«EFA
CONTENTS
Chapter 1: Introduction
SBIR and ORD's Strategic Plan
Chapter 2: Commercialization
Assistance
Seventeen Companies That
Successfully Commerialized
Technologies Developed Under
Chapter 3: Success Stories
EPA's SBIR Program
Profiles of Commercialized
Technologies
Appendix: EPA's SBIR Program
EPA SBIR Program
Proposal and Award Data
Geographic Distribution
of EPA SBIR Awards
SBIR Program Contacts
Environmental
Solutions:
Commercializing
SBIR Technologies
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SBIR SUCCESS STORIES
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WHAT is THE SBIR PROGRAM?
The Small Business Innovation Research (SBIR) Program
was created by the Small Business Innovation Develop-
ment Act of 1S82 to assist small businesses in trans-
forming innovative ideas into commercial products, EPA
is one of 10 federal agencies that participates in the SBIR
Program. EPA's SBIR Program has two phases—Phase I
Is the feasibility study to determine the validity of the
proposed concept and Phase II is tie development of
the technology or product proven feasible in Phase I, ERA
also offers a Phase II Option to accelerate the commer-
cialization of SBIR technologies. Companies that lever'
age third-party financial support before completing
Phase II can request additional funds from EPA under
the Phase II Option. This additional support is intended
tg encourage companies to take the steps necessary to
commercialize their technologies early in the develop-
ment phase, EPA issues annual solicitations for Phase I
and Phase II SBIR proposals and awards approximately
40-50 Phase J and 15-20 Phase II contracts each year.
Chapter I:
Introduction
The Small Business Innovation Research
(SBIR) Program is an important part of the
Environmental Protection Agency's (EPA)
research and development efforts and helps the
Agency in its mission to protect human health and
safeguard the natural environment. Through the
SBIR Program, EPA makes awards to small, high-
tech firms to help develop and commercialize cut-
ting-edge environmental technologies. The Program
is intended to spawn commercial ventures that
improve our environment and quality of life, create
jobs, increase productivity and economic growth,
and improve the international competitiveness of
the U.S. technology industry.
Since initiating its SBIR Program in the early
1970s, EPA has been supporting small
business innovators in the development of
technologies, products, and processes that are
helping the Agency to achieve its strategic, long-
term goals. These goals include clean air, clean
water, safe drinking water, better waste manage-
ment and restoration of contaminated waste sites,
preventing pollution, and reducing the health and
ecological risks associated with climate change
and stratospheric ozone depletion. These SBIR
technologies are helping to solve many of today's
complex environmental problems and to equip
our Nation to address the environmental chal-
lenges of tomorrow.
SBIR SUCCESS STORIES
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It is not by coincidence that the SBIR Program
has yielded so many technologies that address
EPA's priority environmental problems. Each
year, EPA's Office of Research and Development
(ORD) issues a solicitation for SBIR proposals.
The topic areas included in the solicitation are
linked directly to the research priorities identified in
ORD's Strategic Plan, which in turn are designed to
help the Agency achieve its strategic, long-term
goals. The SBIR Program is one of the various mecha-
nisms used by ORD for accomplishing the research
objectives described in this plan which identifies pri-
orities to be emphasized over the next few years.
These include safe drinking water, high-priority air
pollutants, emerging environmental issues (with a
near-term focus on endocrine disrupters), improve-
ment of ecosystem risk assessment and health risk
assessment, and pollution prevention and new tech-
nologies for environmental protection. The Strategic
Plan also highlights seven areas of high importance
that will continue to be a major part of ORD's re-
search program, including: troposphericozone, glo-
bal change, environmental monitoring, contaminated
sites, exposures to pesticides and toxic sub-
stances, ecosystem water quality, and air toxics.
Each SBIR solicitation topic addresses one or more
of these priority research areas. These topics are
derived from the specific research plans that are de-
veloped by staff from ORD and the Program Offices to
address the priorities identified in the ORD Strategic
Plan. SBIR topics range from drinking watertreat-
ment to prevention and control of toxic air emissions
to hazardous waste treatment. (The topic areas in the
most recent SBIR solicitation are described in the
Appendix.) The SBIR topics are updated as the stra-
tegic research focus of ORD shifts to address high-
priority research needs.
W SBIR SUCCESS STORIES
In Maf llliS, .Ef¥l» Office of Research «reJ .Qefeteprnent
(ORDJ completed work on the Sfrateffe '•Plafil&FtFtQ CJfifcesf
jgHaHf fiernettfe prlnciplef,,
mental prifetefiia, wrfrili suRporttnf ER% iH fulfilling ite min-
datet* Thf itratagli ,PIau iilii'ittfiet OflCPf ¥&«>&• iwlsslew,
long-term foafe, the pr0<»ss for Menlfying speeifie research
topics and setting prisriles and eriteria for meastirf n§ aiseess.
The Strategic Plan was updated in 11S? to reflect QUO's
eanf nuing evfilulon, ta elaborate on ffie ewluatton criteria for
determining research priorities, and to prof Ide a more detailed
descriplon af QRDla hl§h-prlor% research «reas.
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Chapter 2:
Commercialization
Assistance
Overthe past decade, dozens of innovative
technologies and products have emerged
from EPA's SBIR Program. A number of
these have moved quickly from "proof of concept"
to commercialization. In other cases, companies
are still seeking the start-up capital or other sup-
port needed to achieve commercialization of their
technologies. EPA recognizes that there are a
variety of barriers to commercialization of envi-
ronmental technologies, including obtaining the
necessary financing. New facilities, equipment,
product development, and marketing often demand
more funds than are available internally to a small
company.
ompanies are more successful at commer-
cializing theirtechnologies when they
begin financial planning early. One of the
keys to successful commercialization is a good
business plan and technology commercialization
strategy. Companies that have successfully com-
mercialized environmental technologies stress the
importance of early attention to identifying the
competition and the company's competitive edge,
developing a marketing strategy that focuses on
entering realistic markets as quickly as practi-
cable, and assembling a strong management
team to solicit partners and/or investors.
EPA has implemented several initiatives to
assist small companies in overcoming the
barriers to commercialization. These initia-
tives include: (1) requiring companies to submit
commercialization plans with their SBIR propos-
als; (2) providing technical commercialization
assistance to companies as they conduct their
Phase I feasibility studies; (3) preparing and dis-
seminating publications and resources designed
to assist small businesses in commercializing
theirtechnologies; (4) organizing venture capital-
ist forums to help companies obtain financing;
(5) sponsoring environmental forums to educate
the investment and economic development commu-
nities about trends, challenges, and opportunities
in the environmental industry; and (6) informing
companies of the resources offered by the Small
Business Administration (SBA) to small firms
seeking to commercialize technologies.
Requirements for
Commercialization Flam
To encourage SBIR awardees to consider
commercialization early in the develoment
process, EPA now requires companies to
submit an abbreviated commercialization plan as
part of the Phase I technical proposal. EPA also
provides commercialization technical assistance
to companies during Phase I that is designed to
help them prepare detailed commercialization
plans, which must be submitted as part of their
Phase II proposals. These detailed plans must
address the following:
a. SBIR Project: A brief description of the
company, its principal field(s) of interest,
size, and current products and sales is re-
quired. A concise description of the SBIR
project and its key technical objectives also
must be included in the commercialization
plan.
Commercial Applications: The plan
should identify primary applications, mar-
kets, and uses of the technology specifying
the potential customers and specific needs
that will be satisfied. The contractor is not
required to identify the capacity for second-
ary market opportunities or alternate uses
associated with these markets. The contrac-
tor is expected to identify specific potential
partners for the primary markets/uses identi-
fied for the technology.
Competitive Advantages: The plan should
describe what is particularly innovative about
the anticipated technology or product. (Inno-
vation may be expressed in terms of applica-
tions, performance, efficiencies, or reduced
cost.) It also should identify the significant
advantages of the proposed product over ex-
isting technologies.
Markets: The anticipated market for the re-
sulting technology, its estimated size, class
of customers, and the company's estimated
market share 5 years after the SBIR project
is completed and/or first sales should be
specified in the plan. It also should identify
the current major competitors in the market
as well as those anticipated in the future.
Commercialization: The plan should briefly
describe how the company expects to pro-
duce the product (e.g., manufacture it in-
house, subcontract manufacturing, enter into
a joint venture or manufacturing agreement,
license the product). It also should describe
the approach and steps (e.g., market the
product itself, market it through dealers,
contract sales, marketing agreements,
SBIR SUCCESS STORIES \ * /
™^.
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sales representatives, or foreign companies;
enter into joint ventures) the company plans
to take to commercialize the technology or
product and to achieve significant sales. In
addition, the company's strategy for raising
money to support commercialization activi-
ties should be delineated in the commercial-
ization plan.
Commercialization
Technical Assistance
The Small Business Act authorizes federal
agencies with SBIR programs to enter into
contracts to provide technical assistance
to SBIRawardees on all facets of commercial-
ization. Foreach Phase I award, EPA can provide
up to $4,000 of SBIR funds (above the Phase I
SBIR contract award amount) for such technical
assistance.
Each year, EPA engages a contractor experi-
enced in business planning and commercializa-
tion to assist the Phase I awardees in preparing
comprehensive commercialization plans. These
plans typically include a description of the project,
the potential commercial applications, and the
competitive advantages envisioned by the com-
pany. The commercialization plans also include
the results of market studies and a strategy for
commercializing the technology. Overthe past 2
years, this assistance has been shown to be in-
valuable in aiding small businesses to develop
credible commercialization plans that will help
them achieve their commercialization goals in a
timely manner.
Commercialization
Phase II Option
EPA also offers financial assistance to accel-
erate commercialization of SBIR technolo-
gies through a Phase II Option. Companies
that receive Phase II contracts can request addi-
tional funds from EPA if they are able to leverage
third-party financial support to accelerate Phase II.
This Phase II Option is not intended to extend
Phase II or delay market entry, only to accelerate
technology commercialization by encouraging com-
panies to attract third-party financing before com-
pleting Phase II. EPAs Phase II Option is aimed
at helping small businesses explore commercial-
ization at the same time they are conducting the
research needed to develop the technology.
Commercialization
Guides
EPA published the Guide to Technology Com-
mercialization Assistance for EPA SBIR
Program Awardees (EPA/600/F-97/014),
which identifies federal, state, and private re-
sources for commercialization assistance. This
commercialization assistance guide presents in-
formation on various programs and organizations
that offer technical and financial assistance as
well as information and other resources, to small
businesses and entrepreneurs. The guide also
identifies resources available on the Internet that
may provide useful information for companies in-
terested in commercializing a technology. EPA
also has disseminated to SBIR companies a pub-
lication entitled Making Money With Your Technol-
ogy: A Guide to Commercial Success, which was
prepared by the Research Triangle Institute under
contract to the National Aeronautics and Space
Administration (NASA). This guide offers insights
from other companies that have successfully de-
veloped and marketed new technologies and iden-
tifies what these companies consider to be the
key factors for commercialization success. EPA
has plans to develop a guide that will assist small
companies in obtaining financing for development
and commercialization of environmental technolo-
gies and products.
Venture capitalist forums are organized
by EPA to provide SBIR companies the
opportunity to meet and discuss their
technologies and financing needs with large
companies, venture capitalists, and other small
businesses. The Agency has found that such
forums are an effective means of fostering partner-
ships as well as investments in new technologies.
These forums offer SBIR awardees the opportunity
to obtain the capital and resources needed to com-
mercialize and markettheirtechnologies. EPA
also sponsors environmental forums to educate
the investment and economic development com-
munities about trends, challenges, and opportuni-
ties in the environmental industry. These environ-
mental forums promise to be an excellent vehicle
to help investors and partner companies recog-
nize the potential of small environmental technol-
ogy firms.
SBIR SUCCESS STORIES
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COMMERCIALIZATION GUIDES FOR
SBIR AWARDEES
SEA Resources For
Small Bus nesses
The SBA has a number of resources, many of
which can be accessed on the Internet at
www.sJba.gov, to assist small businesses that
are seeking commercialization assistance, including:
a. Commercialization Matching System (CMS):
The CMS links potential sources of capital with
firms that are participating in the SBIR Program.
b. Small Business Development Centers
(SBDCs): The SBDC Program provides manage-
ment and technical assistance to current and
prospective small business owners.
c. Service Corps of Retired Executives
(SCORE): Executives and business owners do-
nate theirtime to counsel, educate, and advise
small businesses.
d. Business Information Centers (BICs): The
BICs offer counseling and training services to
small businesses.
e. Small Business Investment Company (SBIC)
Program: SBICs use their own capital, plus
funds borrowed at favorable rates with an SBA
guarantee, to make venture capital investments
in small businesses.
f. Financial Assistance Programs: The SBA
offers low interest loans to small businesses.
g. Angel Capital Electronic Network (ACE-Wetj:
The ACE-A/ef is an Internet-based service that
provides information to angel investors on small
companies seeking equity financing.
SBIR SUCCESS STORIES
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WHERE ARE THESE 17
SUCCESSFUL COMPANIES LOCATED?
Bend Research, Inc
OR
lonEdge Corporation
Nanomatenals Research Corp
Sea Sweep, Inc. *
TDA Research, Inc.
CO
Advanced Technology Materials, Inc.
pxley Research, Inc. ^
Precision Combustion, Inc.
CT
Faraday Technology, Inc
OH
Membrane
Technology
and Research, Inc.
CA
SpectraCode, Inc.
KSE, Inc.
LSR Technologies, Inc.
NITON Corporation
MA
Sigma Technologies
International, Inc.
AZ
National Recovery
Technologies, Inc.
TN
EnerTech
Environmental
GA
Chapter 3:
Success Stories
Dozens of small businesses have success-
fully commercialized technologies devel-
oped under EPA's SBIR Program. Seven-
teen of these companies are described in this
chapter. These 17 success stories have been se-
lected because these companies have success-
fully transitioned their ideas into commercially
viable products which have generated revenues
that exceed the funding provided by EPA's SBIR
Program. Each profile includes a description of
the technology, its environmental benefits, and
the company's commercialization efforts.
This chapter highlights just a few of the in-
novative technologies that have resulted
from EPA's investment in research at small
companies across the country. These success
stories testify to the important role that EPA's
SBIR Program has played in enlisting the ingenu-
ity and creativity of America's small high-tech
firms to develop innovative technologies that im-
prove and protect our environment.
SBIR SUCCESS STORIES
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SEVENTEEN COMPANIES THAT SUCCESSFULLY COMMERCIALIZED TECHNOLOGIES
DEVELOPED UNDER EPA's SBIR PROGRAM
EnerTech Environmental
Slurry Carb" Process for Clean Energy from Municipal Solid Waste
Faraday Technology, Inc.
E-CHANGE In-process Recycling System for Electroplating Rinsewater
lonEdge Corporation
Zero-Waste Dry Plating Process
KSE, Inc.
Solvent-Free Polymerization Process
LSR Technologies, Inc.
Core Separator System for Controlling Particulate Emissions
Membrane Technology and Research, Inc.
Membrane Process to Recover Monomer in Polyolefin Plants
Advanced Technology Materials, Inc.
Solid Scrubber for the Semiconductor Industry
Bend Research, Inc.
Membrane-Based System for the Recovery and Reuse of Solvents
Air/Hazardous Waste
Pollution Prevention/
Solid Waste
Pollution Prevention/
Hazardous Waste
Pollution Prevention/Air/
Hazardous Waste/Solid Waste
Pollution Prevention/
Air/Water
Pollution Prevention
Pollution Prevention/
Solid Waste
Pollution Prevention/
Hazardous Waste
Pollution Prevention/
Air/Hazardous Waste
Nanomaterials Research Corporation
Hazardous Solvent-Free Manufacturing Process for Electroceramic Powders
National Recovery Technologies, Inc.
Infrared Fingerprint Sorting of Postconsumer Plastics Resins
NITON Corporation
NITON XL-309 Dual Detector Lead Paint Analyzer
Oxley Research, Inc.
Electrolytic Regeneration Process for Restoring Acid Cupric Chloride
Printed Circuit Board Etchant
Precision Combustion, Inc.
Microlith" Fast Lightoff Catalytic Converters
Sea Sweep, Inc.
Environmentally Benign Oil Absorbent
Sigma Technologies International, Inc.
Surface Functionaiization Process for Packaging Films to Promote Adhesion
of Aqueous-Based Inks
SpectaCode, Inc.
RP-1 Polymer Identification System for Sorting Plastics
TDA Research, Inc.
Selenium Removal Process for Petroleum Refinery Wastewaters
Pollution Prevention/
Solid Waste
Water
Phase I
SBIR SUCCESS STORIES
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SOLID SCRUBBER FOR
SEMICONDUCTOR
INDUSTRY
ADVANCED TECHNOLOGY MATERIALS, INC.
DANBURY, CONNECTICUT
Advanced Technology Materials, Inc. (ATMI), was
awarded an EPA SBIR contract to develop an
innovative solid scrubbing material designed espe-
cially to reduce toxic air emissions from the semi-
conductor industry. With 30 times the capacity of
activated carbon, the new material became the core
of the Novapure dry scrubber system that was in-
troduced into the market in 1991. The Novapure
system has broad application in the electronics
industry and in research and development institu-
tions where small amounts of hazardous materials
are routinely employed in chemical vapor depo-
sition (CVD) processes.
The rapid growth of the American microelectron-
ics industry has spawned new environmental chal-
lenges associated with the processes used to
prepare semiconductor chips that are key compo-
nents of sophisticated electronic devices. Silane,
phosphine, and arsine are used in CVD steps in
semiconductorfabrication. Although large compa-
nies have built expensive facilities for handling
small amounts of these materials, small manufac-
turers have vented the gas to the atmosphere or
used similar unacceptable techniques. As produc-
tion increased, however, venting of these gases to
the atmosphere was no longer an option. The
Emergency Planning and Community Right-to-
Know Act designates silane, phosphine, and ars-
VY°/ SBIR SUCCESS STORIES
~
ATMI's Novapure Dry Scrubber System, designed to reduce toxic air
emissions from the semiconductor industry, was introduced into the
market in 1991.
ine as extremely hazardous chemicals used by
the semiconductor industry; these chemicals also
are regulated as toxic chemicals underthe Clean
Air Act. ATMI's scrubber system transforms these
toxic gases into nonvolatile, benign solids through
chemical absorption. By neutralizing, solidifying,
and concentrating hazardous effluent up to 20,000
times, this technology helps to eliminate toxic air
emissions and minimize solid toxic wastes from
small semiconductor manufacturers.
Since the award of this SBIR contract, ATMI has
developed a family of novel vent gas scrubbers
that are cost effective in reducing toxic air emis-
sions from small quantity CVD processes as well
as toxic air emissions released by semiconductor
manufacturers. ATMI has spun off this product line
into its subsidiary, EcoSys, which is now the larg-
est supplier of point-of-use emission control equip-
ment for the semiconductor industry in the world.
EcoSys process scrubbers are smaller than tradi-
tional air pollution control equipment. Instead of a
single large installation outside a fabrication plant,
EcoSys products are small enough to be located
at each individual pollution source.
This SBIR project also led to the development of
several new safety-related products forthe semi-
conductor industry. One product, called the Safe
Delivery Source or SDS that uses absorbent ma-
terials similar to those of the dry scrubber sys-
tem, eliminates the use of high pressure toxic
gases in the semiconductor industry.
ATMI was granted four U.S. patents on its dry
scrubber technology, and in just 3 years, the
company's business grew to nearly $6 million
in annual sales. To expand its environmental con-
trol equipment market, in 1994 and 1995 ATMI
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acquired the rights to alternative technologies, in-
cluding wet scrubbing and combustion scrubbing.
These acquisitions increased ATMI's annual rev-
enues to nearly $30 million. Since 1987, when
ATMI was awarded the EPA SBIR Phase I con-
tract, the company has grown from four employ-
ees working in a small garage in New Milford, CT,
to nearly 480 employees in numerous locations
around the world with revenues of more than $100
million. In recognition of its outstanding achieve-
ments in technology innovation, ATMI received the
Tibbetts Award in 1996. This award is presented
by the SBA to companies associated with the
SBIR Program that are models of excellence in
the area of high technology.
ATMI's EcoSys Emergency Release Scrubber traps unexpected releases of toxic or
hazardous gases before they can escape to the atmosphere.
SBIR Impact
ATMI's dry scrubber system reduces toxic air
emissions from the semiconductor industry.
The innovative solid scrubbing material, the
core of ATMI's Novapure dry scrubber, has 30
times the capacity of activated carbon.
This SBIR contract led to the development of a
family of novel vent gas scrubbers that are cost
effective in reducing toxic air emissions from
chemical vapor deposition processes as well as
several new safety-related products that elimi-
nate the use of toxic gases in the semiconductor
industry.
In 1996, ATMI received the Tibbetts Award in
recognition of the company's excellence in the
area of high technology.
ATMI has grown from four employees in 1987 to
nearly 480 employees in 1997 with annual rev-
enue of more than $100 million.
SBIR SUCCESS STORIES\¥
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MEMBRANE-BASED
SYSTEM FOR THE
RECOVERY AND REUSE OF
SOLVENTS
BEND RESEARCH, INC.
BEND, OREGON
Bend Research, Inc., through funding from EPA's
SBIR Program and private clients, has developed
a membrane-based system forthe recovery and
reuse of alcohol-based solvents. More than 2.3
billion pounds of solvents are used annually in the
United States in manufacturing and industrial
cleaning processes. Industry is steadily increas-
ing its efforts to eliminate chemical emissions and
to reduce the costs of hazardous waste disposal
that result from solvent use. In this move toward
reduction of hazardous wastes, industry has fo-
cused particularly on minimizing the use of hydro-
carbon and chlorinated solvents, turning toward
aqueous-, alcohol-, orglycol-based solvents. Hy-
drocarbon and chlorinated solvents are regulated
as hazardous substances and many chlorinated
solvents have been identified as ozone-depleting
chemicals, which are being phased out by the
Clean Air Act Amendments of 1 990. Replacing
hydrocarbon and chlorinated solvents with alcohol-
based solvents eliminates the air emissions and
hazardous waste disposal costs that were associ-
ated with their use. However, the switch to these
"oxygenated" solvents has made recycling even
more difficult, especially when water must be re-
moved, because many oxygenated solvents form
_ VY/ SBIR SUCCESS STORIES
~ -
Bend Research's membrane-based solvent recovery system can
dehydrate solvents, such as isopropyl alcohol, effectively to
make recycling of aqueous- or alcohol-based solvents practical
and cost effective.
azeotropes with water. Conventional unit opera-
tions for "breaking" azeotropes are too expensive
and/or too complex to make the recycle of alco-
hol-based solvents practical in many applications.
The membrane-based system developed by Bend
Research overcomes these problems through two
innovations: (1) solvent- and temperature-resis-
tant hollow-fiber modules, and (2) a novel operat-
ing mode that maximizes system performance. In
the process, the spent solvent is sent to an eva-
porator, and the vaporous overhead is sent to a
membrane module containing permselective mem-
branes. These highly selective "vapor-permeation"
membranes allow waterto pass through, while
restricting the passage of the solvent. The mem-
brane module produces a product stream of high-
purity solvent that is free from contaminants and
suitable for recycle. This research has resulted in
patents on the membrane module and the mem-
brane system.
Through Bend Research's spin-off company, Cas-
cade Separations, Inc., private clients have pro-
vided funding to commercialize this technology.
The initial market focus is on the recycle of iso-
propyl alcohol (IPA) and the production of ultra-
pure IPA forthe electronics industry. Future mar-
ket areas include the dehydration of other solvents
(such as ethanol, tetrahydrofuran, and acetone)
and the removal of contaminants other than water
from solvents.
IPA is used as a drying agent by the electronics
industry for drying parts (e.g., silicon wafers, hard
disks, circuit boards). The parts are submerged
into an IPA "vapor cloud," where hot IPA con-
denses on the cold parts and pulls off the water.
The IPA/water mixture then is collected in a drip
tray and removed from the dryer. The membrane-
based system developed by Bend Research
treats this "wet" IPA, producing dry IPA that can
be reused in the dryer.
Tests have shown that the membrane-based sys-
tem can take IPA contaminated with as much as
20 weight percent water and produce purified sol-
vent containing less than 0.1 weight percent water
(i.e., 99.9 weight percent IPA). This system allows
reuse of the spent IPA, reducing the amount of
IPA waste generated as well as the amount of
new IPA that must be purchased for use in the
dryer. The membrane-based system also re-
moves particulates and metal ions from the IPA;
therefore, the reprocessed IPA is often "cleaner"
than newly purchased IPA.
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Systems based on this technology have been in
operation for more than 18 months, effectively re-
processing IPAfora hard-disk manufacturer. The
systems have worked well in an industrial setting,
resulting in increased yields in the disk-manufac-
turing process. Recently, this disk manufacturer
brought another membrane-based system on line
for an additional dryer.
Initial results have shown that this technology is
both effective and economical. The results also
have shown that improvements could be made to
the hollow-fiber vapor-permeation modules to fur-
ther decrease the costs of reprocessing the IPA.
These; improvements were the focus for the Phase
II SBIlt||rx>gram. The improved modules are being
manufacifiied and will be installed soon.
^il-
''%
By leveraging EPA funding with private-sector re-
sources, Bendftesearch has successfully com-
mercialized this rfl^mbrane-based technology.
The hollow-fiber vajSor-permeation modules are be-
ing manufactured aTBend Research Manufactur-
ing, a wholly owned subsidiary of Bend Research.
These modules are siH to an exclusive licensee
of this technology, Casjtede Separations, Inc.—
an engineering, systeriirrnanufacturing and mar-
keting company that waScreated to provide
membrane-separation systems to end users in
target industries. Cascadi has received funding
from several private sourfSs for commercialization
of this technology. CasciU's initial market focus
is providing systems for tie electronics industry,
with recent focus on the piQduction of ultra-pure
IPA using a modified flovfifcheme based on the
hollow-fiber membrane tkJlnology developed by
Bend Research under EfiA's SBIR Program.
SBIR Impact
Bend Research's membrane-based system makes the
recycling of oxygenated solvents more cost effective,
thus providing a desirable alternative to using hydrocar-
bon and chlorinated solvents that produce toxic air emis-
sions and hazardous wastes.
Bend Research has developed a membrane-based sys-
tem that effectively dehydrates solvents. It can reduce
the concentration of water in alcohols and other indus-
trial solvents to as low as 10 ppm. The technology also
can be used to break azeotropes.
Several systems have been installed by a hard-disk
manufacturer to reduce the amount of IPA required in
vapor dryers used for drying parts. Results have shown
that the use of this technology: decreases the amount of
IPA waste generated, decreases the amount of new IPA
needed, and increases manufacturing yields.
The initial market focus is on IPA reprocessing and the
production of ultra-pure IPA for the electronics industry.
Future market areas include the dehydration of other
solvents (e.g., ethanol, tetrahydrofuran, acetone) and
removal of contaminants other than water from solvents.
SBIR SUCCESS STORIES
13
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CLEAN ENERGY FROM
MUNICIPAL SOLID WASTE
ENERTECH ENVIRONMENTAL
ATLANTA, GEORGIA
EnerTech Environmental, with the funding provided
by EPA's SBIR Program, has successfully devel-
oped the SlurryCarb™ Process, an innovative pro-
cess that chemically converts municipal sewage
sludge (MSS), municipal solid waste (MSW), and
other organic wastes into a high-energy, liquid fuel
(or slurry) that is cleaner to combust than most
coals. Because the SlurryCarb™ Process elimi-
nates the need to burn or landfill organic wastes—
such as MSS and MSW—its use can help address
the problem of landfill overcrowding and air emis-
sions (e.g., VOCs, hazardous air pollutants,
methane) from landfills. In addition, this technol-
ogy supports EPA's strategic goal of decreasing
the quantity of waste requiring disposal.
SlurryCarb™ is a highly adaptive system that can
stand alone or be used in combination with exist-
ing or planned waste disposal strategies. Simplic-
ity of operation is key to the SlurryCarb™ proce-
dure. MSS or MSW is brought to a central manu-
facturing facility where it is converted into a uniform,
pumpable slurry. The slurry can be created from a
single waste stream such as MSS or a combi-
nation of wastes such as MSS and MSW. The
product fuel, known as "E-Fuel," then can be
transported through pipes ortankers to industrial
and utility users where it is burned as a supple-
ment or substitute for conventional fuels such as
coal or oil.
E-Fuel™ can be produced up to 7,720 Btu/lb (wet
or slurry basis) at 52.0 weight percent solids (the
remainder is water) and easily fired into pulverized
coal boilers via spray nozzles and combusted with
less than 20 percent excess air. In addition, the
SlurryCarb™ Process removes over 98 percent of
the feed chlorine, greatly reducing HCI emissions
and boiler corrosion from combustion of E-Fuel™.
Without extensive air pollution control systems,
the CO, NOx, trace metal, and dioxin emissions
from the combustion of E-Fuel™ are well below
EPA's New Source Performance Standards
(NSPS) for Municipal Waste Combustion (MWC),
and the SO2 emissions are comparable to the
NSPS for extensive air pollution control systems.
With the SlurryCarb™ process, collected waste
is processed as a fluid in continuous equipment,
which provides savings in capital and operating
costs. The feed waste is chemically altered so
that it becomes a uniform, pumpable slurry fuel
that can be used onsite or pumped, piped, or
tankered to a customer. In addition, waste stream
components, which typically must be cleaned
from the flue gas after combustion (i.e., chlorine,
ash, sulfur, etc.), instead are removed in the front-
end of the process at a lower cost per ton of pol-
lutant removed. The technical advantages of the
SlurryCarb™ process all contribute to its excel-
lent economics. A 100 ton per day sludge facility
can operate profitably at a tipping fee of $40 per
as received ton (assuming the sludge enters the
SlurryCarb™ system at 20 percent solids). Re-
duced-capacity units (i.e., 25-50 tons/day) have
similarly strong economics. In the United States
alone, 8 million dry tons of MSS and 210 tons of
MSW are produced every year. EnerTech's cost of
disposal is equal to or below the average cost of
conventional disposal options forthese wastes.
Smaller communities now have available to them
MSW RDF Slurry • E-Fuel Utilization
of E-Fuel
The SlurryCarb™ Process can generate a quality fuel from several low-grade fuels and wastes, including municipal solid waste and
municipal sewage sludge.
SBIR SUCCESS STORIES
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a clean and affordable method of MSS disposal
that reduces landfill demands and eliminates the
need fora combustion facility to burn wastes. In-
stead, the waste is converted to a valuable fuel
and then exported to the marketplace.
Through an agreement with Mitsubishi Corpora-
tion, construction of a 20 ton/day (as received
MSW) unit in Japan was completed in early 1997.
EnerTech also has signed an agreement with TS
Group, Ltd., to build a unit in Korea. Construction
of this unit is expected to begin in 1999. Having
successfully piloted this technology in the United
States, EnerTech currently is working with Jacob;
Engineering, the American Plastics Council, a
the Westinghouse Savannah River Company to
build its first commercial facility in this country by
the end of 1999.
This 20 ton/day unit, which began operating in Japan in early March 1997, was designed as a
fully integrated commercial-scale system for local MSW. The product fuel from the facility is
cofired in a pressurized gasifier for hydrogen production or cofired in a cement kiln for heat
production.
SBIR Impact
EnerTech's SlurryCarb™ Process eliminates
solid waste by converting municipal sewage
sludge, municipal sold waste, and other or-
ganic wastes into a high-energy liquid fuel
that burns cleaner than most coals.
Because the SlurryCarb™ Process eliminates
the need to burn or landfill organic wastes, its
use can help address landfill overcrowding
and reduce air emissions from municipal in-
cinerators and landfills.
The economic and operational viability of the
SlurryCarb™ Process has been successfully
demonstrated at the 20 ton/day level using
municipal solid waste as a feedstock.
EnerTech is negotiating with a consortium of
companies to construct a 100 ton/day facility in
the United States, which will springboard this
technology into the U.S. commercial market.
SBIR SUCCESS STORIES
15
T
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IN-PROCESS RECYCLING OF CONTAMINATED
ELECTROPLATING RINSE WATER UTILIZING A
MODULATED ELECTRIC FIELD AND IN-SITU
REGENERATION
FARADAY TECHNOLOGY, INC.
DAYTON, OH
Faraday Technology, Inc. (FaraTech) has devel-
oped the patented E-CHANGE™ In-Process Re-
cycling System with funding from EPA's SBIR
Program. The E-CHANGE™ System can recycle
approximately 90 percent of contaminated electro-
plating rinse water back into the plating process.
Contaminated rinsewaters from electroplating
have been traditionally treated onsite by conven-
tional hydroxide precipitation, resulting in solid-
phase wastewater treatment sludges. In 1992,
there were releases of 73,000 metric tons of copper/
lead compounds and 227,000 metric tons of met-
als to the environment. Costs associated with the
transport and disposal of copper/lead sludges and
metal sludges were in excess of $25 million and
$62 million, respectively, with additional costs
associated with the liability of future landfill cleanup.
E-CHANGE™ offers the environmental benefit of
nearly eliminating the generation of copper/lead
sludges, which are regulated by EPA as hazard-
ous substances. This system can save the aver-
age electroplaterthousands of dollars by eliminating
hazardous waste transport and disposal costs
and reducing annual water and sewer expenses.
SBIR SUCCESS STORIES
It also saves electroplaters money by recovering
the metal content of the rinse water.
The E-CHANGE™ system is a unique, hybrid
technology utilizing the benefits found in conven-
tional ion-exchange and electrowinning. The sys-
tem utilizes a Modulated Electric Field (MEF) to
enhance mass transport and to enable electric
regeneration to occur in situ. Fara-Tech's objective
in developing this technology was to provide the
"average" job shop platerwith "point-source" pollu-
tion prevention capabilities at a cost-effective price
with a return on investment (ROI) of less than 12
months. Testing indicates that the E-CHANGE™
system can recycle approximately 90 percent of
the contaminated rinse water (10 percent of the
rinse water is lost due to evaporation). The dilute
stream is adjusted for pH and used for rinsing
plated parts. The concentrate is used to make up
the plating solution, automatically readjusted for
plating in situ without creating a secondary waste
stream.
Faraday's E-Change™ In-Process Recycling System is capable of recycling approximately 90 percent of the contaminated
electroplating rinse water back into the plating process, nearly eliminating metal sludges and significantly reducing water use.
the plating |
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FaraTech has validated this technology using two
limited Beta tests for acid copper rinse water.
FaraTech has delivered two systems, one fora
limited production printed wiring board (PWB)
manufacturing facility and another for a govern-
ment research facility. Additional laboratory data
have been compiled for lead-tin rinse waterwith a
Beta test scheduled for late 1999.
FaraTech also has completed feasibility studies
for the decontamination of hexavalent chromium
and electroless nickel plating baths, and FaraTech
plans to exploit this innovative technology for other
rinse water constituents such as nickel and zinc.
FaraTech's commercialization efforts have in-
cluded: (1) product promotion at professional soci-
ety/industry conferences; (2) substantial corporate
investment in both manufacturing issues and intel-
lectual property; (3) a detailed economic analysis,
including complete system cost and estimated
system pricing scenarios; and (4) detailed discus-
sions with several potential vendors for market dis-
tribution of the technology.
By implementing a unique business strategy
that utilizes a "Technology Rich Platform" based
on the scientific ways in which asymmetrical elec-
tric fields influence electrochemical processes,
FaraTech is developing multiple products and
processes for various markets. The platform repre-
sents a new way of applying electrochemical prin-
ciples to the electroplating/metallization, fuel cell/
powersupply, machining, environmental, and cor-
rosion market segments. FaraTech has three U.S.
patents issued, seven U.S. patents pending, one
foreign patent pending, and five additional U.S.
patent applications to be filed in 1999.
SBIR Impact
FaraTech's E-CHANGE™ can recycle approxi-
mately 90 percent of the contaminated electro-
plating rinse water back into the plating process.
The system nearly eliminates the generation of
metal sludges, and the liability associated with
their transportation and disposal.
FaraTech's innovative in-process recycling
system is designed to provide the "average" job
shop plater with a "point-source" pollution pre-
vention capability at a cost-effective price with
a return on investment of less than 12 months.
FaraTech's system also saves the average
electroplater thousands of dollars in sludge
disposal costs and water and sewer expenses.
Two E-CHANGE™ Systems for acid copper appli-
cations are being built—one for a limited produc-
tion printed wiring board manufacturing facility
and the other for a government research facility.
An additional E-CHANGE™ System is undergo-
ing a Beta test at a specialty wire manufacturing
facility for a lead-tin solder process.
SBIR SUCCESS STORIES
17
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ZERO-WASTE DRY
PLATING
I ON EDGE CORPORATION
FORT COLLINS, COLORADO
lonEdge Corporation, with the funding provided by
EPA's SBIR Program, has developed and commer-
cialized an innovative metal plating technology
that results in "zero-waste." It eliminates most of
the air emissions, wastewater, and solid and haz-
ardous wastes associated with zinc and cadmium
plating. One EPA study noted that electroplating
effluents are the single largest source of natural
water contamination in the United States (Electro-
plating Wastewater Sludge Characterization,
EPA-600/52-81 -064). Much of the waste from con-
ventional electroplating operations is associated
with contaminated rinse waters, which require
treatment and subsequent disposal of a hazardous
sludge in an approved landfill. lonEdge's process
eliminates the costs and liabilities related to the
transport and disposal of hazardous sludges;
waste treatment savings are estimated to exceed
$1,000 per day for the average electroplater. Be-
cause lonEdge's plating process takes place in a
sealed chamber, it also minimizes operator expo-
sure to hazardous particle emissions and elimi-
nates solid waste by facilitating in situ recycling
of the metals used in the plating process. In addi-
tion, this dry plating process uses less chemicals,
requires 75 percent less energy, and reduces wa-
ter consumption by an order of magnitude in com-
parison to conventional electroplating processes.
Zinc and cadmium coatings are electroplated on
steel hardware components used in the defense,
aerospace, automotive, and construction indus-
tries to protect them from corrosion in natural envi-
ronments. The electroplating process is
occupationally and environmentally hazardous
because it requires the use of toxic liquids and
generates large quantities of contaminated waste-
water and solid and hazardous wastes.
To address environmental and occupational issues
related to electroplating, lonEdge achieved zero-
waste plating by using the novel concept of a vapor
bath inside a vacuum in lieu of the conventional
liquid bath in air. Furthermore, special technologi-
cal features of the lonEdge process allow for ma-
terial recycling. Only the parts exiting the chamber
are plated, leaving the chamber and racks free of
deposits. The sealed chamber operation also
minimizes operator exposure to hazardous par-
ticle emissions. The dry-plating line consists of
only four process steps as opposed to a dozen
bath operations in conventional electroplating, and
a waste treatment facility is unnecessary.
A rack plating apparatus using lonEdge's process
has been in production for more than 2 years. For
a batch of parts, the start-to-finish process time
forthe degrease-to-chromate operation is about
30 minutes. The quality of lonEdge's cadmium
coatings has been acceptable according to stan-
dard federal and U.S. military specifications, and
the coatings have performed well in more than
7,000 hours in salt-fog tests. The apparatus and
process developed during the EPA SBIR project
were upgraded and improved to meet customers'
requirements in pilot production. In-process improve-
ments and adjustments were made to maintain
product quality and to achieve process repeatabil-
ity. Test samples from three prospective custom-
ers were coated on the pilot line. The quality of
these coatings was evaluated and approved by all
three customers.
This success led to the first commercial sale of
the dry-plating process to an aerospace customer
who requested lonEdge to set up three additional
processes to complete the customer's plating line.
The expanded plating line and processes have
been certified for coating aerospace parts, and
lonEdge continues to provide coating services to
the aerospace industry. During 1998 alone, more
than 50,000 steel components were cadmium dry
plated on this plating line. These components are
now in service in commercial airplanes, jet fight-
ers, helicopters, and missiles. lonEdge is prepar-
ing a business plan for expanding the dry-plating
line to increase the throughput by an order of mag-
nitude (in the range of 2,000 parts of 1-inch size/
hour). Simultaneously, a full commercial produc-
tion plating line will be installed for high-volume
parts processing (10,000 parts/hour), which will
allow customers to evaluate the full economic
benefits of the dry-plating process. lonEdge is
SBIR SUCCESS STORIES
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lonEdge achieved zero-waste plating by using the novel concept of a
vapor bath inside a vacuum in lieu of the conventional liquid bath in air.
This technology eliminates most waste associated with plating;
reduces chemical, water, and energy consumption; and significantly
reduces waste treatment costs.
SBIR Impact
lonEdge has developed a zero-waste dry plating
process that eliminates most of the air emissions,
wastewater, and solid and hazardous wastes
associated with zinc and cadmium plating.
lonEdge's dry plating process eliminates the need
for conventional toxic plating bath liquid chemi-
cals and minimizes the liabilities related to the
transport and disposal of hazardous sludges.
The zero-waste dry plating process is economical—
it requires 75 percent less energy, reduces water
usage by an order of magnitude, and results in
waste treatment cost savings of approximately
$1,000 per day, for an average electroplater.
lonEdge's in-house dry plating line has been cer-
tified for use by an aerospace company. lonEdge
is seeking strategic partnerships for implementa-
tion of a plan to expand the dry plating line to
increase throughput by an order of magnitude,
along with installation of a full commercial pro-
duction line for high-volume processing (10,000
parts/hour).
SBIR SUCCESS STORIES
19
T
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SOLVENT-FREE
POLYMERIZATION
PROCESS
KSE, INC.
AMHERST, MASSACHUSETTS
KSE, Inc., through funding provided by EPA's
SBIR Program, has developed a polymerization
process that produces methyl vinyl ether and ma-
leic anhydride (MVE/MAN) copolymers without
the use of benzene. Benzene is regulated as haz-
ardous underthe Clean Air Act, the Safe Drinking
Water Act, the Resource Conservation and Recov-
ery Act, and the Clean Water Act. EPA has clas-
sified benzene as a known human carcinogen of
medium carcinogenic hazard. Long-term exposure
to benzene at various levels has been determined
to be carcinogenic by the U.S. Department of
Health and Human Services, and it also may be
harmful to the immune system.
Benzene and othertoxic chemicals have been
used as solvents for decades. A particularly im-
portant example is the use of benzene as the
polymerization solvent in the synthesis of copoly-
mers of MVE/MAN. Approximately 150 million
pounds of benzene are consumed annually in the
manufacture of the 25 million pounds of MVE/
MAN copolymerthat are produced in the United
States each year. The copolymer product from
this process is centrifuged and then dried—both
steps resulting in benzene emissions. MVE/MAN
copolymer product has been sold containing up to
2 percent benzene by weight. KSE's solvent-free
polymerization process could eliminate the use of
\¥°/ SBIR SUCCESS STORIES
~
this 150 million pounds of benzene, the health
risks associated with benzene emissions during
the polymerization process, and the health risks
associated with residual benzene in consumer
products that are manufactured with MVE/MAN
copolymer. It is used, for example, in the manufac-
ture of the most widely used denture adhesive in
the United States. The copolymer reacts with sa-
liva to produce a strong adhesive between false
teeth and gums.
The copolymer from KSE's innovative process
has been subjected to extensive polymer property
tests to demonstrate that it is functionally identi-
cal to the copolymer produced from the classical
benzene technology. Laboratory tests, using meth-
ods certified by the Food and Drug Administration,
have shown the copolymer to be of ultra-high pu-
rity, containing nondetectable benzene at a quan-
titative limit of 10 ppb. In addition to eliminating
benzene from the MVE/MAN copolymer, KSE's
process has been demonstrated to be more effi-
cient and cost-effective than classical benzene
technology. The reaction rate of the KSE process
is much faster, leading to more than a 10-fold im-
provement in reactor cycle time. Fewer solvent
separation steps are required in the KSE technol-
ogy, and the copolymer drying step is faster and
more energy efficient than that of the classical
benzene technology.
Before committing to purchase copolymer pro-
duced using KSE's process, customers have re-
quired that long-term product qualification tests be
performed on replicate batches of commercial pro-
duction of the copolymer to confirm that the co-
KSE, Inc.'s solvent-
free polymerization
process produces
MVE/MAN copolymers
without the use of
benzene. This
innovative process
reduces the
environmental and
health risks
associated with MVE/
MAN copolymers, and
it is more efficient and
less costly than
classical benzene
technology.
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polymer can successfully be converted into the
desired product (e.g., denture adhesive). The EPA
SBIR funding provided KSEthe critical resources
needed to initiate a large-scale manufacturing
optimization and test program to prove the copoly-
mer product efficacy through customer qualifica-
tion testing—a step that would not have been
possible without this funding.
Product qualification tests, conducted by major
consumer products companies, concluded that
the performance of KSE's copolymeris excellent.
ChemDesign Corporation, a subsidiary of the Bayer
Corporation, has signed a letter of intent to manu-
facture the copolymer. Plant production of the co-
polymer is expected to begin in 1999.
By combining EPA funding with private-sector re-
sources, KSE has successfully commercialized
its solvent-free polymerization process, which will
reduce the health and environmental risks associ-
ated with the production and use of MVE/MAN
copolymers and provide a more efficient and cost-
effective method of production the copolymer. The
production cost of the KSE benzene-free copoly-
mer is substantially less than the current selling
prices of $4 to $6 per pound for existing com-
mercial MVE/MAN copolymers produced using
the classical benzene technology.
SBIR Impact
KSE, Inc., has developed a polymerization pro-
cess that produces methyl vinyl ether and ma-
leic anhydride (MVE/MAN) copolymers without
the use of benzene.
Health and environmental risks associated
with the use of benzene in the production of
MVE/MAN copolymer are eliminated.
Health risks associated with residual benzene
in consumer products manufactured with MVE/
MAN copolymer are eliminated.
KSE's process is more efficient and less expen-
sive than the classical benzene technology.
ChemDesign Corporation, a subsidiary of Bayer
Corporation, has signed a letter of intent to
manufacture MVE/MAN copolymer using
KSE's process. Production is expected to
begin in 1999.
SBIR SUCCESS STORIES
21
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CONTROL DEVICE FOR
PARTICIPATE EMISSIONS
LSR TECHNOLOGIES, INC.
ACTON, MASSACHUSETTS
With funding from EPA's SBIR Program, LSR
Technologies, Inc., has developed the Core Sepa-
rator, a mechanical dust collecting device that re-
moves micron- and submicron-sized particles from
gas streams. Historically, mechanical collectors
have been ineffective in removing particles with di-
ameters of less than 10 microns.
It is likely that particulate matter will be regulated
as a criteria air pollutant (i.e., pollutants causing
human health impacts due to their release from
numerous sources) under the Clean Air Act. EPA
has proposed tightening the National Ambient Air
Quality Standards for the allowable levels of par-
ticulate matter, decreasing the size of the particles
that must be removed from gas streams from 10
microns to 2.5 microns. Unlike other mechanical
collectors, the Core Separator is capable of remov-
ing dust particles with diameters of less than 10
microns; it even can remove a high percentage of
particles in the micron range. This is equivalent to
the performance of a medium-efficiency electro-
static precipitator (ESP) and better than the perfor-
mance of a high-energy Venturi scrubber. Yet, the
Core Separator still has the traditional advantages
of mechanical collectors such as simplicity, reli-
ability, compactness, and low maintenance.
The Core Separator system includes two conven-
tional components, a cyclone collector for extract-
ing solids and a fan for flow recirculation. A
complete system is actually a multitude of cylin-
SBIR SUCCESS STORIES
~
drical units, each with a single inlet for the
stream to be treated and two outlets. One outlet
is for the clean gas stream and the other con-
tains a highly concentrated recirculation stream.
The dust-laden recirculation stream is fed to a
cyclone and returned again by means of the fan.
The Core Separator component cleans the inlet
stream and detains dust particles in the system.
Because its efficiency is very high, most particles
do not leave the system. They recirculate until
collected by the cyclone. Two factors govern the
performance of Core Separators: (1) high separa-
tion efficiency of the separator component, and
(2) the interaction between individual compo-
nents. To achieve high separation efficiency, a
proper bleed-flow ratio (i.e., ratio of the recircula-
tion flow to the total flow) is required. By control-
ling bleed flow, the tangential and radial velocities
are controlled independently to maintain them in
the desirable range.
High efficiency in the Core Separator results from
low particle reentrainment. The system is de-
signed to avoid formation of toroidal vortices. Be-
cause the Core Separator component functions as
a separator and not a collector, a flow U-turn
within the device can be avoided. It is entirely cy-
lindrical, and surfaces promoting formation of vorti-
ces are moved away from the clean outlet. This
theory has been verified by actual testing and
through computer modeling using computational
fluid dynamics (CFD) to study flow fields. It
should be noted that each of these factors indi-
vidually cannot prevent vorticity; however, working
togetherthey achieve what each cannot do inde-
pendently. The conflicting processes of separa-
tion and solids collection are accomplished
separately and in different components. The inter-
action between components is the principal
means of attaining high system efficiency.
There is strong demand forthe Core Separator
both as an air pollution control device and as a
means to recover valuable product material. More
than 50 Core Separators have been sold in the
United States and abroad, and at least one com-
Clean Flow
Core Separators
Cyclones
Prc cess
Solids
Recirculation Lines
LSR Technologies' Core
Separator System consists
of a series of cylindrical
units, each with a single
inlet for the stream to be
treated and two outlets.
One outlet is for the clean
gas stream and the other is
forthe highly concentrated
recirculation stream. The
dust-laden recirculation
stream is fed to a cyclone
where solids are extracted
and returned again by
means of the fan, which
facilitates flow recirculation.
-------
pany using the technology for recovery of chemical
catalysts has experienced a payback period of
less than 6 months. In 1996, the Core Separator
was selected for the prestigious R&D 100 Award,
signifying it as one of the world's best new technol-
ogy-based products of the year. This product is
quite significant in light of the fact that very few ad-
vances have occurred in particulate control tech-
nology in recent years.
Another emerging industrial application forthe
Core Separator is as a control device for collecting
particulate matter upstream of regenerative thermal
oxidizers (RTOs), which are used in the production
of wood products forthe building industry (e.g.,
medium density fiberboard, particleboard, and ori-
ented strandboard). The Core Separator currently
is being demonstrated for wood dryer applications
and could emerge as the "Best Available Control
Technology" (BACT) forthese processes.
More than 50 Core Separators, such as the one at the asphalt plant
above, have been installed in the United States and other countries to
remove dust particles from gas streams.
SBTR Impact
LSR Technologies' Core Separator can re-
move micron- and submicron-sized particles
from gas streams.
By removing micron-sized particles from
gas streams, the Core Separator reduces
particulate matter emissions and the human
health and environmental effects associated
with this criteria air pollutant.
More than 50 Core Separators have been
sold in the United States and abroad. These
units are attributed with a major reduction of
particulate air emissions. For example,
stack compliance testing has shown par-
ticulate emissions to be below 100 mg/nm3
when used on coal-fueled boilers.
A Core Separator installation used for re-
covery of chemical catalysts by a Fortune
500 company has produced a payback in
ess than 6 months.
STORIES
23
T
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MONOMER RECOVERY IN
POLYOLEFIN PLANTS
MEMBRANE TECHNOLOGY AND RESEARCH, INC.
MENLO PARK, CALIFORNIA
Membrane Technology and Research, Inc. (MTR),
with support from EPA's SBIR Program, has de-
veloped and commercialized a membrane pro-
cess to recover valuable monomer feedstocks in
polyolefin plants.
Polyethylene and polypropylene manufacture are
the largest production processes in the United
States, generating raw materials that are the ba-
sis of many plastic products. More than 100
polyolefin manufacturing plants are operating in
this country, producing 30 billion pounds of poly-
mer each year with an additional 200 plants world-
wide. Most of these plants produce gas streams
that are flared, wasting valuable feedstocks and
contributing to emissions of VOCs. An estimated
100,000-200,000 tons of recoverable monomer are
flared at U.S. polyolefin plants each year, which
accounts for most of the VOCs emissions from
these plants. VOCs are regulated as a criteria air
pollutant under the Clean Air Act.
MTR's membrane process recovers essentially
all of the monomer feedstock, solvent, and nitro-
gen from the vent gas resulting from resin purge
operations for reuse in the polyolefin plant. Use
of MTR's innovative process will eliminate the re-
lease of the VOCs and will provide the average
polyolefin plant an annual recovery value of abc
$1 million.
In a typical olefin polymerization process, mono-
mer plus catalyst, various comonomers, solvents,
and stabilizers are contacted at high pressure in a
reactor. The polymer product of the olefin reaction
contains significant amounts of monomer and other
organics, which must be removed before the poly-
mer can be used. In most plants, the raw polymer
is passed to large resin purge bins where nitro-
gen removes the absorbed monomer and process-
ing solvents. The waste gas from these resin
purge operations represents an important recy-
cling and recovery opportunity. The vent gas from
a typical resin purge bin contains 500-1,000
pounds per hour of recoverable nitrogen.
Before the development of the monomer/nitrogen
separating membranes by MTR, no acceptable
method of treating the vent gas was available.
Condensation under pressure is costly and not
effective; lean oil absorption technology has been
tried, but it is not commercially accepted. MTR's
membrane process recovers essentially all of the
valuable monomer feedstock, solvent, and nitro-
gen from the vent gas for reuse in the plant. The
membrane unit fractionates the vent gas into two
streams—a monomer/solvent-rich stream and a
nitrogen stream. The organic components are re-
cycled as a concentrated gas or a condensed liq-
uid to the polymerization reactor. The 97-99+
percent nitrogen stream is reusable in the degas-
sing step, thereby reducing nitrogen consump-
tion. MTR's process is closed loop; therefore, no
secondary waste streams are produced.
This MTR system was installed at a Huntsman Corporation F
recovery and direct recycle of propylene monomer.
iropylene Plant for
SBIR SUCCESS STORIES
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Kinc pat rick
Membrane separation systems to treat the large
vent gas streams generated in polyolefin plants
require several hundred square meters of mem-
brane. Development of the capability to produce
large membrane modules was the breakthrough
that allowed MTR to build systems large enough
to treat polyolefin plant vent streams.
The first monomer recovery system, incorporating
50 modules and about 280 square meters of
membrane, was installed in 1996, at a new
polypropylene plant for Dutch State Mines (DSM),
The Netherlands. By recovering monomer and
minimizing nitrogen consumption, DSM expects
to save about $1 million annually, yielding a sys-
tem payback period of 1 to 2 years. Since then,
several systems have been installed as retrofits in
existing plants or in new plants in the United
States and overseas. MTR has opened an office in
Houston to market its technology to American
polyolefin plants and to service those systems
already installed. MTR's systems are sold under
the company's VaporSep product line that is
broadly applicable to recovery of VOCs from gas
streams.
In recognition of the significance of this olefin re-
covery technology, MTR was awarded the 1997
Kirkpatrick Chemical Engineering Achievement
Award. This biennial award, presented by the
Chemical Engineering journal since 1933, recog-
nizes the most noteworthy chemical engineering
technology commercialized throughout the world
during the preceding 2 years.
SBIR Impact
MTR has developed a membrane process that
recovers valuable monomer feedstock, solvent,
and nitrogen from waste gas streams of
polyolefin manufacturing plants.
MTR's technology eliminates most of the VOCs
emissions from polyolefin plants by eliminating
the flaring of waste streams containing recov-
erable monomer.
The first monomer recovery system was in-
stalled at a new polypropylene plant in The Neth-
erlands in 1996. By recovering monomer and
minimizing nitrogen consumption, the plant
should save about $1 million annually, yielding a
system payback period of 1 to 2 years.
Since 1996, several systems have been in-
stalled as retrofits in existing plants or in new
plants in the United States and other countries.
This success has allowed MTR to transition to
a manufacturing company in addition to retain-
ing its commitment to developing new tech-
nologies. More employees have been added
as a result.
SBIR SUCCESS STORIES
25
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HAZARDOUS SOLVENT-
FREE MANUFACTURING OF
ELECTROCERAMIC
POWDERS
NANOMATERIALS RESEARCH CORPORATION
LONGMONT, COLORADO
Nanomaterials Research Corporation (NRC), with
funding provided by EPA's SBIR Program, has de-
veloped and commercialized an innovative manu-
facturing technology for performance ceramics.
NRC's process improves device quality while pre-
venting pollution by reducing the amounts of raw
materials, solvents, and binders required for pro-
duction of these ceramics in comparison to con-
ventional manufacturing techniques.
The performance ceramics industry produces and
sells more than $18 billion of ceramic products
annually and is one of the fastest growing seg-
ments of all industries listed in the Standard In-
dustrial Classification (SIC) coding system. The
performance ceramics industry is enabling growth
within the electronics, utilities, medical devices,
optics, and telecommunications industries, and
the market for such ceramics is expanding in con-
junction with this growth. More than 1 billion ce-
ramic devices (e.g., capacitors, thermostats,
varistors, inductors, resistors, and 1C substrates)
are produced and sold each week. Anticipated
growth in the market for ceramic devices will fur-
ther extend the role of performance ceramics.
Performance ceramics are typically produced by
solvent-based techniques that inadvertently lead
to processing, containment, and treatment of haz-
ardous solvents and byproducts. Given the com-
mercial importance of the electroceramic industry,
it is imperative that environmentally benign manu-
facturing techniques are developed to prevent pol-
lution at its source while providing performance
improvements to customers.
NRC's manufacturing method for performance ce-
ramics offers the following advantages over con-
ventional techniques: (1) it eliminates the
formation of secondary gaseous, liquid, or solid
wastes; (2) it reduces the processing, contain-
ment, and treatment of solvents and resulting va-
pors by more than 10 fold; (3) it reduces energy
requirements by recovering mass and heat
through process integration; and (4) it produces
performance ceramics of significantly improved
quality (i.e., monodisperse, nanosize particles
with extraordinary properties).
NRC has demonstrated that devices produced
from nanosized electroceramics are nanostruc-
tured and meet the needs of high performance
components that will be essential for the antici-
pated era of nanodevices and molecular electronic
components. Manufacturing of these devices is
being scaled up by NRC to serve surface-mount
electronics, cellulartelecommunications, power
components for utilities, laptop computers, and
biomedical products. The market for nanostruc-
tured components should exceed $100 million/
year in less than 5 years.
Since the company was founded in 1994, NRC
has experienced an average annual growth of
more than 100 percent. NRC currently has 60+
employees and expects to hire additional staff ir
1999.
Nanopowders of performance ceramics produced by NRC.
SBIR SUCCESS STORIES
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Nanotechnology electronic devices from nanopowders of performance ceramics manufactured using NRC's
innovative manufacturing technology.
SBIR Impact
NRC has developed and commer-
cialized a manufacturing technol-
ogy for performance ceramics that
improves device quality while pre-
venting pollution at its source by
reducing the amounts of raw mate-
rials, solvents, and binders re-
quired for processing.
This technology enables the manu-
facture of nanoscale electronic
grade powders needed in next
generation miniature electronics.
The market for nanostructured
components is expected to exceed
$100 million/year in less than 5
years.
NRC is scaling up the manufactur-
ing process to produce 100,000
nanostructured components per
week from electroceramic nano-
scale powders.
SBIR SUCCESS STORIES
27
T
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SORTING OF
POSTCONSUMER PLASTICS
RESINS
NATIONAL RECOVERY TECHNOLOGIES, INC.
NASHVILLE, TENNESSEE
National Recovery Technologies, Inc. (NRT), with
funding provided by EPA's SBIR Program, has de-
veloped and commercialized an innovative process
for sorting post-consumer plastic containers.
NRT's process is capable of sorting plastics by
polymer with high accuracy and at the high-speed
throughputs required for cost-effective recycling.
Plastics constitute about 9 percent by weight of
municipal solid waste, and they occupy approxi-
mately one-fourth of the volume of the waste
stream. The cost of transporting and disposing of
plastics in landfills is very expensive due to their
lightweight and large volume. In addition, plastics
in landfills are highly resistant to degradation.
Therefore, the EPA has recommended recycling
as the preferred management method for plastics
over alternative landfill or incineration methods.
For plastics recycling to be economically viable,
the recycled resins must be of high quality and be
priced competitively with virgin resins. To produce
high-quality recycled resins that can replace virgin
resins, it is necessary that the recycled resins be
cost-effectively sorted to high-purity specifications.
In particular, it is necessary that the plastics be
sorted by individual polymerwhile minimizing pro-
cessing costs. The new NRT sorting process sat-
isfies these requirements by coupling high-speed
spectroscopy for positive polymer identification,
concurrent parallel processing for rapid identifica-
tion, quick real-time sorting response, and preci-
sion air jet selection of materials. Because NRT's
sorting process facilitates plastics recycling, it
supports EPA's goal to reduce the quantity of
waste requiring disposal.
Previously, some post-consumer packaging con-
tainer resins were sorted automatically according
to their visual color characteristics and visual light
transmission properties, resulting in a pseudo-
polymer sort. However, this is only an approxima-
tion and until the introduction of NRT's technology,
it only was possible to sort plastics into a few ma-
jor constituents and only at relatively low accu-
racy requiring significant manual sorting for quality
control. Another system using expensive x-ray
technology currently is used to sort PVC plastics
from PET plastics; however, its accuracy is
somewhat limited and is not applicable to other
polymers.
NRT's new technology overcomes the inaccura-
cies and limited applicability inherent in existing
technologies by providing rapid positive identifica-
NRT's technology facilitates accurate, high-speed sorting of post-consumer resins by polymer type. It couples
high-speed spectroscopy for accurate polymer identification with concurrent parallel processing for rapid
identification to enable cost-effective sorting to high-purity specification.
SBIR SUCCESS STORIES
-------
tion of plastics by polymer type according to its
infrared (IR) spectral fingerprint. Each polymer
has a unique IR fingerprint and, therefore, can
be readily distinguished and sorted from other
polymers.
Current automated systems are complicated and
require a high level of technical sophistication to
reconfigure system sorting characteristics. Con-
sequently, it has been difficult for operators to
control these systems to the level and precision
necessary to optimize performance. NRT's tech-
nology eliminates this problem by introducing a
userfriendly man-machine interface, which incor-
porates a touch screen graphical interface that
allows the operator to easily set system sorting
parameters and control system operation.
The first two commercial systems were installed
recently in U.S. recycling facilities. NRT expects
that this innovative sorting system will be applied
in the recycling industry worldwide, both in new
applications and in replacement of older genera-
tion automated sorting systems currently in use.
SBIR Impact
NRT has developed a highly accurate,
high-speed process for sorting post-con-
sumer plastics resins by polymer type.
The new technology enables low-cost auto-
mated sorting of post-consumer plastics for
recycling, which significantly improves the
economics for plastics recycling.
NRT's new technology is cost effective for
low- and high-volume applications, making
automated sorting of plastics affordable for
community materials recovery facilities.
The first two commercial systems have been
installed at recycling facilities in the United
States.
Negotiations are in process for installation
of additional units in the United States,
Europe, and Japan.
SBIR SUCCESS STORIES w
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NITON XL-309 DUAL
DETECTOR LEAD PAINT
ANALYZER
NITON CORPORATION
BEDFORD, MASSACHUSETTS
NITON Corporation, through the support of EPA's
SBIR Program, has developed and commercial-
ized a unique instrument to detect lead in paint
that solves the problems encountered with exist-
ing x-ray fluorescent analyzers. The NITON XL-
309 Dual Detector produces rapid, accurate
measurements of lead in paint, independent of the
composition, thickness, and substrate (e.g., wall-
board, wood, brick) of the paint. The instrument
can detect and measure lead even when the lead
is below the surface. The NITON Detector is com-
pact, lightweight, and battery operated. It is faster
than other analyzers; small enough to fit into wood-
work, window wells, pipes, and valves; and has
the lowest cost per measurement in the industry.
Lead in paint has been associated with a number
of environmental and health risks. Exposure of
pregnant women to lead can result in premature
birth, low birth weight, or abortion. Lead exposure
in infants and young children may lead to de-
creased intelligence scores, decelerated growth,
and hearing problems. Also, exposure of adults
and children to high levels of lead may cause
brain and kidney damage. The Residential Lead-
Based Paint Hazard Reduction Act directed the
Department of Housing and Urban Development
(HUD), the Occupational Safety and Health Ad-
ministration (OSHA), and the EPA to establish a
coordinated effort to eliminate lead hazards, in-
cluding the elimination of lead-based poisoning
hazards in federally owned or subsidized housing
built before 1978. NITON'S device will help detect
and subsequently eliminate the health risks asso-
ciated with lead-based paint.
Historically, accurate measurements of the con-
centrations of lead in paint have been difficult to
obtain because readings from existing analyzers
were strongly dependent on the composition and
thickness of the substrate. All existing x-ray fluo-
rescence detectors determine the lead concentra-
tion by measuring lead x-rays excited by a cobalt
source, which is very difficult to shield from exter-
nal radiation. The NITON Detector uses a cad-
mium source to enter the lead paint, and the
instrument is able to measure the concentration of
lead in paint even when covered by layers of
nonlead paint of unknown thickness and composi-
tion. The NITON method eliminates substrate
problems because the background x-rays are far
removed and so low that the method is free from
the problem of "read-through" (i.e., the measure-
ment of an elevated lead concentration due to the
fluorescing of lead on a surface different from the
one being examined). Read-through is a common
problem with lead measurements of doors and
window sashes that are painted on both sides be-
cause the high-energy radiations penetrate the
wood.
The NITON instrument is able to identify lead bur-
ied beneath 15 or more coats of nonlead paint by
combining two complementary measures of the
lead concentration in paint: (1) NITON'S patented
silicon diode technique that is independent of sub-
strate and read-through, and (2) a cadmium-zinc-
telluride diode that is independent of paint
thickness or paint layering. Combining the
strengths and weaknesses of each of the two
methods makes the NITON XL-309 instrument an
ideal lead detector.
The EPA SBIR funding helped NITON develop and
commercialize the XL-309 Dual Detector. It was
introduced to the market in October 1996, at
LEAD TECH, the annual convention on lead miti-
gation. In the 2 months following the convention,
NITON received more than 70 orders forthe XL-
309. NITON estimated that sales in 1997 of the
XL-309 Dual Detector were three times that of the
single detector units sold in 1995.
NITON's XL-309 Dual Detector Lead Paint Analyzer gives a fast
accurate reading for the first time on deeply buried lead paint,
with no read-through. It is well suited for measuring low
levels of lead (i.e., 0.1 to 2.0 mg/cm2).
SBIR SUCCESS STORIES
\
\
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RID 100
and
Lead Tech
Product of
the Year
Awards
1995
In recognition of its technological
innovation, NITON was a finalist for
the 1994 Discovery Award and re-
ceived the prestigious R&D 100
Award in 1995. NITON also received
the Lead Tech Product of the Year
NITON's XL-309 Dual Detector Lead Paint Analyzer fits in window wells, mullions, and
decorative molding with a 1 cm x 2 cm window located at the front edge of the XL.
5BIR Impact
NITON has developed and successfully commer-
cialized the NITON XL-309 Dual Detector that pro-
duces accurate measurements of lead in paint
independent of the composition, thickness, and
substrate of the paint.
The NITON XL-309 will help detect and subse-
quently eliminate the health risks associated with
lead-based paint.
In 3 seconds or less, the XL-309 gives a positive
HUD action-level reading on paint with a lead con-
centration of more than 2.0 mg/cm2 within 95 per-
cent confidence; in 10 seconds or less, it will give
a negative HUD reading, with 95 percent confi-
dence, where no lead is present.
Within 2 months of introducing the XL-309 to the
market, more than 70 detectors had been ordered.
NITON reported that sales in 1997 were three times
that of the single detector units sold in 1995.
SBIR SUCCESS STORIES
31
T
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ELECTROLYTIC
REGENERATION OF ACID
CUPRIC CHLORIDE
PRINTED CIRCUIT BOARD
ETCHANT
OXLEY RESEARCH, INC.
NEW HAVEN, CONNECTICUT
The online electrolytic regeneration process devel-
oped by Oxley Research, with funding from EPA's
SBIR Program, restores acid cupric chloride etch-
ant used in printed circuit (PC) board production
without the use of oxidizing chemicals and without
producing excess etchant. In many plants, the
spent etchant is the largest waste stream gener-
ated. Printed circuit board fabricators in the United
States currently dispose of approximately 15 mil-
lion gallons of excess cupric chloride etchant
each year, and that amount is growing at a rate
of 12-15 percent annually. The spent etchant is
stored in drums and shipped offsite for reclama-
tion; however, transportation of the spent etchant
and its ultimate disposition may pose environmen-
tal risks and result in increased liability for the
manufacturing facility. In addition to eliminating
the use of chemical oxidizers and reducing pur-
chases of chemicals to regenerate etchant, Oxley
Research's technology allows fabricators to avoid
the transportation, reclamation, and disposal
costs as well as the potential liability associated
with chemical regeneration and excess and spent
etchant disposal. It also offers the added cost
benefit resulting from the direct sale of the copper
plated out from the etchant. Oxley Research esti-
mates a cost savings of over $100,000 per year
and a payback period of less than 2 years, follow-
ing installation of the regeneration equipment.
Acid cupric chloride etchant (CuCI2/HCI) is used
for more than 50 percent of PC board production
worldwide. Currently, most PC board fabricators
regenerate their etchant solutions chemically, us-
ing oxidizers such as chlorine and hydrogen per-
oxide that reoxidize cuprous chloride back to cu-
pric chloride. This produces an increase in etchant
inventory because the copper etched off the boards
is converted to cupric chloride solution.
During the development of its electrolytic regen-
eration technology, Oxley Research had to over-
come two major obstacles to develop an efficient
process for regeneration of acid cupric chloride
etchant. These obstacles included: (1) the large
Preprototype-scale acid
cupric chloride regenerator
system developed by
Oxley Research, Inc.
SBIR SUCCESS STORIES
-------
difference in concentrations of cupricand cuprous
chloride in the etching solution, and (2) the inher-
ent tendency for copper to plate dendritically
from acid cupric chloride solutions. By solving
these challenges, Oxley's process led to copper
that has both high purity and a substantially better
resale value than the dendritic sludges produced
by competitive processes. Oxley Research ob-
tained two U.S. patents for its process in 1995
and 1998, respectively.
The goal of the SBIR project was to design, fabri-
cate, and test an engineering prototype of Oxley's
regenerator process. Based on feedback from PC
board equipment fabricators and users, Oxley de-
termined that the prototype should be a 2.5 kg/hr
size unit (approximately one-half commercial
size). Oxley's strategy was to partner with an
equipment manufacturerthat would provide funds
for construction and testing of the prototype in
consideration of licensing rights. Oxley Research
currently is working with a company that has
agreed to fund construction and testing of the pro-
totype system as well as provide funding for filing
patents for the process in several East Asian
countries.
Cost benefits from Oxley's electrolytic regenera-
tion technology will accrue from the following two
sources: (1) avoidance of the transportation,
chemical, and other costs associated with chemi-
cal regeneration and excess etchant disposal;
and (2) a direct credit resulting from the sale of
copper. Oxley's regenerator cost analysis indi-
cates that at high-end use rates, payback would
be less than 2 years. Oxley's marketing goal is to
capture one-half of the U.S. market over a 10-year
period, which translates to sales of 31 to 45 sys-
tems (6 kg/hr size modules) each year.
Oxley Research has developed an electrolytic regeneration
process that restores acid cupric chloride etchant solutions
used in printed circuit board production without the need for
chemicals and without producing excess etchant.
Oxley's process eliminates the health and environmental
risks associated with chemical regeneration of etchant as
well as the transportation and disposal of spent and excess
etchant.
This process allows fabricators to avoid the transportation,
chemical, and other costs associated with chemical regen-
eration and excess etchant disposal; another cost benefit
results from the direct sale of the copper plated out from the
etchant.
Oxley's regenerator cost analysis indicates that at high-end
use rates, payback would be less than 2 years.
Oxley's marketing goal is to capture one-half of the U.S. mar-
ket, which is estimated to be approximately 310 to 450 regen-
erators, over a 10-year period.
SBIR SUCCESS STORIES \ 1f /
™^.
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MICROLITH® FAST
LIGHTOFF CATALYTIC
CONVERTERS
PRECISION COMBUSTION, INC.
NEW HAVEN, CONNECTICUT
Through EPA's SBIR Program, Precision Combus-
tion, Inc., (PCI) has developed the Microlith® Fast
Lightoff Catalytic Converterthat offers an economi-
cal approach to significantly reduce automotive com-
bustion emissions. Motor vehicles are responsible
for up to half of the smog-forming VOCs and nitro-
gen oxides as well as 50 percent of the hazardous
air pollutants in the United States. In addition, mo-
tor vehicles release up to 90 percent of the carbon
monoxide found in urban air. VOCs, carbon mon-
oxide, and nitrogen oxides are regulated by the
Clean Air Act as criteria air pollutants. Hydrocar-
bon emissions are regulated as hazardous air pol-
lutants under the Clean Air Act.
As automotive emissions in the United States be-
come more strictly enforced, there is the need for
technological innovation to reduce emissions lev-
els. Current technology for auto emissions control
consists of ceramic-based catalytic converters in
the exhaust system. Although these catalytic con-
verters are 95 percent effective once they reach op-
erating temperature (after "lightoff'), they are
ineffective during the first 1 to 2 minutes following
engine startup. As a result, approximately 80 per-
cent of automotive hydrocarbon and carbon mon-
oxide emissions are released during the initial
period of a typical drive. Because PCI's Microlith®
preconverter helps control these startup emis-
sions, it is capable of achieving an 80 percent re-
duction in emissions of hydrocarbons and carbon
monoxide, and a 50 percent reduction of nitrogen
oxide emissions compared to a conventional cata-
lytic converter alone.
PCI's Microlith® catalytic converter includes novel
substrate geometry, which offers high mass and
heat transfer, together with a complementary coat-
ing system. The resulting reactor is small and
lightweight and exhibits ultra-rapid thermal response.
The improved mass transfer provides high conver-
sion efficiency, allowing substantial reduction in
converter volume, weight, and the amount of pre-
cious metal required. The high heat transfer and
lower weight of the substrate provide very rapid
thermal response, reaching inlet gas temperatures
within a second.
As a lightoff converter, or preconverter, used in
conjunction with a conventional main converter,
Microlith® offers the potential for achieving Ultra
Low Emission Vehicle (ULEV) performance using
a device one-fourth the volume of conventional
advanced technology lightoff converters with much
less precious metal. PCI also has developed a
smaller, less expensive lightoff converter that
achieves Low Emission Vehicle (LEV) perfor-
mance. Compared to current vehicles, the lower
emissions achievable with a Microlith® lightoff con-
verter allow passenger cars and light duty trucks
to operate with greater than 80 percent reduction
of hydrocarbons and carbon monoxide, and 50
percent reduction of nitrogen oxide emissions.
The effectiveness and durability of the Microlith®
have been demonstrated in prototype tests con-
ducted at the Ford Motor Company (successfully
demonstrated ULEV emissions from an Escort),
other major auto manufacturers, and automotive
suppliers. Comparative laboratory tests between
conventional ceramic monolith and Microlith® sub-
strates have shown that with a 20-fold reduction in
converter volume, the Microlith® substrate delivers
equivalent mass transfer-limited conversion. The
Microlith® catalytic converter also reaches 350° in
less than 1/20th the time required for a conven-
tional monolith.
Award of the EPA SBIR contract helped PCI at-
tract substantial industrial investment that has ad-
vanced the Microlith® technology along the path of
large-scale production. Because commercializa-
tion of a technological innovation in the automo-
tive industry typically requires many years and
millions of dollars, PCI has focused its efforts on
tailoring the technology for specific product appli-
cation, manufacturing process development, and
provision of high-quality samples fortesting to po-
tential customers and partners. The United States
and Western Europe lightoff converter market is
estimated at $2 billion and 40 million units annu-
ally. PCI's commercialization plan includes a
joint venture with one or more established automo-
On the left is PCI's automotive Microlith converter and
main converter assembled in an integrated can. To the
right is a model of a stand-alone Microlith8 automotive
preconverter.
SBIR SUCCESS STORIES
-------
tive exhaust component suppliers with the
mission of achieving a major market share in
the automotive sector. PCI has seven issued
patents on this technology and others pend-
ing. PCI already has received investment for
spinoff applications (e.g., industrial fume
abatement, clean burners, etc.) from private
industry as well as the National Aeronautics
and Space Administration (NASA) and the
U.S. Air Force.
In recognition of its significant achievement
in developing the Microlith® and other innova-
tive environmental technologies, PCI received
EPAs prestigious Environmental Technology
Innovator Award in March 1998. Later that year,
PCI also was selected as a recipient of the
Tibbetts Award and was named as a member of
the Connecticut "Fast Fifty," in recognition of its
status as one of the fastest growing technology
companies in that state.
Tfebetts,
Environmental
Technology
CanncfticLrt
! Fifty"
One of the advantages of PCI's Microlith8 preconverter is its small
size, which allows design flexibility in mounting and positioning.
Two positions are shown above.
SBIR Impact
PCI has developed the Microlith® Fast Lightoff
Catalytic Converter that when used in conjunction
with a conventional main converter is capable of
achieving a greater than 80 percent reduction in
emissions of hydrocarbons and carbon monoxide,
and a 50 percent reduction of nitrogen oxide emis-
sions. The Microlith® is substantially smaller in
volume and weight than conventional converters
and requires considerably less precious metal.
The effectiveness and durability of the Microlith®
preconverter have been demonstrated in proto-
type tests at the Ford Motor Company and other
auto manufacturers.
The EPA SBIR award helped PCI attract substantial
industrial investment—$8 for every $1 of EPA SBIR
funding.
PCI's commercialization plan includes a partner-
ship with one or more established automotive ex-
haust component suppliers with the mission of
achieving a major market share; by the year 2005,
PCI projects that sales for the Microlith® will be
significant.
SBIR SUCCESS STORIES
35
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ENVIRONMENTALLY
BENIGN OIL ABSORBENT
SEA SWEEP, INC.
DENVER, COLORADO
Sea Sweep, Inc., with funding provided by EPA's
SBIR Program, has developed and commercial-
ized an innovative absorbent called Sea Sweep®
that functions both on land and waterto absorb
spilled oil and chemicals. The absorbent is made
using a patented process that involves heating
sawdust to a temperature at which the oil-like
pyrolysis products render it very attractive to oil
(oleophylic), but so repellent to water (hydropho-
bic), that it floats for many days. It absorbs the oil
or chemical immediately upon contact, and will
float indefinitely in water, preventing environmental
damage to marine life and bird species. SeaSweep®
can absorb up to four times its weight in oils and
chemicals in less than 1 minute and it will not
leech. Nonsaturated Sea Sweep®is nontoxic, bio-
degradable, and harmless to microorganisms and
wildlife.
ketthat
There are many absorbents on the market that
attract oil and chemicals to their surface, but re-
lease them easily (leach), like a mop. Sea Sweep'
absorbent is unique in that oils or chemicals are
taken into the interior of the particles (an absor-
bent), like the action of a sponge, where the oil
and chemicals are held and do not leach. Sea
Sweep® absorbs spilled oils and chemicals, and it
is easily retrieved from spill sites, which helps pre-
vent damage to shorelines and beaches. In addi-
tion, Sea Sweep®helps bacteria attack the spilled
oil or chemical.
SBIR funding enabled Sea Sweep to evaluate the
performance of the new absorbent using various
types of sawdust to determine which is most ef-
fective for absorbing oils and chemicals. Sea
Sweep found that softwood sawdust is optimal in
performance, availability, and cost. The tests also
demonstrated that Sea Sweep® absorbs almost
all chemicals, including antifreeze and some
strong acids.
In 1993, the Sea Sweep products were selected
by R&D Magazine as one of the 100 most techno-
logically significant new products of the year. At
the Clean Seas '93 International Conference, Sea
Sweep was the only commercial company to be
awarded a gold medal "for its praiseworthy efforts
in conjunction with the preservation of a Clean
Marine Environment." In 1997, Sea Sweep, Inc.,
received a Gold Medal from the United States
Defense Supply Center identifying Sea Sweep®
as one of the Center's "Best Value" products.
Oil spills from vessels and facilities (both onshore
and offshore) are regulated by the Clean Water
Act. Sea Sweep® has been recognized by the
EPA in the National Contingency Plan for use in
recovering oil spills in U.S. navigable waters. Sea
Sweep® also is a listed product on the U.S. Coast
Guard National Strike Force Response Resources
Inventory. In addition, Sea Sweep's absorbent is
licensed by the California State Water Control
Board as an oil spill cleanup agent for use in
California marine waters.
Internationally, Sea Sweep's absorbent has re-
ceived approval for use by the United Kingdom
River Authority, Thames Region; the Greek Minis-
try of Merchant Navy, Directorate of Marine Envi-
ronment Protection and Ministry of Industry, Energy,
and Technology; the Chilean Oceanographic Insti-
tute and the Chilean Navy; the Ministry of the En-
vironment in Malta; and the Argentina Coast Guard.
Sea Sweep® also has received an LR-type approval
Sea Sweep8 is used
around the world to
clean up oil spills of all
sizes and can be
recycled as a
petroleum product.
Here, William Mobek
prepares a
demonstration in
Indonesia.
36
SBIR SUCCESS STORIES
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Conference
Awards
1993
from Lloyds Register of Ship-
ping in London; it is the only
spill absorbent to hold this dis-
tinction.
Sea Sweep® currently is mar-
keted in the United States, Eu-
rope, South America, Australia,
New Zealand, Japan, Indonesia,
and the Persian Gulf.
SBIR Impact
Sea Sweep, Inc., has developed an innovative absorbent
that functions both on land and water to absorb spilled
oils and chemicals.
Nonsaturated Sea Sweep® is nontoxic, biodegradable, and
harmless to microorganisms and wildlife. It is capable of
absorbing up to four times its weight of oils and chemicals
in less than 1 minute and it will not leach. Sea Sweep®
also floats indefinitely making it easy to collect with
screens or skimmers.
In 1993, Sea Sweep® was selected by R&D Magazine as
one of the 100 most technologically significant new prod-
ucts of the year.
Sea Sweep is licensed by the State of California and has
been recognized by the U.S. EPA as an oil spill cleanup
agent. It also is a listed product on the U.S. Coast Guard
National Strike Force Response Resources Inventory.
SBIR SUCCESS STORIES \ 1f /
™^.
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SURFACE FUNCTIONALIZATION OF PACKAGING FILMS
To PROMOTE ADHESION OF AQUEOUS-BASED INKS
SIGMA TECHNOLOGIES INTERNATIONAL, INC.
TUCSON, ARIZONA
Sigma Technologies International, Inc., with fund-
ing from EPA's SBIR Program, has developed
inexpensive, high-speed, inline technology and
equipment fortreatment (i.e., functionalization)
of film surfaces to promote adhesion of solvent-
less and aqueous-based inks. This new technol-
ogy offers the environmental benefit of reducing
the dependence of the packaging film printing in-
dustry on solvent-based inks.
Use of solvent-based inks results in the release
ofVOCs (particularly toluene) to the atmosphere.
Toluene has been nearthe top of the Toxic Re-
lease Inventory list in recent years, with tens of
millions of pounds released annually. Solvent-
based inks are responsible for approximately 50
percent (by weight) of the VOCs emissions from
a typical printer, and VOCs are regulated as crite-
ria air pollutants under the Clean Air Act. Sigma
Technologies' surface functionalization technology
provides packaging film industry printers and con-
verters with a pollution prevention alternative to the
use of solvent-based inks. Use of this technology
will eliminate the release of VOCs associated with
the use of solvent-based inks. It also eliminates
the need to dispose of waste solvent-based inks
as hazardous wastes.
Surface functionalization is achieved by an appro-
priate combination of plasma treatment and thin
(submicron) acrylate coating within a vacuum envi-
ronment. Functionalization is performed inline at
high speed using Sigma Technologies' proprietary
equipment. The process begins with plasma treat-
ment of one surface of the plastic film using a
moderate energy flux with a suitable gas mixture.
As the plastic film continues through the web pro-
cessing machinery, it can be metalized and
coated or coated directly with a very thin layer of
an acrylate-based monomer that is 100 percent
active (i.e., no solvents). The monomer is depos-
ited on the surface of the plastic film, then passed
in front of an electron beam where the monomer is
rapidly and completely polymerized. The function-
alized film then is ready for printing, labeling, or
other processing.
Sigma Technologies also has developed radiation-
curable, acrylate monomers that either repel or
attract water. Monomer blends can be tailored to
meet the specific surface energy requirements of
the client.
Sigma Technologies has
developed an innovative
technology for functional-
ization of film surfaces to
promote adhesion of solvent-
less and aqueous-based inks.
This is the vacuum chamber
in which most of the surface
functionalization experiments
are performed.
SBIR SUCCESS STORIES
-------
In addition to eliminating the use of solvent-based
inks, Sigma Technologies' surface functionaliza-
tion process is more efficient for clients who met-
alize plastic packaging film following plasma
treatment. Functionalization of packaging films
increases the "sticking coefficient" for the metal in
comparison to untreated film. That is, the percent-
age of the evaporated metal that condenses and
adheres to the surface of the film is a little higher
forfilms that have been plasma treated. More effi-
cient metal deposition means less metal is
wasted, and waste disposal costs are reduced.
EPA SBIR funding was pivotal to the success of
Sigma Technologies' commercialization efforts.
The Phase I project helped compile credible data
and important findings, which resulted in R&D
commitments from clients who are major players
in the packaging film industry to run concurrently
with the Phase II EPA SBIR effort. The SBIR fund-
ing, combined with the private sector efforts, helped
Sigma Technologies to overcome technical and
financial obstacles during Phase II and to achieve
successful commercialization of their equipment
design and technology concept.
Sigma Technologies has developed inexpensive, high-
speed, inline technology and equipment for surface
functionalization of plastic film that promotes adhesion
of aqueous-based and solventless inks.
The technology eliminates the use of solvent-based
inks by packaging film printers, preventing the release
of VOCs to the atmosphere as well as the need to dis-
pose of waste solvent-based inks as hazardous
wastes.
Functionalization of packaging films increases the
metal "sticking coefficient" for metalized plastic pack-
aging film, reducing the amount of metal wasted and
the resulting disposal costs.
EPA SBIR funding helped Sigma Technologies obtain
R&D commitments from major players in the packag-
ing film industry to accelerate commercialization of
this technology.
The aery I ate coating technology can be tailored to
provide almost any surface energy desired on a plas-
tic film substrate.
SBIR SUCCESS STORIES
™
-------
RP-1 POLYMER
IDENTIFICATION SYSTEM
FOR SORTING PLASTICS
SPECTRACODE, INC.
WEST LAFAYETTE, IN
SpectraCode, Inc., was awarded an EPA SBIR
contract to develop the RP-1 Polymer Identifica-
tion System, a laser-based device that will enable
recyclers to easily identify and sort a wide range
of plastics. The current technology for identifying
dismantled plastic materials is slow and depen-
dent on operator accuracy. SpectraCode's RP-1
is a new spectroscopic device that is capable of
identifying the chemical composition of plastic
parts at rates that could ultimately exceed 100
pieces per second (500 tons per day).
A number of industries are making advances to
bring plastic products with high recycle content to
market. To succeed, these initiatives need a reli-
able stream of recovered plastic feedstock. Poly-
mers of different composition are incompatible
when melted together. Therefore, cost-effective
methods to sort plastics by individual polymer are
needed. Because the RP-1 reduces the cost of
plastics recycling and improves the purity of re-
covered product streams, it will help facilitate the
recycling of billions of pounds of plastics that are
being landfilled or incinerated every year due to
the lack of accurate separation that is needed to
avoid cross contamination during collection. This
technology supports EPA's goal to reduce the
quantity of waste requiring disposal.
The RP-1 system is an industry-ready device for
the manual, point-and-shoot identification of plas-
tic components, feedstocks, and plastic scrap.
The RP-1 device consists of a hand-held probe,
which looks like a hairdryer, connected to a mo-
bile console. The probe illuminates a solid object
with a laser and collects the light scattered from
the sample, much like a bar-code scanner. The
device uses the principle of Raman spectroscopy
to read the information encoded in the molecular
structure of the plastic itself and thereby identify
its chemical composition. When a part is illumi-
nated with the laser output of the probe, it causes
the sample's molecules to vibrate. The vibrations
in turn cause the light to scatter in a pattern that
is specific for each type of plastic. The scattered
light is recorded and analyzed by a computer,
which displays the result on a color monitor lo-
cated on the console. The entire identification
cycle requires less than 1 second. By eliminating
the need to locate and read resin identification
codes, a single RP-1 system could increase a
worker's rate of manual sorting by more than a
factor of four.
The instrument is simple to use because it has no
moving parts and it does not require precleaning,
processing, or precise positioning of the plastic
waste material. The RP-1 uses SuperFocal imag-
ing of the scattered light from the plastic waste to
provide an unsurpassed depth of field (5 mm) that
eliminates the need for precise sample alignment.
Applications forwhich the RP-1 was designed in-
clude the screening of production and packaging
waste and the identification and sorting of com-
mercial and post-consumer plastic waste in com-
munity recycling centers and transfer stations.
SBIR SUCCESS STORIES
SpectraCode's RP-1 system is being used to
identify the plastic backing on an automo-
bile headlight. This technology can identify
plastics so they can be sorted for recycling,
including plastics that currently are
impossible or difficult to sort.
R&D100
Award
1998
-------
The RP-1 device can be used to sort a wide range
of plastics. For example, it can be used to sort
plastic components in cars, synthetic fiber resins
in carpets, and a number of plastics used in the
building and construction industry. It also can be
used to sort plastic films such as those found in
dry cleaning bags, shrink wrap, and packaging
material. Only a small fraction of these materials
currently are recycled, primarily because of the
difficulties identifying and separating the various
types of plastics. With simple user modification,
SpectraCode's device can be used for manual
process control as a probe for feedstock identity
and purity.
SpectraCode has installed RP-1 systems at two
large-scale recycle facilities and in the Detroit Ve-
hicle Recycling Development Center, a joint re-
search facility of General Motors, Ford, and
Chrysler. Ford Motor Company's automotive
component operations, now known as Visteon,
has supported development of the RP-1 and is
using the product in its recycling efforts. About 75
percent of the typical Ford vehicle is recyclable at
the end of its working life and the company be-
lieves that the RP-1 device will help increase that
percentage in the future. SpectraCode is market-
ing the RP-1 to other automobile manufacturers
and large-scale recyclers as well as plastic mold-
ers and resin formulators that can use the diag-
nostic capabilities of the RP-1 for process control.
In recognition of SpectraCode's technological
achievement, the RP-1 device was named one of
the 100 most technologically significant products
and processes of 1998 by R&D Magazine.
Impact
SpectraCode has successfully developed and commer-
cialized the RP-1, a laser-based device that is capable of
identifying the chemical composition of plastic parts at
rates that could exceed 100 pieces per second (500 tons
per day).
The RP-1 device will help facilitate the recycling of
billions of pounds of plastics that are being landfilled
or incinerated every year. It supports EPA's goal to
reduce the quantity of wastes requiring disposal.
The RP-1 system has added value to plastic recycling
processes by reducing manpower costs and improv-
ing the purity of recovered product streams.
SpectraCode's RP-1 currently is used for automotive
component recycling and is slated for introduction as a
new-parts process-control diagnostic by a major manu-
facturer of injection-molded plastic components.
In 1998, R&D Magazine selected SpectraCode's device
as one of the year's 100 most technologically significant
products.
SBIR SUCCESS STORIES
™
-------
SELENIUM REMOVAL FROM
REFINERY WASTEWATERS
TDA RESEARCH, INC.
WHEAT RIDGE, COLORADO
TDA Research, Inc. (TDA), with funding provided
by EPA's SBIR Program, has developed and com-
mercialized a process for the effective removal of
selenium from petroleum refinery wastewaters.
According to the Toxic Release Inventory, selenium
releases to land and water totaled over 1 million
pounds from 1987 to 1993. Petroleum refinery
wastewaters are among the largest sources of se-
lenium-contaminated waters in the San Francisco
Bay area because of the types of crude oil pro-
cessed in these refineries. Portions of the San
Francisco Bay estuary have been classified by
the EPA as impaired due to the presence of sele-
nium and its toxic effects on waterfowl. Selenium
is known to accumulate in living tissues and can
cause human health effects at exposures above
the Maximum Contaminant Level of 0.05 ppm. As
a result, the San Francisco Bay Regional Water
Quality Control Board has set the selenium dis-
charge limit for petroleum refineries to 0.05 ppm.
Conventional iron co-precipitation has been used
on the end-of-pipe combined biotreated refinery
effluent (which has not been effective in meeting
this limit). One of the primary sources of sele-
nium in refinery wastewaters is from sour water
streams. TDAs process was developed specifi-
cally for the treatment of petroleum refinery
stripped sour water prior to its combining with
other wastewater streams in the biological treat-
ment system. Annual operating costs for TDAs
process are about the same as co-precipitation;
SBIR SUCCESS STORIES
however, TDAs technology realizes a savings in
capital costs of approximately 85-90 percent and
generates 1/100 the waste of conventional iron co-
precipitation.
The oxidation state of seleniumdepends on the
particular refinery process stream and ranges from
the reduced selenocyanate in strippedisour water
streams to the oxidized selenite and s^enate in
the combined biotreated effluent. This pb^fs a
particular problem in removing selenium fri|| refin-
ery wastewaters because the efficacy of the fHpat-
ment process is highly dependent on the l||
oxidation state of selenium. Although conven-lpt
tional iron co-precipitation is 80-90 percent effel-
tive on selenite, it is ineffective on selenocyanate
andselenate.
TDAs process to remove selenium from stripped
sour water addresses these limitations of current
technology. The process involves mixing the stripped
sour water with an organic soluble chelantthat is
highly selective for selenocyanate. The chelant
binds the selenium and removes it to the organic
phase, where it can be recovered by conventional
oil recovery techniques. The selenium-loaded or-
ganic chelant can be managed in a number of
ways including disposal in a liquid fuels disposal
program.
The economics of TDAs process are competitive
with conventional iron co-precipitation approaches.
For example, a TDA system sized to treat a 250
gallon per minute (gpm) refinery stripped sour wa-
terstream containing 6 ppm of selenium would
Selenium Recovery
Refinery Stripped
Sour Water
250 gal/min
8< pH <9.5
[Se] ~ 6.0 ppm
(18lb/day)
Spent Chelant
120 gal/day
Se=17lb/day
pH Adjustment
H2S04
Chelant Makeup
120 gal/day
Treated Water
250 gal/min
pH = 5.0
[Se] < 0.3 ppm
(< 1 Ib/day)
TDA Research's extraction process effectively removes selenium from refinery stripped sour water, which is one of
the primary sources of selenium in refinery wastewaters. The process involves mixing the stripped sour water with
an organic soluble chelant that is highly selective for selenocyanate. The chelant binds the selenium and removes it
to the organic phase, where it can be recovered using conventional oil recovery techniques.
-------
cost less than $2.5 million in capital expenditure
and approximately $1 million in annual operating
costs. By comparison, due to its ineffectiveness
on selenocyanate, an iron co-precipitation pro-
cess at the end of the pipe would have to be sized
to treat a 1,500 gpm final biotreated effluent con-
taining 1 ppm of selenium. Such a system would
cost $15-25 million in capital expenditure and ap-
proximately $1 million in annual operating costs.
The real advantage of the IDA process is in the
reduced amount of waste generation that requires
final disposal. The iron co-precipitation process
would generate approximately 90 tons/day of
sludge that would need stabilization priorto dis-
posal in a California Class I hazardous waste
landfill. The TDA process, on the other hand,
would generate approximately 0.5 ton/day of a
spent liquid organic that could be managed in
many less expensive ways.
In 1997, TDA commercialized its technology for
the removal of selenium from refinery wastewaters.
This technology was implemented at a California
refinery where it was used to deal successfully with
a major spike in selenium discharge that would
have shut down the refinery within 3 days if it had
not been controlled.
SBIR
TDA's process effectively removes selenium from
petroleum refinery wastewaters, enabling refineries
in the San Francisco Bay area to comply with the
0.05 ppm selenium discharge limit established by
the San Francisco Regional Water Quality Control
Board.
TDA's process can be implemented with an 85-90
percent savings on capital costs compared to con-
ventional iron co-precipitation.
TDA's process significantly reduces the amount of
waste that requires final disposal. Iron co-precipita-
tion would generate about 90 tons/day of sludge
that would require stabilization prior to disposal in
a hazardous waste landfill. The TDA process would
generate only 0.5 ton/day of a spent liquid that
could be managed in many less expensive ways
TDA has installed this technology at one California
refinery and is actively marketing the process to
other petroleum refineries.
SBIR SUCCESS STORIES
43
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SBIR SUCCESS STORIES
-------
Appendix:
EPA's Program
The 1982 Small Business Innovation Develop-
ment Act created the SBIR Program to lever-
age the ingenuity and wealth of resources
available in small companies, and their ability to
transform research and development results into
new products. The Act noted that, while small
business is the principal source of significant
innovation in the United States, the vast majority of
federally funded R&D is conducted by large busi-
nesses, universities, and government laboratories.
According to a Bureau of the Census survey, small
firms receive only 11 percent of their R&D funds
from the federal government, as compared to the
26 percent received by large companies. The SBIR
Program is designed to redirect some of this fed-
eral funding to the small business community.
The basic purpose of the Act was to
strengthen the role of small enterprises in
federally funded R&D and thus help the
Nation develop a stronger base fortechnical inno-
vation and wider commercialization of the ideas
generated in the laboratories, research facilities,
and factory floors of small hi-tech companies.
Agencies participating in the Program are
required to issue a solicitation that sets
the SBIR process in motion. The solicita-
tion lists and describes the research topics to be
addressed and invites companies to submit their
proposals for consideration. Each of the 10 federal
agencies participating in the SBIR Program issues
annual solicitations for Phase I and Phase II pro-
posals. Under Phase I of EPA's SBIR Program,
small science and technology-based firms investi-
gate the scientific merit and technical feasibility of
the proposed technology. EPA awards firm-fixed-
price Phase I contracts of up to $70,000 and the
period of performance for these contracts is typi-
cally 6 months. Through this phased approach to
SBIR funding, EPA can determine whether the re-
search idea, often on high-risk advanced concepts,
is technically feasible, whether the firm can do
high-quality research, and whether sufficient
progress has been made to justify funding a larger
Phase 11 effort.
Phase II contracts are limited to small busi-
nesses that have successfully completed
their Phase I contracts. The objective of
Phase II is to further develop the concept proven
feasible in Phase I and complete the R&D re-
quired to commercialize the technology or prod-
uct. Competitive awards are based on the results
of Phase I and the scientific and technical merit
and commercialization potential of the Phase II
proposal. Under Phase II, EPA can award con-
tracts of up to $295,000 and the period of perform-
ance is typically 2 years. Companies that receive
Phase II contracts can request additional funds
from EPA if they are able to leverage third-party
financial support to accelerate commercialization
during Phase II.
The EPA SBIR Program is funded by setting
aside 2.5 percent of the Agency's extramu-
ral research budget each year. EPA's SBIR
budget is approximately $8 million and the Agency
expects to award about 40-50 Phase I contracts
and 15-20 Phase II contracts every year.
FPA issues its Phase I solicitation once
each year. This solicitation, which is avail-
able electronically on the Internet and in
hardcopy by mail, identifies the relevant research
topics that should be addressed by companies
responding to the request for proposals. The pro-
posed research must address a single research
topic, or an important segment of a topic, de-
scribed in the EPA SBIR solicitation.
DISTRIBUTION OF EPA's EXTRAMURAL
RESEARCH BUDGET
SBIR Program
Funding $8 million
2.5%
Other Extramural Research
Funding $312 million
97.5%
SBIR SUCCESS STORIES V,V
™^.
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EPA SB IR PROGRAM PROPOSAL AND AWARD DATA
(1990-1998)
SBIR Award Profile (Dollars in Thousands)
Total Amount of Phase I Awards
Total Amount of Phase II Awards
Agency Solicitation Profile
^^^^H
Number of Phase I Proposals Received
Number of Phase I Awards
Number of Phase II Proposals Received
Number of Phase II Awards
1990 1991 1992 1993 1994 1995 1996 1997 1998 Total
$1,586 $1,522 $2,041 $1,699 $1,905 $3,027 $1,934 $2,444 $2,583 $18,741
$1,649 $2,099 $2,250 $3,148 $2,950 $4,151 $2,924 $3,149 $2,246 $24,566
1990 1991 1992 1993 1994 1995 1996 1997 1998 Total
434 367 427 442 382 476 338 393 326
32(7%) 31(8%) 41(10%) 34(8%) 35(9%) 47(10%) 28(8%) 35(9%) 37(11%)
24 28 27 41 29 27 41 24 30
11(46%) 14(50%) 15(56%) 21(51%) 18(62%) 19(70%) 13(32%) 14(58%) 10(33%)
SBIR SUCCESS STORIES
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T
he annual EPA SBIR solicitation typically
includes the following research topic
areas:
DRINKING WATER TREATMENT
Development of innovative techniques for removing
organic and inorganic contaminants (e.g., ammo-
nium perchlorate, pesticides, arsenic, nitrate, sul-
fate), particulates, pathogens, and emerging
pathogens; removing pathogenic microorganisms;
removing or preventing disinfection byproduct pre-
cursors; controlling pathogens; maintaining water
quality between the treatment plant and user; and
managing residuals from drinking water treatment.
MUNICIPAL WASTEWATER TREATMENT, SEPTAGE,
AND BlOSOLIDS MANAGEMENT
Development of techniques and technologies to
improve existing municipal wastewater treatment
processes as well as treatment and management
of septage and sewage sludge, particularly those
that enhance the reliability, efficiency, and cost-
effectiveness of existing processes.
INDUSTRIAL WASTEWATER TREATMENT
Development of innovative methods to improve ex-
isting industrial wastewater processes, contain
and treat uncontrolled air and un-sewered waste-
waterfrom animal waste, manage runoff from mine
wastes, treat drainage from abandoned factories
and coal mines, treat and dispose of liquid dye
baths from textile finishing operations, monitor
and treat bilge/ballast water within vessels, and
treat and recycle animal manure.
STORMWATER MANAGEMENT AND WET WEATHER
POLLUTION CONTROL
Development of innovative methods to treat and
control stormwaterrunoff, including cost-effective
technologies for preventing toxic pollutants from
entering storm or combined sewer/drainage sys-
tems, monitoring technologies and equipment to
measure the characteristics and impacts of wet
weatherflows (WWF), and high-rate and high-effi-
ciency treatment technologies for existing and
new wastewatertreatment plants.
REHABILITATION OF URBAN INFRASTRUCTURE
SYSTEMS
Development of innovative techniques to repair and
maintain water distribution and sewerage systems,
including new sewer materials and techniques for
sewer construction and maintenance; technolo-
gies to construct, maintain, and repair new and
existing urban utility and water distribution systems
infrastructure; and new pipe materials, relining
techniques, and innovative mate rials for water dis-
tribution systems.
PREVENTION AND CONTROL OF INDOOR AIR
POLLUTION
Development of methods to determine the nature
of indoor air emissions and how they contribute to
human exposure as well as cost-effective tools,
techniques, and technologies to prevent or reduce
individual exposure to indoor air pollutants. Areas
of interest include: methods to prevent biocontam-
inant growth in the indoor environment; techniques
to prevent/avoid dermal and/or ingestive exposure
to hazardous chemicals on surfaces in the indoor
environment; improved air cleaners that remove
volatile organic compounds and small particu-
lates; improved air filters for heating, ventilating,
and air conditioning systems; techniques for con-
ditioning outdoor ventilation air; and new products
that reduce availability of harmful contaminants in
the indoor environment.
PREVENTION AND CONTROL OF NOX, VOCs,
SO2, AND Toxic AIR EMISSIONS
Development of innovative, cost-effective tech-
niques that prevent or control emissions of nitro-
gen oxides (NOX), fine particles, volatile organic
compounds (VOCs), sulfur dioxide, ortoxicair
pollutants from stationary or mobile sources. Of
particular interest to EPA are approaches and
systems that can be used to control combinations
of these pollutants.
RECYCLING OF MUNICIPAL SOLID WASTE
Development of innovative methods forthe collec-
tion, separation, and processing of recyclable ma-
terials into usable goods. Areas of interest
include: storage, collection, and transport of
recyclables from residences and commercial
locations; processes to separate recyclables
and to remove contaminants from recyclable
materials; onsite and en route processing of
recclables; technologies for improving quality con-
trol for recyclable materials; alternative/new uses
and products for recyclable materials; innovative
recycling of organics; and redesigning of products
to enhance their recyclability.
SBIR SUCCESS STORIES
™
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TREATMENT, RECYCLING, AND DISPOSAL OF
HAZARDOUS AND NONHAZARDOUS SOLID
WASTES AND SEDIMENTS
Development of innovative approaches to manage
solid waste and sediments, including improved
treatment and disposal methods, innovative
techniques to prevent or detoxify wastes prior
to disposal, recovery and recycling techniques,
and methods for improved operation and control
of high-temperature waste combustion incinerators.
REMEDIATION OF CONTAMINATED SOIL,
SEDIMENTS, AND GROUNDWATER
Development of innovative, cost-effective methods
for the treatment or extraction of hazardous waste
contaminants, using physical, chemical, or bio-
logical techniques. Areas of interest include:
chemical detoxification; physical methods for sub-
surface mixing to enhance mobilization and mass
transfer; biotreatment methods; in situ treatment
of soils, sediments, and sludges; improved meth-
ods for treatment of heavy metals by reducing
their bioavailability in soils; approaches for detect-
ing, degrading, and removing dense nonaqueous
phase liquids (DNAPLs) from groundwater; and
improved nutrient and chemical reagent delivery
systems for biological or chemical methods.
POLLUTION PREVENTION AND CLEAN
TECHNOLOGIES
Development of innovative techniques to: (1) re-
duce the amount of hazardous substances or
pollutants entering any waste stream or otherwise
released to the environment priorto recycling,
treatment, ordisposal; and (2) reduce the hazards
to public health and the environment associated
with such releases. Areas of interest include:
in-process recycling techniques, cost-effective
methods to separate useful materials from other
components in a process stream, new bulk mate-
rials and coatings with long life and reduced envi-
ronmental impact, improved sensor and multivariate
control of manufacturing equipment and systems
to reduce waste and emissions, and changes in
the composition of end products that facilitate
changes in the manufacturing process or use of
raw materials, or result in a reduced environmen-
tal impact from use and/or disposal.
ADVANCED MONITORING AND ANALYTICAL
TECHNOLOGIES
Development of more accurate, cost-effective
approaches to environmental monitoring and mea-
suring, including portable measurement tech-
nologies that can be used in the field, improved
measurement of microbial pathogens in drinking
watersystems, improved measurement of disin-
fection byproducts, and devices to yield continu-
ous data in pollutant concentrations in environ-
mental media (including remote sensing devices).
TECHNOLOGIES AND ALTERNATIVES FOR OZONE-
DEPLETING COMPOUNDS
Development of safer alternatives to substances
that harm the stratospheric ozone layer, including
better and more efficient fire suppressants and
systems, more reliable fire detection methods,
alternatives to ozone-depleteing adhesives and
coating removers, and low-temperature refriger-
ants or alternative technologies.
GLOBAL CLIMATE CHANGE
Development of innovative methods to prevent and
control releases of greenhouse gas (GHG) emis-
sions such as methane, carbon dioxide, nitrous
oxide, hydrofluorocarbons, perfluorocarbons, and
sulfur hexafluoride. Areas of interest include: new,
environmentally safe chemicals and intelligent
controls to reduce GHG emissions; techniques to
reduce, detect, collect, and utilize waste methane;
improved instruments and methods to measure
GHG emissions; improved control of aluminum
production to reduce perfluorocarbon emissions;
improved processes for utilizing biomass or other
renewable energy sources; and new insulation
materials or processes to replace uses of sulfur
hexafluoride.
rom FY1990 to FY1998, EPA awarded 455
SBIR contracts to fund research and devel-
opment at small businesses across the
country. Of these 455 SBIR awards, 320 were
Phase I contracts totaling $18.7 million, and 135
were Phase II contracts totaling $24.6 million.
Some of the Program's notable accomplishments
are described in the following paragraphs.
An ever-increasing number of SBIR partici-
pants are succeeding in commercializing
their new products and technologies. In
addition to the 17 technology success
stories described in this report, about 30 addi-
tional SBIR-developed technologies are expected
to be commercialized in the near future. This is
consistent with the results of studies conducted
by the Small Business Administration and the
General Accounting Office. These studies have
indicated that one in four SBIR participants com-
mercialize their technologies within 6 years of
receiving their Phase II SBIR awards. These
technologies have yielded millions of dollars in rev-
enue for small developers, with the added benefits
of creating jobs, stimulating economic growth, and
enhancing U.S. competitiveness in the environ-
mental technology industry.
*
SBIR SUCCESS STORIES
-------
T
he innovative technologies and products
that have been developed with the assis-
tance of EPAs SBIR Program are:
• Helping companies comply with increasingly
stringent emissions standards,
• Allowing firms to avoid the use
of toxic and hazardous materi-
als in production processes,
• Enabling companies to recover
and recycle materials for reuse,
and
• Providing companies the
option of selecting environ-
mentally friendly products.
EPAs SBIR awardees have
received a number of presti-
gious awards in recognition of
their innovation, accomplishments,
and contributions to society. These
awards include the R&D 100
Award, the Tibbitts Award, the
Discovery Award, Popular
Science's Best of What's New
Award, the Lead Tech Product of
the Year Award, the Governor's
Award for Energy Efficiency, EPAs
Outstanding Small Business En-
terprise Award, EPAs Environmen-
tal Technology Innovator Award, the New
Englander Award, the Massachusetts Small Busi-
ness Innovation Research Award, and the Con-
necticut Technology "Fast Fifty" Award.
GEOGRAPHIC
DISTRIBUTION OF
EPA SBIR AWARDS
(FY1990-FY1998)
BY STATE
MA
"43/20
Rl
KEY
I— # of Phase I Awards
I—# of Phase II Awards
3/2
SBIR Phase I Awards for FY1990-FY1998 320 $18.74 million
SBIR Phase II Awards for FY1990-FY1998 135 $24.57 million
PA's SBIR Program is highly competitive.
Due mainly to limited funds, only about 10
percent of the small businesses submitting
Phase I proposals to the Agency are awarded an
SBIR contract. From 1992 to 1997, 79 of 113 com-
panies awarded Phase I contracts were newcom-
ers to EPAs SBIR Program. In 1998,
20 of 37 companies were new-
comers to the Program. Over the
paste years, an average of 87 per-
cent of the small companies receiv-
ing a Phase I award from EPA
submitted a Phase II proposal. Of
i/b these companies submitting Phase
II proposals, an average of about 50
percent receive Phase II awards.
espite rigorous competition,
hundreds of small firms from
across the country have
been successful in winning SBIR contracts
from EPA. Companies in 36 different states
have received EPA SBIR awards since 1990,
with California, Massachusetts, and Colo-
rado receiving the largest number of Phase I
and Phase II awards. However, companies
from states with few or no SBIR awards
should not be discouraged. EPA has con-
ducted new outreach efforts aimed at those
states to encourage more small firms to par-
ticipate in the Agency's SBIR Program.
SBIR SUCCESS STORIES yTy
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SBIR SUCCESS STORIES
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SB1R Plrogram
Contacts
The EPASBIR Program is managed by the Environmental Engineering Research Division (EERD)
of the National Center for Environmental Research and Quality Assurance (NCERQA) within EPA's
Office of Research and Development. For information on the Program, contact:
PROGRAM REPRESENTATIVES
Jim Gallup
Tel: (202) 564-6823
Fax: (202) 565-2447
Email: gallup.jim@epa.gov
Marshall Dick
Tel: (202) 564-6828
Fax: (202) 565-2447
Email: dick.marshall@epa.gov
Michael Bender
Tel: (202) 564-6829
Fax: (202) 565-2447
Email: bender.michael@epa.gov
Stephen A. Lingle
Director, Environmental Engineering
Research Division
Tel: (202) 564-6820
Fax: (202) 565-2446
Email: lingle.stephen@epa.gov
EPA SBIR SOLICITATIONS
NCERQA Web Site at
http://www.epa.gov/ncerqa (select Small Business)
or
EPA Helpline 1-800-490-9194
or
Contracts Management Division (MD-33)
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
EPA SBIR PROJECT ABSTRACTS
NCERQA Web Site (abstracts for past 5 years) at
http://www.epa.gov/ncerqa (select Small Business)
or
FEDRIP (abstracts from 1982 to present)
Tel: (703) 487-4929
FOR INFORMATION ON SBA's RESOURCES FOR
SBIR AWARDEES CONTACT:
U.S. Small Business Administration
Office of Technology
409 Third Street, SW
Washington, DC 20416
Tel: (202) 205-6450
http://www.sba.gov/SBIR/sbir.html
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SBIR SUCCESS STORIES
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