose blographlcal summary ls lncluded ln Lhe 13-page
narraLlve of Lhe proposal, Lwo separaLe pages musL appear ln Appendlx C wlLh Lhe followlng
lnformaLlon: (1) a cerLlflcaLlon page, and (2) a 1-page resume.

(1) Cert|f|cat|ons (1-page)
Lach lndlvldual on Lhe pro[ecL Leam musL cerLlfy Lhe followlng sLaLemenL by provldlng Lhe
lnformaLlon below:

"l beteby cettlfy tbot tbls lofotmotloo ls occotote to tbe best of koowleJqe ooJ bellef."

lndlvldual's name (1?Lu):

WrlLLen slgnaLure: ___________________________

uaLe:

Lach employee of Lhe offeror wlLh Lhe auLhorlLy Lo blnd Lhe offeror musL cerLlfy Lhe followlng
sLaLemenL by provldlng Lhe lnformaLlon below:

"l beteby cettlfy tbot (llll lN 1n cOMlAN NAM) bos vetlfleJ tbe foteqoloq
lofotmotloo tbot ls occotote to tbe best of oot koowleJqe ooJ bellef."

lndlvldual's name (1?Lu):

lndlvldual's 1lLle (1?Lu):

WrlLLen slgnaLure: ___________________________

uaLe:

(2) ksum (1-page max|mum)
Lach key lndlvldual on Lhe pro[ecL Leam musL lnclude a resume (1-page maxlmum) ln Appendlx
C.

1he resume should lnclude relevanL educaLlonal quallflcaLlons, experlence, and blbllographlc
lnformaLlon lncludlng perLlnenL peer-revlewed publlcaLlons.

Note: 1he 8esume of Lhe rlnclpal lnvesLlgaLor musL also lnclude a llsL of all oLher commlLmenLs
durlng Lhe proposed perlod of performance.


43

Append|x D: S|m||ar or C|ose|y ke|ated Awards or roposa|s

lf Lhe small buslness concern has recelved An? prlor award(s) from Lu, or any oLher lederal agency
fot slmllot ot closely teloteJ teseotcb, Lhe offeror musL provlde Lhe name of Lhe awardlng agency,
Lhe daLe of award, Lhe fundlng agreemenL number, Lhe amounL, and Lhe pro[ecL LlLle. As well, Lhe
offeror musL descrlbe Lhe Lechnlcal dlfferences and reasons why Lhe proposed new hase l (and
evenLually hase ll) research ls dlfferenL from Lhe research conducLed under prlor awards. 1hls
lnformaLlon shall be lncluded ln Appendlx u.

lf an offeror has submlLLed ldenLlcal proposals conLalnlng a slgnlflcanL amounL of essenLlally
equlvalenL work, a sLaLemenL musL be lncluded ln Appendlx u lndlcaLlng: Lhe name and address of
agencles Lo whlch proposal(s) was/were submlLLed, Lhe daLe of Lhe proposal submlsslon and daLe
of award, Lhe LlLle, number and daLe of S8l8 program sollclLaLlon under whlch proposal was/were
submlLLed, Lhe appllcable research prlorlLy ln Lhe program sollclLaLlon for each S8l8 proposal
submlLLed or award recelved, Lhe LlLles of research pro[ecLs, Lhe name and LlLle of Lhe prlnclpal
lnvesLlgaLor for each proposal submlLLed.


44

Append|x L: 8udget
ln Appendlx L, offerors shall provlde a narraLlve budgeL [usLlflcaLlon and a budgeL spreadsheeL for
Lhe hase l perlod.

lor Lhe narraLlve budgeL [usLlflcaLlon, Lhe offeror should provlde a [usLlflcaLlon for all cosLs
assoclaLed wlLh Lhe proposed pro[ecL and descrlbe why Lhe cosLs are wlLhln Lhe scope of Lhe
proposed acLlvlLles.

lor Lhe budgeL spreadsheeL:
lnformaLlon should be dlsplayed ln a spreadsheeL (SAMLL 8uuCL1 ls below),
all personnel should be llsLed by name,
Lhe number of hours asslgned Lo Lhe pro[ecL for personnel should be lncluded,
hourly raLes for personnel should be lncluded,
labor cosLs per person should be lncluded,
funds for Lravel musL be [usLlfled and relaLed Lo Lhe needs of Lhe pro[ecL, and
cosL sharlng should noL be lncluded.

1he hase l 8udgeL musL noL exceed $130,000 for a 6-monLh pro[ecL, lncludlng subconLracLs,
lndlrecL cosLs, and fees buL excludlng any proposed cosL sharlng.

1he S8A has sLaLed LhaL S8l8 fundlng agencles are Lo provlde for a reasonable fee or proflL on S8l8
conLracLs lncludlng granLs, conslsLenL wlLh normal proflL marglns provlded Lo proflL-maklng flrms
for 8/8&u work (S8l8 ollcy ulrecLlve").

45

nASL I 8UDGL1 INICkMA1ICN
(MAkIMUM CI 51S0,000 ICk 6-MCN1nS)
8udget Narrat|ve Iust|f|cat|on for hase I (||m|t 1-page for the narrat|ve):

Spreadsheet for hase I (use the temp|ate be|ow):

rlce CaLegory PCu8S

8A1L

1C1AL
Labor
name & 1lLle

x $

$
name & 1lLle

x $

$
name & 1lLle

x $

$
name & 1lLle

x $

$
name & 1lLle

x $

$

Labor Cverhead

8aLe

$
lrlnge 8eneflLs

$
1oLal ulrecL
CosL

$
CLher ulrecL CosLs
1ravel

$
Copy/prlnL/message

$
ConsulLanL

$
SubconLracLors(oo
mote tboo JJX of tbe
totol lbose l ptlce)

$
1oLal CuCs

$
1oLal ulrecL CosLs

$

C&A

8aLe

$
1oLal CosL

$

roflL

8aLe

$

1C1AL 8lCL

$
46

Append|x I: numan Sub[ects

34S2.224-71 Not|ce About kesearch Act|v|t|es Invo|v|ng numan Sub[ects (MA 2011)
(a) Appllcoble keqolotloos. ln accordance wlLh ueparLmenL of LducaLlon regulaLlons on
Lhe proLecLlon of human sub[ecLs, LlLle 34, Code of lederal 8egulaLlons, parL 97 (''Lhe
regulaLlons''), Lhe conLracLor, any subconLracLors, and any oLher enLlLles engaged ln covered
(nonexempL) research acLlvlLles are requlred Lo esLabllsh and malnLaln procedures for Lhe
proLecLlon of human sub[ecLs.

(b) uefloltloos.
(1) 1he regulaLlons deflne research as ''a sysLemaLlc lnvesLlgaLlon, lncludlng research
developmenL, LesLlng and evaluaLlon, deslgned Lo develop or conLrlbuLe Lo generallzable
knowledge.'' (34 Cl8 97.102(d)). lf an acLlvlLy follows a dellberaLe plan deslgned Lo develop or
conLrlbuLe Lo generallzable knowledge, lL ls research. 8esearch lncludes acLlvlLles LhaL meeL Lhls
deflnlLlon, wheLher or noL Lhey are conducLed under a program consldered research for oLher
purposes. lor example, some demonsLraLlon and servlce programs may lnclude research
acLlvlLles.

(2) 1he regulaLlons deflne a human sub[ecL as a llvlng lndlvldual abouL whom an
lnvesLlgaLor (wheLher professlonal or sLudenL) conducLlng research obLalns daLa Lhrough
lnLervenLlon or lnLeracLlon wlLh Lhe lndlvldual, or obLalns ldenLlflable prlvaLe lnformaLlon. (34
Cl8 97.102(f)). 1he deflnlLlon of a human sub[ecL ls meL lf an acLlvlLy lnvolves obLalnlng-

(l) lnformaLlon abouL a llvlng person by-
(A) ManlpulaLlng LhaL person's envlronmenL, as mlghL occur when a new lnsLrucLlonal Lechnlque
ls LesLed, or
(8) CommunlcaLlng or lnLeracLlng wlLh Lhe lndlvldual, as occurs wlLh surveys and lnLervlews, or

(ll) rlvaLe lnformaLlon abouL a llvlng person ln such a way LhaL Lhe lnformaLlon can be llnked Lo
LhaL lndlvldual (Lhe ldenLlLy of Lhe sub[ecL ls or may be readlly deLermlned by Lhe lnvesLlgaLor or
assoclaLed wlLh Lhe lnformaLlon). rlvaLe lnformaLlon lncludes lnformaLlon abouL behavlor LhaL
occurs ln a conLexL ln whlch an lndlvldual can reasonably expecL LhaL no observaLlon or
recordlng ls Laklng place, and lnformaLlon LhaL has been provlded for speclflc purposes by an
lndlvldual and LhaL an lndlvldual can reasonably expecL wlll noL be made publlc (for example, a
school healLh record).

(c) xemptloos. 1he regulaLlons provlde exempLlons from coverage for acLlvlLles ln whlch Lhe
only lnvolvemenL of human sub[ecLs wlll be ln one or more of Lhe caLegorles seL forLh ln 34 Cl8
97.101(b)(1)-(6). Powever, lf Lhe research sub[ecLs are chlldren, Lhe exempLlon aL 34 Cl8
97.101(b)(2) (l.e., research lnvolvlng Lhe use of educaLlonal LesLs, survey procedures,
lnLervlew procedures or observaLlon of publlc behavlor) ls modlfled by 34 Cl8 97.401(b), as
explalned ln paragraph (d) of Lhls provlslon. 8esearch sLudles LhaL are conducLed under a
lederal sLaLuLe LhaL requlres wlLhouL excepLlon LhaL Lhe confldenLlallLy of Lhe personally
ldenLlflable lnformaLlon wlll be malnLalned LhroughouL Lhe research and LhereafLer, e.g., Lhe
lnsLlLuLe of LducaLlon
Sclences confldenLlallLy sLaLuLe, 20 u.S.C. 9373, are exempL under 34 Cl8 97.101(b)(3)(ll).

47

(d) cbllJteo os teseotcb sobjects.
aragraph (a) of 34 Cl8 97.402 of Lhe regulaLlons deflnes chlldren as ''persons who have noL
aLLalned Lhe legal age for consenL Lo LreaLmenLs or procedures lnvolved ln Lhe research, under
Lhe appllcable law of Lhe [urlsdlcLlon ln whlch Lhe research wlll be conducLed.'' aragraph (b) of
34 Cl8 97.401 of Lhe regulaLlons provldes LhaL, lf Lhe research lnvolves chlldren as sub[ecLs-

(1) 1he exempLlon ln 34 Cl8 97.101(b)(2) does noL apply Lo acLlvlLles lnvolvlng-

(l) Survey or lnLervlew procedures lnvolvlng chlldren as sub[ecLs, or
(ll) CbservaLlons of publlc behavlor of chlldren ln whlch Lhe lnvesLlgaLor or lnvesLlgaLors wlll
parLlclpaLe ln Lhe acLlvlLles belng observed.

(2) 1he exempLlon ln 34 Cl8 97.101(b)(2) conLlnues Lo apply, unmodlfled by 34 Cl8 97.401(b),
Lo-
(l) LducaLlonal LesLs, and
(ll) CbservaLlons of publlc behavlor ln whlch Lhe lnvesLlgaLor or lnvesLlgaLors wlll noL parLlclpaLe
ln Lhe acLlvlLles belng observed.

(e) roposal lnsLrucLlons. An offeror proposlng Lo do research LhaL lnvolves human sub[ecLs
musL provlde lnformaLlon Lo Lhe ueparLmenL on Lhe proposed exempL and nonexempL research
acLlvlLles. 1he offeror should submlL Lhls lnformaLlon as an aLLachmenL Lo lLs Lechnlcal proposal.
no speclflc page llmlLaLlon applles Lo Lhls requlremenL, buL Lhe offeror should be brlef and Lo
Lhe polnL.

(1) lor exempL research acLlvlLles lnvolvlng human sub[ecLs, Lhe offeror should ldenLlfy Lhe
exempLlon(s) LhaL applles and provlde sufflclenL lnformaLlon Lo allow Lhe ueparLmenL Lo
deLermlne LhaL Lhe deslgnaLed exempLlon(s) ls approprlaLe. normally, Lhe narraLlve on Lhe
exempLlon(s) can be provlded ln one paragraph.

(2) lor nonexempL research acLlvlLles lnvolvlng human sub[ecLs, Lhe offeror musL cover Lhe
followlng seven polnLs ln Lhe lnformaLlon lL provldes Lo Lhe ueparLmenL:

(l) nomoo sobjects lovolvemeot ooJ cbotoctetlstlcs: uescrlbe Lhe characLerlsLlcs of Lhe sub[ecL
populaLlon, lncludlng Lhelr anLlclpaLed number, age range, and healLh sLaLus. ldenLlfy Lhe
crlLerla for lncluslon or excluslon of any subpopulaLlon. Lxplaln Lhe raLlonale for Lhe lnvolvemenL
of speclal classes of sub[ecLs, such as chlldren, chlldren wlLh dlsablllLles, adulLs wlLh dlsablllLles,
persons wlLh menLal dlsablllLles, pregnanL women, lnsLlLuLlonallzed lndlvlduals, or oLhers who
are llkely Lo be vulnerable.

(ll) 5ootces of motetlols: ldenLlfy Lhe sources of research maLerlal obLalned from or abouL
lndlvldually ldenLlflable llvlng human sub[ecLs ln Lhe form of speclmens, records, or daLa.

(lll) kectoltmeot ooJ lofotmeJ cooseot: uescrlbe plans for Lhe recrulLmenL of sub[ecLs and Lhe
consenL procedures Lo be followed.

(lv) loteotlol tlsks: uescrlbe poLenLlal rlsks (physlcal, psychologlcal, soclal, flnanclal, legal, or
oLher) and assess Lhelr llkellhood and serlousness. Where approprlaLe, dlscuss alLernaLlve
LreaLmenLs and procedures LhaL mlghL be advanLageous Lo Lhe sub[ecLs.
48

(v) ltotectloo oqolost tlsk: uescrlbe Lhe procedures for proLecLlng agalnsL or mlnlmlzlng
poLenLlal rlsks, lncludlng rlsks Lo confldenLlallLy, and assess Lhelr llkely effecLlveness. Where
approprlaLe, dlscuss provlslons for ensurlng necessary medlcal or professlonal lnLervenLlon ln
Lhe evenL of adverse effecLs Lo Lhe sub[ecLs. Also, where approprlaLe, descrlbe Lhe provlslons for
monlLorlng Lhe daLa collecLed Lo ensure Lhe safeLy of Lhe sub[ecLs.

(vl) lmpottooce of koowleJqe to be qoloeJ: ulscuss why Lhe rlsks Lo Lhe sub[ecLs are reasonable
ln relaLlon Lo Lhe lmporLance of Lhe knowledge LhaL may reasonably be expecLed Lo resulL.

(vll) collobototloq sltes: lf research lnvolvlng human sub[ecLs wlll Lake place aL collaboraLlng
slLe(s), name Lhe slLes and brlefly descrlbe Lhelr lnvolvemenL or role ln Lhe research. normally,
Lhe seven-polnL narraLlve can be provlded ln Lwo pages or less.

(3) lf a reasonable poLenLlal exlsLs LhaL a need Lo conducL research lnvolvlng human sub[ecLs
may be ldenLlfled afLer award of Lhe conLracL and Lhe offeror's proposal conLalns no deflnlLe
plans for such research, Lhe offeror should brlefly descrlbe Lhe clrcumsLances and naLure of Lhe
poLenLlal research lnvolvlng human sub[ecLs.

(f) Assotooces ooJ cettlflcotloos.

(1) ln accordance wlLh Lhe regulaLlons and Lhe Lerms of Lhls provlslon, all conLracLors and
subconLracLors LhaL wlll be engaged ln covered human sub[ecLs research acLlvlLles shall be
requlred Lo comply wlLh Lhe requlremenLs for Assurances and lnsLlLuLlonal 8evlew 8oard
approvals, as seL forLh ln Lhe conLracL clause 3432.224-72 (8esearch acLlvlLles lnvolvlng human
sub[ecLs).

(2) 1he conLracLlng offlcer reserves Lhe rlghL Lo requlre LhaL Lhe offeror have or apply for Lhe
assurance and provlde documenLaLlon of lnsLlLuLlonal 8evlew 8oard (l88) approval of Lhe
research prlor Lo award.

(g)(1) 1he regulaLlons, and relaLed lnformaLlon on Lhe proLecLlon of human research sub[ecLs,
can be found on Lhe ueparLmenL's proLecLlon of human sub[ecLs ln research Web slLe:
hLLp://ed.gov/abouL/offlces/llsL/ocfo/humansub.hLml.

(2) Cfferors may also conLacL Lhe followlng offlce Lo obLaln lnformaLlon abouL Lhe regulaLlons
for Lhe proLecLlon of human sub[ecLs and relaLed pollcles and guldellnes:

roLecLlon of Puman Sub[ecLs CoordlnaLor,
u.S. ueparLmenL of LducaLlon,
Cfflce of Lhe Chlef llnanclal Cfflcer,
llnanclal ManagemenL CperaLlons,
400 Maryland Avenue, SW., WashlngLon, uC 20202-4331,
1elephone: (202) 243 8090.

(Lnd of rovlslon)

49

CllL8C8S uC nC1 nLLu An ASSu8AnCL C8 l88 A8CvAL AS A CCnul1lCn Cl CllL8lnC lC8
1PlS CCn18AC1.

AddlLlonally, conLracLors musL comply wlLh Lhe lamlly LducaLlonal 8lghLs and rlvacy AcL
(lL8A), 20 u.S.C. 1232g, 34 Cl8 arL 99. lL8A ls a law LhaL proLecLs Lhe prlvacy of sLudenLs'
educaLlon records. under lL8A an educaLlonal agency or lnsLlLuLlon may noL have a pollcy or
pracLlce of dlscloslng educaLlon records, or personally ldenLlflable lnformaLlon from educaLlon
records, wlLhouL Lhe prlor wrlLLen consenL of Lhe parenLs of sLudenLs who are or who have been
ln aLLendance, unless Lhe dlsclosure meeLs one of Lhe excepLlons noLed ln Lhe law. (Cnce a
sLudenL reaches 18 years of age or aLLends a posLsecondary lnsLlLuLlon, wrlLLen consenL musL be
obLalned from Lhe sLudenL.)

lor addlLlonal lnformaLlon or Lechnlcal asslsLance, you may call (202) 260-3887 (volce).
lndlvlduals who use 1uu may call Lhe lederal lnformaLlon 8elay Servlce aL 1-800-877-8339. Cr
you may conLacL us aL Lhe followlng address:

lamlly ollcy Compllance Cfflce -- u.S. ueparLmenL of LducaLlon
400 Maryland Avenue, SW -- WashlngLon, u.C. 20202-3920

lnformaLlon ls also avallable on Lhe Lu webslLe aL:
hLLp://www.ed.gov/pollcy/gen/guld/fpco/lndex.hLml


50

Append|x G: Department of Lducat|on kequ|red Informat|on (Iorms)

ln addlLlon Lo reglsLerlng ln SAM, offerors musL compleLe Lhe cerLlflcaLlons conLalned ln
Appendlces l and C. Cfferors wlLhouL compleLed cerLlflcaLlons ln Appendlces l and C wlll noL be
ellglble for an award.

G.1 310-1 kLkLSLN1A1ICN AU1nCkI1 (IANUAk 200S)
8ased on a lA8 change, speclflcally ln reference Lo lA8 clauses 32.204-8, Annual
8epresenLaLlons and CerLlflcaLlons, and 32.212-3, Cfferor 8epresenLaLlons and CerLlflcaLlons -
Commerclal lLems, vendors are requlred Lo provlde Cnllne 8epresenLaLlons and CerLlflcaLlons
now avallable aL SAM (hLLps://sam.gov), as requlred by Lhe lederal AcqulslLlon 8egulaLlons
(lA8). vendors should go Lo hLLps://sam.gov Lo compleLe Lhe requlremenLs of Lhe sollclLaLlon.
Powever, all lA8 and Lu clauses nC1 llsLed ln SAM's Cnllne 8epresenLaLlon and CerLlflcaLlons
should sLlll be compleLed. 1he offeror makes Lhe followlng 8epresenLaLlons and CerLlflcaLlons as
parL of lLs proposal (check or compleLe all approprlaLe boxes or blanks on Lhe followlng pages).
_________________________________ ____________________
(name of Cfferor) (8l no.)
_________________________________ ____________________
(SlgnaLure of (uaLe)
AuLhorlzed lndlvldual)

____________________________________________________________________
(1?Lu nAML Cl Au1PC8lZLu lnulvluuAL) noLe: 1he penalLy for maklng false sLaLemenLs ln
offers ls prescrlbed ln 18 u.S.C. 1001. 1he 8epresenLaLlons and CerLlflcaLlons musL be execuLed
by an lndlvldual auLhorlzed Lo blnd Lhe offeror.

G.2 310-16 CS1 LMLCMLN1 CCNILIC1 CI IN1LkLS1 (MAkCn 198S)
1he conLracLor cerLlfles LhaL ln developlng a proposal ln response Lo Lhe sollclLaLlon for Lhls
conLracL, lL has noL uLlllzed Lhe servlces of any former LducaLlon ueparLmenL (Lu) employee
who, whlle worklng for Lhe CovernmenL, parLlclpaLed personally and subsLanLlally ln, or was
offlclally responslble for, Lhe developmenL or drafLlng of Lhe sollclLaLlon for Lhls conLracL. 1he
conLracLor furLher cerLlfles LhaL lL dld noL uLlllze Lhe servlces of such an Lu employee ln asslsLlng
or represenLlng Lhe offeror aL negoLlaLlons for Lhls conLracL.

G.3 310-6 DULICA1ICN CI CCS1 (MAkCn 198S)
1he offeror represenLs and cerLlfles LhaL any charges conLemplaLed and lncluded ln lLs esLlmaLe
of cosL for performance are noL dupllcaLlve of any charges agalnsL any oLher CovernmenL
conLracL, subconLracL, or oLher CovernmenL source.

G.4 S2.222-S4 - Lmp|oyment L||g|b|||ty Ver|f|cat|on (Aug 2013)
(a) uefloltloos. As used ln Lhls clause-
Commerclally avallable off-Lhe-shelf (CC1S) lLem"-
(1) Means any lLem of supply LhaL ls-
(l) A commerclal lLem (as deflned ln paragraph (1) of Lhe deflnlLlon aL 2.101),
(ll) Sold ln subsLanLlal quanLlLles ln Lhe commerclal markeLplace, and
(lll) Cffered Lo Lhe CovernmenL, wlLhouL modlflcaLlon, ln Lhe same form ln whlch lL ls sold ln Lhe
commerclal markeLplace, and
51

(2) uoes noL lnclude bulk cargo, as deflned ln 46 u.S.C. 40102(4) such as agrlculLural producLs
and peLroleum producLs. er 46 Cl8 323.1(c)(2), bulk cargo" means cargo LhaL ls loaded and
carrled ln bulk onboard shlp wlLhouL mark or counL, ln a loose unpackaged form, havlng
homogenous characLerlsLlcs. 8ulk cargo loaded lnLo lnLermodal equlpmenL, excepL LASP or
Seabee barges, ls sub[ecL Lo mark and counL and, Lherefore, ceases Lo be bulk cargo.
Lmployee asslgned Lo Lhe conLracL" means an employee who was hlred afLer november 6,
1986 (afLer november 27, 2009, ln Lhe CommonwealLh of Lhe norLhern Marlana lslands), who ls
dlrecLly performlng work, ln Lhe unlLed SLaLes, under a conLracL LhaL ls requlred Lo lnclude Lhe
clause prescrlbed aL 22.1803. An employee ls noL consldered Lo be dlrecLly performlng work
under a conLracL lf Lhe employee-
(1) normally performs supporL work, such as lndlrecL or overhead funcLlons, and
(2) uoes noL perform any subsLanLlal duLles appllcable Lo Lhe conLracL.
SubconLracL" means any conLracL, as deflned ln 2.101, enLered lnLo by a subconLracLor Lo
furnlsh supplles or servlces for performance of a prlme conLracL or a subconLracL. lL lncludes buL
ls noL llmlLed Lo purchase orders, and changes and modlflcaLlons Lo purchase orders.
SubconLracLor" means any suppller, dlsLrlbuLor, vendor, or flrm LhaL furnlshes supplles or
servlces Lo or for a prlme ConLracLor or anoLher subconLracLor.
unlLed SLaLes," as deflned ln 8 u.S.C. 1101(a)(38), means Lhe 30 SLaLes, Lhe ulsLrlcL of
Columbla, uerLo 8lco, Cuam, Lhe CommonwealLh of Lhe norLhern Marlana lslands, and Lhe u.S.
vlrgln lslands.
(b) otollmeot ooJ vetlflcotloo tepoltemeots.
(1) lf Lhe ConLracLor ls noL enrolled as a lederal ConLracLor ln L-verlfy aL Llme of conLracL award,
Lhe ConLracLor shall-
(l) otoll. Lnroll as a lederal ConLracLor ln Lhe L-verlfy program wlLhln 30 calendar days of
conLracL award,
(ll) vetlfy oll oew employees. WlLhln 90 calendar days of enrollmenL ln Lhe L-verlfy program,
begln Lo use L-verlfy Lo lnlLlaLe verlflcaLlon of employmenL ellglblllLy of all new hlres of Lhe
ConLracLor, who are worklng ln Lhe unlLed SLaLes, wheLher or noL asslgned Lo Lhe conLracL,
wlLhln 3 buslness days afLer Lhe daLe of hlre (buL see paragraph (b)(3) of Lhls secLlon), and
(lll) vetlfy employees osslqoeJ to tbe coottoct. lor each employee asslgned Lo Lhe conLracL,
lnlLlaLe verlflcaLlon wlLhln 90 calendar days afLer daLe of enrollmenL or wlLhln 30 calendar days
of Lhe employee's asslgnmenL Lo Lhe conLracL, whlchever daLe ls laLer (buL see paragraph (b)(4)
of Lhls secLlon).
(2) lf Lhe ConLracLor ls enrolled as a lederal ConLracLor ln L-verlfy aL Llme of conLracL award, Lhe
ConLracLor shall use L-verlfy Lo lnlLlaLe verlflcaLlon of employmenL ellglblllLy of-
(l) All oew employees.
(A) otolleJ 90 coleoJot Joys ot mote. 1he ConLracLor shall lnlLlaLe verlflcaLlon of all new hlres of
Lhe ConLracLor, who are worklng ln Lhe unlLed SLaLes, wheLher or noL asslgned Lo Lhe conLracL
wlLhln 3 buslness days afLer Lhe daLe of hlre (buL see paragraph (b)(3) of Lhls secLlon), or
(8) otolleJ less tboo 90 coleoJot Joys. WlLhln 90 calendar days afLer enrollmenL as a lederal
ConLracLor ln L-verlfy, Lhe ConLracLor shall lnlLlaLe verlflcaLlon of all new hlres of Lhe ConLracLor,
who are worklng ln Lhe unlLed SLaLes, wheLher or noL asslgned Lo Lhe conLracL, wlLhln 3 buslness
days afLer Lhe daLe of hlre (buL see paragraph (b)(3) of Lhls secLlon ), or
(ll) mployees osslqoeJ to tbe coottoct. lor each employee asslgned Lo Lhe conLracL, Lhe
ConLracLor shall lnlLlaLe verlflcaLlon wlLhln 90 calendar days afLer daLe of conLracL award or
wlLhln 30 days afLer asslgnmenL Lo Lhe conLracL, whlchever daLe ls laLer (buL see paragraph
(b)(4) of Lhls secLlon).
52

(3) lf Lhe ConLracLor ls an lnsLlLuLlon of hlgher educaLlon (as deflned aL 20 u.S.C. 1001(a)), a
SLaLe or local governmenL or Lhe governmenL of a lederally recognlzed lndlan Lrlbe, or a sureLy
performlng under a Lakeover agreemenL enLered lnLo wlLh a lederal agency pursuanL Lo a
performance bond, Lhe ConLracLor may choose Lo verlfy only employees asslgned Lo Lhe
conLracL, wheLher exlsLlng employees or new hlres. 1he ConLracLor shall follow Lhe appllcable
verlflcaLlon requlremenLs aL (b)(1) or (b)(2), respecLlvely, excepL LhaL any requlremenL for
verlflcaLlon of new employees applles only L new employees asslgned Lo Lhe conLracL.
(4) Optloo to vetlfy employmeot ellqlblllty of oll employees. 1he ConLracLor may elecL Lo verlfy all
exlsLlng employees hlred afLer november 6, 1986 (afLer november 27, 2009, ln Lhe
CommonwealLh of Lhe norLhern Marlana lslands), raLher Lhan [usL Lhose employees asslgned Lo
Lhe conLracL. 1he ConLracLor shall lnlLlaLe verlflcaLlon for each exlsLlng employee worklng ln Lhe
unlLed SLaLes who was hlred afLer november 6, 1986 (afLer november 27, 2009, ln Lhe
CommonwealLh of Lhe norLhern Marlana lslands), wlLhln 180 calendar days of-
(l) LnrollmenL ln Lhe L-verlfy program, or
(ll) noLlflcaLlon Lo L-verlfy CperaLlons of Lhe ConLracLor's declslon Lo exerclse Lhls opLlon, uslng
Lhe conLacL lnformaLlon provlded ln Lhe L-verlfy program Memorandum of undersLandlng
(MCu).
(3) 1he ConLracLor shall comply, for Lhe perlod of performance of Lhls conLracL, wlLh Lhe
requlremenL of Lhe L-verlfy program MCu.
(l) 1he ueparLmenL of Pomeland SecurlLy (uPS) or Lhe Soclal SecurlLy AdmlnlsLraLlon (SSA) may
LermlnaLe Lhe ConLracLor's MCu and deny access Lo Lhe L-verlfy sysLem ln accordance wlLh Lhe
Lerms of Lhe MCu. ln such case, Lhe ConLracLor wlll be referred Lo a suspenslon or debarmenL
offlclal.
(ll) uurlng Lhe perlod beLween LermlnaLlon of Lhe MCu and a declslon by Lhe suspenslon or
debarmenL offlclal wheLher Lo suspend or debar, Lhe ConLracLor ls excused from lLs obllgaLlons
under paragraph (b) of Lhls clause. lf Lhe suspenslon or debarmenL offlclal deLermlnes noL Lo
suspend or debar Lhe ConLracLor, Lhen Lhe ConLracLor musL reenroll ln L-verlfy.
(c) web slte. lnformaLlon on reglsLraLlon for and use of Lhe L-verlfy program can be obLalned vla
Lhe lnLerneL aL Lhe ueparLmenL of Pomeland SecurlLy Web slLe: hLLp://www.dhs.gov/L-verlfy .
(d) loJlvlJools ptevloosly vetlfleJ. 1he ConLracLor ls noL requlred by Lhls clause Lo perform
addlLlonal employmenL verlflcaLlon uslng L-verlfy for any employee-
(1) Whose employmenL ellglblllLy was prevlously verlfled by Lhe ConLracLor Lhrough Lhe L-verlfy
program,
(2) Who has been granLed and holds an acLlve u.S. CovernmenL securlLy clearance for access Lo
confldenLlal, secreL, or Lop secreL lnformaLlon ln accordance wlLh Lhe naLlonal lndusLrlal SecurlLy
rogram CperaLlng Manual, or
(3) Who has undergone a compleLed background lnvesLlgaLlon and been lssued credenLlals
pursuanL Lo Pomeland SecurlLy resldenLlal ulrecLlve (PSu) -12, ollcy for a Common
ldenLlflcaLlon SLandard for lederal Lmployees and ConLracLors.
(e) 5obcoottocts. 1he conLracLor shall lnclude Lhe requlremenLs of Lhls clause, lncludlng Lhls
paragraph (e) (approprlaLely modlfled for ldenLlflcaLlon of Lhe parLles), ln each subconLracL
LhaL-
(1) ls fot-
(l) Commerclal or noncommerclal servlces (excepL for commerclal servlces LhaL are parL of Lhe
purchase of a CC1S lLem (or an lLem LhaL would be a CC1S lLem, buL for mlnor modlflcaLlons),
performed by Lhe CC1S provlder, and are normally provlded for LhaL CC1S lLem), or
(ll) ConsLrucLlon,
(2) Pas a value of more Lhan $3,000, and
53

(3) lncludes work performed ln Lhe unlLed SLaLes.
(Lnd of Clause)

G.S 34S2.209-70 Conf||ct of Interest Cert|f|cat|on (MA 2011)
(a) (1) 1he conLracLor, subconLracLor, employee, or consulLanL, by slgnlng Lhe form ln Lhls clause,
cerLlfles LhaL, Lo Lhe besL of lLs knowledge and bellef, Lhere are no relevanL facLs or
clrcumsLances LhaL could glve rlse Lo an organlzaLlonal or personal confllcL of lnLeresL, (see lA8
SubparL 9.3 for organlzaLlonal confllcLs of lnLeresL) (or apparenL confllcL of lnLeresL), for Lhe
organlzaLlon or any of lLs sLaff, and LhaL Lhe conLracLor, subconLracLor, employee, or consulLanL
has dlsclosed all such relevanL lnformaLlon lf such a confllcL of lnLeresL appears Lo exlsL Lo a
reasonable person wlLh knowledge of Lhe relevanL facLs (or lf such a person would quesLlon Lhe
lmparLlallLy of Lhe conLracLor, subconLracLor, employee, or consulLanL). ConfllcLs may arlse ln
Lhe followlng slLuaLlons: (l) unequal access Lo lnformaLlon. A poLenLlal conLracLor,
subconLracLor, employee, or consulLanL has access Lo non-publlc lnformaLlon Lhrough lLs
performance on a governmenL conLracL. (ll) 8lased ground rules. A poLenLlal conLracLor,
subconLracLor, employee, or consulLanL has worked, ln one governmenL conLracL, or program,
on Lhe baslc sLrucLure or ground rules of anoLher governmenL conLracL. (lll) lmpalred ob[ecLlvlLy.
A poLenLlal conLracLor, subconLracLor, employee, or consulLanL, or member of Lhelr lmmedlaLe
famlly (spouse, parenL, or chlld) has flnanclal or oLher lnLeresLs LhaL would lmpalr, or glve Lhe
appearance of lmpalrlng, lmparLlal [udgmenL ln Lhe evaluaLlon of governmenL programs, ln
offerlng advlce or recommendaLlons Lo Lhe governmenL, or ln provldlng Lechnlcal asslsLance or
oLher servlces Lo reclplenLs of lederal funds as parL of lLs conLracLual responslblllLy. "lmpalred
ob[ecLlvlLy" lncludes buL ls noL llmlLed Lo Lhe followlng slLuaLlons LhaL would cause a reasonable
person wlLh knowledge of Lhe relevanL facLs Lo quesLlon a person`s ob[ecLlvlLy: (A) llnanclal
lnLeresLs or reasonably foreseeable flnanclal lnLeresLs ln or ln connecLlon wlLh producLs,
properLy, or servlces LhaL may be purchased by an educaLlonal agency, a person, organlzaLlon,
or lnsLlLuLlon ln Lhe course of lmplemenLlng any program admlnlsLered by Lhe ueparLmenL, (8)
SlgnlflcanL connecLlons Lo Leachlng meLhodologles or approaches LhaL mlghL requlre or
encourage Lhe use of speclflc producLs, properLy, or servlces, or (C) SlgnlflcanL ldenLlflcaLlon
wlLh pedagoglcal or phllosophlcal vlewpolnLs LhaL mlghL requlre or encourage Lhe use of a
speclflc currlculum, speclflc producLs, properLy, or servlces. (2) Cfferors musL provlde Lhe
dlsclosure descrlbed above on any acLual or poLenLlal confllcL of lnLeresL (or apparenL confllcL of
lnLeresL) regardless of Lhelr oplnlon LhaL such a confllcL or poLenLlal confllcL (or apparenL confllcL
of lnLeresL) would noL lmpalr Lhelr ob[ecLlvlLy. (3) ln a case ln whlch an acLual or poLenLlal
confllcL (or apparenL confllcL of lnLeresL) ls dlsclosed, Lhe ueparLmenL wlll Lake approprlaLe
acLlons Lo ellmlnaLe or address Lhe acLual or poLenLlal confllcL, lncludlng buL noL llmlLed Lo
mlLlgaLlng or neuLrallzlng Lhe confllcL, when approprlaLe, Lhrough such means as ensurlng a
balance of vlews, dlsclosure wlLh Lhe approprlaLe dlsclalmers, or by resLrlcLlng or modlfylng Lhe
work Lo be performed Lo avold or reduce Lhe confllcL. ln Lhls clause, Lhe Lerm "poLenLlal confllcL"
means reasonably foreseeable confllcL of lnLeresL. (b) 1he conLracLor, subconLracLor, employee,
or consulLanL agrees LhaL lf "lmpalred ob[ecLlvlLy", or an acLual or poLenLlal confllcL of lnLeresL
(or apparenL confllcL of lnLeresL) ls dlscovered afLer Lhe award ls made, lL wlll make a full
dlsclosure ln wrlLlng Lo Lhe conLracLlng offlcer. 1hls dlsclosure shall lnclude a descrlpLlon of
acLlons LhaL Lhe conLracLor has Laken or proposes Lo Lake Lo avold, mlLlgaLe, or neuLrallze Lhe
acLual or poLenLlal confllcL (or apparenL confllcL of lnLeresL). (c) 8emedles. 1he CovernmenL may
LermlnaLe Lhls conLracL for convenlence, ln whole or ln parL, lf lL deems such LermlnaLlon
necessary Lo avold Lhe appearance of a confllcL of lnLeresL. lf Lhe conLracLor was aware of a
54

poLenLlal confllcL of lnLeresL prlor Lo award or dlscovered an acLual or poLenLlal confllcL afLer
award and dld noL dlsclose or mlsrepresenLed relevanL lnformaLlon Lo Lhe conLracLlng offlcer,
Lhe CovernmenL may LermlnaLe Lhe conLracL for defaulL, or pursue such oLher remedles as may
be permlLLed by law or Lhls conLracL. 1hese remedles lnclude lmprlsonmenL for up Lo flve years
for vlolaLlon of 18 u.S.C. 1001 and flnes of up Lo $3000 for vlolaLlon of 31 u.S.C. 3802. lurLher
remedles lnclude suspenslon or debarmenL from conLracLlng wlLh Lhe lederal governmenL. 1he
conLracLor may also be requlred Lo relmburse Lhe ueparLmenL for cosLs Lhe ueparLmenL lncurs
arlslng from acLlvlLles relaLed Lo confllcLs of lnLeresL. An example of such cosLs would be Lhose
lncurred ln processlng lreedom of lnformaLlon AcL requesLs relaLed Lo a confllcL of lnLeresL. (d)
ln cases where remedles shorL of LermlnaLlon have been applled, Lhe conLracLor, subconLracLor,
employee, or consulLanL agrees Lo ellmlnaLe Lhe organlzaLlonal confllcL of lnLeresL, or mlLlgaLe lL
Lo Lhe saLlsfacLlon of Lhe conLracLlng offlcer. (e) 1he conLracLor furLher agrees Lo lnserL ln any
subconLracL or consulLanL agreemenL hereunder, provlslons LhaL conform subsLanLlally Lo Lhe
language of Lhls clause, lncludlng speclflc menLlon of poLenLlal remedles and Lhls paragraph (e).
(f) ConfllcL of lnLeresL CerLlflcaLlon. 1he offeror, ____________________, hereby cerLlfles LhaL,
Lo Lhe besL of lLs knowledge and bellef, Lhere are no presenL or currenLly planned lnLeresLs
(flnanclal, conLracLual, organlzaLlonal, or oLherwlse) relaLlng Lo Lhe work Lo be performed under
Lhe conLracL or Lask order resulLlng from 8equesL for roposal no. __________ LhaL would
creaLe any acLual or poLenLlal confllcL of lnLeresL (or apparenL confllcLs of lnLeresL) (lncludlng
confllcLs of lnLeresL for lmmedlaLe famlly members: spouses, parenLs, chlldren) LhaL would
lmplnge on lLs ablllLy Lo render lmparLlal, Lechnlcally sound, and ob[ecLlve asslsLance or advlce
or resulL ln lL belng glven an unfalr compeLlLlve advanLage. ln Lhls clause, Lhe Lerm "poLenLlal
confllcL" means reasonably foreseeable confllcL of lnLeresL. 1he offeror furLher cerLlfles LhaL lL
has and wlll conLlnue Lo exerclse due dlllgence ln ldenLlfylng and removlng or mlLlgaLlng, Lo Lhe
CovernmenL`s saLlsfacLlon, such confllcL of lnLeresL (or apparenL confllcL of lnLeresL). Cfferor`s
name __________________________________
8l/ConLracL no. ________________________________
SlgnaLure _______________________________________
1lLle ___________________________________________
uaLe ____________________________________________

G.6 34S2.209-71 CCNILIC1 CI IN1LkLS1 (MA 2011)
(a) (1) 1he conLracLor, subconLracLor, employee, or consulLanL, has cerLlfled LhaL, Lo Lhe besL of lLs
knowledge and bellef, Lhere are no relevanL facLs or clrcumsLances LhaL could glve rlse Lo an
organlzaLlonal or personal confllcL of lnLeresL, (see lA8 SubparL 9.3 for organlzaLlonal confllcLs of
lnLeresL), (or apparenL confllcL of lnLeresL) for Lhe organlzaLlon or any of lLs sLaff, and LhaL Lhe
conLracLor, subconLracLor, employee, or consulLanL has dlsclosed all such relevanL lnformaLlon lf
such a confllcL of lnLeresL appears Lo exlsL Lo a reasonable person wlLh knowledge of Lhe relevanL
facLs (or lf such a person would quesLlon Lhe lmparLlallLy of Lhe conLracLor, subconLracLor,
employee, or consulLanL). ConfllcLs may arlse ln Lhe followlng slLuaLlons: (l) unequal access Lo
lnformaLlon - A poLenLlal conLracLor, subconLracLor, employee, or consulLanL has access Lo non-
publlc lnformaLlon Lhrough lLs performance on a governmenL conLracL. (ll) 8lased ground rules - A
poLenLlal conLracLor, subconLracLor, employee, or consulLanL has worked, ln one governmenL
conLracL, or program, on Lhe baslc sLrucLure or ground rules of anoLher governmenL conLracL. (lll)
lmpalred ob[ecLlvlLy - A poLenLlal conLracLor, subconLracLor, employee, or consulLanL, or member of
Lhelr lmmedlaLe famlly (spouse, parenL, or chlld) has flnanclal or oLher lnLeresLs LhaL would lmpalr,
or glve Lhe appearance of lmpalrlng, lmparLlal [udgmenL ln Lhe evaluaLlon of governmenL programs,
ln offerlng advlce or recommendaLlons Lo Lhe governmenL, or ln provldlng Lechnlcal asslsLance or
55

oLher servlces Lo reclplenLs of lederal funds as parL of lLs conLracLual responslblllLy. "lmpalred
ob[ecLlvlLy" lncludes buL ls noL llmlLed Lo Lhe followlng slLuaLlons LhaL would cause a reasonable
person wlLh knowledge of Lhe relevanL facLs Lo quesLlon a person`s ob[ecLlvlLy: (A) llnanclal
lnLeresLs or reasonably foreseeable flnanclal lnLeresLs ln or ln connecLlon wlLh producLs, properLy,
or servlces LhaL may be purchased by an educaLlonal agency, a person, organlzaLlon, or lnsLlLuLlon
ln Lhe course of lmplemenLlng any program admlnlsLered by Lhe ueparLmenL, (8) SlgnlflcanL
connecLlons Lo Leachlng meLhodologles LhaL mlghL requlre or encourage Lhe use of speclflc
producLs, properLy, or servlces, or (C) SlgnlflcanL ldenLlflcaLlon wlLh pedagoglcal or phllosophlcal
vlewpolnLs LhaL mlghL requlre or encourage Lhe use of a speclflc currlculum, speclflc producLs,
properLy, or servlces. (2) Cfferors musL provlde Lhe dlsclosure descrlbed above on any acLual or
poLenLlal confllcL (or apparenL confllcL of lnLeresL) of lnLeresL regardless of Lhelr oplnlon LhaL such a
confllcL or poLenLlal confllcL (or apparenL confllcL of lnLeresL) would noL lmpalr Lhelr ob[ecLlvlLy. (3)
ln a case ln whlch an acLual or poLenLlal confllcL (or apparenL confllcL of lnLeresL) ls dlsclosed, Lhe
ueparLmenL wlll Lake approprlaLe acLlons Lo ellmlnaLe or address Lhe acLual or poLenLlal confllcL (or
apparenL confllcL of lnLeresL), lncludlng buL noL llmlLed Lo mlLlgaLlng or neuLrallzlng Lhe confllcL,
when approprlaLe, Lhrough such means as ensurlng a balance of vlews, dlsclosure wlLh Lhe
approprlaLe dlsclalmers, or by resLrlcLlng or modlfylng Lhe work Lo be performed Lo avold or reduce
Lhe confllcL. ln Lhls clause, Lhe Lerm "poLenLlal confllcL" means reasonably foreseeable confllcL of
lnLeresL. (b) 1he conLracLor, subconLracLor, employee, or consulLanL agrees LhaL lf "lmpalred
ob[ecLlvlLy", or an acLual or poLenLlal confllcL of lnLeresL (or apparenL confllcL of lnLeresL) ls
dlscovered afLer Lhe award ls made, lL wlll make a full dlsclosure ln wrlLlng Lo Lhe conLracLlng
offlcer. 1hls dlsclosure shall lnclude a descrlpLlon of acLlons LhaL Lhe conLracLor has Laken or
proposes Lo Lake, afLer consulLaLlon wlLh Lhe conLracLlng offlcer, Lo avold, mlLlgaLe, or neuLrallze
Lhe acLual or poLenLlal confllcL (or apparenL confllcL of lnLeresL). (c) 8emedles. 1he CovernmenL
may LermlnaLe Lhls conLracL for convenlence, ln whole or ln parL, lf lL deems such LermlnaLlon
necessary Lo avold Lhe appearance of a confllcL of lnLeresL. lf Lhe conLracLor was aware of a
poLenLlal confllcL of lnLeresL prlor Lo award or dlscovered an acLual or poLenLlal confllcL (or
apparenL confllcL of lnLeresL) afLer award and dld noL dlsclose or mlsrepresenLed relevanL
lnformaLlon Lo Lhe conLracLlng offlcer, Lhe CovernmenL may LermlnaLe Lhe conLracL for defaulL, or
pursue such oLher remedles as may be permlLLed by law or Lhls conLracL. 1hese remedles lnclude
lmprlsonmenL for up Lo flve years for vlolaLlon of 18 u.S.C. 1001 and flnes of up Lo $3000 for
vlolaLlon of 31 u.S.C. 3802. lurLher remedles lnclude suspenslon or debarmenL from conLracLlng
wlLh Lhe lederal governmenL. 1he conLracLor may also be requlred Lo relmburse Lhe ueparLmenL
for cosLs Lhe ueparLmenL lncurs arlslng from acLlvlLles relaLed Lo confllcLs of lnLeresL. An example of
such cosLs would be Lhose lncurred ln processlng lreedom of lnformaLlon AcL requesLs relaLed Lo a
confllcL of lnLeresL. (d) ln cases where remedles shorL of LermlnaLlon have been applled, Lhe
conLracLor, subconLracLor, employee, or consulLanL agrees Lo ellmlnaLe Lhe organlzaLlonal confllcL
of lnLeresL, or mlLlgaLe lL Lo Lhe saLlsfacLlon of Lhe conLracLlng offlcer. (e) 1he conLracLor furLher
agrees Lo lnserL ln any subconLracL or consulLanL agreemenL hereunder, provlslons LhaL conform
subsLanLlally Lo Lhe language of Lhls clause, lncludlng speclflc menLlon of poLenLlal remedles and
Lhls paragraph (e). (Lnd of Clause)

G.7 Conf||ct of Interest |an
1he offeror shall submlL a ConfllcL of lnLeresL lan ln Appendlx C.7.8., provldlng deLalls on lLs
pollcles and procedures Lo ldenLlfy and avold poLenLlal organlzaLlonal or personal confllcLs of
lnLeresL (or apparenL confllcLs of lnLeresL). 1he lan should also address procedures Laken Lo
neuLrallze or mlLlgaLe such confllcLs, lf Lhey have noL been or cannoL be avolded. 1he lan
56

should lndlcaLe LhaL such pollcles and procedures are operaLlve LhroughouL Lhe perlod of
performance of Lhe conLracL.

1he pollcles should address, aL a mlnlmum, glfLs, ouLslde acLlvlLles, flnanclal lnLeresLs, or oLher
slgnlflcanL connecLlons or ldenLlflcaLlons LhaL would esLabllsh, or glve Lhe appearance of
esLabllshlng, a confllcL of lnLeresL. A meLhod for perlodlcally revlewlng flnanclal lnLeresLs of
employees, subconLracLors and consulLanLs, and Lhelr lmmedlaLe famllles, ln order Lo assess acLual
or apparenL confllcLs of lnLeresL, should be lncluded ln Lhe plan. ln Lhls clause, Lhe Lerm "poLenLlal
confllcL" means reasonably foreseeable confllcL of lnLeresL. 1he Lhoroughness, compleLeness and
effecLlveness of Lhe lan shall be evaluaLed as parL of Lhe offeror's overall proposal. 1he lan wlll be
lncorporaLed lnLo Lhe conLracL awarded Lo Lhe successful offeror. Cfferors and all proposed
subconLracLors/consulLanLs shall compleLe Lhe ConfllcL of lnLeresL CerLlflcaLlon from LuA8
3432.209-70, provlded ln Lhe clause secLlon, and lnclude ln Lhelr buslness proposal.

G.8 34S2.239-71 DLAk1MLN1 SLCUkI1 kLUIkLMLN1S (MA 2011)
(a) 1he conLracLor and lLs subconLracLors shall comply wlLh ueparLmenL securlLy pollcy
requlremenLs as seL forLh ln Lhe "8ldder`s SecurlLy ackage: SecurlLy 8equlremenLs for ConLracLors
uolng 8uslness wlLh Lhe ueparLmenL of LducaLlon" aL www.ed.gov/fund/conLracL/abouL/bsp.hLml.
(b) 1he followlng are Lhe conLracLor employee poslLlons requlred under Lhls conLracL and Lhelr
deslgnaLed rlsk levels:
Plgh 8lsk (P8): n/A
ModeraLe 8lsk (M8): n/A
Low 8lsk (L8): n/A
(c) All conLracLor employees musL undergo personnel securlLy screenlng lf Lhey wlll be employed for
30 days or more, ln accordance wlLh ueparLmenLal ulrecLlve CM:3-101, "ConLracLor Lmployee
ersonnel SecurlLy Screenlngs." 1he Lype of screenlng and Lhe Llmlng of Lhe screenlng wlll depend
upon Lhe naLure of Lhe conLracLor poslLlon, Lhe Lype of daLa Lo be accessed, and Lhe Lype of
lnformaLlon Lechnology (l1) sysLem access requlred. ersonnel securlLy screenlngs wlll be
commensuraLe wlLh Lhe rlsk and magnlLude of harm Lhe lndlvldual could cause.
(d) 1he conLracLor shall-
(1) Lnsure LhaL all non-u.S. clLlzen conLracLor employees are lawful permanenL resldenLs of
Lhe unlLed SLaLes or have approprlaLe work auLhorlzaLlon documenLs as requlred by Lhe
ueparLmenL of Pomeland SecurlLy, 8ureau of lmmlgraLlon and Appeals, Lo work ln Lhe unlLed
SLaLes.
(2) Lnsure LhaL no employees are asslgned Lo hlgh rlsk deslgnaLed poslLlons prlor Lo a
compleLed prellmlnary screenlng.
(3) SubmlL all requlred personnel securlLy forms Lo Lhe conLracLlng offlcer`s represenLaLlve
(CC8) wlLhln 24 hours of an asslgnmenL Lo a ueparLmenL conLracL and ensure LhaL Lhe forms are
compleLe.
(4) Lnsure LhaL no conLracLor employee ls placed ln a hlgher rlsk poslLlon Lhan LhaL for
whlch he or she was prevlously approved, wlLhouL Lhe approval of Lhe conLracLlng offlcer or Lhe
CC8, Lhe ueparLmenL personnel securlLy offlcer, and Lhe ueparLmenL compuLer securlLy offlcer.
(3) Lnsure LhaL all conLracLor employees occupylng hlgh-rlsk deslgnaLed poslLlons submlL
forms for relnvesLlgaLlon every flve years for Lhe duraLlon of Lhe conLracL or lf Lhere ls a break ln
servlce Lo a ueparLmenL conLracL of 363 days or more.
(6) 8eporL Lo Lhe CC8 all lnsLances of lndlvlduals seeklng Lo obLaln unauLhorlzed access Lo
any deparLmenLal l1 sysLem, or senslLlve buL unclasslfled and/or rlvacy AcL proLecLed lnformaLlon.

57

(7) 8eporL Lo Lhe CC8 any lnformaLlon LhaL ralses an lssue as Lo wheLher a conLracLor
employee`s ellglblllLy for conLlnued employmenL or access Lo ueparLmenL l1 sysLems, or senslLlve
buL unclasslfled and/or rlvacy AcL proLecLed lnformaLlon, promoLes Lhe efflclency of Lhe servlce or
vlolaLes Lhe publlc LrusL.
(8) WlLhdraw from conslderaLlon under Lhe conLracL any employee recelvlng an
unfavorable ad[udlcaLlon deLermlnaLlon.
(9) Cfflclally noLlfy each conLracLor employee lf he or she wlll no longer work on a
ueparLmenL conLracL.
(10) Ablde by Lhe requlremenLs ln ueparLmenLal ulrecLlve CM:3-101, "ConLracLor
Lmployee ersonnel SecurlLy Screenlngs." (e) lurLher lnformaLlon lncludlng deflnlLlons of Lerms
used ln Lhls clause and a llsL of requlred lnvesLlgaLlve forms for each rlsk deslgnaLlon are conLalned
ln ueparLmenLal ulrecLlve CM:3-101, "ConLracLor Lmployee ersonnel SecurlLy Screenlngs"
avallable aL Lhe Web slLe llsLed ln Lhe flrsL paragraph of Lhls clause. (f) lallure Lo comply wlLh Lhe
conLracLor personnel securlLy requlremenLs may resulL ln a LermlnaLlon of Lhe conLracL for defaulL.
(Lnd of Clause)

G.9 S2.204-10 - keport|ng Lxecut|ve Compensat|on and I|rst-1|er Subcontract Awards (Iu|
2013)
(a) uefloltloos. As used ln Lhls clause:
LxecuLlve" means offlcers, managlng parLners, or any oLher employees ln managemenL
poslLlons.
llrsL-Ller subconLracL" means a subconLracL awarded dlrecLly by Lhe ConLracLor for Lhe purpose
of acqulrlng supplles or servlces (lncludlng consLrucLlon) for performance of a prlme conLracL. lL
does noL lnclude Lhe ConLracLor's suppller agreemenLs wlLh vendors, such as long-Lerm
arrangemenLs for maLerlals or supplles LhaL would beneflL mulLlple conLracLs and/or Lhe cosLs of
whlch are normally applled Lo a ConLracLor's general and admlnlsLraLlve expenses or lndlrecL
cosL.
MonLh of award" means Lhe monLh ln whlch a conLracL ls slgned by Lhe ConLracLlng Cfflcer or
Lhe monLh ln whlch a flrsL-Ller subconLracL ls slgned by Lhe ConLracLor.
1oLal compensaLlon" means Lhe cash and noncash dollar value earned by Lhe execuLlve durlng
Lhe ConLracLor's precedlng flscal year and lncludes Lhe followlng (for more lnformaLlon see 17
Cl8 229.402(c)(2)):
(1) Salary and bonus.
(2) Awards of sLock, sLock opLlons, and sLock appreclaLlon rlghLs. use Lhe dollar amounL
recognlzed for flnanclal sLaLemenL reporLlng purposes wlLh respecL Lo Lhe flscal year ln
accordance wlLh Lhe llnanclal AccounLlng SLandards 8oard's AccounLlng SLandards CodlflcaLlon
(lAS8 ASC) 718, CompensaLlon-SLock CompensaLlon.
(3) Larnlngs for servlces under non-equlLy lncenLlve plans. 1hls does noL lnclude group llfe,
healLh, hosplLallzaLlon or medlcal relmbursemenL plans LhaL do noL dlscrlmlnaLe ln favor of
execuLlves, and are avallable generally Lo all salarled employees.
(4) Change ln penslon value. 1hls ls Lhe change ln presenL value of deflned beneflL and acLuarlal
penslon plans.
(3) Above-markeL earnlngs on deferred compensaLlon whlch ls noL Lax-quallfled.
(6) CLher compensaLlon, lf Lhe aggregaLe value of all such oLher compensaLlon (e.q., severance,
LermlnaLlon paymenLs, value of llfe lnsurance pald on behalf of Lhe employee, perqulslLes or
properLy) for Lhe execuLlve exceeds $10,000.
(b) SecLlon 2(d)(2) of Lhe lederal lundlng AccounLablllLy and 1ransparency AcL of 2006 (ub. L.
no. 109-282), as amended by secLlon 6202 of Lhe CovernmenL lundlng 1ransparency AcL of
58

2008 (ub. L. 110-232), requlres Lhe ConLracLor Lo reporL lnformaLlon on subconLracL awards.
1he law requlres all reporLed lnformaLlon be made publlc, Lherefore, Lhe ConLracLor ls
responslble for noLlfylng lLs subconLracLors LhaL Lhe requlred lnformaLlon wlll be made publlc.
(c) noLhlng ln Lhls clause requlred Lhe dlsclosure of classlfled lnformaLlon.
(d)
(1) LxecuLlve compensaLlon of Lhe prlme conLracLor. As a parL of lLs annual reglsLraLlon
requlremenL ln Lhe SysLem for Award ManagemenL (SAM) daLabase (lA8 provlslon 32.204-7),
Lhe ConLracLor shall reporL Lhe names and LoLal compensaLlon of each of Lhe flve mosL hlghly
compensaLed execuLlves for lLs precedlng compleLed flscal year, lf-
(l) ln Lhe ConLracLor's precedlng flscal year, Lhe ConLracLor recelved-
(A) 80 percenL or more of lLs annual gross revenues from lederal conLracLs (and subconLracLs),
loans, granLs (and subgranLs), cooperaLlve agreemenLs, and oLher forms of lederal flnanclal
asslsLance, and
(8) $23,000,000 or more ln annual gross revenues from lederal conLracLs (and subconLracLs),
asslsLance, and
(ll) 1he publlc does noL have access Lo lnformaLlon abouL Lhe compensaLlon of Lhe execuLlves
Lhrough perlodlc reporLs flled under secLlon 13(a) or 13(d) of Lhe SecurlLles Lxchange AcL of
1934 (13 u.S.C. 78m(a), 78o(d)) or secLlon 6104 of Lhe lnLernal 8evenue Code of 1986. (1o
deLermlne lf Lhe publlc has access Lo Lhe compensaLlon lnformaLlon, see Lhe u.S. SecurlLy and
Lxchange Commlsslon LoLal compensaLlon flllngs aL
hLLp://www.sec.gov/answers/execomp.hLm.)
(2) llrsL-Ller subconLracL lnformaLlon. unless oLherwlse dlrecLed by Lhe conLracLlng offlcer, or as
provlded ln paragraph (g) of Lhls clause, by Lhe end of Lhe monLh followlng Lhe monLh of award
of a flrsL-Ller subconLracL wlLh a value of $23,000 or more, Lhe ConLracLor shall reporL Lhe
followlng lnformaLlon aL hLLp://www.fsrs.gov for LhaL flrsL Ller subconLracL. (1he ConLracLor shall
follow Lhe lnsLrucLlon aL hLLp://www.fsrs.gov Lo reporL Lhe daLa.)
(l) unlque ldenLlfler (uunS number) for Lhe subconLracLor recelvlng Lhe award and for Lhe
subconLracLor's parenL company, lf Lhe subconLracLor has a parenL company.
(ll) name of Lhe subconLracLor.
(lll) AmounL of Lhe subconLracL award.
(lv) uaLe of Lhe subconLracL award.
(v) A descrlpLlon of Lhe producLs or servlces (lncludlng consLrucLlon) belng provlded under Lhe
subconLracL, lncludlng Lhe overall purpose and expecLed ouLcomes or resulLs of Lhe subconLracL.
(vl) SubconLracL number (Lhe subconLracL number asslgned by Lhe ConLracLor).
(vll) SubconLracLor's physlcal address lncludlng sLreeL address, clLy, sLaLe, and counLry. Also
lnclude Lhe nlne-dlglL zlp code and congresslonal dlsLrlcL.
(vlll) SubconLracLor's prlmary performance locaLlon lncludlng sLreeL address, clLy, sLaLe, and
counLry. Also lnclude Lhe nlne-dlglL zlp code and congresslonal dlsLrlcL.
(lx) 1he prlme conLracL number, and order number lf appllcable.
(x) Awardlng agency name and code.
(xl) lundlng agency name and code.
(xll) CovernmenL conLracLlng offlce code.
(xlll) 1reasury accounL symbol (1AS) as reporLed ln luS.
(xlv) 1he appllcable norLh Amerlcan lndusLry ClasslflcaLlon SysLem code (nAlCS).
(3) LxecuLlve compensaLlon of Lhe flrsL-Ller subconLracLor. unless oLherwlse dlrecLed by Lhe
ConLracLlng Cfflcer, by Lhe end of Lhe monLh followlng Lhe monLh of award of a flrsL-Ller
subconLracL wlLh a value of $23,000 or more, and annually LhereafLer (calculaLed from Lhe prlme
59

conLracL award daLe), Lhe ConLracLor shall reporL Lhe names and LoLal compensaLlon of each of
Lhe flve mosL hlghly compensaLed execuLlves for LhaL flrsL-Ller subconLracLor for Lhe flrsL-Ller
subconLracLor's precedlng compleLed flscal year aL hLLps://www.fsrs.gov , lf-
(l) ln Lhe subconLracLor's precedlng flscal year, Lhe subconLracLor recelved-
(A) 80 percenL or more of lLs annual gross revenues from lederal conLracLs (and subconLracLs),
asslsLance, and
(8) $23,000,000 or more ln annual gross revenues from lederal conLracLs (and subconLracLs),
loans, granLs (and subgranLs), cooperaLlve agreemenLs and oLher forms of lederal flnanclal
asslsLance, and
(ll) 1he publlc does noL have access Lo lnformaLlon abouL Lhe compensaLlon of Lhe execuLlves
Lhrough perlodlc reporLs flled under secLlon 13(a) or 13(d) of Lhe SecurlLles Lxchange AcL of
1934 (13 u.S.C. 78m(a), 78o(d)) or secLlon 6104 of Lhe lnLernal 8evenue Code of 1986. (1o
deLermlne lf Lhe publlc has access Lo Lhe compensaLlon lnformaLlon, see Lhe u.S. SecurlLy and
Lxchange Commlsslon LoLal compensaLlon flllngs aL
hLLp://www.sec.gov/answers/execomp.hLm.)
(e) 1he ConLracLor shall noL spllL or break down flrsL-Ller subconLracL awards Lo a value less Lhan
$23,000 Lo avold Lhe reporLlng requlremenLs ln paragraph (d).
(f) 1he ConLracLor ls requlred Lo reporL lnformaLlon on a flrsL-Ller subconLracL covered by
paragraph (d) when Lhe subconLracL ls awarded. ConLlnued reporLlng on Lhe same subconLracL ls
noL requlred unless one of Lhe reporLed daLa elemenLs changes durlng Lhe performance of Lhe
subconLracL. 1he ConLracLor ls noL requlred Lo make furLher reporLs afLer Lhe flrsL-Ller
subconLracL explres.
(g)
(1) lf Lhe ConLracLor ln Lhe prevlous Lax year had gross lncome, from all sources, under
$300,000, Lhe ConLracLor ls exempL from Lhe requlremenL Lo reporL subconLracLor awards.
(2) lf a subconLracLor ln Lhe prevlous Lax year had gross lncome from all sources under $300,000,
Lhe ConLracLor does noL need Lo reporL awards for LhaL subconLracLor
(h) 1he lS8S daLabase aL hLLp://www.fsrs.gov wlll be prepopulaLed wlLh some lnformaLlon from
SAM and luS daLabases. lf luS lnformaLlon ls lncorrecL, Lhe conLracLor should noLlfy Lhe
conLracLlng offlcer. lf Lhe SAM daLabase lnformaLlon ls lncorrecL, Lhe conLracLor ls responslble
for correcLlng Lhls lnformaLlon.
(Lnd of clause)

G.10 S2.209-S Cert|f|cat|on kegard|ng kespons|b|||ty Matters (Apr 2010)
(a)(1) 1he Cfferor cerLlfles, Lo Lhe besL of lLs knowledge and bellef, LhaL-
(l) 1he Cfferor and/or any of lLs rlnclpals-
(A) Are o are noL o presenLly debarred, suspended, proposed for debarmenL, or
declared lnellglble for Lhe award of conLracLs by any lederal agency,
(8) Pave o have noL o, wlLhln a Lhree-year perlod precedlng Lhls offer, been convlcLed
of or had a clvll [udgmenL rendered agalnsL Lhem for: commlsslon of fraud or a crlmlnal offense
ln connecLlon wlLh obLalnlng, aLLempLlng Lo obLaln, or performlng a publlc (lederal, SLaLe, or
local) conLracL or subconLracL, vlolaLlon of lederal or SLaLe anLlLrusL sLaLuLes relaLlng Lo Lhe
submlsslon of offers, or commlsslon of embezzlemenL, LhefL, forgery, brlbery, falslflcaLlon or
desLrucLlon of records, maklng false sLaLemenLs, Lax evaslon, vlolaLlng lederal crlmlnal Lax laws,
or recelvlng sLolen properLy (lf offeror checks have", Lhe offeror shall also see 32.209-7, lf
lncluded ln Lhls sollclLaLlon),
60

(C) Are o are noL o presenLly lndlcLed for, or oLherwlse crlmlnally or clvllly charged by
a governmenLal enLlLy wlLh, commlsslon of any of Lhe offenses enumeraLed ln
paragraph (a)(1)(l)(8) of Lhls provlslon,
(u) Pave o, have noL o, wlLhln a Lhree-year perlod precedlng Lhls offer, been noLlfled
of any dellnquenL lederal Laxes ln an amounL LhaL exceeds $3,000 for whlch Lhe llablllLy remalns
unsaLlsfled.
(1) lederal Laxes are consldered dellnquenL lf boLh of Lhe followlng crlLerla apply:
(l) 1be tox lloblllty ls floolly JetetmloeJ. 1he llablllLy ls flnally deLermlned lf lL has
been assessed. A llablllLy ls noL flnally deLermlned lf Lhere ls a pendlng admlnlsLraLlve or [udlclal
challenge. ln Lhe case of a [udlclal challenge Lo Lhe llablllLy, Lhe llablllLy ls noL flnally deLermlned
unLll all [udlclal appeal rlghLs have been exhausLed.
(ll) 1be toxpoyet ls Jellopoeot lo mokloq poymeot. A Laxpayer ls dellnquenL lf Lhe
Laxpayer has falled Lo pay Lhe Lax llablllLy when full paymenL was due and requlred. A Laxpayer ls
noL dellnquenL ln cases where enforced collecLlon acLlon ls precluded.
(2) xomples.
(l) 1he Laxpayer has recelved a sLaLuLory noLlce of deflclency, under l.8.C.
6212, whlch enLlLles Lhe Laxpayer Lo seek 1ax CourL revlew of a proposed Lax deflclency. 1hls ls
noL a dellnquenL Lax because lL ls noL a flnal Lax llablllLy. Should Lhe Laxpayer seek 1ax CourL
revlew, Lhls wlll noL be a flnal Lax llablllLy unLll Lhe Laxpayer has exerclsed all [udlclal appeal
rlghLs.
(ll) 1he l8S has flled a noLlce of lederal Lax llen wlLh respecL Lo an assessed Lax
llablllLy, and Lhe Laxpayer has been lssued a noLlce under l.8.C. 6320 enLlLllng Lhe Laxpayer Lo
requesL a hearlng wlLh Lhe l8S Cfflce of Appeals conLesLlng Lhe llen flllng, and Lo furLher appeal
Lo Lhe 1ax CourL lf Lhe l8S deLermlnes Lo susLaln Lhe llen flllng. ln Lhe course of Lhe hearlng, Lhe
Laxpayer ls enLlLled Lo conLesL Lhe underlylng Lax llablllLy because Lhe Laxpayer has had no prlor
opporLunlLy Lo conLesL Lhe llablllLy. 1hls ls noL a dellnquenL Lax because lL ls noL a flnal Lax
llablllLy. Should Lhe Laxpayer seek Lax courL revlew, Lhls wlll noL be a flnal Lax llablllLy unLll Lhe
Laxpayer has exerclsed all [udlclal appeal rlghLs.
(lll) 1he Laxpayer has enLered lnLo an lnsLallmenL agreemenL pursuanL Lo l.8.C.
6139. 1he Laxpayer ls maklng Llmely paymenLs and ls ln full compllance wlLh Lhe agreemenL
Lerms. 1he Laxpayer ls noL dellnquenL because Lhe Laxpayer ls noL currenLly requlred Lo make
full paymenL.
(lv) 1he Laxpayer has flled for bankrupLcy proLecLlon. 1he Laxpayer ls noL
dellnquenL because enforced collecLlon acLlon ls sLayed under 11 u.S.C. 362 (Lhe 8ankrupLcy
Code).
(ll) 1he Cfferor has o has noL o, wlLhln a Lhree-year perlod precedlng Lhls offer, had one
or more conLracLs LermlnaLed for defaulL by any lederal agency.
(2) rlnclpal," for Lhe purposes of Lhls cerLlflcaLlon, means an offlcer, dlrecLor, owner,
parLner, or a person havlng prlmary managemenL or supervlsory responslblllLles wlLhln a
buslness enLlLy (e.q., general manager, planL manager, head of a dlvlslon or buslness segmenL,
and slmllar poslLlons).
1hls CerLlflcaLlon Concerns a MaLLer WlLhln Lhe !urlsdlcLlon of an Agency of Lhe unlLed
SLaLes and Lhe Maklng of a lalse, llcLlLlous, or lraudulenL CerLlflcaLlon May 8ender Lhe
Maker Sub[ecL Lo rosecuLlon under SecLlon 1001, 1lLle 18, unlLed SLaLes Code.
(b) 1he Cfferor shall provlde lmmedlaLe wrlLLen noLlce Lo Lhe ConLracLlng Cfflcer lf, aL any
Llme prlor Lo conLracL award, Lhe Cfferor learns LhaL lLs cerLlflcaLlon was erroneous when
submlLLed or has become erroneous by reason of changed clrcumsLances.
61

(c) A cerLlflcaLlon LhaL any of Lhe lLems ln paragraph (a) of Lhls provlslon exlsLs wlll noL
necessarlly resulL ln wlLhholdlng of an award under Lhls sollclLaLlon. Powever, Lhe cerLlflcaLlon
wlll be consldered ln connecLlon wlLh a deLermlnaLlon of Lhe Cfferor's responslblllLy. lallure of
Lhe Cfferor Lo furnlsh a cerLlflcaLlon or provlde such addlLlonal lnformaLlon as requesLed by Lhe
ConLracLlng Cfflcer may render Lhe Cfferor nonresponslble.
(d) noLhlng conLalned ln Lhe foregolng shall be consLrued Lo requlre esLabllshmenL of a
sysLem of records ln order Lo render, ln good falLh, Lhe cerLlflcaLlon requlred by paragraph (a) of
Lhls provlslon. 1he knowledge and lnformaLlon of an Cfferor ls noL requlred Lo exceed LhaL
whlch ls normally possessed by a prudenL person ln Lhe ordlnary course of buslness deallngs.
(e) 1he cerLlflcaLlon ln paragraph (a) of Lhls provlslon ls a maLerlal represenLaLlon of facL upon
whlch rellance was placed when maklng award. lf lL ls laLer deLermlned LhaL Lhe Cfferor
knowlngly rendered an erroneous cerLlflcaLlon, ln addlLlon Lo oLher remedles avallable Lo Lhe
CovernmenL, Lhe ConLracLlng Cfflcer may LermlnaLe Lhe conLracL resulLlng from Lhls sollclLaLlon
for defaulL.
(Lnd of provlslon)

G.11 S2.209-7 - Informat|on kegard|ng kespons|b|||ty Matters (Iu| 2013)
(a) uefloltloos. As used ln Lhls provlslon-
AdmlnlsLraLlve proceedlng" means a non-[udlclal process LhaL ls ad[udlcaLory ln naLure ln order
Lo make a deLermlnaLlon of faulL or llablllLy (e.q., SecurlLles and Lxchange Commlsslon
AdmlnlsLraLlve roceedlngs, Clvlllan 8oard of ConLracL Appeals roceedlngs, and Armed Servlces
8oard of ConLracL Appeals roceedlngs). 1hls lncludes admlnlsLraLlve proceedlng aL Lhe lederal
and SLaLe level buL only ln connecLlon wlLh performance of a lederal conLracL or granL. lL does
noL lnclude agency acLlons such as conLracL audlLs, slLe vlslLs, correcLlve plans, or lnspecLlon of
dellverables.
lederal conLracLs and granLs wlLh LoLal value greaLer Lhan $10,000,000" means-
(1) 1he LoLal value of all currenL, acLlve conLracLs and granLs, lncludlng all prlced opLlons, and
(2) 1he LoLal value of all currenL, acLlve orders lncludlng all prlced opLlons under lndeflnlLe-
dellvery, lndeflnlLe-quanLlLy, 8(a), or requlremenLs conLracLs (lncludlng Lask and dellvery and
mulLlple-award Schedules).
rlnclpal" means an offlcer, dlrecLor, owner, parLner, or a person havlng prlmary managemenL
or supervlsory responslblllLles wlLhln a buslness enLlLy (e.q., general manager, planL manager,
head of a dlvlslon or buslness segmenL, and slmllar poslLlons).
(b) 1he offeror [_] has [_] does noL have currenL acLlve lederal conLracLs and granLs wlLh LoLal
value greaLer Lhan $10,000,000.
(c) lf Lhe offeror checked has" ln paragraph (b) of Lhls provlslon, Lhe offeror represenLs, by
submlsslon of Lhls offer, LhaL Lhe lnformaLlon lL has enLered ln Lhe lederal Awardee
erformance and lnLegrlLy lnformaLlon SysLem (lAllS) ls currenL, accuraLe, and compleLe as of
Lhe daLe of submlsslon of Lhls offer wlLh regard Lo Lhe followlng lnformaLlon:
(1) WheLher Lhe offeror, and/or any of lLs prlnclpals, has or has noL, wlLhln Lhe lasL flve years, ln
connecLlon wlLh Lhe award Lo or performance by Lhe offeror of a lederal conLracL or granL, been
Lhe sub[ecL of a proceedlng, aL Lhe lederal or SLaLe level LhaL resulLed ln any of Lhe followlng
dlsposlLlons:
(l) ln a crlmlnal proceedlng, a convlcLlon.
(ll) ln a clvll proceedlng, a flndlng of faulL and llablllLy LhaL resulLs ln Lhe paymenL of a moneLary
flne, penalLy, relmbursemenL, resLlLuLlon, or damages of $3,000 or more.
(lll) ln an admlnlsLraLlve proceedlng, a flndlng of faulL and llablllLy LhaL resulLs ln-
(A) 1he paymenL of a moneLary flne or penalLy of $3,000 or more, or
62

(8) 1he paymenL of a relmbursemenL, resLlLuLlon, or damages ln excess of $100,000.
(lv) ln a crlmlnal, clvll, or admlnlsLraLlve proceedlng, a dlsposlLlon of Lhe maLLer by consenL or
compromlse wlLh an acknowledgmenL of faulL by Lhe ConLracLor lf Lhe proceedlng could have
led Lo any of Lhe ouLcomes speclfled ln paragraphs (c)(1)(l), (c)(1)(ll), or (c)(1)(lll) of Lhls
provlslon.
(2) lf Lhe offeror has been lnvolved ln Lhe lasL flve years ln any of Lhe occurrences llsLed ln (c)(1)
of Lhls provlslon, wheLher Lhe offeror has provlded Lhe requesLed lnformaLlon wlLh regard Lo
each occurrence.
(d) 1he offeror shall posL Lhe lnformaLlon ln paragraphs (c)(1)(l) Lhrough (c)(1)(lv) of Lhls
provlslon ln lAllS as requlred Lhrough malnLalnlng an acLlve reglsLraLlon ln Lhe SysLem for
Award ManagemenL daLabase vla hLLps://www.acqulslLlon.gov (see 32.204-7).
(Lnd of provlslon)

G.12 306-1b Invo|ce and Contract I|nanc|ng kequests Subm|ss|on - Invo|ce rocess|ng
|atform (I) (December 2013)
(a) aymenLs shall be rendered ln accordance wlLh Lhe ldenLlfled paymenL schedule(s), and
any oLher lncorporaLed paymenL clause(s), speclfled raLes, and/or flxed prlce amounLs.
(b) 1he conLracLor shall submlL lnvolces elecLronlcally by means of Lhe web-based sysLem,
lnvolce rocesslng laLform (l) LhaL can be accessed aL: hLLp://www.lpp.gov/. All submlLLed
lnvolces musL be accompanled by supporLlng documenLaLlon ln accordance wlLh Lhe conLracL's
Lerms and condlLlons. 1he supporLlng documenLaLlon shall be submlLLed ln Lhe followlng
formaLs: Adobe AcrobaL (pdf), MlcrosofL Word (doc), lcLures ([peg), MlcrosofL Lxcel (excel),
and MlcrosofL CuLlook message (msg).
(c) lnvolce number lormaL - 1he formaL for Lhe lnvolce shall be Lhe conLracL number
followed by Lhe lnvolce number. 1he lnvolce number shall have no spaces, dashes, or oLher
speclal characLers. 1he lnvolce number cannoL exceed 21 characLers. Lxamples of accepLable
lnvolce number formaLs are as follows:
Lxample 1, ueflnlLlve ConLracL:
ConLracL number: Lu-A8C-13-C-1234
ConLracLor's lnvolce no.: 13897126341
l lnvolce no.: LuA8C13C1234138971263 (noLe LhaL Lhe - characLers were removed
due Lo Lhe requlremenL of noL havlng speclal characLers and Lhe lasL Lwo dlglLs [41"] from Lhe
conLracLor's lnvolce number were removed due Lo Lhe 21 characLer llmlLaLlon)
Lxample 2, 1ask/uellvery Crder ConLracL:
ConLracL number: Lu-CuL-13-A-4367/0001
ConLracLor's lnvolce no.: 138971263
l lnvolce no.: LuCuL13A4367000113897 (noLe LhaL Lhe /" and - characLers were
removed due Lo Lhe requlremenL of noL havlng speclal characLers and Lhe lasL four dlglLs
[1263"] from Lhe conLracLor's lnvolce number were removed due Lo Lhe 21 characLer
llmlLaLlon)
(d) lf Lhe ConLracLor has noL already esLabllshed an l accounL LhaL ls acLlve, an l
accounL wlll be auLomaLlcally creaLed on behalf of Lhe ConLracLor. 1he auLomaLlcally creaLed l
accounL wlll be lssued Lo Lhe ueslgnaLed rlmary AdmlnlsLraLor, whlch wlll be Lhe lndlvldual LhaL
has been ldenLlfled ln Lhe "AccounLs 8ecelvable CC" SecLlon of Lhe ConLracLor's SysLem for
Award ManagemenL (SAM) reglsLraLlon locaLed aL hLLps://www.sam.gov/porLal/publlc/SAM/.
63

(e) WlLhln Len (10) buslness days of Lhe ConLracLor enLerlng or updaLlng Lhe AccounLs
8ecelvable CC lnformaLlon wlLhln Lhe ConLracLor's SAM reglsLraLlon, Lhe ueslgnaLed rlmary
AdmlnlsLraLor wlll recelve an emall from Lhe l CusLomer SupporL 1eam conLalnlng Lhe
ueslgnaLed rlmary AdmlnlsLraLor's l username. WlLhln 24 hours of recelvlng Lhe lnlLlal emall,
Lhe ueslgnaLed rlmary AdmlnlsLraLor wlll recelve a second emall conLalnlng Lhelr l password.
Cnce boLh emalls have been recelved, Lhe ueslgnaLed rlmary AdmlnlsLraLor musL log lnLo l
and compleLe Lhe reglsLraLlon process.
(f) 1he ConLracLor's ueslgnaLed rlmary AdmlnlsLraLor wlll be auLhorlzed Lo furLher
deslgnaLe oLher admlnlsLraLors under Lhe ConLracLor's l accounL who may submlL lnvolces on
behalf of Lhe ConLracLor.
(g) 1he ConLracLor musL ensure LhaL Lhe "AccounLs 8ecelvable CC" SecLlon of lLs SAM
reglsLraLlon ls accuraLe and up Lo daLe.
(h) ln Lhe evenL LhaL an lnvolce ls re[ecLed, Lhe conLracLor shall make Lhe necessary
correcLlons and resubmlL Lhe lnvolce by means of l. Any quesLlons, concerns, or lssues
regardlng Lhe use of l should be dlrecLed Lo l CusLomer SupporL 1eam, as ldenLlfled aL
hLLp://www.lpp.gov/
(Lnd of clause)

G.13 Loca| C|ause 31.20S.70 - Iood Costs: no food may be provlded under Lhls conLracL or ln
assoclaLlon wlLh Lhls conLracL unless consenL ls provlded below. 1he cosL of food under Lhls
conLracL ls unallowable unless Lhe conLracLor recelves wrlLLen consenL from Lhe ConLracLlng
Cfflcer prlor Lo Lhe lncurrence of Lhe cosL. lf Lhe conLracLor wlshes Lo be relmbursed for a food
cosL, lL musL make a requesL ln wrlLlng aL leasL 21 days prlor Lo Lhe day LhaL cosLs would be
lncurred. 1he conLracLor shall lnclude ln lLs requesL Lhe followlng: Lhe purpose of Lhe evenL aL
whlch Lhe food wlll be served, why Lhe food ls lnLegral Lo fulflll a governmenL requlremenL ln Lhe
conLracL, and Lhe proposed cosLs. 1he lack of a Llmely response from Lhe ConLracLlng Cfflcer
shall noL consLlLuLe consLrucLlve accepLance of Lhe allowablllLy of Lhe proposed charge. ConsenL
ls hereby glven Lo Lhe conLracLor Lo: lunds are noL auLhorlzed for Lhe use of food.
MeeLlngs - lnclude, buL are noL llmlLed Lo, non-rouLlne formal conferences, congresses,
convenLlons, semlnars, symposlums, workshops, wlLh a publlshed and subsLanLlve agenda wlLh
scheduled speakers and concern maLLers of Loplcal lnLeresL Lo parLlclpanLs from mulLlple
agencles and/or non-governmenLal parLlclpanLs. As used ln Lhls dlrecLlve, meeLlngs" do noL
lnclude purely lnLernal rouLlne buslness meeLlngs prlmarlly lnvolvlng dlscusslons of day-Lo-day
lnLernal procedures or operaLlons such as, buL noL llmlLed Lo, Lu-sponsored sLaff meeLlngs, all-
hands meeLlngs, worklng groups, reLreaLs, eLc.

G. 14 Loca| C|ause 31.20S.71 - 1rave| Costs: no lnvlLaLlonal Lravel (deflned as: Cfflclal
governmenL Lravel conducLed by a non-federal employee ln order Lo provlde a dlrecL servlce"
[l.e. presenLlng on a Loplc, servlng as a faclllLaLor, servlng on a lederal Advlsory CommlLLee AcL,
or advlslng ln an area of experLlse] Lo Lhe governmenL) may be provlded under Lhls conLracL or
ln assoclaLlon wlLh Lhls conLracL unless consenL ls provlded below. 1he cosL of lnvlLaLlonal Lravel
under Lhls conLracL ls unallowable unless Lhe conLracLor recelves wrlLLen consenL from Lhe
ConLracLlng Cfflcer prlor Lo Lhe lncurrence of Lhe cosL. lf Lhe conLracLor wlshes Lo be
relmbursed for a cosL relaLed Lo lnvlLaLlonal Lravel, lL musL make a requesL ln wrlLlng aL leasL 21
days prlor Lo Lhe day LhaL cosLs would be lncurred. 1he conLracLor shall lnclude ln lLs requesL Lhe
followlng: why Lhe lnvlLaLlonal Lravel cosL ls lnLegral Lo fulflll a governmenL requlremenL ln Lhe
conLracL, and Lhe proposed cosL LhaL musL be ln accordance wlLh federal Lravel regulaLlons. 1he
lack of a Llmely response from Lhe ConLracLlng Cfflcer shall noL consLlLuLe consLrucLlve
64

accepLance of Lhe allowablllLy of Lhe proposed charge. ConsenL ls hereby glven Lo Lhe conLracLor
Lo: lunds are noL auLhorlzed for Lhe use of Lravel.

G.1S C|ause 313.237-72 C|earance of Conferences]Meet|ngs (DLCLM8Lk 2012)
Any hoLel/venue conLracL LhaL Lhe ConLracLor negoLlaLes musL be revlewed by and recelve
concurrence from an LvenL Servlces 1eam member prlor Lo flnal agreemenL. 1he LvenL Servlces
sLaff can be conLacLed aL (202) 401-3679 or evenL.servlces[ed.gov. Comps: 1he ConLracLor does
noL have auLhorlLy Lo negoLlaLe or accepL room upgrades for ueparLmenL or ConLracLor sLaff.
Powever, Lhe ConLracLor ls auLhorlzed Lo exerclse lLs besL efforLs Lo obLaln oLher Comps of
necessary lLems/servlces LhaL Lhe ueparLmenL would oLherwlse seek Lo procure ln furLherance
of Lhe conference/meeLlng (l.e., meeLlng rooms, sleeplng rooms, audlo-vlsual equlpmenL, eLc.)
uual CompensaLlon: ConLracLors are prohlblLed from recelvlng compensaLlon from boLh Lhe
ueparLmenL and any oLher source for conference plannlng performed pursuanL Lo Lhe Lerms of
Lhls ConLracL. lf Lhe vendor recelves any compensaLlon from anoLher source as a resulL of
conference servlces performed for Lhe ueparLmenL, Lhe ConLracLor wlll reporL Lhls
compensaLlon Lo Lhe ConLracLlng Cfflcer and offseL lLs lnvolce Lo Lhe ueparLmenL ln an equal
amounL.

65

Appendlx P: LeLLers of LndorsemenL (Maxlmum of 3 LeLLers for hase l)

ln Appendlx P, offerors may provlde up Lo Lhree (3) leLLers Lo endorse Lhe slgnlflcance of Lhe
proposed producL or Lhe poLenLlal paLhways for commerclal dlssemlnaLlon and susLalnablllLy of
Lhe proposed producL. Lach leLLer musL noL exceed 1-page ln lengLh. LeLLers musL adhere Lo Lhe
requlremenLs as seL forLh ln Lhe sollclLaLlon.

Notes:

SLrong leLLers of endorsemenL (1) sLaLe Lhe endorser's quallflcaLlons (e.g., why does Lhls
lndlvldual/organlzaLlon have experLlse ln Lhe area of Lhe proposed producL?), (2) refer Lo Lhe
speclflcs of Lhe proposal, and (3) may elLher speak Lo Lhe slgnlflcance of Lhe proposed producL
or speclfy fuLure roles or lnvolvemenL wlLh Lhe pro[ecL down Lhe llne (e.g., hase ll or hase lll)
should lL be successful.

LeLLers endorslng Lhe slgnlflcance of Lhe proposed producL or for poLenLlal paLhways for lLs
commerclal dlssemlnaLlon and susLalnablllLy may come from lndlvldual experLs, assoclaLlons, or
organlzaLlons ln Lhe speclflc fleld of lnLeresL, fuLure poLenLlal parLners or lnvesLors, from school
pracLlLloners who would use or posslbly purchase Lhe producL lf lL were commerclally avallable,
among oLhers.

Cfferors should oot lnclude leLLers of endorsemenL from key members of Lhe pro[ecL Leam, such
as consulLanLs or subconLracLors, as Lhe conflrmaLlon of lnvolvemenL of members of Lhe pro[ecL
Leam ls Lo be provlded ln Lhe 8lographlcal Summary of key ersonnel (SecLlon lll.l.4) and can be
dlscussed ln Lerms of how Lhe pro[ecL ls managed. Cfferors should oot lnclude leLLers from
banks or personal lenders as a means Lo demonsLraLe Lhe poLenLlal avallablllLy of hase lll
flnanclng.

1hls proposal lnformaLlon |s not counLed Loward Lhe 13-page llmlL.

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