United States
Environmental Protection
Agency
Office of Research and
Development
Washington, DC 20460
EPA/600/R-01/019
March 2001
www.epa.gov/ncerqa
vvEPA SMALL BUSINESS
INNOVATION RESEARCH
PHASE I
Program Solicitation No. PR-NC-01-11782
ISSUE DATE: March 29, 2001
CLOSING DATE: May 24, 2001 *
* CAUTION - See Section VI, Paragraph J.9(c), Instructions to Offerers,
concerning Late Proposals and Modifications.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Table of Contents
Page
I. Program Description , t , , 3
II. Eligibility 4
III. Definitions 5
IV. Proposal Preparation Instructions and Requirements . 6
V. Method of Selection and Evaluation Criteria 9
VI. Considerations ,... 10
VII. Submission of Proposals ,. , 17
VIII. Scientific and Technical Information Sources , 17
IX. FY2002 SBIR Phase I Research Topics 17
A. Nanomaterials and Clean Technology ..18
B. Control and Monitoring of Mobile Source Emissions 20
C. Prevention and Control of Air Pollution 21
D. Treatment and Monitoring of Drinking Water 23
E. Wastewater Treatment and Stormwater Management 25
E Hazardous Waste Management and Site Remediation 27
G. Recycling of Municipal and Industrial Solid Waste 28
H. Monitoring and Measurement Technologies 29
X. Submission Forms and Certifications 33
APPENDICES
APPENDIX A - Proposal Cover Sheet 35
APPENDIX B - Project Summary 36
APPENDIX C - SBIR Proposal Summary Budget 37
APPENDIX D - Scientific and Technical Information Sources 39
APPENDIX E - Commercialization Fact Sheet 40
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
EPA Small Business
Innovation Research
Phase I
Solicitation No. PR-NC-01-11782
ISSUE DATE: March 29, 2001
CLOSING DATE:-May 24, 2001 *
* CAUTION - See Section VI, Paragraph J.9(c), In-
structions to Offerers, concerning Late Proposals and
Modifications
I. PROGRAM
DESCRIPTION
The Environmental Protection Agency (EPA) invites
small business firms to submit research proposals under
this program solicitation entitled "Small Business Innova-
tion Research (SBIR) Program." The SBIR program is a
phased process uniform throughout the Federal Govern-
ment of soliciting proposals and awarding funding agree-
ments for research (R) or research and development (R&D)
to meet stated Agency needs or missions.
EPA is interested in advanced technologies in pollu-
tion prevention, air and water pollution control, solid and
hazardous waste management, and environmental monitor-
ing and analytical technologies where the research will
serve as a base for technological innovation and commer-
cialization. The proposed research must directly pertain to
EPA's environmental mission and must be responsive to
EPA program interests included in the topic descriptions of
this solicitation.
In order to facilitate proposal reviews by external
peer reviewers with specialized expertise and by EPA tech-
nical personnel with focused program needs and priorities,
offerers must designate a research topic, and only one
topic, for their proposal. Only proposals indicating a
single research topic by letter symbol on the cover sheet
will be reviewed. The same proposal may not be submit-
ted under more than one topic, but an organization may
submit separate proposals on different topics or different
proposals on the same topic as long as the proposals are
not duplicates of the same research principle modified to
fit the topic. If such duplicates are submitted, only one will
be reviewed. Refer to Sections IV, V, and VH for additional
requirements. Where similar research is discussed under
more than one topic, the offerer should choose the topic
most relevant to the proposed research. It is the complete
responsibility of offerers to select and identify the best
topic for their proposals.
Offerers are responsible for submitting proposals, and
any modifications or revisions, so as to reach the Govern-
ment office designated in this solicitation by the time
specified in this solicitation. See Section VI, Paragraph
J.9(c), Instructions to Offerers, concerning Late Proposals
and Modifications.
This Solicitation is for Phase I only.
To stimulate and foster technological innovation,
including increasing private sector applications of Federal
research or R&D, EPA's program follows the SBIR
program's uniform process:
PHASE I. Phase I involves a solicitation of proposals
to conduct feasibility related experimental research or
R&D related to described Agency requirements. The ob-
jective of this phase is to determine the technical feasibil-
ity and preliminary commercialization potential of the
proposed effort and the quality of performance of the small
concern with a relatively small Agency investment before
consideration of further federal support in Phase n.
PHASE H. Phase n proposals may only be submitted
by Phase I award winners within the same agency. Phase n
is the principal research or R&D effort and should not nor-
mally exceed 24 months. Funding shall be based upon the
results of Phase I and the scientific and technical merit and
commercial potential of the Phase n proposal. The objec-
tive is to continue the research or R&D initiated under
Phase I and work toward commercialization of the technol-
ogy. Phase n proposals can only be submitted to the fed-
eral participating agency that awarded Phase I of the effort.
Phase n awards may not necessarily complete the total
research and development that may be required to satisfy
commercial or federal needs beyond the SBIR program.
Completion of the research and development may be
through Phase ffl. The Agency is under no obligation to
fund any proposal or any specific number of proposals in a
given topic. It also may elect to fund several or none of the
proposed approaches to the same topic or subtopic.
It is anticipated that approximately 10-15 Phase II
awards with a dollar amount of $225,000 each will be
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EPA Small Business Innovation Research Phase I PY02 Program Solicitation No. PR-NC-01-11782
made. For Phase n, the Agency is planning to offer a Phase
II Option under which Phase n offerers may submit a pro-
posal for $70,000 additional funding to expand R&D ef-
forts to accelerate commercialization. The purpose of the
additional funding is to accelerate the project to the com-
mercialization stage. EPA federal funds must be desig-
nated strictly for advancing the research related elements
of the project. No automatic preference shall be given to
offers which address the option; however, in the case where
an offeror addresses the option in its proposal, the entire
proposal including the option shall be evaluated. The
Agency would have a unilateral right to exercise the op-
tion after EPA's acceptance of the company's detailed com-
mercialization plan, including information on any com-
mercialization funding from third party investors, such as a
venture capital firm, an individual "angel" investor, bank
or financial institution, or another company under a proto-
type testing or demonstration agreement or a partnership,
licensing or joint venture agreement. The Government is
not obligated to fund any specific Phase n proposal.
For technologies awarded Phase I contracts under this
solicitation, the follow-on Phase n Solicitation (FY 2003)
will be issued on/about October 3, 2002, and proposals
will be due on/about November 19, 2002. EPA expects to
allow companies submitting unsuccessful Phase n propos-
als to submit a revised proposal of the same technology in
the next Phase n (FY 2004) Solicitation. It is expected that
each Phase n proposal will be evaluated in accordance
with the following criteria to determine the results of Phase
I and the scientific and technical merit and commercial
potential of the proposal.
PHASE n CRITERIA
1. The scientific and technical quality and signifi-
cance of the proposed technology as applied R/R&D.
Credibility and overall soundness of the research
plan to establish the technical and commercial feasi-
bility of the proposed concept as evidenced through
technology prototypes or initial commercial demon-
strations.
2. The originality, uniqueness, and ingenuity of the
proposed concept as a technologically innovative
and commercially viable application as evidenced
through technology prototypes or initial commercial
demonstrations.
3. Results of Phase I and degree to which research
objectives and identified customer needs were met.
Demonstration of performance/cost effectiveness and
environmental benefits associated with the proposed
research, including risk reduction potential.
4. Qualifications of the principal/key investigator,
supporting staff, and consultants. Time commitment
of principal/key investigator, adequacy of equipment
and facilities, and proposed budget to accomplish the
proposed research. Adequacy of Phase II Quality
Assurance Summary.
5. Potential of the proposed concept for significant
commercialization applications. The quality and
adequacy of the commercialization plan to produce
an innovative product, process, or device and getting
technology prototypes or initial Phase n applications
into commercial production and sales. Expected
market and competition and other financial/business
indicators of commercialization potential and the
offerer's SBIR or other research commercialization
record.
PHASE HI. Where appropriate and needed in order
to complete the research and development, there may be a
third phase which is funded by:
1. Non-federal sources of capital for commercial
applications of SBIR funded research or research and
development.
2. Federal government with non-SBIR federal funds
for SBIR derived products and processes that will be
used by the federal government.
3. Non-SBIR federal funds for the continuation of
research or research and development that has been
competitively selected using peer review or scientific
review criteria.
H. ELIGIBILITY
Each offeror submitting a proposal must qualify as a
small business for research or R&D purposes at the time of
award. In addition, the primary employment of the princi-
pal investigator must be with the small business firm at die
time of award and during the conduct of the proposed re-
search. Principal investigators who appear to be employed
by a university must submit a letter from the university
stating that the principal investigator, if awarded an SBIR
contract, will become a less-than-half-time employee of the
university. Also, a principal investigator who appears to be
a staff member of both the applicant and another employer
must submit a letter from the second employer stating that,
if awarded an SBIR contract, he/she will become a less than
half-tune employee of such organization. Letters demon-
strating that these requirements have been fulfilled must be
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-1I782
submitted prior to contract award to the addressee stated in
Section VII of this solicitation. Failure to do so may jeop-
ardize award. Also, for both Phase I and Phase II, the re-
search or R&D work must be performed in the United
States. "United States" means the 50 states, the Territories
and possessions of the United States, the Commonwealth
of Puerto Rico, the Trust Territory of the Pacific Islands,
and the District of Columbia.
INQUIRIES. All inquiries concerning this solicita-
tion shall be submitted to the following e-mail address:
johnson.marsha@epa.gov
If e-mail is not available to you, written or telephone
inquiries may be directed to:
Marsha Johnson/SBIR-I
U.S. Environmental Protection Agency
Contracts Management Division (MD-33)
Research Triangle Park, NC 27711
(919) 541-0952
Potential offerers are encouraged to communicate via
e-mail.
III. DEFINITIONS
For purposes of this solicitation, the following defini-
tions apply:
Research or Research and Development: Any activ-
ity that is:
(1) A systematic, intensive study directed toward
greater knowledge or understanding of the subject
studied.
(2) A systematic study directed specifically toward
applying new knowledge to meet a recognized
need.
(3) A systematic application of knowledge toward
the production of useful materials, devices, and
systems or methods, including design, develop-
ment, and improvement of prototypes and new
processes to meet specific requirements.
Funding Agreement: Any contract, grant, or coop-
erative agreement entered into between any federal agency
and any small business concern for the performance of
experimental, developmental, or research work funded in
whole or in part by the Federal Government.
! :
Subcontract: Any agreement, other than one involv-
ing an employer-employee relationship, entered into by a
Federal Government funding agreement awardee calling
for supplies or services required solely for the performance
of the original funding agreement.
Small Business Concern: A small business concern
is one that, at the tune of award of Phase I and Phase II
funding agreements, meets the following criteria:
(1) Is independently owned and operated, is not
dominant in the field of operation in which it is pro-
posing, has its principal place of business located in
the United States, and is organized for profit;
(2) Is at least 51 percent owned, or in the case of a
publicly owned business, at least 51 percent of its
voting stock is owned by United States citizens or
lawfully fully admitted permanent resident aliens (if
this applies, appropriate documentation must be sub-
mitted);
(3) Has, including its affiliates, a number of employ-
ees not exceeding 500, and meets the other regula-
tory requirements found in 13 CFR Part 121. Busi-
ness concerns, other than investment companies
licensed, or state development companies qualifying
under the Small Business Investment Act of 1958, 15
U.S.C. 661, et. seq., are affiliates of one another when
either directly or indirectly:
(A) one concern controls or has the power to con-
trol the other; or
(B) a third party or parties controls or has the
power to control both.
Control can be exercised through common owner-
ship, common management, and contractual relationships.
The term "affiliates" is defined in greater detail in 13 CFR
121. The term "number of employees" is defined in 13
CFR 121. Business concerns include, but are not limited
to, any individual, partnership, corporation, joint venture,
association, or cooperative.
Socially and Economically Disadvantaged Small
Business Concern: A socially and economically disadvan-
taged small Business concern is one that is:
(1) At least 51 percent owned by (i) an Indian tribe or
a native Hawaiian organization, or (ii) one or more
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
socially and economically disadvantaged individu-
als, and
(2) Whose management and daily business opera-
tions are controlled by one or more socially and eco-
nomically disadvantaged individuals.
Socially and Economically Disadvantaged Indi-
vidual: A member of any of the following groups:
(1) Black Americans;
(2) Hispanic Americans;
(3) Native Americans (American Indians, Eskimos,
Aleuts, or Native Hawaiians);
(4) Asian-Pacific Americans (persons with origins
from Burma, Thailand, Malaysia, Indonesia,
Singapore, Brunei, Japan, China, Taiwan, Laos, Cam-
bodia (Kampuchea), Vietnam, Korea, The Philippines,
U.S. Trust Territory of the Pacific Islands (Republic of
Palau), Republic of the Marshall Islands, Federated
States of Micronesia, the Commonwealth of the
Northern Mariana Islands, Guam, Samoa, Macao,
Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru);
(5) Subcontinent Asian (Asian-Indian) Americans
(persons with origins from India, Pakistan,
Bangladesh, Sri Lanka, Bhutan, the Maldives Islands,
or Nepal); and
(6) Members of other groups designated from time to
time by SB A pursuant to Section 124.103 of 13 GFR
Ch.l(l-l-99 edition).
Women-Owned Small Business Concern: A small
business concern that is at least 51 percent owned by a
woman or women who also control and operate it. "Con-
trol" in this context means exercising the power to make
policy decisions. "Operate" in this context means being
actively involved hi the day-to-day management.
Primary Employment: More than one-half of the
principal investigator's time is spent in the employ of the
small business.
United States: The 50 States, the Territories and pos-
sessions of the United States, the Commonwealth of Puerto
Rico, the Trust Territory of the Pacific Islands, and the Dis-
trict of Columbia.
Commercialization: The process of developing
markets and producing and delivering products for sale
(whether by the originating party or by others); as used
here, commercialization includes both government and
commercial markets.
IV. PROPOSAL
PREPARATION
INSTRUCTIONS AND
REQUIREMENTS
A. PROPOSAL PAGE LIMIT
Proposals submitted in response to this Phase I of the
SBDR. program shall not exceed a total of 25 pages, one
side only, except for the requirements set forth in Section
IV.D.12, "Prior SBIR Awards". Pages should be of standard
size (8 J/2" x 11"; 21.6 cm x 27.9 cm) with 2.5 cm margins
and type no smaller than 10 point font size. All pages must
be consecutively numbered. Proposals in excess of the
page limitation shall not be considered for review or award.
A letter of transmittal is not necessary. If one is furnished,
it must not be attached to every copy of the proposal. If a
letter of transmittal is attached to every copy of the pro-
posal, it will be counted as page 1 of the proposal. No
binders are necessary. If binders are provided, they will be
counted as pages even if no printing or writing is thereon.
B. PROPOSAL COVER SHEET
The offerer shall photpcopy (or download from the
Internet) and complete Appendix A as page 1 of each copy
of each proposal. No other, cover is permitted. When
downloading the solicitation from 'the Internet, Appendix A
may print on two pages, but will only count as one page
per Appendix. Offerers may reformat the forms to correct
spacing and pagination errors, however, identical informa-
tion must be provided.
The original of the cover sheet must contain the
pen-and-ink signatures of the authorized negotiator and
the person authorized to sign the proposal.
C. ABSTRACT OR SUMMARY
The offerer shall complete Appendix B as page 2 of
each proposal. Appendix B is limited to 1 page. The tech-
nical abstract should include a brief description of the
problem or opportunity, the innovation, project objectives,
and description of the effort. In summarizing anticipated
results, the implications of the approach (for both Phases I
and II) and the potential commercial applications of the
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EPA. Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
research shall be stated. THE ABSTRACT IS USED EX-
TENSIVELY DURING THE EXTERNAL PEER RE-
VIEW AND EPA INTERNAL RELEVANCY REVIEW.
The project summary of successful proposals will be pub-
lished by EPA and, therefore, must not contain proprietary
information.
D. TECHNICAL CONTENT
Begin the main body of the proposal on page 3. As a
minimum, the following shall be included:
1. IDENTIFICATION AND SIGNIFICANCE OF
THE PROBLEM OR OPPORTUNITY. A clear
statement of the specific technical problem or oppor-
tunity addressed and the environmental benefits.
INFORMATION ON THE ENVIRONMENTAL
BENEFITS ASSOCIATED WITH THE TECH-
NOLOGY IS A VERY IMPORTANT PART OF THE
EXTERNAL PEER REVIEW AND EPA INTER-
NAL RELEVANCY REVIEW.
2. PHASE I TECHNICAL OBJECTIVES. State the
specific objectives of the Phase I research and devel-
opment effort, including the technical questions it
will try to answer to determine the feasibility of the
proposed approach.
3. PHASE I WORK PLAN. A detailed description
of the Phase I R/R&D plan. The plan should indicate
what will be done, where it will be done and how the
R/R&D will be carried out. The work planned to
achieve each objective or task should be discussed in
detail, to enable a complete scientific and technical
evaluation of the work plan. A work schedule also
should be provided.
4. RELATED RESEARCH OR R&D. Describe
significant research or R&D that is directly related to
the proposal including any conducted by the project
manager/principal investigator or by the proposing
firm. Describe how it relates to the proposed effort,
and any planned coordination with outside sources.
Offerers must demonstrate their awareness of key
recent research or R&D conducted by others in the
specific topic area by providing appropriate refer-
ences from the literature and other published docu-
ments.
5. KEY PERSONNEL AND BIBLIOGRAPHY OF
DIRECTLY RELATED WORK. Identify key per-
sonnel involved in Phase I including their directly
related education, experience, and bibliographic
information. Where vitae are extensive, summaries
that focus on' the most relevant experience or publica-
tions are desired and may be necessary to meet pro-
posal size limitations.
6. RELATIONSHIP WITH FUTURE RESEARCH
OR RESEARCH AND DEVELOPMENT. State the
anticipated results of the proposed approach if the
project is successful (Phase I and II). A discussion of
cost-effectiveness is paramount, especially compar-
ing the state-of-the-art approaches with the proposed
approach. Discuss the significance of the Phase I
effort in providing a foundation for Phase n R/R&D
effort.
7. FACILITIES. A detailed description, availability
and location of instrumentation and physical facili-
ties proposed for Phase I should be provided.
8. CONSULTANTS. Involvement of consultants in
the planning and research stages of the project is
permitted. If such involvement is intended, it should
be described in detail and vitae should be provided.
9. COMMERCIALIZATION PLAN. Provide an
abbreviated 2-3 page plan related directly to produc-
ing an innovative product, process, or device and
getting it into commercial production and sales.
Comprehensive business plans (that are company
rather than project oriented) are not desired. The
Phase I plan is a roadmap toward producing a de-
tailed Phase n Commercialization Plan, which will be
required as part of the Phase n Application.
NOTE: The Small Business Research and Develop-
ment Enhancement Act of 1992 allows discretionary
technical assistance to SBIR awardees. The Agency
may provide up to $4,000 of SBIR funds for technical
assistance per award. EPA intends to provide Phase I
awardees with technical assistance through a separate
EPA arrangement. For Phase I, this assistance will be
in addition to the award amount. For Phase n, the law
allows each awardee to expend up to $4,000 per year
of the award amount for technical assistance services.
The Phase I plan should provide limited information
on the subjects described below. Explain what will
be done during Phase I to decide on applications,
markets, production, and financing. The Commer-
cialization Plan should address:
a. SBIR Project: Brief description of the com- '
pany, its principal field(s) of interest, size, and
current products and sales. A concise description
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
of the SBIR project and its key technical objec-
tives.
b. Commercial Applications: Potential commer-
cial applications of the research results specifying
customers and specific needs that will be satisfied.
Do you have or intend to file for one or more pat-
ents as a result of the SBIR project?
c. Competitive Advantages: What is particularly
innovative about the anticipated technology or
products? (Innovation may be expressed in terms
of applications, performance, efficiencies, or re-
duced cost. To determine if your innovation is
likely to result in intellectual property that may
be legally protected, it helps to conduct a patent
search and look for related work being funded by
EPA or another federal agency. A fact sheet on
how to search for patents and related federally-
funded work is provided in Appendix E.) What
significant advantages in application, perfor-
mance, technique, efficiency, or costs, do you
anticipate your new technology will have over
existing technology? (In order to assess such
advantages, it is useful to compare the anticipated
performance of your technology against substitut-
able products currently being sold or emerging
out of R&D. If regulations, industry standards, or
certifying requirements apply to your technology
or product, these provide useful criteria for com-
paring your anticipated performance with poten-
tially competing technology and products. How-
ever, other expressions of end-user needs also may
contain important criteria.)
d. Markets: What are the anticipated specific
markets for the resulting technology, their esti-
mated size, classes of customers, and your esti-
mated market share 5 years after the project is
completed and/or first sales? Who are the major
competitors in the markets, present and/or antici-
pated?
e. Commercialization: Briefly describe how you
plan to produce your product. Do you intend to
manufacture it yourself, subcontract the manufac-
turing, enter into a joint venture or manufacturing
agreement, license the product, etc.? Briefly de-
scribe the approach and steps you plan to take to
commercialize the research results to significant
sales. Do you plan to market the product yourself,
through dealers, contract sales, marketing agree-
ments, joint venture, sales representatives, foreign
companies, etc.? How do you plan to raise money
to support your commercialization plan?
10. SIMILAR OR CLOSELY RELATED SBIR
AWARDS. If the small business concern has received
ANY prior Phase I or Phase II award(s) from EPA or
any federal agency for similar or closely related re-
search, submit name of awarding agency, date of
award, funding agreement number, amount, topic or
subtopic title, follow-on agreement amount, source
and date of commitment, and current commercializa-
tion status. DESCRIBE THE TECHNICAL DIF-
FERENCES AND REASONS WHY THE PRO-
POSED NEW PHASE I RESEARCH IS
DIFFERENT FROM RESEARCH CONDUCTED
UNDER PRIOR SBIR AWARDS. (This required
proposal information shall be counted toward pro-
posal pages count limitation.)
11. DUPLICATE OR EQUIVALENT SBIR PRO-
POSALS. A firm may elect to submit essentially
equivalent work under other federal program solicita-
tions. In these cases, a statement must be included in
each such proposal indicating: the name and address
of the agencies to which proposals were submitted or
from which awards were received; date of proposal
submission or date of award; title, number, and date
of solicitations under which proposals were submit-
ted or awards received; specific applicable research
topics for each proposal submitted or award received;
titles of research projects; and name and title of
project manager or principal investigator for each
proposal submitted or award received. (This informa-
tion shall be counted toward proposal pages count
limitation.)
12. PRIOR SBIR AWARDS. If the small business
concern has received ANY prior Phase II award from
any federal agency in the prior 5 fiscal years, submit
name of awarding agency, date of award, funding
agreement number, amount, topic or subtopic tide,
follow-on agreement amount, source and date of com-
mitment, and current commercialization status for
each Phase EL (This required proposal information
shall be included as an attachment to the proposals
and shall not be counted toward proposal pages
count limitation.)
E. COST BREAKDOWN/
PROPOSED BUDGET
Complete the budget form in Appendix C and in-
clude the form immediately after proposal Section D.I 1.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Photocopy the form for the required copies for submission.
Incorporate the copy of the budget form bearing the origi-
nal signature into the copy of the proposal bearing the
original signature on the cover page. The budget form will
count as one page in the 25 page limit. If budget explana-
tion pages are included, they will count toward the 25 page
limit.
F. PHASE I QUALITY
ASSURANCE NARRATIVE
STATEMENT
Offerers must state whether or not their proposal in-
volves the performance of environmental technology,
whether hardware-based or via new techniques. This qual-
ity assurance narrative statement should not exceed 2
pages and will be included in the 25 page limitation for the
proposal. The narrative statement must, for each of the
following items, either address the required information or
explain why the item does not apply to the proposed re-
search.
1. Discuss the activities to be performed or hypoth-
esis to be tested and criteria for determining accept-
able data quality. (Note: Such criteria may be ex-
pressed in terms of precision, accuracy,
representativeness, completeness, and comparability.
These criteria must also be applied to determine the
acceptability of existing or secondary data to be used
in the project.)
2. Describe the study design, including sample type
and location requirements, any statistical analyses
that were used to estimate the types and numbers of
samples requked for physical samples, or equivalent
information for studies using survey and interview
techniques.
3. Describe the procedures for the handling and cus-
tody of samples, including sample collection, identi-
fication, preservation, transportation, and storage.
4. Describe the procedures that will be used in the
calibration and performance evaluation of the sam-
pling and analytical methods and equipment to be
used during the project.
5. Discuss the procedures for data reduction and re-
porting, including a description of statistical analyses
to be used and of any computer models to be de-
signed or utilized with associated verification and
validation techniques.
6. Describe the quantitative and/or qualitative proce-
dures that will be used to evaluate the success of the
project, including any plans for peer or other reviews
of the study design or analytical methods prior to
data collection.
A more detailed Proposal Quality Assurance Plan will
be required in Phase II. The plan will be required as part of
the first monthly report under the Phase n contract.
V. METHOD OF
SELECTION AND
EVALUATION CRITERIA
All Phase I proposals will be evaluated and judged on
a competitive basis by peer reviewers from outside EPA.
Proposals will be initially screened to determine respon-
siveness. As noted in Section IV, proposals exceeding the
25-page limitation will not be considered for review or
award. Also, as noted in Section I, any proposal addressing
more than one research topic, or failing to identify the re-
search topic by letter symbol on the cover page, will not be
considered for review or award. Proposals passing this
initial screening will be reviewed for technical merit by
external peer panels of technical experts, using the techni-
cal evaluation criteria described in A.I below. Each of the
criteria are equal in value. These panels will assign each
proposal an adjectival rating of "excellent", "very good",
"good", "fair" or "poor", using the specified criteria. The
proposals assigned "excellent" and "very good" ratings,
will then be subjected to the relevancy review within EPA,
to further evaluate these applications in relation to pro-
gram priorities and balance using the criteria specified in
A.2 below. Each proposal will be judged on its own merit.
The Agency is under no obligation to fund any proposal or
any specific number of proposals hi a given topic. It also
may elect to fund several or none of the proposed ap-
proaches to the same topic or subtopic.
A. TECHNICAL EVALUATION
CRITERIA
1. EXTERNAL PEER REVIEW. The external peer
review panels will utilize the following evaluation
criteria to rate each proposal. The criteria are of equal
importance.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NCXH-11782
CRITERIA
a. The scientific and technical significance of
the proposed technology and its appropriateness
to the research topic. Quality and soundness of
the research plan to establish the technical and
commercial feasibility of the concept.
b. The uniqueness/ingenuity of the proposed
concept or application as technological innova-
tion. Originality and innovativeness of the pro-
posed research toward meeting customer needs
and achieving commercialization of the technol-
ogy.
c. Potential demonstration of performance/cost
effectiveness and environmental benefits associ-
ated with the proposed research, including risk
reduction potential.
d. Qualifications of the principal/key investiga-
tor, supporting staff, and consultants. Time com-
mitment of principal/key investigator, adequacy
of equipment and facilities, and proposed budget
to accomplish the proposed research. Adequacy
and quality of the Quality Assurance Narrative
Statement.
e. Potential of the proposed concept for signifi-
cant commercial applications. Potential for the
commercialization plan to produce an innovative
product, process, or device and getting it into
commercial production and sales. Potential mar-
ket and competition and other financial/business
indicators of commercialization potential and the
offerer's SBIR or other research commercialization
record.
All peer reviewers will be required to sign an agree-
ment to protect the confidentiality of all proposal material,
and to certify that no conflict of interest exists between the
reviewer and the offerer. A copy of both forms is available
upon request; however, the identity of the reviewer will not
be released.
2. EPA RELEVANCY REVIEW. The proposals that
received ratings of "Excellent" or "Very Good" by
the External Peer Review Panel will be subject to the
relevancy review by EPA program managers using the
criteria set forth below to select which of the "Excel-
lent" and "Very Good" proposals will be funded.
Projects will not be funded where EPA determines the
proposed research already is being supported by EPA
or another known source. The evaluation criteria "a"
through "c" are of equal value and will be used to
evaluate the applications in relation to program pri-
orities, balance, and relevancy.
CRITERIA
a. The potential of the technology to meet
Agency program priorities and to strengthen the
overall balance of the SBIR program. How well
the technology fits into EPA's overall research
strategy.
b. The potential of the technology for signifi-
cant environmental benefits and for strengthening
the scientific basis for risk assessment/risk man-
agement in the Agency Tesearch topic area.
c. The potential of the technology to have
broad application or to impact large segments of
the population.
B. RELEASE OF PROPOSAL
REVIEW INFORMATION
After final award decisions have been announced, the
technical evaluations of the offerer's proposal will be pro-
vided to the offerer. The identity of the reviewer shall not
be disclosed.
VI. CONSIDERATIONS
A. AWARDS
EPA anticipates award of approximately 40 firm-
fixed-price contracts of up to $70,000 each including
profit. It is expected that these contracts will be awarded
with a contract start date of March 29, 2002. The period of
performance for the contracts should not normally exceed
six (6) months except where Agency needs or research
plans require otherwise. Exceptions should be minimized.
The primary consideration in selecting proposals for award
will be the technical merit of the proposal. Proposals shall
be evaluated in accordance with the Technical Evaluation
Criteria stated in V.A. above. Source selection will not be
based on a comparison of cost or price. However, cost or
price will be evaluated to determine whether the price,
including any proposed profit, is fair and reasonable and
whether the offerer understands the work and is capable of
performing the contract.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
This current solicitation is for Phase I only, and the
Government is not obligated to fund any specific Phase I
proposal.
Funds are not presently available for this contract.
The Government's obligation under this contract is contin-
gent upon the availability of appropriated funds from
which payment for contract purposes can be made. No
legal liability on the part of the Government for any pay-
ment may arise until funds are made available to the Con-
tracting Officer for this contract and until the Contractor
receives notice of such availability, to be confirmed in
writing by the Contracting Officer.
B. REPORTS
1. The Contractor shall furnish two (2) copies of a
monthly letter report stating progress made. One (1)
copy of the report shall be submitted to the Project
Officer and one (1) copy to the Contracting Officer.
The reports shall be submitted within 7 calendar days
after the end of the reporting period. Specific areas of
interest shall include progress made and difficulties
encountered during the reporting period, and a state-
ment of activity anticipated during the subsequent
reporting period. The report shall include any
changes in personnel associated with the project.
Also, the first month's report shall contain a work
plan and schedule of accomplishments for the subse-
quent months of the project. The monthly report
shall include, as an attachment, a copy of the
monthly voucher for the same period.
2. Two (2) copies of a comprehensive final report on
the Phase I project must be submitted to the Project
Officer by the completion date of the contract. The
Contracting Officer shall receive one copy. This final
report shall include a single-page project summary as
the first page, identifying the purpose of the research,
a brief description of the research carried out, the
research findings or results, and potential applica-
tions of the research in a final paragraph. The bal-
ance of the report should indicate in detail the re-
search objectives, research work carried out, results
obtained, and estimates of technical feasibility. The
report should include a discussion of any commer-
cialization activities carried out during Phase I as
well as future commercialization plans. The final
report will be required as part of the Phase II proposal
submitted in response to the Phase n solicitation.
3. Two (2) hard copies (and one copy on a disk in
WordPerfect or ASCII format) of a publishable
(cleared for the general public) 2-3 page Executive
Summary of the final report for Phase I must be sub-
mitted to the Project Officer by the completion date
of the contract. This special report should be a true
summary of the report, including the purpose of the
project, work carried out, and results. The summary
should stress innovativeness and potential commer-
cialization. The Executive Summary will be placed
on the EPA SBIR Website, and therefore, it should
include the specific results the company is willing to
release to the public.
C. PAYMENT SCHEDULE
Phase I payments will be made as follows:
Eighteen percent (18%) of the total contract price
upon receipt and acceptance of a proper invoice with each
of the first five monthly reports. The remainder shall be
paid upon receipt and acceptance of the final report. Pur-
suant to the provisions of FAR 52.232-25, "Prompt Pay-
ment", payment will be rendered within thirty (30) days
after receipt of a proper invoice.
D. INNOVATIONS,
INVENTIONS, AND
PATENTS
1. LIMITED RIGHTS INFORMATION AND DATA
a. Proprietary Information
Information contained in unsuccessful proposals
will remain the property of the offeror. The Gov-
ernment may, however, retain copies of all propos-
als. Public release of information in any proposal
submitted will be subject to existing statutory and
regulatory requirements.
If proprietary information is provided by an off-
eror in a proposal which constitutes a trade secret,
proprietary commercial or financial information,
confidential personal information, or data affect-
ing the national security, it will be treated in con-
fidence to the extent permitted by law, provided
this information is clearly marked by the offeror
with the term "confidential proprietary informa-
tion" and provided the following legend appears
on the title page of the proposal:
"For any purpose other than to evaluate the pro-
posal, this data shall not be disclosed outside the
Government and shall not be duplicated, used, or
disclosed in whole or in part, provided that if a
11
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
funding agreement is awarded to this offerer as a
result of or in connection with the submission of
this data, the Government shall have the right to
duplicate, use, or disclose the data to the extent
provided in the funding agreement. This restric-
tion does not limit the Government's right to use
information contained in the data if it is obtained
from another source without restriction. The data
subject to this restriction is contained in pages
of this proposal."
Any other legend may be unacceptable to the
Government and may constitute grounds for re-
moving the proposal from further consideration
and without assuming any liability for inadvertent
disclosure.
b. Alternative to Minimize Proprietary Informa-
tion: Offerers shall limit proprietary information
to only that absolutely essential to their proposal.
c. Rights in Data Developed Under SBIR Funding
Agreements: The contract will contain a data
clause which will provide the following:
SBIRRIGHTS NOTICE (MAR 1994) I
These SBIR data are furnished with SBIR rights
under Contract No. (and subcon-
tract if appropriate). For a period of
four (4) years after acceptance of all items to be
delivered under this contract, the Government
agrees to use these data for Government purposes
only, and they shall not be disclosed outside the
Government (including disclosure for procure-
ment purposes) during such period without per-
mission of the Contractor, except that, subject to
the foregoing use and disclosure prohibitions,
such data may be disclosed for use by support
Contractors. After the aforesaid 4-year period, the
Government has a royalty-free license to use, and
to authorize others to use on its behalf, these data
for Government purposes, but is relieved of all
disclosure prohibitions and assumes no liability
for unauthorized use of these data by third parties.
This Notice shall be affixed to any reproductions
of these data, in whole or in part.
d. Copyrights
With prior written permission of the Contracting
Officer, the Awardee normally may copyright and
publish (consistent with appropriate national se-
curity considerations, if any) material developed
with EPA support. EPA receives a royalty-free
license for the Federal Government and requires
that each publication contain an appropriate ac-
knowledgment and disclaimer statement.
e. Patents
Small business concerns normally may retain the
principal worldwide patent rights to any invention
developed with Governmental support. The Gov-
ernment receives a royalty-free license for Federal
Government use, reserves the right to require the
patent holder to license others in certain circum-
stances, and requires that anyone exclusively
licensed to sell the invention in the United States
must normally manufacture it domestically. To
the extent authorized by 35 U.S.C. 205, the Gov-
ernment will not make public any information
disclosing a Government-supported invention for
a 4-year period to allow the Awardee a reasonable
time to pursue a patent.
E. COST SHARING
Cost sharing is permitted for proposals under this
Program Solicitation; however, cost sharing is not required
nor will it be an evaluation factor in consideration of your
proposal.
F. FEE OR PROFIT
Reasonable fee (estimated profit) will be considered
under this solicitation. For guidance purposes, the amount
of profit normally should not exceed 10% of total project
costs.
G. JOINT VENTURES OR
LIMITED PARTNERSHIPS
Joint ventures and limited partnerships are eligible
provided the entity created qualifies as a small business as
defined in this Program Solicitation.
H. RESEARCH AND
ANALYTICAL WORK
1. For Phase I, a minimum of two-thirds of the re-
search and/or analytical effort must be performed by
the proposing small business concern unless other-
wise approved in writing by the Contracting Officer.
2. For Phase n, a minimum of one-half of the re-
search and/or analytical effort must be performed by
12
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
the proposing small business concern unless other-
wise approved in writing by the Contracting Officer.
I. CONTRACTOR
COMMITMENTS
Upon award of a funding agreement, the Awardee will
be required to make certain legal commitments through
acceptance of numerous clauses in Phase I funding agree-
ments. The outline that follows is illustrative of the types
of clauses to which the Contractor would be committed.
This list should not be understood to represent a complete
list of clauses to be included in Phase I funding agree-
ments, nor to be specific wording of such clauses. Copies
of complete terms and conditions are available upon re-
quest.
1. INSPECTION. Work performed under the con-
tract is subject to Government inspection and evalua-
tion at all times.
2. EXAMINATION OF RECORDS. The Comptrol-
ler General (or a duly authorized representative) shall
have the right to examine any directly pertinent
records of the awardee involving transactions related
to this contract.
3. DEFAULT. The Government may terminate the
contract if the Contractor fails to perform the work
contracted.
4. TERMINATION FOR CONVENIENCE. The
contract may be terminated at any time by the Gov-
ernment if it deems termination to be in its best inter-
est, in which case the Contractor will be compensated
for work performed and for reasonable termination
costs.
5. DISPUTES. Any dispute concerning the funding
agreement that cannot be resolved by agreement shall
be decided by the Contracting Officer with right of
appeal.
6. EQUAL OPPORTUNITY. The awardee wiU not
discriminate against any employee or applicant for
employment because of race, color, religion, sex, or
national origin.
7. AFFIRMATIVE ACTION FOR VETERANS.
The awardee will not discriminate against any em-
ployee or application for employment because he or
she is a disabled veteran or veteran of the Vietnam
era.
8. AFFIRMATTVEACTIONFORHANDI-
CAPPED. The awardee will not discriminate against
any employee or applicant for employment because
he or she is physically or mentally handicapped.
9. OFFICIALS NOT TO BENEFIT. No Govern-
ment official shall benefit personally from the con-
tract.
10. COVENANT AGAINST CONTINGENT FEES.
No person or agency has been employed to solicit or
secure the contract upon an understanding for com-
pensation except bonafide employees or commercial
agencies maintained by the Contractor for the pur-
pose of securing business.
11. GRATUITIES. The contract may be terminated
by the Government if any gratuities have been of-
fered to any representative of the Government to se-
cure the contract.
12. PATENT AND COPYRIGHT INFRINGE-
MENT. The Contractor shall report each notice or
claim of patent or copyright infringement based on
the performance of the contract.
13. AMERICANMADE EQUIPMENT AND PROD-
UCTS. When purchasing equipment or a product
under the SBIR funding agreement, purchase only
American-made items whenever possible.
J. ADDITIONAL
INFORMATION
1. The Program Solicitation is intended for informa-
tional purposes and reflects current planning. If there
is any inconsistency between the information con-
tained herein and the terms of any resulting SBIR
funding agreement, the terms of the funding agree-
ment are controlling.
2. Before award of an SBIR funding agreement, the
Government may request the offerer to submit certain
organizational, management, personnel, and financial
information to assure responsibility of the offerer.
3. The Government is not responsible for any monies
expended by the offerer before award of any funding
agreement.
4. This Program Solicitation is not an offer by the
Government and does not obligate the Government
to make any specific number of awards. Also, awards
13
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
under the SBIR program are contingent upon the
availability of funds.
5. The SBIR program is not a substitute for existing
unsolicited proposal mechanisms. Unsolicited pro-
posals shall not be accepted under the SBIR program
in either Phase I or Phase n.
6. If an award is made pursuant to a proposal submit-
ted under this Program Solicitation, the Contractor
will be required to certify that he or she has not previ-
ously been, nor is currently being, paid for essentially
equivalent work by any agency of the Federal Gov-
ernment.
7. Notwithstanding the relatively broad definition of
R/R&D in Section HI, Definitions, hereof, awards
under this solicitation are limited to APPLIED forms
of research. Proposals that are surveys, including
market, state-of the-art, and/or literature surveys,
which should have been performed by the offerer
prior to the preparation of the proposal, or the prepa-
ration of allied questionnaires and instruction manu-
als, shall not be accepted. If such proposals are sub-
mitted, they shall be considered as not in compliance
with the solicitation intent, and therefore, technically
unacceptable.
8. The requirement that the offerer designate a topic,
and only one topic, (see page 1, Section I above) is
also necessary. EPA receives hundreds of proposals
each year and has special teams of reviewers for re-
view of each research topic. In order to assure that
proposals are evaluated by the correct team, it is the
complete responsibility of the offeror to select and
identify the best topic.
9. Instructions to Offerers - Competitive Acquisition
(Feb 2000) FAR 52.215-1
(a) Definitions. As used in this provision, discus-
sions are negotiations that occur after establish-
ment of the competitive range that may, at the
Contracting Officer's discretion, result in the off-
eror being allowed to revise its proposal.
In writing or written means any worded or num-
bered expression which can be read, reproduced,
and later communicated, and includes electroni-
cally transmitted and stored information.
Proposal modification is a change made to a pro-
posal before the solicitation's closing date and
time, or made in response to an amendment, or
made to correct a mistake at any time before
award.
Proposal revision is a change to a proposal made
after the solicitation closing date, at the request of
or as allowed by a Contracting Officer as the result
of negotiations.
Time, if stated as a number of days, is calculated
using calendar days, unless otherwise specified,
and will include Saturdays, Sundays, and legal
holidays. However, if the last day falls on a Satur-
day, Sunday, or legal holiday, then the period
shall include the next working day.
(b) Amendments to solicitations. If this solicita-
tion is amended, all terms and conditions that are
not amended remain unchanged. Offerers shall
acknowledge receipt of any amendment to this
solicitation by the date and time specified in the
amendment(s).
(c) Submission, modification, revision, and with-
drawal of proposals. (1) Unless other methods
(e.g., electronic commerce or facsimile) are permit-
ted in the solicitation, proposals and modifica-
tions to proposals shall be submitted in paper
media in sealed envelopes or packages (i) ad-
dressed to the office specified in the solicitation,
and (ii) showing the time and date specified for
receipt, the solicitation number, and the name and
address of the offeror. Offerers using commercial
carriers should ensure that the proposal is marked
on the outermost wrapper with the information in
paragraphs (c)(l)(i) and (c)(l)(ii) of this provision.
(2) The first page of the proposal must show
(i) The solicitation number;
(ii) The name, address, and telephone and
facsimile numbers of the offeror (and elec-
tronic address if available);
(iii) A statement specifying the extent of
agreement with all terms, conditions, and
provisions included in the solicitation and
agreement to furnish any or all items upon
which prices are offered at the price set oppo-
site each item;
(iv) Names, titles, and telephone and fac-
simile numbers (and electronic addresses if
available) of persons authorized to negotiate
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
on the offerer's behalf with the Government
in connection with this solicitation; and
(v) Name, title, and signature of person au-
thorized to sign the proposal. Proposals
signed by an agent shall be accompanied by
evidence of that agent's authority, unless that
evidence has been previously furnished to the
issuing office.
(3) Submission, modification, revision, and with-
drawal of proposals.
(i) Offerers are responsible for submitting
proposals, and any modifications or revisions
so as to reach the Government office desig-
nated in the solicitation by the time specified
in the solicitation. If no time is specified in
the solicitation, the time for receipt is 4:30
p.m., local time, for the designated Govern-
ment office on the date that proposal or revi-
sion is due.
(ii)(A) Any proposal, modification, or revision
received at the Government office designated
in the solicitation after the exact time speci-
fied for receipt of offers is "late" and will not
be considered unless it is received before
award is made, the Contracting Officer deter-
mines that accepting the late offer would not
unduly delay the acquisition; and
(1) If it was transmitted through an elec-
* tronic commerce method authorized by
the solicitation, it was received at the
initial point of entry to the Government
infrastructure not later than 5:00 p.m.
one working day prior to the date speci-
fied for receipt of proposals; or
(2) There is acceptable evidence to es-
tablish that it was received at the Gov-
ernment installation designated for re-
ceipt of offers and was under the
Government's control prior to the time
set for receipt of offers; or
(3) It is the only proposal received.
(B) However, a late modification of an other-
wise successful proposal that makes its terms
more favorable to the Government, will be
considered at any time it is received and may
be accepted.
(iii) Acceptable evidence to establish the time
of receipt at the Government installation in-
cludes the time/date stamp of that installation
on the proposal wrapper, other documentary
evidence of receipt maintained by the instal-
lation, or oral testimony or statements of Gov-
ernment personnel.
(iv) If an emergency or unanticipated event
interrupts normal Government processes so
that proposals cannot be received at the office
designated for receipt of proposals by the
exact time specified in the solicitation, and
urgent Government requirements preclude
amendment of the solicitation, the time speci-
fied for receipt of proposals will be deemed to
be extended to the same time of day specified
in the solicitation on the first work day on
which normal Government processes resume.
(v) Proposals may be withdrawn by written
notice received at any time before award. Oral
proposals in response to oral solicitations
may be withdrawn orally. If the solicitation
authorizes facsimile proposals, proposals may
be withdrawn via facsimile received at any
time before award, subject to the conditions
specified in the provision at 52.215-5, Fac-
simile Proposals. Proposals may be withdrawn
in person by an offerer or an authorized repre-
sentative, if the identity of the person request-
ing withdrawal is established and the person
signs a receipt for the proposal before award.
(4) Unless otherwise specified in the solicitation,
the offerer may propose to provide any item or
combination of items.
(5) Offerers shall submit proposals in response to
this solicitation in English, unless otherwise per-
mitted by the solicitation, and in U.S. dollars,
unless the provision at FAR 52.225-17, Evalua-
tion of Foreign Currency Offers, is included in the
solicitation.
(6) Offerers may submit modifications to their
proposals at any time before the solicitation clos-
ing date and time, and may submit modifications
in response to an amendment, or to correct a mis-
take at any time before award.
(7) Offerers may submit revised proposals only if
requested or allowed by the Contracting Officer.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
(8) Proposals may be withdrawn at any time be-
fore award. Withdrawals are effective upon receipt
of notice by the Contracting Officer.
(d) Offer expiration date. Proposals in response to
this solicitation will be valid for the number of
days specified on the solicitation cover sheet (un-
less a different period is proposed by the offerer).
(e) Restriction on disclosure and use of data.
Offerers that include in their proposals data that
they do not want disclosed to the public for any
purpose, or used by the Government except for
evaluation purposes, shall
(1) Mark the title page with the following legend:
This proposal includes data that shall not be dis-
closed outside the Government and shall not be
duplicated, used, or disclosedin whole or in
partfor any purpose other than to evaluate this
proposal. If, however, a contract is awarded to this
offerer as a result ofor in connection withthe
submission of this data, the Government shall
have the right to duplicate, use, or disclose the
data to the extent provided in the resulting con-
tract. This restriction does not limit the
Government's right to use information contained
in this data if it is obtained from another source
without restriction. The data subject to this re-
striction are contained in sheets [insert numbers or
other identification of sheets]; and
(2) Mark each sheet of data it wishes to restrict
with the following legend: Use or disclosure of
data contained on this sheet is subject to the re-
striction on the title page of this proposal.
(f) Contract award.
(1) The Government intends to award 'a contract
or contracts resulting from this solicitation to the
responsible offeror(s) whose proposal(s) represents
the best value after evaluation in accordance with
the factors and subfactors in the solicitation.
(2) The Government may reject any or all propos-
als if such action is in the Government's interest.
(3) The Government may waive informalities and
minor irregularities in proposals received.
(4) The Government intends to evaluate propos-
als and award a contract without discussions with
offerers (except clarifications as described in FAR
15.306(a)). Therefore, |he offerer's initial pro-
posal should contain the offerer's best terms from
a cost or price and technical standpoint. The Gov-
ernment reserves the right to conduct discussions
if the Contracting Officer later determines them to
be necessary. If the Contracting Officer deter-
mines that the number of proposals that would
otherwise be in the competitive range exceeds the
number at which an efficient competition can be
conducted, the Contracting Officer may limit the
number of proposals in the competitive range to
the greatest number that will permit an efficient
competition among the most highly rated propos-
als.
(5) The Government reserves the right to make an
award on any item for a quantity less than the
quantity offered, at the unit cost or prices offered,
unless the offerer specifies otherwise in the pro-
posal.
(6) The Government reserves the right to make
multiple awards if, after considering the addi-
tional administrative costs, it is in the
Government's best interest to do so.
(7) Exchanges with offerers after receipt of a
proposal do not constitute a rejection or counter-
offer by the Government.
(8) The Government may determine that a pro-
posal is unacceptable if the prices proposed are
materially unbalanced between line items or sub-
line items. Unbalanced pricing exists when, de-
spite an acceptable total evaluated price, the price
of one or more contract line items is significantly
overstated or understated as indicated by the ap-
plication of cost or price analysis techniques. A
proposal may be rejected if the Contracting Of-
ficer determines that the lack of balance poses an
unacceptable risk to the Government.
(9) If a cost realism analysis is performed, cost
realism may be considered by the source selection
authority in evaluating performance or schedule
risk
i
(10) A written award or acceptance of proposal
mailed or otherwise furnished to the successful
offerer within the time specified in the proposal
shall result in a binding contract without further
action by either party.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
(11) The Government may disclose the following
information in postaward debriefings to other
offerers:
:(i) The overall evaluated cost or price and
technical rating of the successful offerer;
(ii) The overall ranking of all offerers, when
any ranking was developed by the Agency
during source selection;
(iii) A summary of the rationale for award;
and
(iv) For acquisitions of commercial items, the
make and model of the item to be delivered
by the successful offerer.
VH. SUBMISSIONOF
PROPOSALS
A. Your proposal with an original and nine (9) copies
shall be received at one of the following addresses by
4:30 p.m., local time, on May 24, 2001.
U.S. MAIL ADDRESS:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-01-11782 ; SBIR Phase I
Closing Date: May 24, 2001 at 4:30 p.m.
Contracts Management Division (MD-33)
Attn: Marsha Johnson
Research Triangle Park, NC 27711
HAND CARRIED/COURIER ADDRESS:
U.S. Environmental Protection Agency
Receptionist, EPA Administration Building
Solicitation No. PR-NC-01-11782 ; SBIR Phase I
Closing Date: May 24, 2001 at 4:30 p.m.
Attn: Marsha Johnson/Contracts Mgmt. Division
79 T.W. Alexander Drive
Research Triangle Park, NC 27709
IMPORTANT!!! Please note Section VI, Paragraph
J.9(c) concerning Late Proposals, Modifications of Pro-
posals, and Withdrawal of Proposals.
Telegraphic, telecopied, or facsimile proposals will
NOT be considered for award.
B. Please do not use special bindings or covers.
Staple the pages in the upper left corner of the cover
sheet of each proposal.
C. All copies of a proposal shall be sent in the same
package.
D. The proposal should be self-contained and written
with the care and thoughtfulness accorded papers for
publication.
VHL SCIENTIFIC AND
TECHNICAL
INFORMATION
SOURCES
(See Appendix D)
IX. FY2002 SBIR PHASE I
RESEARCH TOPICS
Program Scope: The objective of this solicitation is
to increase the incentive and opportunity for small firms to
undertake cutting edge, high-risk, or long-term research
that has a high potential payoff if the research is successful.
Federal support of the front-end research on new ideas,
often the highest risk part of the innovation process, may
provide small businesses sufficient incentive to pursue
such research.
EPA's SBIR program does not fund basic research or
literature searches. It is recognized that any research and
development project starts out as a concept of the inventor.
Basic theoretic research studies and preliminary laboratory
testing of the concept are often needed to develop an idea.
Literature and other surveys and questionnaires also are
needed to rule out duplication and inappropriate research
study and process detail, finally leading to the process
design of a prototype apparatus or process that could be
tested to show the feasibility of the innovation. These
basic research activities and preliminary studies should be
completed before preparing an SBIR proposal.
Proposals only offering computer expert systems,
computer models, and computer aided design activities are
unacceptable. Computer activities may be helpful tools in
the, early identification of pollution problems and possible
solutions, but they do not directly reduce pollution. They
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EPA Small Business Innovation Research Phase -I FY02 Program Solicitation No. PR-NC-01-11782
cannot be used in lieu of applied laboratory research to
determine the feasibility of a pollution control process.
Also, proposals that only offer the performance of a design
activity cannot be judged as it is impossible to guess what
sort of apparatus or process will result. Without a straight-
forward description of the process and/or apparatus to be
tested, there can be no determination of the scientific and
technical quality of the work plan. Proposals only offering
such design activities are unacceptable.
Program Topics: The proposed research must directly
pertain to EPA's environmental mission and must be re-
sponsive to EPA program interests included in the topic
descriptions of this solicitation. The research should be
the basis for technological innovation resulting in new
commercial products, processes, or services which benefit
the public and promote the growth of the small business.
The Agency's SBER program is concerned with air and wa-
ter pollution control, solid and hazardous waste manage-
ment, nanomaterials and clean technology, and environ-
mental monitoring and analytical technologies. In order to
facilitate proposal reviews by external peer reviewers with
specialized expertise and by EPA technical personnel with
focused program needs and priorities, offerers must desig-
nate a research topic, and only one topic, for their proposal.
It is the complete responsibility of the offerer to select and
identify the best topic for the proposal.
Technologies featuring conservation, reuse, recy-
cling, increased efficiencies, waste minimization, and
nanotechnologies are of special interest. Processes involv-
ing anthropogenic radioactive materials or the application
of fertilizers are addressed by other agencies and are not
included in this Solicitation. Technologies that only in-
volve energy efficiency, where the pollution reduction
benefit is indirect reduction of power plant emissions, are
also addressed by other agencies and are not included in
this Solicitation. Specific topcis of this Solicitation in-
clude:
A. NANOMATERIALS AND
CLEAN TECHNOLOGY
Research is needed to apply the principles of :
nanotechnology to the areas of environmental monitoring
and pollution control. Nanotechnology is defined as the
creation of functional materials, devices, and systems
through control of matter at the scale of 1 to 100 nano-
meters, and the exploitation of novel properties and phe-
nomena at the same scale. Nanotechnology is emerging as
a field critical for enabling essential breakthroughs that
may have tremendous potential for affecting several envi-
ronmental areas. Moreover, nanotechnologies developed
in the next several years may well form the foundation of
significant commercial platforms. This nanomaterials
topic area is closely related to other topics in the Solicita-
tion. Specific areas of interest include, but are not limited
to: v
Development of nanoporous filters for removal of
gaseous pollutants and particulates from
contaminated air streams.
Development of nanofiltration membranes for
organic solvent recovery and similar applications.
Development of nanoparticulate catalysts for
utilization in VOC treatment devices and related
applications.
Development of microelectromechanical systems
(MEMS) and nanotechnology based devices for use
hi environmental analytical and monitoring
instrument devices including sensors and nano
plumbing components.
Development of hazardous metal free nano
laminated pigments and coatings.
Development of technology for solvent-free
production of nano-size high-performance ceramic
powders and similar materials.
Development of coatings and high surface area
nano materials for environmental applications.
Technology for the synthesis, assembly, and
processing of nano structured materials and devices
for environmental applications.
Clean Technology, the second part of this topic, is an
umbrella term which includes in whole or in part the fol-
lowing other commonly-used terms to denote environmen-
tal-conscious industrial practices: pollution prevention,
waste minimization, and green chemistry. While various
meanings have been ascribed to these terms, depending
upon the specific context in which they are used, for the
purposes of this topic, all three terms refer to technologies
designed to reduce or eliminate the use of substances that
are hazardous to human health and the environment, or to
reduce the generation of wastes, including fugitive emis-
sions, that are similarly hazardous. While improvements in
house keeping, maintenance, training or inventory control
might well serve to reduce or prevent pollution (or mini-
mize the generation of waste), these activities are outside
the scope of EPA's SBIR Program.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Examples of pollution prevention, waste minimiza-
tion, and green chemistry areas of interest include, but are
not limited to:
In-Process RecyclingPotential wastes or their
components can be reused within existing
operations.
Novel cost-effective separation methods that result
in highly effective separation of useful material
from other components in a process stream.
Development of new bulk materials and coatings
with long life that have reduced environmental
impact in manufacture or use.
Improved sensor and multivariate control of
manufacturing equipment and systems to reduce
waste or emissions. Advancements in intelligent
controls.
Development of new alternative, cost-competitive,
low-temperature sterilization processes to replace
the use of ethylene oxide (EO) that are effective in
treating complex medical device assemblies and
machines, as well as their packaging, and that are
suitable for use in a health-care setting (for
background information, see: http://h2e-
online.org/about.asp and http://www.aha.org/ar/
comment/ethylene. asp).
Development of cost-effective means for machining
metals without the use of cutting fluids, especially
for use in relatively small shop sites.
Changes in the composition of end products that
would allow fundamental changes in the
manufacturing process or in the use of raw
materials, or that reduce the relative environmental
impact resulting from the use and/or disposal of
such end products. Of particular interest are cost-
competitive, mercury-free products, such as
switches or thermostats, as well as products for
hospitals and medical applications, including
leaning agents, fixatives, and hospital-specific
products. (More information on hospital products
is available at: http://
www.sustainablehospitals.org).
Alternative Synthetic PathwaysThe use of: (1)
catalysis/biocatalysts, (2) natural processes such as
photochemistry and biomimetic synthesis, and (3)
alternate feedstocks that are more innocuous and
renewable (e.g., biomass, solar energy).
Alternative Reaction ConditionsThe use of
solvents which have a reduced impact on human
health and the environment. The use of solvents
with increased selectivity that reduce waste and
emissions are a priority.
New, cost-competitive technologies that reclaim
and reuse foundry sand.
New and non-toxic anti-bacterial cleaning products
that sanitize food processing equipment with
minimal use of water.
Another part of this topic includes engineering pro-
posals that focus on industry-specific process technology
and production equipment, including modernization,
modification, or better control of process equipment. Pro-
cess inputs, including changes in raw materials, either to
different materials (e.g., water instead of organic solvents)
or materials with different specifications (e.g., lower con-
taminant levels) also are of special interest. Priority sectors
include industries under EPA's Sector-Based, Environmen-
tal Action Plan (see the EPA Website: http://www.epa.gov/
sectors) and the Design for the Environment/Small Busi-
ness Partnership, including metal finishing, printing, elec-
tronics, garment and fabric care, adhesives manufacturing,
and safer chemicals and processes for automotive repair
facilities and automobile and appliance assembly plants.
Examples of industry priorities include, but are not limited
to:
Metal FinishingEPA is interested in cleaner
technologies that result in closed loop or low/no
emission techniques for hard chrome plating, use of
trivalent chromium and other metallic and non-
metallic coating techniques that can replace hard
chrome plating, and simple, inexpensive detectors
that can monitor the amount of chromium in the
airespecially in the presence of other pollutants
(e.g., other heavy metals and fine particulate
matter). Technologies that reduce the use of
cadmium, lead, and other heavy metals that have
low or no economic recycling value are of interest.
New low/no emission chlorinated solvent vapor
degreasing systems and technologies that eliminate
the need for cyanide are of particular Interest.
« PrintingEPA's Design for the Environment
Program (DfE) has partnered with four sectors of the
printing industry: screen printing reclamation
products, lithography press cleaning solvents
(blanket washes), flexography ink, and gravure
technologies. Additional cleaner technologies are
needed for these industry sectors so that printers
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
have a cleaner, safer, and more efficient way of
doing business.
Electronics and Printed Wiring BoardsThe DfE
Printed Wiring Board (PWB) Project is evaluating
lead-free alternatives to the standard hot air solder
leveling surface finishing process. Additional
cleaner technologies are needed to reduce the
number and amount of toxic chemicals used and the
amount of hazardous waste generated, and to reduce
water and energy use.
Garment and Fabric CareDry cleaners are small
businesses that are dependent on solvent
technologies, including chlorinated and aliphatic
hydrocarbon solvents. Emerging and innovative
technologies include liquid carbon dioxide and
commercial wet cleaning. More innovation in this
small business sector is needed. A related area of
interest is commercial laundries. Partnerships in
commercial laundries are looking for alternatives to
toxic and persistent surfactants, chlorine bleaches,
and ecological undesirable builders.
AdhesivesDevelopment of low VOC adhesives,
caulks, and sealers for automotive body assembly
operations and/or for the building construction
industry are needed.
B. CONTROL AND
MONITORING OF MOBILE
SOURCE EMISSIONS
This topic includes (1) new, innovative, and cost-
effective technologies that prevent and control air pollu-
tion from mobile sources; and (2) new measurement and
monitoring technologies applicable to vehicles and other
mobile sources. Prevention and control of air pollution
from stationary sources is Topic C and monitoring of air
pollution (except air pollution from mobile sources) is part
of Topic H.
Technology needs for controlling mobile source
emissions include fuel modifications that reduce emissions
and technologies for particulates, hydrocarbons, carbon
monoxide, oxides of nitrogen, and toxic air pollutants
(TAP). Areas of interest include, but are not limited to:
Technologies for improved evaporative emission
control systems in the areas of low leak/no leak
fittings and connectors and lines and hoses with
reduced or eliminated fuel seepage and permeation.
Innovative and cost-effective techniques for the
control of particulate emissions from diesel engines
including on-road engines used in passenger
vehicles and trucks, and non-road engines used in
farm, construction, industrial, lawn care, and other
non-road applications.
New control technologies for controlling NOx
emissions from both diesel-fueled and gasoline-
fueled engines of all types.
Innovative technologies to control a method of
combustion in engines known as Homogeneous
Charge Compression Ignition (HCCI). The HCCI
combustion method can result in low NOx
emissions and low particulate emissions at the same
time, and this combustion method has been
demonstrated with a variety of fuels. The Agency is
interested in innovative ways to control this
combustion type in a practical and cost-effective
manner. It is expected that actual engine testing
will be needed to demonstrate the effectiveness of
any control approach.
High pressure fuel pumps for direct injection (DI)
engines. Many clean fuels that could be used in
direct injection (DI) engines (e.g., dimethyl ether,
methanol, and ethanol) present serious challenges
for the design and operation of high pressure fuel
pumps due to the low lubricity and corrosive nature
of alternate fuels. New pumps should be able to
demonstrate durable performance with low lubricity
fuels and be of a practical manufacturable nature for
potential cost-effective implementation.
Innovative and cost-effective technologies to
control directly emitted submicron size particles,
secondary particles, and organic compounds from
internal combustion and diesel engines. Innovative
NOx controls for mobile sources and systems for
reducing or eliminating mobile source cold start
emissions.
Novel, cost-effective ways to remove benzene,
1,3-butadiene, and other toxics from gasoline and
diesel fuel. Reducing or eliminating these fuel
elements would reduce the exposure to people
during the distribution and refueling process.
Real-time particle sizer-As the interest grows in
understanding the size distribution of particulate
emissions below 2.5 microns, analytical instruments
have become available that can measure the size
distribution of particulates emitted from mobile
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EPA-Small Business Innovation Research Phase I FY02 Program Solicitation No. PJR-NC-01-11782
sources. What is needed is a particle sizer that
could operate in real time to measure particle size
distributions during actual engine and vehicle use.
This topic also includes monitoring of mobile source
emissions. New approaches are needed to solve environ-
mental monitoring and measurement problems associated
with mobile sources. EPA is interested in the adaptation or
extension of existing technology from other, non-environ-
mental fields that can provide significant improvements in
current environmental measurements. Specific areas of
interest include, but are not limited to:
Nitrous oxide instrumentsIn addition to carbon
dioxide (CO2) and methane (CH4), nitrous oxide
(N2O) is a greenhouse gas which is emitted from
mobile sources and which may be a concern. The
Agency already has analytical capability to
measure CO2 and CH4 using acceptable laboratory
methods. What is needed is an instrument that can
measure N2O that would be more cost effective than
the current FTIR method.
Innovative and cost-effective measurement
technologies to characterize activity patterns and
ways in which mobile sources are used, such as
specialized urban operations such as truck
terminals, delivery truck terminal patterns, and
weekend traffic patterns for all road vehicle types
by time of day. For trucks, coupling the above data
with roadway grade and truck loaded vehicle
weight also are of interest. For non-road mobile
sources such as those used in construction,
industrial, and lawn care applications, technologies
are needed for measuring activity patterns with high
geographical resolution.
Cost-effective, rapid, broadly inclusive
measurement techniques for emissions from in-use
vehicles and enginesIn order to assess the
effectiveness of the controls used on mobile
sources, measurement technologies are needed that
can measure emissions from engines and vehicles in
use. Measurement approaches fall into two broad
classes: 1) for the measurement of emissions that
would permit recall or other enforcement actions,
and 2) for the measurement of emissions that would
allow gross emitters to be identified for necessary
corrective action. Instrumentation that could be
temporarily attached to a vehicle and
instrumentation that can be operated remotely from
the vehicle are both of interest. Instrumentation is
needed that will measure hydrocarbons, CO, NOx,
particulates, and smoke for both gasoline-fueled
and diesel-fueled vehicles and engines, including
those engines and vehicles used for over-the-road
cars and trucks and those used for construction
equipment, lawn and garden equipment, and other
small engines.
Source apportionment for particulatesWhen
samples are taken of the particulate material in the
atmosphere^ it is of great interest to the Agency to
know which sources contributed to the overall
particulate material measurements. To the extent
that the Agency's ability to apportion the overall
.result to the sources that caused it improves, then
control strategies can be refined to be more cost
effective. What is needed is a source apportionment
methodology (including instrumentation) that is
rapid, cost effective, and unambiguous. It would be
desirable to be able to determine what percent of
the ambient particulate came from mobile sources
and of that, how much came from diesel-fueled
vehicles and how much came from gasoline-fueled
vehicles. Further apportionment within the mobile
source fraction also would be desirable. To the
extent that the methodology and instrumentation
also can be applied to source apportionment for
stationary sources of emissions, the Agency's
interest would, of course, increase.
Development of a small, portable analytical
instrument that can be transferred between mobile
emissions sources, such as construction equipment
or lawn and garden equipment engines, during their
actual use to measure CO, CO2 NO, and
hydrocarbons.
Development of a small, portable analytical
instrument and procedures for measuring fine
particulate matter less than or equal to 2.5 microns
aerodynamic diameter from mobile emission
sources.
C. PREVENTION AND
CONTROL OF AIR
POLLUTION
This topic includes prevention and control of air
pollution (1) from stationary sources, (2) indoor air pollu-
tion sources, (3) ozone depleting compounds, and (4)
greenhouse gas emissions. Control of mobile source emis-
sions is covered in Topic C and monitoring of air pollution
is part of Topic H (except Topic B mobile sources monitor-
ing). Research is needed on new, innovative, and cost-
effective approaches that prevent or control emissions of
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
nitrogen oxides (NOx), fine particles, volatile organic com-
pounds (VOC), or toxic air pollutants (TAP) from stationary
sources. Systems that can be used to control combinations
of these pollutants are of particular interest. Areas of inter-
est include, but are not limited to:
Innovative and cost-effective techniques to control
directly emitted submicron size particles, secondary
particles, and organic compounds from stationary
sources. Sources of particular interest include
boilers, smelters, and animal waste operations.
Innovative NOx controls for stationary sources and
cost-effective techniques to control emission
streams with low concentrations of TAPs. VOC and
TAP emission controls and prevention technologies
for area sources, such as gasoline marketing
operations, surface coating operations, and solvent
usage related to consumer and commercial
products.
New, cost-effective sulfur oxides control techniques
for the large number of smaller SO2 emitters targeted
for regulation by states as impacting short-term air
quality standards from their relatively high
concentration of SO2 in stack gases.
Advanced systems to capture gaseous contaminants
such as acid gases, dioxins, and volatile metals
simultaneously with SO2. Techniques that control
multiple pollutants, such as SO2 and NOx, or SO2
and toxic metals, with one process step are of
special Interest.
Cost-effective techniques to control and/or remove
toxic air emissions, such as heavy metals,
nitroaromatics, and extraordinarily active mutagens
in vent and flue gases from combustion and/or
industrial sources. Mercury from coal-fired
combustors is of special interest. Also included are
isocyanates from auto refinish spray painting and
brominated flame retardant dust from plastics
manufacturing operations.
Innovative clay-based or other inexpensive
sorbents for selective removal of toxic and other air
pollutants from coal-fired power plant emissions.
Control of mercury is of special interest.
Technologies that allow leaking valves to be safely
repaired online.
This topic also includes indoor environmental qual-
ity engineering research directed at: (1) determining the
nature of indoor air emissions and surfaces and how they
contribute to human exposure, and (2) developing cost-
effective tools, techniques, and technologies necessary to
prevent or reduce individual exposure to indoor environ-
mental pollutants. Areas of interest include, but are not
limited to, development of:
Methods to prevent biocontaminant growth in the
indoor environment.
Techniques to prevent/avoid dermal and/or
ingestive exposure to hazardous chemicals on
surfaces found in the indoor environment. Avoiding
exposure by children and infants is of special
interest.
Air cleaners with improved ability to remove
volatile organic compounds and small particulates
from indoor air.
Improved particulate air filters for residential and
commercial heating, ventilating, and air-
conditioning (HVAC) systems.
Innovative, cost-effective techniques for
conditioning outdoor ventilation air.
New consumer/commercial products, building
materials, or equipment that reduce the availability
of harmful contaminants within the indoor
environment. This could include reformulation or
redesign of products, materials, or equipment, or
substitution with lower-emitting raw materials. For
example, a consumer interior paint or household
cleaning product might be reformulated with lower-
emitting raw materials so that it emits less into the
indoor environment.
EPA also is interested in new technologies and alter-
natives for ozone depleting comppunds. EPA is interested
in replacing substances that harm the stratospheric ozone
layer (such as chlorofluorocarbons (CFCs) and halon fire
suppressants) with safer alternatives and technologies.
Research is needed to continue the process of finding non-
ozone depleting substances to replace CFCs and other
ozone depleting substances (ODS). Many commercial
sectors are affected by the phaseout of ODS, including the
refrigeration, air conditioning, and fire extinguishing sys-
tems and foams industries. Examples of areas where re-
search is needed include, but are not limited to:
Development of systems to reduce the amount of
hydrogen fluoride generated during the use of
hydrofluorocarbon (HFC) fire suppressants.
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EPA. Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Development of better and more efficient fire
suppressants and systems, including compounds
that meet weight restrictions, use available
substitutes in a more efficient manner, technologies
more efficient for putting out fires, delivery
enhancement, and optimizing the amount of agent
delivered.
Development of cheaper, more reliable fire
detection methods and systems.
Development of low-ozone depleting substances in
coatings and inking applications.
Alternatives to methyl bromide, particularly non-
chemical alternatives such as steam sterilization
and solarization for soil fumigation or irradiation
and CO2/heat treatment.
Development of very-low-temperature (e.g., -50° C)
refrigerants or alternative technologies.
Development of manufacturing techniques and/or
processes to increase the insulation value and
improve the dimensional stability of foam
manufactured with non-ozone depleting substances.
Development of air-conditioning and refrigerant
technologies that reduce system leaks, (e.g., using
hermetic systems instead of open systems for end
uses where leaks are significant, or by incorporating
self-sealing additives into air-conditioning
components which would niinimize leaks).
Development of systems that would enable use of
smaller refrigerant charge or appropriate use of
flammable refrigerants, (e.g., the use of
hydrocarbons or ammonia with secondary loops).
Another priority for EPA is reducing Greenhouse Gas
(GHG) emissions. Gases of concern are methane, carbon
dioxide, nitrous oxide, hydrofluorocarbons,
perfluorocarbons, and sulfur hexafloride. EPA is interested
in prevention and control technologies for GHGs where
there are multiple pollution reduction benefits for GHGs
and other pollutants such as toxic metals, mercury, and
hazardous air pollutants. Technologies that only involve
energy efficiency, where the pollution reduction benefit is
indirect reduction of power plant emission, are addressed
by other agencies and are technically unacceptable. Of
high interest are areas for which little success has been
achieved, for which little is being done, or where a signifi-
cant improvement can be made over an existing or devel-
oping way to reduce GHG and other pollutant emissions.
Some of these areas include, but are not limited to:
New, environmentally safe chemicals (e.g., blends of
chemicals to reduce flammability of potential
refrigerants) and intelligent controls (e.g., fuzzy
logic and neural networks) to reduce GHG
emissions.
Ways to reduce, detect, collect, and utilize waste
methane from various sources including animal
husbandry and landfill.
Improved processes or process modules for utilizing
biomass or other renewable energy sources (e.g.,
better conversion efficiency of biomass to liquid
fuels for transportation to provide co-control of
environmental burdens).
New ways to improve control of aluminum
production to reduce perfluorocarbon emissions.
New insulation materials or processes to replace
uses of sulfur hexafluoride.
D. TREATMENT AND
MONITORING OF
DRINKING WATER
The topic includes technologies for treating and
monitoring drinking water. Technologies for municipal
and industrial wastewater treatment, stormwater manage-
ment,, and rehabilitation of urban infrastructure systems are
part of Topic E.
The Safe Drinking Water Act requkes that public
water supplies be disinfected and that EPA set standards
and establish processes for treatment and distribution of
disinfected water to ensure that no significant risks to hu-
man health occur. The EPA Science Advisory Board has
ranked pollutants in drinking water as one of the highest
health risks meriting EPA's attention due to the exposure of
large populations to contaminants such as arsenic, lead,
methyl tertiary butyl ether (MTBE), disinfection by-prod-
ucts (DBFs), and disease-causing organisms. Disinfectants
are used by virtually all surface water systems in the United
States and many systems that rely on groundwater. Chlo-
rine has been the most widely used and most cost effective
disinfectant. However, disinfection treatments can produce
a wide variety of by-products, many of which have been
shown to cause cancer and other toxic effects. There also is
concern that water quality can deteriorate dramatically
during distribution unless systems are properly designed
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
and operated. Innovation is needed to upgrade existing
techniques as well as to develop new approaches to address
these problems. Areas of interest include, but are not lim-
ited to:
New, innovative treatment methods or techniques
that improve performance of existing drinking
water treatment plants for removal of MTBE and
other oxygenates and by-products associated with
petroleum product releases.
Alternatives to chlorine disinfection for removing
pathogenic microorganisms, including innovative
applications of ultraviolet radiation and processes
that improve overall effectiveness while using
reduced amounts of disinfectant.
Development of innovative unit processes,
particularly for small systems, for removal of
organic, inorganic and radionuclide contaminants
(such as perchlorate, aluminum, pesticides, arsenic,
nitrate, radium, etc.), particulates, and pathogens
(e.g., cyst-like organisms [Cryptosporidium] and
emerging pathogens like caliciviruses,
microsporidia, echoviruses, coxsackieviruses,
adenoviruses, and others on the Drinking Water
Contaminant Candidate List). More information is
available from the following Website:
(http://www.epa.gov/safewater/ccl/cclfs.html).
Development of efficient, cost-effective treatment
processes for removing disinfection by-product
precursors and innovative methods that minimize
their formation.
Controls for drinking water contamination between
the treatment plant and the user. EPA is concerned
about potential chemical leaching (copper and
lead) from distribution system materials and
surfaces and biological regrowth in the distribution
system.
Implementation of centrally-managed Point-of-Use
drinking water control methods, especially for
control of arsenic.
New methods to manage residuals from drinking
water treatment, including coagulant recovery and
beneficial reuses. Membrane brines and treatment
of backwash are a concern. Reuse of regenerant
brines and their ultimate disposal also is a concern.
Small, effective, inexpensive water purification
devices are needed for home use. Recent research
indicates that most groundwater and surface water
in the United States contains one or more pesticide
related compounds. Current water treatment
technology may not remove these compounds. In
addition, a large percentage of the U.S. population
receives its drinking water from small sources or
private wells that are not regulated under the Safe
Drinking Water Act. Home water purification
capable of removing polar and nonpolar pesticides
are needed to ensure that safe drinking water is
available.
New approaches are needed to solve drinking water
monitoring and measurement problems. EPA is interested
in the adaptation or extension of existing techniques from
other, non-environmental fields that can provide signifi-
cant improvements in current environmental measure-
ments. Specific areas of interest include, but are not lim-
ited to: ;
Portable measurement technologies that can be
used in the field to eliminate packaging and
shipping samples to distant laboratories, and yield
real time information at a lower cost. Such
technologies need to be rugged, sensitive, and
suitable for the wide variety of drinking water
samples that are commonly analyzed (source water
assessment and for use in the distribution system).
Ability to measure multiple pollutants
simultaneously would be a plus factor. Rapid field
tests also are needed by personnel responding to
crisis situations such as spills and accidents.
Improved measurement of microbial pathogens in
drinking water systems is of special interest.
Improved methods for Cryptosporidium are a
priority. Better methods also are needed for
measuring other cyst-like organisms and emerging
pathogens like caliciviruses, microsporidia,
echoviruses, coxsackieviruses, adenoviruses, and
others on the Drinking Water Contaminant
Candidate List. Inaccurate and highly variable
methods contribute to uncertainty of the extent of
health risks from exposure to drinking water
containing these pathogens including the viability
of cysts, oocysts, and viruses found in drinking
water systems. Research is needed to develop
practical, low cost, accurate, and specific methods
to identify and quantify viable pathogens in raw
and finished drinking water systems.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Research is needed to develop sensitive, accurate,
and specific rapid screening technologies and
methods to detect algal neurotoxins and cytotoxins
in source water and drinking water. The analytical
techniques: Should be appropriate for use in
measuring algal toxin occurrence at or shortly after
the time of sample collection.
Online, in situ monitors for drinking water,
including source water monitoring and protection,
treatment, and distribution system monitoring.
Improved measurement of disinfection by-products
(e.g., for ozonation: bromate, aldehydes; for
chlorination: chloropicrin, haloacetonitriles; for
chloramination: organic chloramines, cyanogen
chloride). Innovative approaches for disinfectants
(in particular ozone) and precursors are needed, as
well as portable measurement technologies and
rapid field test kits.
E. WASTEWATER
TREATMENT AND
STORMWATER
MANAGEMENT
The topic includes municipal and industrial wastewa-
ter treatment, stormwater management and rehabilitation of
urban environmental infrastructure. Technologies for treat-
ing and monitoring drinking water are included in Topic D
and wastewater and stormwater monitoring and measure-
ment technologies are part of Topic H.
Research is needed to improve existing municipal
wastewater treatment processes and treatment and manage-
ment of septage and sewage sludge (biosolids). Existing,
treatment and management systems often fail to perform as
intended due to unforeseen factors not considered in the
plant design, usually related to upsets in the process itself
or inefficiencies in ancillary treatment and control pro-
cesses. Specific areas of interest include, but are not lim-
ited to:
Process technologies and cost-effective
modifications to enhance reliability of achieving
secondary and reuse quality effluent from
municipal treatment facilities with design flows less
than 5 million gallons per day.
New, cost-effective technologies that improve
treatment efficiency at municipal wastewater
treatment facilities with design flows less than
50,000 gallons per day.
Cost-effective alternatives to the chlorination of
outfalls from municipal wastewater treatment
plants, emphasizing the identity and characteristics
of by-products associated with the alternative
treatments.
Innovative, cost-effective techniques for removing
phosphorus and nitrogen nutrients from municipal
wastewater, particularly in small (< 10,000
population) or decentralized systems.
Nontoxic anti-biofoulers are needed for exotic
biological species such as the zebra mussel.
Development of nontoxic methods to control such
species would be a major contributor to the
protection of the Great Lakes and many inland
waterways.
Innovative methods to manage and treat septage.
New treatment techniques for unsewered residential
and commercial wastewaters to permit onsite reuse,
thus reducing the demand for larger centralized
sewage systems.
Process concepts and modifications to enhance
reliability of achieving Class A biosolids quality
and biosolids vector attraction requirements of 40
CFR Part 503. Methods to control pathogenic
bacteria, enteric viruses, and viable helminth ova to
below analytical detection levels.
Process concepts and modifications to create or
enhance the use of natural systems (e.g., constructed
wetlands, land treatment), especially for use with
small flows.
Cost-effective treatment technologies for removal
of pesticides from discharges to surface waters.
Research is needed to address environmental and
public health problems associated with industrial sources
including mining and animal feeding operations. Innova-
tive methods are needed to improve existing industrial
wastewater treatment processes which often fail to perform
as intended due to unforeseen factors not considered in the
plant design, usually related to upsets or inefficiencies in
the treatment processes. Mercury contaminated surface
waters and groundwaters and technologies that remove oil
and other contaminants from surface waters are of special
interest. Areas of interest include, but are not limited to:
25
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No.'PR-NC-01-11782
1 Technologies to contain and treat uncontrolled air
and unsewered wastewater from animal waste from
large animal husbandry operations including pig,
chicken, and turkey farms. Development of
methods that complement or replace existing
lagoon and field spraying operations that release
ammonia to the atmosphere, saturate and
contaminate groundwater, and overflow into
waterways during periods of heavy rainfall.
1 Technologies that minimize adverse environmental
impacts associated with cooling water intake
structures that direct water into a facility to the first
intake pump(s). The primary concern is the
impingement and entrainment of fish and other
aquatic organisms in the facility's intake structure.
Impingement refers to the trapping of fish and other
aquatic life against cooling water intake screens.
Entrainment occurs when aquatic organisms, eggs,
and larvae are sucked into the cooling system
through the heat exchanger and then are pumped
back out. New and cost-effective technologies
should focus on the location, design, construction,
and capacity of the cooling water intake structure to
minimize adverse environmental impacts.
Process concepts and modifications to enhance
reliability of achieving high efficiencies for
industrial wastewater treatment systems from
facilities with design flows less than 50,000 gallons
per day.
1 Economical processes for treating drainage from
abandoned factories, coal mines, etc., including
low-cost treatment of drainage and coal mine spoils.
1 Innovative techniques and technologies for
management of runoff from mine wastes (i.e.,
overburden, leachate, and solids from tailings).
1 Low-cost processes for controlling wastewater
discharges containing volatile or toxic organic
pollutants or pesticides.
1 Innovative technologies are needed for treatment
and control of bilge/ballast water within vessels,
especially important for residual chemicals and oily
wastes entering the Great Lakes, Houston Ship
Channel, Baltimore Harbor, etc.
1 Cost-effective alternatives for treating and
recycling animal manure, including use of these
organic residues as a source for methane-rich fuel
gas for combustion and/or protein or fiber as
feedstocks for construction materials and other
specialized products. '
Mercury contaminated surface water and
groundwater is of special interest.' Technologies are
needed to remove mercury in its various forms
including methylmercury. Also needed are
innovative technologies and robust extractants (i.e.,
cross-linked polystyrene polymers, selective ion-
exchange resins, special membranes) that
selectively remove mercury even in the presence of
competing metal ions (e.g., Hg(II), Cd).
Technologies are needed to remove oil, fuels, and
other contaminants from surface waters. Special
attention is needed to remove dilute wastes,
especially in remote areas.
Research also is needed to improve the treatment and
control of urban stormwater runoff from transportation
corridors carrying trash, sediment, oil and grease, nutrients,
metals, and petroleum hydrocarbons. Many densely urban-
ized areas are not suitable for the application of land-inten-
sive stormwater control measures such as wet ponds, veg-
etated swales, and infiltration trenches. Alternative
technologies fall into a number of categories, including
catchment inlet traps or inserts, oil/grease and debris sepa-
rators, sedimentation chambers, filtration chambers, and
detention/exfiltration systems. The development of inno-
vative technologies to treat urban runoff from roads,
bridges, and other impervious surfaces will improve the
quality of stormwater discharges. Areas of needed research
and interest include, but are not limited to:
Development of cost-effective technologies for
preventing toxic substances and pollutants from
entering storm or combined sewer/drainage systems.
Development of monitoring technologies and
equipment to measure the characteristics and
impacts of wet weather flows (WWF), including
pathogenicity.
Development of high-rate and high-efficiency
WWF treatment technologies suitable for
retrofitting existing wastewater treatment plants as
well as for new installations.
Rehabilitation of urban infrastructure systems is also
a priority. The aging condition of our cities and deteriora-
tion of infrastructure includes water distribution and sewer-
age systems. This provides an important research area ad-
dressing how to repair and maintain this infrastructure.
The costs are staggering; the national investment in sewers
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
alone approaches $1.8 trillion. Excessive flow to the sewer
system from infiltration and inflow (I/I) robs the capacity of
the sewer system and negatively affects proper operation of
the entire sewerage system. I/I has caused surcharging of
sewers, wastewater treatment plants, and pumping stations.
Building connections to the street sewers or laterals can
contribute as much as 70 - 80% of the infiltration load.
With current technology, building connection rehabilita-
tion may not be economically feasible because of the sheer
number of connections. Less expensive technologies other
than acoustic approaches are needed to detect leaks, fore-
cast structural failures, and repair/rehabilitate sewers and
other utility pipelines such as municipal pressurized water
distribution and possibly heat distribution systems. Areas
of needed research and interest include, but are not limited
to:
New sewer materials and construction/maintenance
techniques, and new technologies to repair existing
sewer infrastructure at an acceptable cost.
New technologies to construct, maintain, and repair
new and existing urban utility/steam and water
distribution systems infrastructure at an acceptable
cost.
New pipe materials, relining techniques and
innovative materials for water distribution systems.
F. HAZARDOUS WASTE
MANAGEMENT AND SITE
REMEDIATION
This topic includes management of hazardous solid
waste and sediments, and remediation of contaminated
sites, soils, sediments, and groundwater. Management,
treatment, and recycling of municipal and industrial solid
waste is included in Topic G.
Innovative approaches are needed for hazardous
wastes, including incineration and other treatment, and
disposal in conventional or special landfills. Contaminated
sediments now appear to be the main source of toxic con-
taminants in many bays, lakes, and rivers. Areas of interest
include, but are not limited to:
Innovative methods for the operation and control of
high-temperature waste combustion incinerators
that lead to reduced contaminant release through
air, water, or residual ash streams. Of special interest
is mercury, one of the worst emission problems for
waste incinerators. The current technology for
capturing mercury is injection of sorbents/reactants
, into the flue which results in the capture of mercury
along with fly ash in electrostatic precipitators or
baghouses. This creates a problem with disposal of
the mercury-contaminated fly ash or scrubber
solution. Improved technologies are needed to
retrofit incinerators for optimum capture of the
mercury and minimization of mercury-
contaminated w.aste by-products.
Advanced hazardous constituent destruction
technologies using cost-effective thermal, chemical,
and biological detoxification methods.
Innovative ways of preventing or treating/
detoxifying wastes prior to land disposal,
. particularly those containing highly persistent,
bioaccumulative and toxic constituents (e.g.,
improved means of leaching toxic constituents from
wastes in a landfill environment to render the wastes
innocuous within the period of operation and post-
. closure care). Of particular interest are
immobilization technologies suitable for mercury-
bearing wastes. More information on the Agency's
strategy for "PB.T Chemicals" is available at the
following Website: http://www.epa.gov/pbt.
This topic also includes remediation of organically
contaminated soil, sediments, and groundwater and treat-
ment or removal of heavy metals at contaminated sites.
Certain locations within the United States have become
contaminated with heavy metals and hazardous and toxic
organic substances. Contaminants have permeated and
adsorbed onto soils, diffused to interstitial saturated zones,
dissolved into groundwaters and migrated to subsurface
aquifers. In many instances, contaminants have exhibited
physical and chemical properties that make them difficult
to remove from the environment. Contaminants may exist
in subsurface deposits as immobile gums or sludges diffi-
cult to access. They may be resistant to normal subsurface
chemical and biological degradation processes. They may
strongly adsorb on soil structures and be only slightly
soluble in aqueous concentrations.
Proposals are solicited that will result in the develop-
ment of innovative, cost-effective methods for the in situ or
ex situ treatment or control of heavy metals and hazardous
organic wastes. Also needed are in situ technologies that
mobilize contaminants to make them more amenable to
subsequent ex situ or in situ treatment or extraction. Bio-
logical techniques that utilize genetically engineered mi-
croorganisms can be included, but will require the proposer
to provide any special clearances needed for such projects.
Clearance information on genetically engineered
bioremediation microorganism use can be obtained from
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
EPA's Office of Pollution Prevention and Toxics (contact
Jim Alwood at 202-260-1857). Information on the EPA
biotechnology program is available at the following
Website: http://www.epa.gov/opptintr/biotech/.
Innovative and cost-effective technologies are
needed in areas including, but not limited to:
Innovative ex. situ and in situ treatment
technologies for mercury-contaminated soil,
sediments, and groundwater are of special interest.
Mercury exists as organo-mercury complexes,
phenyl mercury, methyl mercury, and mixed
mercury wastes. Cost-effective, innovative
technologies are needed to treat, remove, or
immobilize these forms of mercury.
Improved treatment and disposal of solid and/or
liquid wastes or sediments, including
detoxification, solidification, chemical treatment,
neutralization, or otherwise fixing organic waste
prior to disposal hi landfills.
Cost-effective techniques and technologies are
needed to clean up groundwater and sites
contaminated by oxygenates that currently are used
or are likely to be used in reformulated gasoline and
oxygenated whiter fuels. Improved leak detection
methods and better site characterization tools also
are needed. These substances include MTBE and
other fuel oxygenates (e.g., ethers, alcohols, and
alkylates). Fuel oxygenates are used in gasoline in
numerous states for CO and ozone precursor
reduction and may enter the environment through
leaking fuel storage tanks, spillage, and emissions
from passenger vehicles and watercraft. Detection
and characterization proposals should consider the
problem that oxygenates like MTBE do not have
the same plume profile as monoaromatic
hydrocarbons (benzene, toluene, ethylbenzene, and
the three isomers of xylene [BTEX]). Treatment
technology proposals should consider cost
effectiveness and recognize that leaks often occur in
densely urban areas.
Chemical detoxification, such as neutralization and
dehalogenation or electrochemical decomposition.
Physical methods for subsurface mixing to enhance
mobilization and mass transfer.
Biotreatment methods hi the saturated and
unsaturated zone.
Approaches for detecting, degrading, and removing
dense non-aqueous phase liquids (DNAPL) from
groundwater. DNAPLs are usually highly
concentrated, small pockets or strands of semi-pure
VOCs. Special needs include better methods for
locating DNAPL pockets and cost-effective in situ
destruction technologies.
Improvement in nutrient and chemical reagent
delivery systems for biological or chemical
methods.
Innovative physical separation, thermal processing
(i.e., in situ or high vacuum thermal desorption),
electrokinetics, and hydrometallurgical processing
technologies are needed to separate and recover
mercury. Ex situ/in situ remediation of mercury in
groundwater or surface water including low-cost ion
exchange resins, polymers, ligands, or ceramic
media are of interest to EPA.
Physical methods for subsurface mixing to enhance
mobilization and mass transfer of heavy metals.
Improved methods for treatment of heavy metals by
reduction of their bioavailability in soils.
Improvement in nutrient and chemical reagent
delivery systems for biological or chemical
methods for heavy metals removal.
Improvement in heavy metal reaction product
recovery and separation systems that enhance the
commercial value of these products.
G. RECYCLING OF
MUNICIPAL AND
INDUSTRIAL SOLID WASTE
This topic includes management, treatment, and recy-
cling of municipal and industrial solid waste. Manage-
ment of hazardous solid waste and sediments, and
remediation of contaminated sites, soils, sediments, and
groundwater are included in Topic F.
The nation's municipal solid waste (MSW) recycling
infrastructure includes more than 12,000 drop-off sites and
some 9,000 curbside programs that collect recyclable mate-
rials. Over 27% of MSW was recycled in 1996 and more
than 57 million tons of recyclable materials re-entered
manufacturing processes to make new products and pack-
aging. MSW recycling is a complex and growing industry
ripe for innovation both in the collection of recyclable
materials and hi the processing of those materials into us-
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
able goods. Areas of interest for innovation include, but
are not limited to:
Storage, collection, and transport of recyclables
from multi-family and single family residences,
including high-rises, and from commercial
establishments such as stores, restaurants,
construction sites, etc.
Processes to separate recyclables (e.g., various
plastic resins) and to remove contaminants (e.g.,
adhesives not soluble in water) from recyclable
materials.
On-site or en route processing of recyclables (e.g.,
bottle crushing at bars or restaurants, paper
processing at offices or print shops, plastics
shredding on collection trucks).
Technologies for improving quality control for
recyclable materials or to identify the extent to
which contaminants are present.
Alternative or new uses and products for recyclable
materials (e.g., using recycled glass bottles to
produce something other than glass bottles, using
recycled newspaper to produce something other
than newsprint, using plastic bottles to produce
something other than bottles).
Innovative recycling of organics (e.g., using the
compost process to treat manures, composting of
restaurant wastes, using compost for
bioremediation).
Re-designing products to enhance their
recyclability (e.g., recycling-friendly adhesives,
bottle coatings to substitute for colored glass).
Innovative approaches are needed for nonhazardous
municipal and industrial solid wastes. Areas of interest
include, but are not limited to:
Innovative methods and technologies for the
operation and control of high-temperature waste
combustion incinerators that lead to reduced
contaminant release through air, water, or residual
ash streams.
Multiple recovery and recycling of different plastic
materials in automobile salvage operations.
Improved methods that control odor and air
emissions from municipal landfills.
Advanced physical separation techniques that make
wastes easier to treat or destroy by moving the
metal/organic constituents from one medium to
another.
Recovery processes that may enable the economic
recovery of valuable components from solid waste
that may then be sold and/or recycled off site.
Innovative new uses for waste materials from
industrial sources, particularly for materials of
which large amounts are not being recycled
presently, to reduce landfill and disposal costs.
An improved technique for the rapid removal of the
paint from a variety of architectural surfaces. The
system should soften and/or loosen the paint film
and physically strip it from the surface to comply
with the Housing and Urban Development (HUD)
cleanliness standards. The method should
minimize the generation of small dust or fume
particles while capturing the paint film as it is
removed. It should be four or five times faster than
existing techniques and avoid the use of toxic and/
or hazardous chemicals, especially volatile organic
compounds. The system must produce a surface
that can be repainted or include an inexpensive
refinishing step to permit refinishing.
H. MONITORING AND
MEASUREMENT
TECHNOLOGIES
New approaches are needed to solve environmental
monitoring and measurement problems. EPA is interested
in both remote and in situ monitoring and measurement
approaches. EPA also is interested in the adaptation or
extension of existing techniques from other, non-
environmental fields that can provide significant improve-
ments in current environmental measurements. Specific
areas of interest include, but are not limited to:
Measurement of physical, chemical, and biological
water quality parameters. Instream water
monitoring devices that economically record
physical parameters and specific chemicals in situ
and send information in real time to receiving
stations.
Continuous monitors of organic and inorganic
toxicants in municipal and industrial wastewater
and their toxic effects on receiving waters.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
Major improvements in process control, compliance
monitoring, and environmental decision making could be
made if more accurate, less costly, more rugged techniques
were available, including remote sensing devices, that
would yield continuous data on pollutant concentrations
in environmental media. Examples of situations where
advances are needed include, but are not limited to:
Continuous monitors of toxic metals (particularly
mercury) and/or organic compound emissions from
high temperature, complex matrix sources such as
incinerators, fossil fuel based power plants, cement
kilns, and smelters.
Continuous monitors of release of volatile
compounds from complex point sources or area
sources such as tanks, pipes, valves, landfills, and
contaminated soils under ambient conditions.
New online measurement techniques for continuous
monitoring and process control of metal or trace
organic air pollution emissions. Instruments to
measure air quality from nonpoint sources such as
pesticide drift and ponstruction-related dust.
Alternative monitors that provide similar data to
expensive monitoring wells of groundwater
resources, including refinements of CPT/
hydropunch techniques.
Development of a portable, integrated system that
can capture and measure in real time large leaks
from refineries and other oil and gas or chemical
process equipment flanges, valves, and pump seals.
Technologies that detect leaks of organic and
inorganic chemicals from the perimeter of the
process unit. Technologies with the ability to
detect leaks of a variety of chemicals, at least as
sensitive as the current Method 21, the ability to
operate from the perimeter of a chemical process
unit, and technologies with a sufficient resolution
to identify the specific component that is leaking.
Cost-effective monitoring technologies that are
capable of monitoring multiple toxic air pollutants
(TAP), ambient monitoring techniques for TAP, and
technologies that can be used for compliance
monitoring purposes.
Measurement of the size distribution and dry mass
of inhalable particulate matter (PM25 and PM10),
including semi-volatile organic toxicants and
ammonium nitrate hi air.
Mass measurements of particle-bound water in
airborne inhalable particulate matter (PM25and
PMIO).
Analytical monitors for hazardous air pollutant
emissions from puring coatings based on the resin
and hardener chemical properties, including the
analytical procedures for their measurement.
Cost-effective continuous emission monitoring
system that can be installed on industrial process
emission vents and stacks to continuously measure
concentrations of heavy metals (e.g., mercury) or
organic hazardous air pollutant compounds.
Devices must be rugged, sensitive, and yield real-
time data for multiple or single pollutants.
Cost-effective technology for the measurement of
particulate emissions concentrations in industrial
process and combustion stack or vent exhaust gases
on a continuous basis.
Technology for measuring opacity of emissions
from combustion and other industrial processes at
levels less than 10% opacity. Technology should
include development of calibration standards and
techniques for opacities down to 0% and data
quality criteria suitable for operating continuous
opacity monitoring systems.
Technology for collecting and assuring
representative sampling and loss minimization for
particulate air toxics emissions from combustion
and industrial process emissions stacks and vents.
« Technology for determining the species
composition of particulate matter samples from
combustion and industrial process emissions stacks
or vents.
Technology transfer from ambient monitoring to
continuous monitoring of combustion or industrial
process stack or vent emissions for criteria or
hazardous air pollutants.
This topic also includes priority problems associated
with developing new systems for monitoring hazardous
waste sites, technologies and alternatives for ozone deplet-
ing compounds, prevention and control of greenhouse gas
emissions and indoor air pollution, and reduction of envi-
ronmental and human health risks from pesticide use.
EPA's Office of Solid Waste and Emergency Response
(OSWER) is interested in technological advances in chemi-
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01 -11782
cal constituent identification, quantification, and geo-
physical analysis that will improve capabilities to charac-
terize hazardous waste sites, monitor remedial activities,
and provide long-term monitoring for closed sites.
OSWER's Monitoring and Measurement Technologies for
the 21st Century or 21M2 initiative will identify and sup-
port promising measurement and monitoring technologies
in response to waste management and site cleanup program
needs. EPA has identified areas where significant technol-
ogy needs or gaps exist and, thus, require research to help
address these needs. EPA is seeking research proposals for
in situ sensors for monitoring groundwater contamination
and treatment system performance and technologies in-
cluding, but not limited to:
As more and more pump-and-treat (and other water
treatment) systems enter the operations and
monitoring phase of implementation, techniques
which either effectively monitor the behavior of the
contamination plume or the performance features of
the system are essential. In situ sensor technologies
or techniques are needed that either improve the
capacity to monitor the presence and concentration
of contaminants, particularly chlorinated solvents,
in the saturated zone or significantly decrease the
cost of existing techniques for monitoring these
contaminants. Techniques that allow for remote
operations through telemetry also are of interest as
are techniques, which in conjunction with
modeling processes, allow for optimization of
monitoring and/or operating treatment systems.
Federal and state underground storage tank (UST)
cleanup programs need remote-telemetry
compatible sensors that measure reductions in
BTEX or MTBE levels in soil and groundwater at
several hundred thousand ongoing and new UST
cleanup sites. These sensors should produce either
continuous or statistically-determined periodic
signals indicating BTEX or MTBE levels or both.
Each sensor should have a self-contained power
source with a life of 3 to 5 years and be capable of
interfacing with either remote-telemetry data-
capture systems or hand-held data-capturing
devices applied on-site.
EPA also has identified significant technology needs
for research proposals for continuous emissions monitors
for use with thermal hazardous waste treatment systems,
remote sensing for fugitive emissions, new monitoring
methods for cyanides and cyanide speciation, leak detec-
tion technologies for small landfills, monitoring for mining
waste sites, technologies for locating and monitoring
DNAPL contamination, UST internal inspection methods,
and noninvasive monitoring technologies for mercury and
heavy metals in soil. Technologies are needed as follows:
Compliance with air emission standards or
limitations has traditionally been determined by
initial and periodic "stack tests," and establishment
of operating parameters with the goal of ensuring
day-to-day compliance. This approach involves
long-time intervals, uncertainties that day-to-day
emissions are meeting acceptable limits, and
questions about measuring all of the potential
"products of incomplete combustion" (PICs).
Technologies or techniques are needed that allow
real-time/near real-time ability to measure stack
emissions for toxic organic and heavy metal air
emissions. The current standard for dioxins and
furans is 30 ng TEQ/dscm. According to EPA's
combustion strategy (November 1994), the
proposed new performance standard for Municipal
Waste Combustors is 0.2 ng TEQ/dscm.
Technologies and techniques for dioxin and furan
monitoring are needed that address the problem that
these contaminants can occur in both gaseous form
and attached to participate matter.
Remote optical sensing is needed for fence-line
monitoring for fugitive emissions and enforcement
activities. Emergency response/removal operations,
compliance/enforcement functions, and operation
of treatment technologies in both the Superfund
and corrective action programs require systems that
effectively monitor for fugitive emissions of
hazardous air pollutants along the "fence-line" of a
site. The effectiveness of a fence-line monitoring
technique is a function of the length of the fence
line, number of monitoring points, the receptors'
locations, the source size and strength, and-the
compounds of concern. Real-time/near real-time
monitoring of toxic organic pollutants is needed at
all points downwind at the fence line of a facility
using remote optical sensing technology.
EPA needs more accurate, reliable, and enforceable
technologies, techniques, and tests to monitor total
cyanides and to speciate cyanides. The Agency is
particularly interested in techniques based on
alkaline digestion and ion chromatography.
Cost-effective technologies are needed that allow
for protective methods to verify the integrity of
and/or detect leaks from municipal landfills,
focusing on the special needs of smaller capacity
facilities. Examples may include (but are not
limited to) remote platforms that provide cost-
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
effective monitoring of the integrity of engineered
covers. In addition, sensors are needed to monitor
the integrity and effectiveness of slurry walls and
liners. This need includes systems designed for
containment purposes and systems designed for
containment and passive treatment (e.g., permeable
reactive barrier systems). Such platforms/sensors,
with appropriate telemetry, should allow timely
remedial action that minimizes the frequency and
extent of contaminant releases from the
containment system and reduces the potential for
human and environmental exposure.
Monitoring technologies are needed for mining
waste sites. Superfund mining sites pose a unique
and significant challenge because they often cover
a large geographic area and include a very large
volume of contaminated media resulting from
mining operations (e.g., waste materials from mine
excavation or mineral separation activities or
contaminant releases from such activities). The
Agency needs low-cost, low-maintenance monitors
and advanced remote-sensing based tools (i.e., air
and space-borne) for characterizing the extent of
contamination at very large mining waste sites,
monitoring releases, assessing risks, and planning
and implementing remediation measures. These
tools should provide information on the location
and areal extent of mining activities and related
waste piles; on the nature and extent of releases
from active and inactive mines; and on
contaminants, particularly metals, and their
concentrations.
1 Technologies are needed for locating and
monitoring dense nonaqueous phase liquids
(DNAPLs) contamination. Monitoring for the
presence and persistence of nonaqueous phase
liquids (NAPLs), particularly DNAPLs, presents a
continuing challenge to the operation and
effectiveness of remedial systems for treating
contaminated groundwater. EPA needs noninvasive
or minimally invasive technologies or techniques
that can locate, identify, and characterize DNAPL
contamination in the subsurface. Technologies
should be capable of locating small volumes of
DNAPL, assisting with the characterization of the
contamination, assisting with the visualization of
the DNAPL relative to the feature of the subsurface
hydrogeology, and supporting the optimization of
treatment systems.
Internal inspection methods are needed for
internally-lined underground storage tanks (USTs).
EPA estimates that 50,000 to 100,000 USTs are
internally-lined and will need to be periodically
inspected in order to continue to meet state and
federal UST requirements. States have expressed a
concern over how these inspections will be
conducted as tank linings become 10 years old.
Currently, EPA is aware of only one code of practice
for conducting the internal inspection, National
Leak Prevention Association (NLPA) Standard 631,
Chapter B. NLPA 631 requires human entry into
the UST to measure thickness, hardness, conduct a
holiday (spark) test, and perform ultrasonic
measurements on the steel tank shell. State
inspectors and owners/operators of lined USTs
would benefit from having multiple technologies
available for internally inspecting internally-lined
USTs. EPA is seeking technologies/methods for
conducting the inspection that can meet the
regulatory language at 40 CFR part 280.21, which
requires the following be done (for petroleum and
hazardous substance tanks) in accordance with a
code of practice developed by a nationally
recognized association or independent testing
laboratory: Within 10 years of lining and every 5
years thereafter, the lined tank is internally
inspected, the lined tank is found to be structurally
sound, and 3/4 of the lining is still performing in
accordance with original design specifications.
New leak-detection technologies that are more
sensitive, less prone to human error, and cost
effective are needed for detecting releases from
USTs and pipes. More than 800,000 UST systems
must conduct leak detection. Although there are
multiple leak detection technologies in use, most
only detect a release once it exceeds a certain
threshold (e.g., flow rate). In addition, the regulated
community, which includes many small businesses
and governments, is frequently stymied by the
complexity of current technologies. The Agency is
concerned that current technologies and thresholds
may not be effective, given the prevalence of
substances, such as MTBE, that are more mobile
and persistent in the subsurface than BTEX.
1 EPA needs field instrumentation to enhance
characterization of soil at sites in the United States
that have become contaminated with mercury and
heavy metals. Of special interest are new,
noninvasive technologies such as electromagnetic
radiography that eliminate core sampling, save
time, and reduce monitoring costs.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
The last part of this topic involves pesticides. Under
the authority of The Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA), The Federal Food, Drag, and
Cosmetic Act (FFDCA), and The Food Quality Protection
Act of 1996 (FQPA), the EPA Office of Pesticide Programs
(OPP) is charged with protecting public health and the
environment from risks posed by pesticides, and with pro-
moting safer means of pest control. To carry out this mis-
sion, OPP must be able to measure the effects of pesticides
and their degradation products. This topic relates to that
mission by requesting research armed at increasing OPP's
ability to monitor occurrence and movement of pesticides
and their degradation products in the environment. Ex-
amples of research needed include, but are not limited to:
Equipment and methods are needed for in situ
monitoring of nonpersistent pesticides and
pesticide degradation products in soil, water, and
air. Tune delays for collecting and transporting
samples to laboratories for analysis reduce our
ability to track the occurrence and movement of
pesticide compounds in the environment.
Simple, accurate pesticide and pesticide
degradation product detection methods are needed
for individual homeowner use.
Technologies and methods are needed for detecting
pesticide residues on food and plant surfaces in the
field.
Technologies and methods are needed that allow
consumers to check produce for the presence of
pesticides and pesticide residues on fruit and
vegetables at the point of purchase. This would
allow consumers to make an informed decision
before buying agricultural products that may
contain pesticide chemicals.
Technologies and methods are needed for
evaluating the effects of chemical mixtures. For
example, alachlor, atrazine, and aldicarb show little
individual toxicity in concentrations currently
observed in the environment. When multiple
pesticides are present, the toxicity of the mixture
may be significantly greater. Currently, regulatory
decisions are made based on single compounds and
additive or synergistic effects are not considered.
New technologies and methods are needed for
mixtures.
New test systems are needed for evaluating
hormonal disruption potential for new and existing
pesticides and pesticide degradation products in
non-mammalian species. Under the FQPA, EPA is
required to establish an endocrine disruption
screening and testing program for pesticides. New
technologies and better tests are needed for non-
mammalian species (i.e., fish, amphibians, and
reptiles).
Technologies and in situ methods are needed for
monitoring lethal and sub-lethal effects of
pesticides and pesticide residues on birds, fish, and
other organisms. For example, it is difficult to
determine if a pesticide application has had an
effect on local bird populations. A method for
detecting bird kills would allow better evaluation
of environmental risks of a pesticide.
X. SUBMISSION FORMS
AND CERTIFICATIONS
The attached forms, Appendix A - Proposal Cover
Sheet, Appendix B - Project Summary, and Appendix C -
SBIR Proposal Summary Budget, should be downloaded
and printed from the Internet or photocopied, and com-
pleted as indicated under Section IV, Proposal Preparation
Instructions and Requirements. The purpose of these forms
is to meet the mandate of law or regulation and simplify
the submission of proposals.
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EPA Small Business Innovation Research Phase I FY02 Program Solicitation No. PR-NC-01-11782
34
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
PROPOSAL TITLE:
Appendix A: Proposal Cover Sheet
U.S. Environmental Protection Agency,
SMALL BUSINESS INNOVATION RESEARCH PHASE I
SOLICITATION NO. PR-NC-01-11782
FIRM NAME:
MAJGLINGADDRESS:
CITY:
AMOUNT REQUESTED:$
(Not to Exceed $70,000)
**********proposals
TOPIC (check one)
STATE:
PROPOSED DURATION (PHASE I): 6 MOS
ZIP:
in reSp0nse to this solicitation wiU be valid for 300 days*******
_ A. Nanomaterials and Clean Technology
B. Control and Monitoring of Mobile Source Emissions
C. Prevention and Control of Air Pollution
D. Treatment and Monitoring of Drinking Water
E. Wastewater Treatment and Stormwater Management
F. Hazardous Waste Management and Site Remediation
G. Recycling of Municipal and Industrial Solid Waste
H. Monitoring and Measurement Technologies
CERTIFICATIONS AND AUTHORIZATIONS: Answer Y(Yes) orN(No)
l.The above concern certifies that it is a small business concern and meets the definition as stated in the program so-
licitation.
2. The above concern certifies that a minimum of 2/3 of the research and/or analytical effort will be performed by the
proposing firm.
3.If the proposal does not result in an award, is the Government permitted to disclose the tide and technical abstract
page of your proposed project, and the name, address, and telephone number of the official of the proposing firm to
any inquiring parties?
.4. The above concern certifies that it is a woman owned small business concern and meets the definition as stated in
the program solicitation. *
5.The above concern certifies that it is a socially and economically disadvantaged small business concern and meets
the definition as stated in the program solicitation.*
6.Do you plan to send, or have you sent, this proposal or a similar one to any other federal agency? If yes, which? Use
acronym(s) for each agency, (e.g., DOD, NIH, DOE, NASA, etc.)
7. Choose one of the following to describe your Organization Type:
Individual Partnership Corporation LLC
8.Provide the following information: Tax Identification No:_
Dun & Bradstreet Number: Common Parent Name:
* For information purposes only.
Authorized Negotiator:
Print Name:
Title:
Telephone:
Fax:
E-mail:
Signature: _
Date:
ENDORSEMENTS
Person Authorized to Sign Proposal:
_ Print Name:
_ Title:
Telephone:
Fax:
E-mail:
Signature: _
Date:
PROPRIETARY NOTICE: For any other purpose than to evaluate the proposal, this data shall not be disclosed outside the Government and shall not be duplicated, used or
disclosed m whole or in part, provided that if a funding agreement is awarded to this offerer as a result of or in connection with the submission of this data the Government
shall have the right to duplicate, use or disclose the data to the extent provided in the funding agreement. This restriction does not limit the Government's right to use infor-
mation contained in the data if it is obtained from another source without restriction. The data in this proposal subject to this restriction is contained on oaees of
this proposal.
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
Appendix B: SBIR Project Summary
U.S. ENVIRONMENTAL PROTECTION AGENCY
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
SOLICITATION NUMBER PR-NC-01-11782
PHASE I-FY 2002
PROJECT SUMMARY (Limit to One Page)
FIRM NAME, ADDRESS, TELEPHONE AND FAX NUMBER, AND E- MAIL ADDRESS:
Finn Name:,
Address:
Telephone:
Fax:
E-mail:
TITLE OF PROPOSAL:
TOPIC LETTER AND DESCRIPTION:
NAME AND TITLE OF PRINCIPAL INVESTIGATOR/PROJECT MANAGER:
TECHNICAL ABSTRACT, RESULTS, AND POTENTIAL COMMERCIAL APPLICATION
(Limit to 400 Words; Must be Publishable):
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EPA. Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
Appendix C: SBIR Proposal Summary Budget
(See Instructions on Reverse Side)
Organization and Address
A. DIRECT LABOR (PI and other staff, list separately) Hours/Est. Rate:
B. OVERHEAD:
$
C. OTHER DIRECT COSTS: Gist separately)
$
D. TRAVEL: List purpose and individuals and or title
$
E. CONSULTANTS: (List Est. Rate and Hours)
$
F. GENERAL AND ADMENISTRATTVE:
$
TOTAL COSTS (Total of A thru F above)
G. PROFIT ( %) Not to exceed 10% of total project costs
TOTAL PROJECT PRICE (Total costs + Profit)
PRINT NAME: TITLE:
$
$
$
SIGNATURE: DATE SUBMITTED:
This proposal is submitted in response to EPA SBIR Program Solicitation No. PR-NC-01-11782 and reflects our best esti-
mate as of this date.
37
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
Instructions For Appendix C
The purpose of this form is to provide a vehicle whereby the offerer submits to the Government a pricing proposal of
estimated costs with detailed information for each cost element, consistent with the offerer's cost accounting system.
If the completed summary is not self-explanatory and/or does not fully document and justify the amounts requested in
each category, such documentation should be contained, as appropriate, on a budget explanation page immediately follow-
ing the budget in the proposal. The form Appendix C will count as one page in the 25 page limit, and any budget explana-
tion pages included will count separately toward the 25 page limit. (See below for discussion on various categories.)
A. Direct Labor - List individually all personnel included, the estimated hours to be expended, and the rates of pay (sal-
ary, wages, and fringe benefits).
B. Overhead - Specify current rate(s) and base(s). Use current rate(s) negotiated with the cognizant federal negotiating
agency, if available. If no rate(s) has (have) been negotiated, a reasonable rate(s) may be requested for Phase I, which
will be subject to approval by EPA. Offerers may use whatever number and types of overhead rates that are in accor-
dance with their accounting systems and approved by the cognizant federal negotiating agency, if available.
C. Other Direct Costs - List all other direct costs that are not otherwise included in the categories described above, i.e.,
computer services, publication costs, subcontracts, etc. List each item of permanent equipment to be purchased, its
price, and explain its relation to the project.
D. Travel - Address the type and extent of travel and its relation to the project.
E. Consultants - Indicate name, daily compensation, and estimated days of service.
F. General and Administrative (G&A) - Same as B. Above.
G. Profit - Reasonable fee (estimated profit) will be considered under this solicitation. For guidance purposes, the
amount of profit normally should not exceed 10% of total project costs.
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EPA Small Business'Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
Appendix D: Scientific and Technical Information Sources
State-of-the-art information, including service and cost details, useful in preparing SBIR proposals or in guiding re-
search efforts may be obtained from the following sources:
National Technical Information Service (NTIS)
5288 Port Royal Road
Springfield, VA 22161
(513) 569-7562
EPA Headquarters Library (3404)
U.S. Environmental Protection Agency
401 M Street, SW
Washington, DC 20460
(202) 260-5922
The Hazardous Waste Collection and Database are available for use in the EPA Headquarters Library, the 10 EPA Re-
gional libraries, EPA laboratories in Ada, OK; Edison, NJ; Las Vegas, NV; Research Triangle Park, NC, and the National
Enforcement Investigations Center in Denver, CO. The Database runs on an IBM AT/XT or compatible equipment and may
be purchased from NTIS using the NTIS order number PB 87-945000.
The Environmental Quality Instructional Resources Center
1200 Chambers Road, R.310
Columbus, OH 43212
(614) 292-6717
[Especially related to Drinking Water and Wastewater Treatment] '
National Small Hows Clearinghouse (SWICH)
P.O. Box 7219 . . , .
Silver Spring, MD 20910
1-800-677-9424 . .
[Topic themes include source reduction, recycling, composting, waste combustion, collection, transfer, disposal, landfill
gas, and special wastes.]
ACCESS EPA (#055-000-005.09-5) 1995 Edition
A consolidated guide to EPA information resources, services, and products. It provides access to:
Public information tools
Major EPA dockets
Clearinghouses and hotlines
Records management programs
Major EPA environmental databases
Library and information services
State environmental libraries
"ACCESS EPA" may be ordered at a cost of $16.00 each from the U.S. Government Printing Office, New Orders, Super-
intendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954, or telephone (202) 512-1800, or from NTIS using
order number PB-147438.
Vendor Information System for Innovative Treatment Technologies (VISITT) Profiles 325 innovative technologies
available from 204 vendors to treat groundwater in situ, soil, sludges, and sediments. Includes technologies in all stages of
developmentbench, pilot, or full. VISITT is available at no charge on diskettes compatible with personal computers us-
ing DOS operating systems. To order VISITT diskettes and user manual, and to become a registered user, call the VISITT
Hotline at 1-800-245-4505.
ENVIROSENSE
Internet: http://www.epa.gov/envrrosense
ENVIROSENSE includes numerous databases and addresses industry and small business needs by establishing spe-
cific compliance assistance, pollution prevention, regulatory, and specific industry sector (SIC) data sets.
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
Appendix E: Commercialization Fact Sheet
(Finding Commercial Products; Conducting a Patent Search; Searching for Federal Research;
Standards'/Certifying Bodies)
FINDING COMMERCIAL PRODUCTS
The technology you are proposing may already be available in the market. There are five Web searches recommended
as the minimum for determining if the technology is commercially available. In each case when you are having trouble,
look for the FAQs (Frequently Asked Questions) or other advice on searching.
Web Search Using General Search Engines
There are around 320 million indexed Web pages and the Web continues to grow exponentially. One problem with
this rate of growth is that no single Web search engine is capable of indexing the whole of cyberspace. We recommend us-
ing at least one meta-engine and two search engines.
A meta-engine is a search engine that searches other engines which actually catalog or index sites. Examples are
Metacrawler, http://www.metacrawler.com/. and Dogpile, http://www.dogpile.com. We use that search to identify which
search engines seem to be producing the best results and then use those engines for more complicated queries that cannot
be supported by metacrawler and other meta-engines.
Two engines for more detailed searches at present are Hotbot's More Options page (http://www.hotbot.com/
defaultasp?MT=&SM=MC&DV=7&RG=.com&act.super=+More+Options+&DC=10&DE=2& v=2&OPs=MDRTP) and
Alta Vista's Advanced Query Page (http://www.altavista.digital.com/cgi-bin/query?pg=aq). Both engines allow you to
search newgroups (Usenet) as well as the Web. Hotbot has the largest number of pages indexed by any Web browser as of
this Solicitation. Alta Vista has the next most extensive coverage. Unfortunately, queries are constrained to the options
presented. Alta Vista supports any Boolean query you can design. Both sites have a search by subject feature that provides
another path to sites of interest. Because Digital Equipment Corporation, which maintains Alta Vista, is a high-tech com-
pany, this engine has traditionally been strong on indexing science and technology sites.
When searching, expand or narrow your keywords over time. For example, when searching for "sapphire liquid crystal
displays," you may want to broaden to liquid crystal displays or just displays. Also, remember to use abbreviations such as
LCD.
Thomas Register of American Manufacturers: Long a staple of corporate buyers and market researchers, you can ac-
cess Thomas Register online for free at http://www.thomasregister.com/. Once you obtain your free membership, you can
search the 155,000 companies by product. You may have to try a few different keywords to get hits.
Hoovers: Hoovers online at http://www.hoovers.com provides access to profiles on over 12,000 companies. These are
the major firms in America, including subsidiaries of foreign operations. By using the keyword search, you can look for
companies making products in areas related to your technology. Hoovers provides hypertext links to go to the company's
Web page. Phone, fax, and street address also are provided. If you cannot find the information on the Web, ask for relevant
product literature from their marketing departments.
Press Releases: PR Newswire (http://www.prnewswire.com/) redistributes corporate press releases. It provides cover-
age of newly released products that might not otherwise be found on the Web.
Patents: We discuss patent searches in the next section of this fact sheet. Look for patents related to your technology;
then examine the assignee field. Companies licensing or patenting technology in areas related to your technology are com-
petitors that may be introducing products similar to the one you are considering proposing. Search for their Web pages
using one of the resources above.
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
CONDUCTING A PATENT SEARCH
What is a patent? A patent is a right to an invention that is granted by the U.S. Government or a foreign government.
It gives the holder an exclusive right to use an invention during a period of time. In the United States, .before a patent can
be issued, the inventor must demonstrate his or her invention is new and non-obvious. To be new, an invention must not
have been known nor made by others in the United States. The invention also cannot have been previously patented or
presented in a publication prior to the claimed date on which the invention was made. Patents are handled by the U.S.
Patent Office.
Non-obvious is established with reference to what would be obvious to a person of ordinary skill in the relevant tech-
nology (or technologies) at the time of the invention. A general rule is that the more complicated the technology and the
greater the rate at which it is developing, the higher the skill-level of that hypothetical ordinary person. Non-obvious is
determined by examining prior patents, technical publications, and non-secret work being conducted. Usually some aspect
of an invention will be non-obvious and thus capable of being patented.
It is important to recognize that different rules apply in different countries. In the United States, you have 1 year from
the time of first disclosure, use, publication, or sale of an invention to patent the invention. Where more than one person or
group makes a claim to be the inventor, the patent goes to the person or group that can demonstrate priority in time. Over-
seas, the rules are different. Usually the invention must be patented before any public disclosure, use, publication, or sale.
In case of a dispute, priority goes to the first person or group to apply for a patent, regardless of who may actually be the
inventor. You can, however, get the same overseas priority rights you would get from simultaneously filing overseas and in
the United States if you file in each relevant country within 12 months of a U-S. patent application.
How to search for U.S. patents: There are two free Web sites useful for searching for U.S. patents: the U.S. Patent Of-
fice and Delphion's Patent Server. To search the Patent Office go to http://patents.uspto.gov/index.html. The Delphion
server is at http://www.delphion.com/. >
The Boolean search capability of the Patent Office enables constructing complicated searches to narrow in on patents
of interest. It allows two terms Booleans in the first search, with more complicated queries when refining a search. You can
search specific sets of years or the entire database. The advanced search gives you the, ability to look in any or all of the
fields in the patent a very nice feature. Coverage includes all patents issued no later than one week earlier. It includes all
utility, design, and plant patents since 1976. Claims and pictures are not included. (See below, Reading Patents.)
The IBM Patent server contains over 2 million patents. Where drawings are part of the patent, they have been scanned
in and can be viewed. Off the home page, you have the option of searching from 1995 to present or 1971 to present.
Hypertext links on the home page let you search by patent number, use Boolean Logic, or do a text search in various sec-
tions of the patent. Try to be as targeted as possible hi your search terms. For example, "environmental monitor" will return
42 patents issued in 1995 or later on IBM's server. "Mercury monitor," by comparison, returns only three.
Reading Patents: Once you have found a patent that looks relevant for your interests, examine the abstract and the
claims. The abstract provides an overview of what is covered. The claims give you the specific scope of the patent.
, There are three paths for finding other patents of interest, once you have found the first one. The first method is to
look at the class (or classes) of the patent. You can find patents addressing similar problems by looking in those classes. To
fine tune the classes to use, look at a number of relevant patents. Examine the classes that are listed on the patent. Select
those classes that most frequently appear across your sample of patents for further examination.
The second method is to look at the patents cited as references. The final method is to look at patents that reference
the one you are examining. By searching text, relevant classes, and patents referred to or referencing relevant patents you
can quickly determine if a U.S. patent has been issued on a technology of interest. CAUTION: Examining U.S. patents does
not assure you the technology has not been patented elsewhere. Further, if the patent is only applied for and has not yet
been issued, you will not find it.
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
SEARCHING FOR FEDERAL RESEARCH
There are two sets of publicly available data on Federal Research. FEDRIP, or Federal Research in Progress, provides
access to current civilian agency research. FEDRIP includes:
Department of Agriculture (USDA)
Department of Energy (DOE) .
Department of Veterans Affairs (VA)
Environmental Protection Agency (EPA)
Federal Highway Administration (FHA)
National Institutes of Health (Nffl)
National Aeronautics and Space Administration (NASA)
National Science Foundation (NSF)
U.S. Geological Survey (USGS)
National Institute of Standards and Technology (NIST)
Nuclear Regulatory Commission (NRC)
Small Business Innovation Research (SBIR)
Parts of FEDRIP may be searched for free at The Community of Science, http://fundedresearch.cos.com/. Separate
databases exist for the National Institutes of Health, NSF, USDA, and the SBIR programwhich means you must do mul-
tiple searches. You also can search projects of the Medical Research Council of the United Kingdom. To search all of
FEDRIP, go to hrtp://grc.nris.gov/fedrip.htm. There is a $350 fee.
In addition, by going to an agency's Web site, you can find information on their current and/or past awards. The Na-
tional Technical Information Service (NTIS) is the designated repository of research reports. It contains technical reports
and other government-produced information products. The free access parts may be searched at http://www.ntis.gov/. For
the fee-based access, see http://stinet.dtic.mil/.
DoD material can be searched through the Defense Technical Information Center (DTIC). Public access searching is at
http://stinet.dtic.mil/.
Perhaps the best comprehensive resource for searching is the RAND's RaDiUS at http://www.rand.org/radius/.
RaDiUS, stands for "Research and Development in the United States." It is the first comprehensive database that tracks in
real-time the research and development activities and resources of the U.S. Government. Among its sources are the follow-
ing: the Catalog of Federal Domestic Assistance (CFDA); USDA's Current Research Information System (CRIS); HHS's
Computer Retrieval of Information on Scientific Projects (CRISP) and Information for Management, Planning, Analysis,
and Coordination (IMPAC) systems; DoD's R-l and R-2 Budget Exhibits and Work Unit Information Summaries (WUIS);
DOE's laboratory information system; the Federal Assistance Awards Data System (FAADS); the Federal Procurement Data
System (FPDS); OMB's MAX system; DVA's R&D Information System (RDIS); NSF's Science and Technology System
(STIS); and NASA's 507 System.
word.
You must be a Government Contractor to subscribe to RaDiUS. The small business fee is $1,000 per year per pass-
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
STANDARDS AND CERTIFYING BODIES
If you are going to introduce a commercial product, it most likely will have to meet certain standards and be certified
as meeting those standards. For example, we all are familiar with the Underwriter Laboratories (UL) seal found on house-
hold electrical productsa certification of safety under normal use.
A wide range of bodies creates standards or certifies products. To find relevant standards, we recommend beginning at
the American National Standards Institute's "Internet Resources for Standards Developers," located at: http://web.ansi.org/
public/library/internet/resources.html. The site provides links to U.S. bodies developing standards.
If you are anticipating overseas sales, be aware that you will need to identify relevant foreign and international stan-
dards. The place to begin is the International Organization for Standardization. Their list of links to standards bodies is at
http://www.iso.ch/addre.html.
In the United States, private sector laboratories, like UL commonly do certification. These organizations rely on stan-
dards developed by consensus bodies such as the American Society for Testing and Materials (http://www.astm.orgA or
federal agencies such as EPA. ASTM maintains an International Directory of Testing Laboratories at: http://www.astm.org/
labs/index.html. The Directory can be searched by geographic location, laboratory name, subject area, or keywords.
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EPA Small Business Innovation Research Phase I FY01 Program Solicitation No. PR-NC-01-11782
IMPORTANT!!
IF YOU WISH TO RECEIVE AN ACKNOWLEDGMENT CARD TO CONFIRM RECEIPT OF YOUR PROPOSAL, PLEASE
COMPLETE A STANDARD SELF-ADDRESSED POSTCARD CONTAINING THE FOLLOWING INFORMATION AND
ATTACH TO THE ORIGINAL OF EACH PROPOSAL:
Please type the following and fill in the blanks as appropriate:
This will acknowledge the receipt of your proposal titled:
Topic Letter . The evaluation of proposals and the award of SBIR Contracts will require approximately 10 months,
and no information on proposal status will be available until final selection(s) is made. Your proposal has been assigned
EPA No. (to be filled in by EPA).
Date:
REVERSE SIDE: Please type the following in the upper left-hand corner (return address) and self-address the card to your
corporate official. (Post cards that do not meet not postal service standards will not be returned.)
U.S.EPA
CONTRACTS MANAGEMENT DIVISION (MD-33)
RESEARCH TRIANGLE PARK, NC 27711
OFFICIAL BUSINESS
PENALTY FOR PRIVATE USE $300
YOUR FIRM NAME
ADDRESS
CITY, STATE, ZIP CODE
44
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