vvEPA
United States
Environmental Protection
Agency
Office of Research and
Development (8722)
Washington, DC 20460
EPA/600/F-96/021
December 199&
EPA's Small Business
Innovation Research (SBIR)
Program:
Innovative Solutions for Environmental Problems
Proof of Innovative
Concept
Research,
Development, and
Demonstration
Need or Problem
Identification
*Q ^^ ^
National Center for Environmental Research and Quality Assurance ;>ON *%
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EPA's Small Business Innovation
Research (SBIR) Program:
Innovative Solutions for Environmental Problems
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EPA's SBIR PROGRAM
INTRODUCTION
In the Report
Introduction
EPA SBIR Program
Accomplishments ..
Relation of the SBIR
Program to the
ORD Strategic
Plan
Relation of the SBIR
Program to EPA
Science and Tech-
nology Needs
Management of the
EPA SBIR Program.
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 to achieve its overall mission to
protect human health and the environment.
Through the SBIR Program, EPA makes
awards to small, high-tech firms for research
and development of cutting-edge technolo-
gies. The Program is intended to spawn com-
mercial ventures that improve our environ-
ment and quality of life, create jobs, increase
productivity and economic growth, and im-
prove the international competitiveness of the
U.S. technology industry.
Over the past decade, dozens of innovative
technologies and processes have emerged
from this 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
support needed to achieve commercialization
of their technologies.
This report describes some of the innovative
technologies developed under EPA's SBIR
Program. In addition, the report emphasizes:
* The accomplishments of the EPA SBIR
Program over the past several years.
The SBIR Program, was
created by the Small
Business Innovation
Development Act, which
was signed by the
President on July 22,
1982, to strengthen the
role of small enter-
prises in federally
funded R&D and thus
help the nation develop
a stronger base for
technical innovation.
* The relation of the SBIR Pro-
gram to the Office of Research
and Development Strategic Re-
search Plan and priorities.
*J» How the SBIR Program is being
targeted to meet EPA's innova-
tive technology development
needs.
•J» How the SBIR Program is man-
aged, including the external
peer review that EPA uses to
identify proposals involving
high quality technical expertise
and concepts with high potential for tech-
nological and commercial success.
<» Descriptions of successful technologies
developed under EPA's SBIR Program,
and the resulting creation of U.S. and
foreign sales and new jobs for skilled
workers.
EPA SBIR PROGRAM
ACCOMPLISHMENTS
From FY1990 to FY1995, EPA awarded 318
SBIR contracts to fund R&D at small
businesses across the country. During this
period, the following notable accomplish-
ments have been achieved:
* EPA awarded 220 Phase I SBIR contracts
totaling $11.8 million.
«:» EPA awarded 98 Phase II SBIR contracts
totaling $17.6 million.
»J» Five companies received Phase III funding
from EPA totaling $1.5 million. These
contracts were funded by the Environ-
mental Technology Initiative—aPresiden-
tial program headed by EPA to expand the
development and use of innovative tech-
nologies to address environmental prob-
lems.
*J» An ever-increasing number of SBIR par-
ticipants are succeeding in commercializ-
ing their new products and technologies.
According to a recent survey conducted by
ORD's National Center for Environmen-
tal Research and Quality Assurance
(NCERQA), of the 98 SBIR Phase II
contracts awarded by EPA from FY1990
to FY1995, 11 new innovative technolo-
gies have already been commercialized
and 15 more are likely to be commercial-
ized in the near future. This is consistent
with the results of surveys conducted by
the Small Business Administration and the
General Accounting Office, which indi-
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EPA's SBIR PROGRAM
Three Phases of
the SBIR Program
PHASE I: 6-month
feasibility study
PHASE U:
development of
technology proven
feasible in Phase I
(1-2 years)
PHASE HI: commer-
cialization of the
technology devel-
oped in Phase U
(cannot be funded
under the SBIR
Program)
cated that one in four SBIR participants
commercialize their technologies within 6
years of receiving their Phase II SBIR
awards.
•t* Eleven innovative technologies funded by
EPA's SBIR Program have been success-
fully commercialized during this 6 year
period (some of which are described in
Appendix A). These technologies have
yielded millions of dollars in revenue for
small developers, with the added benefits
of creating jobs, stimulating economic
growth, and enhancing U.S. competitive-
ness in the environmental technology
industry.
*t» The innovative technologies and products
developed under the SBIR Program are:
(1) helping companies comply with in-
creasingly stringent emissions standards,
(2) allowing firms to avoid the use of toxic
and hazardous materials in production
processes, (3) enabling companies to
recover and recycle materials for reuse,
and (4) providing companies the option of
selecting environmentally friendly prod-
ucts.
»** EPA's SBIR awardees have received a
number of prestigious awards in recogni-
tion of their innovation, accomplishments,
and contribution to society. These awards
include the R&D 100 Award, the Tibbitts
Award, the Discovery Award, Popular
Science's Best of What'sNew Award, the
Lead Tech Product of the Year Award, the
Governor's Award for Energy Efficiency,
EPA's Outstanding Small Business Enter-
prise Award, the Massachusetts Small
Business Innovation Research Award, and
the New Englander Award.
* EPA's SBIR Program is highly compet-
itive; therefore, only 10 percent of the
small companies submitting Phase I pro-
posals to the Agency are awarded an
SBIR contract. Over the past 6 years, an
average of 87 percent of the small compa-
nies receiving a Phase I award from EPA
submitted a Phase II proposal. Of these
companies submitting Phase II proposals,
an average of 58 percent received Phase II
awards (see Appendix B for information
about the solicitation process and EPA's
SBIR awards).
Despite rigorous competition, hundreds of
small companies from across the country
have successfully won SBIR contracts.
Companies in 32 different states have
received SBIR awards from EPA within
this 6 year period, with Colorado, Massa-
chusetts, and California receiving the
largest number of Phase I and Phase II
awards. (The geographic distribution by
state of the SBIR contracts awarded from
FY1990 to FY1995 is provided in Appen-
dix C.)
To assist small companies interested in
submitting an SBIR proposal to EPA in
the future, NCERQA is updating a booklet
that describes the entire solicitation and
proposal process. In addition, NCERQA
is preparing a guide to help SBIR
awardees identify sources of capital and
other commercialization assistance.
RELATION OF THE SBIR
PROGRAM TO THE ORD
STRATEGIC PLAN
During the past 2 years, ORD has transformed
itself to provide better science and engineer-
ing support specifically targeted to meet the
needs of EPA decisionmakers. ORD has
taken a number of steps to construct a new
foundation for science and research in EPA
that is based on: (1) risk and ORD's ability to
improve risk assessments by reducing uncer-
tainty, and (2) ORD's ability to contribute to
better and more cost-effective risk reduction.
As part of its new strategic directions, ORD
has consolidated and realigned its research
laboratories around the risk assessment par-
adigm. ORD has also made a major commit-
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EPA's SBIR PROGRAM
Beginning in
FY1997 through
FY2OOO, EPA
will set aside
2.5% of the
Agency's extra-
mural research
budget to fund
small business
R&D under the
SBIR Program.
ment to include our nation's best scientists in
EPA's research program to ensure that the
science and engineering underlying the
research is of the highest quality possible.
Through the SBIR Program, NCERQA is
tapping the talent and innovation of Amer-
ica's small businesses to find new, improved
solutions to priority environmental problems.
The SBIR Program is an important compo-
nent of the new directions described in the
ORD Strategic Plan. It is one of the many
mechanisms used by ORD for accomplishing
the research objectives in the plan. The
research topics described in future SBIR
solicitations will be derived from the topic-
specific research plans that have been or are
currently being developed from the ORD
Strategic Plan. These plans describe the
specific research that must be done to provide
the information that EPA policy makers need
in order to make decisions. These research
plans are written by Agency-wide work
groups and undergo independent peer review.
By focusing the SBIR solicitation research
topics on the priority areas defined in the
specific research plans, the work accom-
plished under the SBIR Program will comple-
ment ORD's extensive intramural research
program.
The six high priority areas for research listed
in the ORD Strategic Plan, which will be
emphasized in SBIR solicitations issued by
EPA over the next few years, include:
«J« Drinking water disinfection
»!» Particulate matter
»J» Human health protection
*J» Ecosystem protection
*J» Endocrine disrupters
*** Pollution prevention and new technolo-
gies.
Within each priority research area, the ORD
Strategic Plan defines risk-based criteria that
can be used to select the most important
research that is needed by EPA. The criteria
include the extent to which risk management
options currently exist, whether new technical
solutions can be efficient and cost effective,
and whether other organizations are already
developing needed solutions. These criteria
also will guide the selection of research pro-
posals solicited under the SBIR Program.
Other areas of high importance to ORD's
research program that will continue to be part
of the Agency's SBIR Program solicitation
include:
»t» Air pollutants
<• Indoor air
»J» Global change
*J» Drinking water (other than disinfection)
<* Waste site risk characterization
«J* Waste management and site remediation.
The relationship between the research topics
included in the SBIR solicitation and the
ORD Strategic Plan priorities is depicted in
the table on the following page.
RELATION OF THE SBIR
PROGRAM TO EPA SCIENCE
AND TECHNOLOGY NEEDS
The small business research community
represents an excellent resource to meet
EPA's priority science and technology needs.
In the past, SBIR solicitations have identified
general areas of research needs for various
media and pollutant categories. For example,
recent solicitations included the following
research topics:
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EPA's SBIR PROGRAM
Relationship of
SBIR Research
Topics to ORD
Strategic Plan
Priorities
Technologies for Prevention
and Control of Air Emissions
Waste Reduction/Pollution
Prevention
Drinking Water Treatment
Municipal and Industrial
Wastewater Treatment and
Pollution Control
Treatment, Recycling, and Dis-
posal of Solid Wastes, Hazard-
ous Wastes, and Sediments
Technologies for In-Situ Site
Remediation of Organically
Contaminated Soil, Sediments,
and Groundwatcr
Technologies for Treatment or
Removal of Heavy Metals at
Contaminated Sites
Technologies for Prevention
and Control of Indoor Air
Pollution
Biosensors and Immunoassay
for Pesticide Residue
Identification and Monitoring
Wet Weather Flow Treatment
and Pollution Control
Innovative Monitoring
Technologies
ORD STRATEGIC PLAN HIGHEST
PRIORITIES
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EPA's SBIR PROGRAM
»»
Technologies for prevention and control of
air emissions
Waste reduction/pollutionpreventiontech-
niques
Drinking water treatment technologies
Technologies for municipal and industrial
wastewater treatmentand pollution control
Treatment, recycling, and disposal of solid
wastes, hazardous wastes, and sediments
Technologies for in-situ site remediation
of organically contaminated soil, sedi-
ments, and groundwater
Technologies for treatment or removal of
heavy metals at contaminated sites
Technologies for prevention and control of
indoor air pollution
Biosensors and immunoassay for pesti-
cide residue identification and monitor-
ing
Technologies for wet weather flow
treatment and pollution control
Innovative Monitoring Technologies.
The SBIR projects funded in these various
categories have frequently addressed impor-
tant Agency priorities. Some of these projects
and the environmental significance of the
resulting technologies or products are dis-
cussed in Appendix A. Information on other
SBIR projects funded by EPA over the past 5
years is available on the Internet (see Appen-
dix D for how to access this and other sources
of information).
*J»
*t»
Information on EPA's SBIR
Program and projects is
available on the Internet at:
http:7Armv.epa.gov/ncerqa
EPA's current science and tech-
nology needs are defined in the
topic-specific research plans
developed from the ORD Strate-
gic Plan. For future SBIR solici-
tations, ORD plans to focus the
research topics on the priority
science and technology needs identified in the
research plans. In addition, ORD will seek
increased involvement from the Agency's
Regional and Program Offices and ORD
Laboratories in identifying specific research
topics to be included in upcoming SBIR
solicitations.
As in previous years, all SBIR proposals will
undergo external peer review and final selec-
tion will be based on the technical quality of
the proposal with regard to the selection
criteria defined in the solicitation. Through
this review process, ORD will ensure that
those projects that best fulfill the Agency's
science needs and that also complement the
intramural research being conducted by EPA
are selected for funding under the SBIR
Program.
MANAGEMENT OF THE EPA
SBIR PROGRAM
The SBIR Program is authorized under the
Small Business Innovation Development Act
of 1982, which was intended to strengthen the
role of small businesses in federally funded
R&D and help develop a stronger national
base for technical innovation. The Program is
funded by setting aside a specific percentage
of each participating agency's extramural
research budget every fiscal year (FY). From
FY1997 to FY2000the set-aside percentage is
2.5 percent.
EPA's SBIR Program has three phases.
Phase I investigates the scientific merit and
technical feasibility of the concept; Phase II
is the principal R&D effort to develop the
technology proven feasibile in Phase I; and
Phase HI is the commercialization of the
technology.
EPA publishes annual solicitations for Phase I
and Phase II proposals, which describe the
research topics to be addressed. EPA issues
its Phase I solicitation in October/November,
with proposals due into the Agency by mid-
January. The Phase II solicitation is issued in
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EPA's SBIR PROGRAM
the spring, with proposals due approximately
45 days after the issue date. All of the SBIR
Phase I and Phase II proposals received by
EPA are subjected to a rigorous external peer
review process, which is coordinated by
NCERQA, and awards are made by the
Agency on the basis of the scientific and
technical merit of the proposal.
Additional information on the management
and administration of EPA's SBIR Program is
provided in Appendix B.
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APPENDIX A: SBIR SUCCESS STORIES
A-l
Appendix A;
SBIR ,
Success
>, Stories
In Appendix A
SBIR Program Com-
mercialization
Success Stories ... A-l
SBIR Phase III
Success Stories ... A-6
SBIR PROGRAM OOWIMERCIAL-
IZATION SUCCESS STORIES
The companies featured in this Appendix
have successfullytransitionedtheir ideas into
revenue-generating products. Their success
stories representjust a small part of the return
on EPA's SBIR investment. The Agency
applauds the success of these firms, as well as
the other participants in EPA's SBIR Pro-
gram.
ENOX Technologies, Inc.
ENOX Technologies,Inc., in Natick, MA, has
developed a plasma combustion ignition
system that assures ignition stability and
complete combustion in lean-burn engines.
The patented INOX system significantly low-
ers combustion temperature, improves engine
efficiency, reduces nitrogen oxide (NOX)
emissions, extends engine life, and reduces
required engine maintenance. The INOX
system is able to ignite very lean air/fuel
ratios in an open chamber cylinder design,
with no engine modification or tear down.
The techno logy produces a continuous electri-
cal discharge at the gap of a conventional
spark plug for any desired number of degrees
of engine rotation. The energy delivered
ensures that combustion will occur even at the
leanest conditions.
Environmental Significance. The INOX sys-
tem enhances engine performance and ex-
tends engine life. In addition, the mainte-
nance and energy costs associated with the
technology are a fraction of those required for
competing technologies. The INOX system
routinely reduces NOX emissions to under 3.0
g/hp hr at rated engine load with little or no
sacrifice in fuel efficiency. (Installation of
the INOX ignition system results in a 40 to 90
percent drop in NOX emissions.) This brings
NOX emissions within virtually all state emis-
sion limits.
Conventional technology needed to meet
CAAA requirements was costing as much as
$750,000. The INOX system costs only
$40,000 to $102,000 and can be installed
quickly because it requires no modification of
the engine's head.
Impact of Commercialization. ENOX has
successfully retrofitted over 100 engines with
its patented INOX technology. In 1995, the
INOX ignition system was placed among "the
most technologically significant new prod-
ucts" in the world when ENOX received the
presitgious R&D 100 Award. The company's
success with INOX was again recognized in
Installation of the INOX ignition
system on a typical gas engine
compressor. The INOX system
causes NOX emissions to drop
by consistently and completely
firing very lean air/fuel mixtures
from increased turbocharger
boost pressures and thus re-
ducing combustion tempera-
tures. This leads to lower NOX
formation rates and reduced
NOX concentrations in the ex-
haust. In addition, it produces
more stable engine perform-
ance from extended duration
discharge.
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A-2
APPENDIX A: SBIR SUCCESS STORIES
1998
Tibbitts
Award
ILL
3S.
1996 when ENOX received one of the first
Tibbetts Awards. This award recognizes
"Models of Excellence" for SBIR projects at
the state and local level that are encouraging
economic development. ENOX also received
the 1995 Massachusetts Small Business
Innovative Research Award and the New
Englander Award.
Development and commercialization of the
INOx system has resulted in substantial
growth of both staff and sales. Since 1990,
ENOX has grown from a staff of 3 to a com-
pany of 25 employees, with product sales
currently estimated at $10 million.
National Recovery Technol-
ogies, Inc.
In 1988, EPA awarded National Recovery
Technologies, Inc. (NRT), located in Nash-
ville, TN, an SBIR contract to develop a tech-
nology that uses an electromagnetic sensor to
plastics separators, assists in recycling plastic
bottles by minimizingthe mixing of different
types of plastic resins so that they can be
more effectively processed into recycled
products. The patented NRT VinylCycle®
system accepts whole or crushed plastic
bottles as they are fed by a vibrating con-
veyor. Once inside the machine, the bottles
pass over a detector array that can sense the
presence of the chlorine atoms in PVC bot-
tles. Air jets are triggered to separate and
kick the PVC bottles away from the remain-
ing PET and HDPE containers. The system
can process up to 10 bottles per second.
Recycled PET that has been processed by
NRT VinylCycle® units is being used in the
production of many products—from carpet to
clothing.
Environmental Significance. The presence
of PVC plastics in the waste stream creates
high toxic chlorine emissions when the waste
is incinerated. These emissions are elimi-
nated by the VinylCycle® system, which can
AutoSort® and VinylCycle® Systems Automate the
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from a mixed waste stream of HDPE (high-
density polyethylene), PET (polyethylene
terephthalate), and PVC plastic bottles. The
resulting technology, the VinylCycle® line of
be used to separate PVC plastics from the
waste stream before incineration. In addition,
VinylCycle® promotes the recycling of plas-
tics in the waste stream by: (1) separating
PVC plastics from PET and HDPE plastics,
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APPENDIX A: SBIR SUCCESS STORIES
A-3
ru 1996 \n
\ Tihhitts //
Award / /
and (2) reducing the labor cost required for
manual separation of the various types of
plastics. Separation and purity are critical for
plastics recycling because PVC and PET
plastics have incompatible chemistries, and it
takes only one PVC bottle among 20,000 PET
bottles to contaminate an entire batch.
NRT has also been awarded other SBIR
contracts to develop additional innovative
technologies to improve recycling and reduce
worker exposure to the municipal waste
stream.
Impact of Commercial Success. By 1996,
over 40 VinylCycle® systems were in opera-
tion in the U.S., Europe, Japan, and Australia.
NRT reports over $6 million insales to date,
with gross sales expected to reach $280 mil-
lion to $1.4 billion over the next 10 years.
The success of VinylCycle® has fostered
development of a color/polymer sorter for
plastics. Separate funding from another EPA
SBIR contract has resulted in the successful
development and subsequent commercializa-
tion of MultiSort®, which allows automated
sorting of 5,000 pounds per hour of plastic
bottles by color and type to facilitate recy-
cling. NRT reports over $ 1 million in sales of
MultiSort® in the U.S., Europe, and Japan.
Since winning its first SBIR contract, NRT
has grown from 3 employees to a staff of 30
in 1994. In recognition of its admirable
accomplishments,NRT received EPA's 1991
"Outstanding Small Business Enterprise
Award" and became one of the first compa-
nies to receive the Tibbetts Award in 1996.
Membrane Technology and
Research, inc.
Membrane Technology and Research, Inc.
(MTR), in MenloPark, CA, received an SBIR
contract from EPA to develop a membrane
separation process capable of recovering
volatile organic compounds (VOCs) from
contaminated air streams. The VaporSep®
recovery system developed by MTR com-
bines proven condensation techniques with a
unique pressure-driven membrane vapor
separation process. This combination pro-
duces far better recovery performance than
condensation alone, achieving much higher
recovery rates or maintaining existing recov-
ery rates under less extreme temperature and
pressure conditions.
The key to the VaporSep® recovery process
is an organic-selective composite membrane
that is 10 to 100 times more permeable to
organic compounds than to air. This rugged,
high-flux polymeric membrane consists of a
very thin, highly selective, rubbery top layer
and a tough, relatively open microporous
support layer. The top layer performs the
separation; the porous support layer provides
mechanical strength. The backing material
for the structure is a nonwoven fabric.
Environmental Significance. VOCs and
other organic compounds are the most com-
mon pollutants emitted from chemical
processes. Titles I and III of the CAAA of
1990 require elimination or control of a large
percentage of these emissions. Each year,
chemical manufacturers alone must remove
some 500 million pounds of organic pollut-
ants from 50 million cubic feet of air.
Air and organic vapor permeate the mem-
brane at rates determined by their relative
permeabilities and the pressure difference
across the membrane. Depending on the
system design, MTR's VaporSep® system
removes and recovers between 90 and 99.99
percent of the VOCs from the feed air stream
and reduces the VOC content of the vented
gas to 100 ppm or less. In addition, the re-
covered VOCs can be reused at a fraction of
the cost of virgin compounds.
Impact of Commercial Success. MTR has
installed more than 30 VaporSep® systems at
various chemical and pharmaceutical plants,
and has reported sales of the system at $4.4
million. MTR's achievement was recognized
in 1990 when the company received the R&D
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A-4
APPENDIX A: SBIR SUCCESS STORIES
100 Award for the Vapor-Sep® technology.
A subsequent SBIR award from EPA allowed
MTR to complete design of an innovative
membrane module that will allow expansion
of the VaporSep® product line to low-flow-
rate conditions. This membrane module is
designed specifically for application to ex-
tremely low gas flow conditions in small vent
streams, such as gasoline station tank vents or
purge streams from chillers in commercial air
conditioning units. Although this module has
not yet been commercialized, MTR is actively
pursuing a licensing agreement and expects
the technology to be commercially available
in the near future.
needed to develop a sealant that met the speci-
fication standards of the automotive industry
and to bring the recycling technology into
commercial application for the auto manufac-
turing and sealant industries.
Environmental Significance. About 75
million pounds of paint sludge are generated
by the U.S. automotive industry each year,
making a significant contribution to landfills.
By recycling the paint sludge into compound-
ing ingredients for automotive sealants,
Aster's process significantly reduces the
amount of paint sludge requiring disposal in
our nation's rapidly filling landfills.
Condensation/membrane sepa-
ration usually achieves 90% to
99% recovery of VOCs and
creates no secondary wastes.
The MTR system at left was in-
stalled at Vista Chemical for
recovery and direct recycle of
vinyl chloride from a polyvinyl
chloride (PVC) process. The
benefits include recovered
monomer values, lower acid
neutralization costs, and re-
duced incinerator mainten-
ance.
NOMINEE
Governor's
Award for
S ExooUonoe in
Energy
«h Efficiency
Aster, Inc.
Aster, Inc., located in Fairborn, OH, was
awarded an SBIR contract by EPA to develop
a process for recycling solid automotive paint
wastes into automotive sealants. Aster pro-
posed to develop a process for recycling the
paint sludge into compounding ingredients for
automotive sealants that meet current auto
makers specifications for paintable sealants.
Prior to the SBIR award, Aster had developed
the recycling technology and a sealant formu-
lation prototype containing 50 percent of
recycled paint waste solids. The SBIR con-
tract provided funding to conduct the research
Impact of Commercial Success. Aster has
licensed their paint waste recycling
technology to a company that has shared a
portion of the commercialization cost. Since
commercializing the technology, Aster's sales
have doubled and new business opportunities
have developed. In recognition of the com-
pany's achievement, Aster has been nomi-
nated for the Governor's Award for Excel-
lence in Energy Efficiency.
Fusion Systems Corporation
Fusion Systems Corporation, in Rockville,
MD, developed a high-efficiency, mercury-
-------
APPENDIX A: SBIR SUCCESS STORIES
A-5
free lamp using recently discovered sulfur
lamp technology. Each Fusion Systems bulb
contains a small amount of sulfur and inert
argon gas. When the-sulfur is bombarded by
focused microwave energy it forms a plasma
that glows very brightly producing light very
similar to sunlight. Because there are no
filaments or other metal components, the bulb
may never need to be replaced. The sulfur
lamp can be used in a variety of configura-
tions. For example, it can be used with re-
flectors for lighting arenas and other large
areas or with a light pipe to light buildings,
parking garages, and tunnels.
Fusion Systems' Sulfur Lamp
Under Phase I, Fusion Systems investigated
variations of the lamp system parameters with
the primary goal of achieving a 150 percent
increase in efficiency (from 68 to 95 lumens
per watt) while maintaining good bulb color
and brightness. Another goal of the research
was to improve lamp starting down to -40°C.
Both of these factors were considered critical
for realizing commercial success.
During Phase II, Fusion Systems Corporation
focused on improving bulb efficacy and start-
ing, using the energy-saving ideas developed
during Phase I. At the conclusion of Phase II,
Fusion Systems had improved various com-
ponent efficiencies resulting in a mercury-free
lamp with a system efficiency of greater than
100 lumens per watt that is capable of driving
distributed lighting systems.
Fusion Systems' lamp offers a number of
potential environmental and other benefits
including: (1) removal of toxic mercury from
light sources, which reduces environmental
exposure to toxins in the event of bulb failure;
(2) low infrared output, which minimizes heat
in the light beam and allows a wider choice of
materials,for use in optics; (3) very low ultra-
violet (UV) output, which minimizes degrada-
tion of materials exposed to the light and
eliminates the need for UV filters; (4) increas-
ed efficiency and lower operating costs; (5) a
full-color spectrum that improves visual
performance; and (6) color stability and re-
producibility for long-term color consistency.
Environmental Significance. It is estimated
that 450 to 500 million fluorescent lamps are
discarded in the United States each year,
resulting in the disposal of more than 30,000
metric tons of mercury-contaminatedwaste in
landfills. Mercury can leach from the soil to
water and then be available to animals and
humans. Humans are typically exposed to
mercury through the consumption offish and
fish products. Although mercury has not been
shown to cause cancer in humans, long-term
exposure to organic or inorganic mercury
compounds can cause permanent brain and
kidney damage or damage to developing
fetuses. Mercury is classified as a hazardous
waste by EPA. Under the Resource Conser-
vation and Recovery Act (RCRA), wastes
exhibiting >0.2 mg/L TCLP of mercury, must
be disposed of as a code D009 hazardous
waste. There are currently no definitive
regulations for disposal of mercury lamps
under RCRA; however, proposed rulings are
being considered.
The Fusion Systems' lamp contains no mer-
cury. Therefore, there is no risk of exposure
to mercury in the event of bulb failure and no
mercury-contaminatedwaste to be landfilled.
An added environmental benefit of Fusion
Systems' sulfur lamp is that it has the poten-
tial to reduce the total energy requirements
associated with heating, cooling, and illumi-
nating commercial and industrial buildings
-------
A-6
APPENDIX A: SBIR SUCCESS STORIES
1995
Best of
What's New
Award
and the pollutants associated with generating
that energy.
Impact of Commercial Success. Since com-
pleting Phase II, Fusion Systems has com-
mercialized their sulfur lamp and is marketing
Solar 1000™—the company's first series of
sulfur lamp products. Commercialization of
this product line has substantially increased
sales and resulted in a 225 percent increase in
staffing.
In recognition of Fusion Systems Corpora-
tion's innovation in developing their sulfur
lamp, the company received the 1995 Discov-
ery Award and the 1995 Grand Award in
Popular Science's "Best of What's New"
feature.
SBIR PHASE 111 SUCCESS
STORIES
In FY95, EPA awarded five SBIR Phase III
contracts to companies that had demonstrated
the technical feasibility and commercializa-
tion potential of technologies that could
benefit the public and further the Agency's
mission. These Phase III projects were fund-
ed as part of the President's Environmental
Technology Initiative (non-SBIR funding).
These technologies, briefly described in this
section, are on the brink of commercialization
and hold great promise for future environ-
mental benefits.
Precision Combustion, Inc.
Precision Combustion, Inc. (PCI), of New
Haven, CT, has developed a very fast light-
off, high efficiency Microlith™ catalytic
converter capable of reducing automotive
emissions. During Phases I and II, PCI dem-
onstrated initial product performance and
durability through testing at U.S. auto manu-
facturers. PCI also demonstrated effective
application of the catalytic converter to a
variety of industrial air toxic environments.
The Phase III funding has been directed
toward further development and optimization
of this technology for application in several
specific automotiveplatformsand fortargeted
industrial air toxic solutions. Phase III fund-
ing will also be used for development of a
process for volume production of successful
prototypes. Phase III will conclude with the
design and testing of several optimized
Microlith™ converters for U.S. auto company
specifications and for VOC emissions
reduction.
Environmental Significance. The Micro-
lith™ catalytic converter is capable of
inexpensively achieving the Ultra-Low
Emissions Vehicle (ULEV) standards
mandated by California and the Northeast
States for Coordinated Air Use Management.
The California Air Resources Board (CARB)
has establishedthe followingULEV standards
for a 50,000 mile certification:
* CO =1.7 g/mile
* NMOG (non-methane organic gases) =
0.04 g/mile
«3> NOX = 0.2 g/mile
* Formaldehyde = 0.008 g/mile
Under the CAAA of 1990, the EPA adopted
the existing California ULEV standards for its
Clean Fuel Fleet Program. EPA has not
developed ULEVs for general use vehicles.
There is substantial likelihood that most
future automobiles will use Microlith™
converters for emissions control. Testing by
an auto manufacturer has shown a substantial
reduction in hydrocarbon and NOX
emissions—at approximately half of the
ULEV levels, even after 50,000 mile rapid
engine aging, and carbon monoxide emissions
at 20 percent of the ULEV standard.
Impact of Commercial Success. Since
award of the Phase I contract, PCI has grown
from 4 to over 20 employees. PCI is
currently developing detailed manufacturing
and marketing plans for the Microlith™ con-
verter. They predict that Microlith™ catalytic
-------
APPENDIX A: SBIR SUCCESS STORIES
A-7
1995 »
Lead Tech "
\ Product of
the Year
converters will achieve greater than 50
percent market share of the new converter
technology being used to meet imminent and
future automotive emissions standards. PCI
is expanding applications for the Microlith™
technology to include air cleaning, diesel
converter operation, and catalytic combustion
for gas turbine engines (notably for hybrid
electric vehicles). By the year 2003, PCI
projects sales for the Microlith™ to be in the
$500 million range.
Niton Corporation
Niton Corporation, located in Bedford, MA,
has developed the XL Spectrum Analyzer
Lead Detector—an innovative technology for
measuring lead in lead-based paint. Niton's
XL uses a patented L x-ray fluorescence
method for measuring lead. The silicon PIN
diode in the XL is a superb detector for L x-
rays and the technology works very well for
surface and buried lead. At the completion of
Phase II, Niton concluded that the current
instrument should be complemented by a K x-
ray detector for deeply buried and layered
lead, and for two independent measures of
lead concentration. During Phase II, Niton
prototyped electronics and software al-
gorithms. In Phase III, Niton will focus on
completing the hardware and electronics,
testing software algorithms, and
commercializing a dual detector instrument,
the cost of which will be comparable to the
current XL.
Environmental Significance. EPA has
established air exposure limits for lead of
<1.5 ug/m3 over a 3-month period. Exposure
to lead by pregnant women can be transferred
to the unborn child and may cause premature
birth, low birth weight, or abortion. Lead
exposure in infants and young children may
lead to decreased intelligence scores, deceler-
ated growth, and hearing problems. Brain and
kidney damage to adults and children may
result from exposure to high levels of lead.
The Phase III effort will yield a uniquely
powerful, affordable XRF Spectrum Analyzer
lead detector, without substrate bias. The
instrument can detect surface, buried, deeply
buried, and layered lead in lead-based paint,
without disturbing the paint surface and
risking exposure to the lead. In addition, the
analyzer is capable of measuring the low
action levels set by EPA, HUD, and OSHA.
Impact of Commercial Success. Niton's
accomplishment in developing the XL
Spectrum Analyzer Lead Detector was
recognized by numerous awards, including
the prestigious 1995 R&D 100 Award, the
1995 Lead Tech Product of the Year Award,
and a finalist for the 1994 Discovery Award.
Commercialization of the XL has sub-
stantially increased Niton's annual
revenues—from $600,000 to $3,000,000.
Niton's staff has also grown to 27 as a result
of the company's success.
lonEdge Corporation
lonEdge Corporation, located in Ft. Collins,
CO, has developed and patented a dry plating
method that eliminates the use of liquid
chemicals and offers substantial advantages
over conventional electroplating techniques.
Through the SBIR Program, lonEdge
demonstrated their dry plating process using
a batch plating prototype developed in Phase
II. Using this prototype, zinc and cadmium
coatings of acceptable quality and uniformity
have been plated on batches of steel fasteners.
The focus of Phase III is to test market the dry
plating process to a select group of customers
in the fastener plating industry. Using the
Phase II prototype, customer parts will be
plated in quantities and the cost of running the
operation will be determined. Phase III will
conclude with examination of future scale-up
needs to expand throughput and an estimation
of pricing.
Environmental Significance. Conventional
liquid electroplatingprocesses result in waste-
water from rinsing, scrubber blowdown, spent
electroplating solutions or residuals from bath
-------
A-8
APPENDIX A: SBIR SUCCESS STORIES
purification, and floor washdown; solid
wastes from spent acid, residuals from bath
maintenance and purification and wastewater
treatment sludge; and air emissions occur as
mists. lonEdge's zero-waste dry plating
method eliminates these wastes and offers the
added benefit of recycle and reuse of the
metals (such as zinc and cadmium) used in
the plating process.
Impact of Commercial Success. Since
receipt of the SBIR contract, the number of
lonEdge employees and the company's sales
have quadrupled. In addition, EPA's interest
in this process has helped Ion Edge obtain
additional funding from NSF, ARPA, the
Navy, and a private company to further de-
velop and commercialize this process.
Oxley Research, Inc.
Oxley Research Inc. (ORI), located in New
Haven, CT, has developed a new, environ-
mentally beneficial, cost-saving process for
the online electrolytic regeneration of acid
cupric chloride—an etchant used widely in
the fabrication of multilayer printed circuit
boards. ORI's innovative process maintains
solution etching power and recovers a high
grade of easily sold copper metal, similar to
"cathode copper."
Under Phase II, ORI successfully demon-
strated a pre-prototype version of the process.
Phase III is focused on the design, construc-
tion, and testing of a 2.5 kg/hr engineering
prototype that will be operated in conjunction
with a commercial spray etcher.
Environmental Significance. ORI's techn-
ology replaces widespread chemical regen-
eration, which typically involves the use of
chlorine gas or hydrogen peroxide/hydro-
chloric acid. By eliminating use of those
chemicals and the generation and disposal of
about 4 to 5 gallons per day of excess etchant
per gallon of etchant inventory, ORI's process
offers substantial environmental incentives
and potential cost reductions for the printed
circuit board fabricator. Chlorine and hydro-
chloric acid are regulated as hazardous air
pollutants (HAPs) under Section 112 of the
CAAA of 1990. Exposure to chlorine, hydro-
gen peroxide, and hydrochloric acid may
cause damage to the eyes, skin, and respira-
tory system.
The ORI process also offers significant im-
provements over previous attempts to
electrolytically regenerate acid cupric
chloride. Its advantages include avoidance of
chlorine evolution, production of monolithic
copper deposits, and low power operation.
Impact of Commercial Success. EPA's
support of this technology through the SBIR
Program has enabled ORI to obtain additional
funding for its commercialization from the
NIST/DOE Energy Related Inventions Pro-
gram (ERIP) and the State of Connecticut.
Also, through other SBIR awards, ORI plans
to expand this etchant regeneration technol-
ogy beyond printed circuit boards to include
leadframe etching.
KSE, Inc.
KSE, Inc., in Amherst, MA, has developed a
cost-effective technology for benzene-free
polymerization of methyl vinyl ether (MVE)
with maleicanhydride (MAN). MVE/MAN
copolymers are widely used in high visibility
consumer products, such as denture adhe-
sives, and are made commercially using a
benzene solvent. In Phases I and II, KSE
completed the laboratory research and devel-
opment for producing MVE/MAN copoly-
mers without the use of benzene or any extra-
neous solvent. The KSE process offers
several advantages over conventional tech-
nology, including an order of magnitude
enhancement in reactor productivity (generat-
ing over 200 percent return on investment),
elimination of hazardous emissions, and more
economical production of MVE/MAN copol-
ymers.
-------
APPENDIX A: SBIR SUCCESS STORIES
A-9
Environmental Significance. The KSE
process eliminates: (1) the use of hazardous
solvents (e.g., benzene), in the production of
MVE/MAN copyolymers, and (2) the
presence of solvent residual in the
copolymers, which are used in products such
as denture adhesives.
Benzene is regulated as a HAP under Section
112 of the CAAA of 1990. Under RCRA,
benzene is designated as a hazardous waste
that is subject to reporting requirements.
Under the Clean Water Act, the reportable
quantity of benzene is 1,000 pounds. EPA's
maximum permissible level of benzene in
drinking water is 5 ppb. Brief exposure to
benzene at high levels usually results in
drowsiness, dizziness, and headaches that
disappear after the exposure stops. 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 may also be harmful to the
immune system.
Impact of Commercial Success. KSE has
entered into an exclusive manufacturing and
distribution agreement with a major chemical
manufacturer. Phase III will focus on
production of solvent-free copolymers and
derivative products in commercial equipment
to meet customer specifications. Further
process optimization studies are being
undertaken in Phase III to facilitate the
commercialization of the KSE process.
KSE anticipates that their technology will be
commercialized by the end of 1996 and
reports that sales have already increased 40
percent since they received their SBIR award.
-------
APPENDIX B: MANAGEMENT OF THE SBIR PROGRAM
B-l
I
APPENDIX B:
Administration
of the
In Appendix B
Management of
Ihe EPA SBIR
Program B-l
How Ihe SBIR Pro-
gram is Funded .. B-l
The SBIR Solicitation
Process B-l
SBIR Program
Phases B-2
The SBIR Proposal
Peer Review-
Process B-2
MANAGEMENT OF THE EPA
SBIR PROGRAM
The Small Business Innovation Development
Act, which was signed by the President on
July 22, 1982, emphasized the benefits of
technological innovation and the ability of
small businesses 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 nation, the vast majority of federally
funded R&D is conducted by large business,
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 federal funding to the
small business community.
The basic purpose of the Act was to strength-
en the role of small enterprises in federally
funded R&D and thus help the nation develop
a stronger base for technical innovation and
wider commercialization of the ideas gener-
ated in the laboratories, research facilities,
and factory floors of small hi-tech companies.
In 1992 Congress enacted the Small Business
Research and Development Enhancement Act
(Public Law 102-564), which extended the
SBIR Program through October 1, 2000.
How THE SBIR PROGRAM is
FUNDED
Under the SBIR Program, each federal agency
with an annual extramural budget in excess of
$100 million must establish an SBIR
Program. The Program is funded by setting
aside a specific percentage of each par-
ticipating agency's extramural research
budget every fiscal year (FY). In FY1982,
this set-aside was 1.25 percent. The Small
Business Research and Development En-
hancement Act of 1992 incrementally in-
creased this percentage from 1.25 percent to
1.5 percent in FY1993,increasingto 2 percent
in FY1995, and then rising to 2.5 percent in
FY1997 and continuing at that percentage
until FY2000. The Act also raised the
maximum funding for Phase I SBIR awards
from $50,000 to $100,000 and the limit for
Phase II awards from $500,000 to $750,000.
THE SBIR SOLICITATION
PROCESS
The SBA publishes a Pre-Solicitation An-
nouncement (PSA) each quarter, which pro-
vides interested small businesses information
about the timing and topics of upcoming
solicitations. Each federal agency with an
SBIR Program is unilaterally responsible for
targeting research areas and administering its
own SBIR funding agreements. These agree-
ments include any contract, grant, or coopera-
tive agreement entered into between a federal
agency and any small business for the perfor-
mance of experimental, developmental, or
research work funded in whole or in part by
the federal government.
The Small Business Innovation Development
Act requires participating agencies to issue a
solicitation that sets the SBIR process in
motion. The solicitation lists and describes
the research topics to be addressed in the
proposals and invites companies to submit
their proposals for consideration. Each of the
11 federal agencies participating in the SBIR
Program publishes annual solicitations for
Phase I and Phase II. EPA issues its Phase I
solicitation in October/November, with pro-
posals due into the Agency by mid-January.
This solicitation, which is available electroni-
cally 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 proposed
research must address a single research topic,
or an important segment of the topic, de-
scribed in the EPA SBIR solicitation.
-------
B-2
APPENDIX B: MANAGEMENT OF THE SBIR PROGRAM
SBIR awards are limited to small businesses.
To be eligible for an SBIR award, a small
business must meet the following criteria:
»J» Is independently owned and operated and
has its principal place of business located
in the United States;
<» Has no more than 500 employees, includ-
ing its affiliates;
*** Is not the dominant firm in the field in
which they are proposing to carry out
SBIR projects;
* Is organized for profit; and
*** Is at least 51 percent owned by U.S. citi-
zens or lawfully admitted permanent resi-
dent aliens.
SBIR PROGRAM PHASES
All federal SBIR Programs have three phases,
ranging from "proof of concept" to commer-
cialization. Each phase is described below.
Phase I—The objective of this phase is to
determine the scientific merit and technical
feasibility of the proposed effort and the
quality of performance of the small concern.
Under Phase I, EPA awards firm-fixed-price
contracts of approximately $65,000. The
period of performance of Phase I contracts is
typically 6 months.
Phase II—Phase II is the principal research
or R&D effort. Only firms successfully
completing Phase I are eligible for Phase II
awards. Competitive awards are based on the
results of Phase I and the scientific and tech-
nical merit and commercial potential of the
Phase II proposal. Under Phase II, EPA
awards firm-fixed-price contracts of approxi-
mately $220,000. The period of performance
of Phase II projects is typically 1 to 2 years.
Phase III—This phase focuses on commer-
cial development and application of the re-
sults of Phase II. Funds from the mandated
SBIR set-aside cannot be used for Phase III
awards. Agencies may fund Phase HI from
other sources of funds, but developers nor-
mally must find non-federal sources of capital
for commercial applications of SBIR-funded
research or R&D.
For the first time in the history of its SBIR
Program, EPA provided Phase III funding for
five highly promising projects in FY1995.
Funding for this Phase III pilot was provided
through the EnvironmentalTechnology Initia-
tive (ETI). ETI is a Presidential program
headed by EPA to expand the development
and use of innovative environmental tech-
nologies.
The number of Phase I, Phase II, and Phase
III SBIR contracts awarded by EPA from
FY1990 through FY1995 is provided in the
table on the following page.
THE SBIR PROPOSAL. PEER
REVIEW PROCESS
All SBIR Phase I and Phase II proposals
received by EPA are subjected to a rigorous
external peer review process. EPA selects
awardees based on the scientific and technical
merit of the proposal with respect to the
selection criteria published in the SBIR
solicitation.
-------
APPENDIX B: MANAGEMENT OF THE SBIR PROGRAM
B-3
Program Proposal and Award Data
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awardees from the previous year are eligible
8 «j
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^9
-------
APPENDIX C: GEOGRAPHIC DISTRIBUTION OF EPA SBIR AWARDS
C-l
APPENDIX C:
Geographic
Disbribution of
4 EPA SBIR
Awards
Geographic^ Oteirit»ution of EPA
(FY1 99O - F Y1
by State
RI
CT I/O
8/6 NJ
DE 10/3
MD2/l
4/1
KEY
# of Phase I Awards
—# of Phase II Awards
3/2
r
SBIR Phase I Awards for FY1990-FY1995
SBIR Phase II Awards for FY1990-FYI995
220 $11,780,000
98 $17,561,000
-------
APPENDIX D: SBIR PROGRAM INFORMATION AND CONTACTS
D-l
APPENDIX D:
SBIR Program
Information
and Contacts
SOURCES OF INFORMATION ON
THE SBIR PROGRAM
In Appendix D
Sources of Informa-
tion on the SBIR
Program D-l
Contacts for EPA's
SBIR Program D-l
SBA Contact for the
SBIR Program D-l
* EPA's SBIR Program solicitations can be
r downloaded from the NCERQA Home Page
at the following address: http://www.epa.
gov/ncerqa (small business icon). Abstracts
of EPA SBIR Phase I, Phase II, and Phase III
projects funded over the past 5 years are also
available on the NCERQA Home Page.
Information on the government-wide SBIR
Program is available through SBA Online,
which can be accessed through the Internet at
http://www.sbaonline.sba.gov or via SBA's
electronic bulletin board at 1-800-697-4636.
SBA Online provides quick access to an
overview of the SBIR Program, pre-
solicitation announcement information, the
titles of all SBIR awards issued during the last
two fiscal years, and the SBIR proposal
preparation handbook.
CONTACTS FOR EPA's SBIR PROGRAM
The EPA SBIR 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
Mr. Stephen A. Lingle
Director, Environmental Engineering
Research Division
Tel: (202) 260-2619
Fax: (202) 260-4524
Mr. Donald F. Carey
SBIR Program Manager
Tel: (202)260-7899
Fax:(202)401-1014
Mr. Marshall Dick
Tel: (202)260-2605
Fax:(202)401-1014
Ms. Marian Huber
Tel: (202)260-6817
Fax:(202)401-1014
EPA SBIR Solicitations:
Contracts Management Division (MD-33)
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
or
NCERQA Home Page:
http://www.epa.gov/ncerqa
EPA SBIR Project Abstracts:
NCERQA Home Page (abstracts for past 5
years):
http://www.epa.gov/ncerqa
or
FEDRIP (abstracts from 1982 to present):
Tel: (703)487-4929
SBA CONTACT FOR THE GOVERNMENT-WIDE SBIR PROGRAM
For SBIR Program Information:
U.S. Small Business Administration
Office of Technology
409 Third Street, SW
Washington, DC 20416
Tel: (202) 205-6450
SBA Online:
Internet—http://www.sbaonline.sba.gov
or
Bulletin Board—1-800-697-4636
To be Added to Mailing List for Pre-Solici-
tation Announcements Call (202) 205-7777
-------
This report was prepared for the
Engineering Research Division of the
National Center for Environmental
Research and Quality Assurance
(NCERQA) by The Scientific Consulting
Group, Inc. (SCG), under Contract No.
68-D4-0014 with the Environmental
Protection Agency.
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