United States
Environmental Protection
Agency
Office of Research and
Development
Washington, DC 20460
EPA/600/F-98/019
September 1998
www.epa.gov/ncerqa
&EPA SMALL BUSINESS
INNOVATION RESEARCH
PHASE I
Program Solicitation No. PR-NC-98-12211
ISSUE DATE: September 17,1998
CLOSING DATE: November 19,1998*
* CAUTION - See Seccion V. Paragraph J(9)(c). Instructions to
Offerers, Concerning Late Proposals and Modifications.
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Table of Contents
I. Program Description 1
H. Definitions 3
ID. Proposal Preparation Instructions and Requirements 4
IV. Method of Selection and Evaluation Criteria 7
V. Considerations 8
VI. Submission of Proposals 15
VII. Scientific and Technical Information Sources 15
Yin. Research Topics 15
A. Drinking Water Treatment 16
B. Municipal Wastewater Treatment, Septage and Biosolids Management 17
C. Industrial Wastewater Treatment Including Mining and Feedlots 17
D. Stormwater Management and Wet Weather Pollution Control 18
E. Rehabilitation of Urban Infrastructure Systems 18
F. Prevention and Control of Indoor Air Pollution 19
G. Prevention and Control of NOi? VOCs, SO2, Particulates and Toxic Air Emissions 19
H. Recycling of Municipal Solid Waste 20
I. Treatment, Recycling, and Disposal of Hazardous and Non-Hazardous Solid Wastes
and Sediments 20
J. In Situ Site Remediation of Organically Contaminated Soil, Sediments and Ground Water 21
K. Treatment or Removal of Heavy Metals at Contaminated Sites 22
L. Pollution Prevention and Clean Technologies 22
M. Advanced Monitoring and Analytical Technologies 24
N. New Technologies and Alternatives for Ozone Depleting Compounds 26
O. Global Climate Change: Prevention and Control of Greenhouse Gas (GHG) Emissions 26
IX. Submission Forms and Certifications... ....—......—. ..................................—........................ 27
APPENDICES
Appendix A: Proposal Cover Sheet 28
Appendix B: Project Summary 30
Appendix C: SBIR Proposal Summary Budget 31
Appendix D: Scientific and Technical Information Services 33
Appendix E: Use of EPA Laboratory Facilities 35
Appendix F: Commercialization Factsheet/Patent Search 37
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EPA Small Business Innovation Research Phase I FY99 Piogram Solicitation No. PR-NC-98-1221 I
EPA Small Business
Innovation Research
Phase I
Solicitation No. PR-NC-98-1221 1
CLOSING DATE: November 19, 1998 *
* CAUTION - See Section V, Paragraph J(9)(c),
Instructions to Offerors, Concerning Late Proposals
and Modifications.
I. PROGRAM DESCRIIIION
A. The Environmental Protection Agency (EPA)
invites small business firms to submit research proposals
under this program solicitation entitled “Small Business
Innovation Research (SBIR) Program.” The SBIR program
is a phased process uniform throughout the Federal
Government of soliciting proposals and awarding funding
agreements for research (R) or research and development
(R&D) to meet stated agency needs or missions.
B. EPA is interested in research on advanced
concepts in scientific and engineering areas, particularly
where the research may serve as a base for technological
innovation. The proposed research must address a single
research topic of the solicitation or an important segment of
a research topic. Only proposals addressing a single
research topic, and so indicated on the cover sheet, will be
reviewed. Multiple proposals from the same offeror
addressing different topics are acceptable if they are not
duplicates of the same research principle modified to fit the
topics. If such duplicates are submitted, only one will be
reviewed. Refer to Sections ifi, IV, and Vifi for additional
requirements.
The same proposal may not be submitted under more
than one topic. However, an organization may submit
separate proposals on different topics or different proposals
on the same topic under this solicitation. Where similar
research is discussed under more than one topic, the offeror
should choose the topic whose description appears more
relevant to the proposer’s research concept. Offerors may
respond to any of the topics or to specific subtopics within
them. Research may be carried through the construction
and evaluation of a laboratory prototype.
To reiterate, any proposal addressing more than one
research topic, failing to identify the research topic by letter
symbol (see Pages 15-27, Section Vifi) on the cover page,
or is a duplicate of the same research principle modified to
fit a topic, will not be reviewed at all.
This solicitation is for Phase I only.
To stimulate and foster technological innovation,
including increasing private sector applications of Federal
research or R&D, the EPA’s program will follow the SBIR
program’s uniform process of three phases:
1. PHASE I. Phase I involves a solicitation of proposals
to conduct feasibility related experimental research or R&D
related to described agency requirements. The objective of
this phase is to detennine the technical feasibility and
preliminary commercialization potential of the proposed
effort and the quality of performance of the small concern
with a relatively small agency investment before consider-
ation of further Federal support in Phase II.
2. PHASE II. Phase II proposals may only be submitted
by Phase I award winners within the same agency. Phase
H is the principal research or R&D effort and should not
normally 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 II proposal. The
objective is to continue the research or R&D initiated
under Phase I and work toward commercialization of the
technology. Phase II proposals can only be submitted to
the Federal participating agency that awarded Phase I of
the effort. Phase II 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 III. 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 10-20 Phase II
awards with a dollar amount of $225,000 each will be
made. For Phase II, the Agency is planning to offer a Phase
H Option under which Phase II offerors may submit a
proposal for $70,000 additional funding to expand R&D
efforts 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
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EPA Small Business Innovaton Research Phase I FY99 Pn)gram Solicitation No. PR-NC .98-1221 I
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 option
after EPA’s acceptance of the company’s detailed commer-
cialization plan, including information on any commercial-
ization funding from third party investors, such as another
company, venture capital firm or “angel” investor. The
Government is not obligated to fund any specific Phase II
proposal.
It is anticipated that the next Phase II Solicitation will
be issued on/about March 4, 1999, and that proposals will
be due on/about April 15, 1999. It is expected that each
Phase 11 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.
C A
1. The scientific and technical significance of the
proposed technology and its relevance to the Agency
research topic. Quality and soundness of the research
plan to establish the technical and commercial
feasibility of the concept
2. The uniqueness/ingenuity of the proposed concept
or application as technological innovation. Originality
and soundness of the research plan to establish the
technical and commercial feasibility of the concept.
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. lime commitment of
principal/key investigator and adequacy of equipment
and facilities to accomplish the proposed research.
Adequacy of Phase B Quality Assurance Summary.
5. Potential of the proposed concept for significant
commercinli mtion applications. Quality and ad-
equacy of the cemmerci li tion plan to produce an
innovative product, process or device and getting it
into commercial production and sales. Expected
market and competition and other financial/business
indicators of commercialization potential and the
offeror’s SBIR or other research commercialization
record.
3. PHASE ifi. Where appropriate and needed in order to
complete the research and development, there may be a
third phase which is funded by:
a. Non-Federal sources of capital for commercial
applications of SBIR funded research or research and
development,
b. The Federal Government by follow-on non-SBIR
awards for SBIR derived products and processes for
use by the Federal Government,
c. Non-SBIR Federal sources for the continuation of
research or research and development that has been
competitively selected using peer review or scientific
review criteria.
C. ELIGIBILITY
Each concern 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 concern at
the time of award and during the conduct of the proposed
research. Principal investigators who appear to be em-
ployed 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. By the same token, a principal
investigator who appears to be a staff member of both the
applicant/offeror organization and another employer must
submit a letter from the second employer stating that, if
awarded an SBIR contract, helshe will become a
less-than-half-time employee of such organization. Also,
for both Phase I and Phase U, the research or R&D work
must be performed in the United States. “United Stales”
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 Colum-
bia.
D. All inquiries concerning this solicitation shall
be submitted to the following E-mail address:
pee1e.kathryn@ep2nII epa.gov
If E-mail is not available to you, written or telephone
inquiries may be directed to:
ICathzyn PeeIeISBIR-I
U.S. Environmental Protection Agency
Contracts Management Division (MD-33)
Research Thangle Park, NC 27711
(919) 541-5293
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
Potential offerors are encouraged to communicate via
E-mail.
II. DEFINITIONS
For purposes of this solicitation, the following
definitions apply:
Research or Research and Development: Any
activity 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, development, 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 time 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 proposing, 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
submitted).
(3) Has, including its affiliates, a number of employees
not exceeding 500, and meets the other regulatory
requirements found in 13 CFR Part 121. Business
concerns, other than investment companies licensed,
or state development companies qualifying under the
Small Business Investment Act of 1958, 15 U.S.C.
661, et. seq., are affiliates of one another when either
directly or indirectly:
(A) one concern controls or has the power to control
the other; or
(B) a third party or parties controls or has the power
to control both.
Control can be exercised through common ownership,
common management, and contractual relationships. The
term “affiliates” is defined in greater detail in 13 CFR 121.
The tenn “number of employees” is defined in 13 CFR
121. Business concerns include, but are not limited to, any
individual, partnership, corporation, joint venture, associa-
tion 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
socially and economically disadvantaged
individuals’also ; and
(2) Whose management and daily business operations are
controlled by one or more socially and economically
disadvantaged individuals.
Socially and Economically Disadvantaged mdi-
vidual: A member of any of the following groups:
(1) BlackAmericans;
(2) Hispanic Americans;
(3) Native Americans;
(4) Asian-Pacific Americans;
(5) Subcontinent Asian Americans;
(6) Other groups designated from time to time by SBA to
be socially disadvantaged; or
(7) Any other individual found to be socially and
economically disadvantaged by SBA pursuant to
section 8(a) of the Small Business Act, 15 U.S.C.
637(a).
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EPA Small Business Innovation keseaseh Phase I FY99 Pmgram Solicitation No. PR-NC-98 -lflI 1
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 in 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
possessions of the United States, the Commonwealth of
Puerto Rico, the Trust Territory of the Pacific Islands, and
the District 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.
ifi. PROPOSAL PREPARATION
INSTRUCTIONS AND
QU EMENTS
A. Proposals submitted in response to this Phase I
of the SBIR program shall not exceed a total of 25 pages,
one side only. including cover page, budget and all enclo-
sures or attachments. Pages should be of standard size
(8 Ui” xli”; 21.6cmx2l.9cm)with2.5cmmargins and
type no smaller than 10 point font size. No additional
attachments, appendices or references beyond the 25-page
limitation shall be submitted. Proposals in excess of the 25-
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 photocopy (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, the appendi-
ces may print on more than one page, but will only count as
one page per Appendix. Offerors may reformat the forms to
correct spacing and pagination errors, however, identical
information must be provided.
All pages must be consecutively numbered. 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 offeror shall complete Appendix B as page 2 of
each proposal. The technical abstract should include a brief
description of the problem or opportunity, the innovation,
project objectives, anddescription of the effort. In sumina-
rizing anticipated results, the implications of the approach
(for both Phases I and II) and the potential commercial
applications of the research shall be stated. The project
summary of successful proposals will be published 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
opportunity addressed.
2. PHASE I TECHNICAL OBJECTIVES. State
the specific objectives of the Phase I research and
development 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 should
also 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.
Offerors must demonstrate their awareness of key
recent research or R&D conducted by others in the
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EPA Small Business Innovation Research Phase I FY99 Piograin Solicitation No. PR-NC-98-1221 I
specific topic area by providing appropriate refer-
ences from the literature and other published docu-
ments.
S. KEY PERSONNEL AND BIBLIOGRAPHY
OF DIRECTLY RELATED WORK. Identify key
personnel 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
proposal size limitations.
6. RELATIONSHIP WITH FUTURE RE-
SEARCH OR RESEARCH AND DEVELOP-
MENt
a. State the anticipated results of the proposed
approach if the project is successful (Phases I and
II). A discussion of cost-effectiveness is para-
mount, especially comparing the state-of-the-an
approaches with the proposed approach.
b. Discuss the significance of the Phase I effort in
providing a foundation for Phase II R/R&D effort.
7. FACILITIES. A detailed description, availability
and location of instrumentation and physical facilities
proposed for Phase I should be provided.
& 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 detailed
Phase II Commercialization Plan that will be required
as part of the Phase II Application.
NOTE: The small Business Research and Devel-
opment Enhancement Act of 1992 allows discre-
tionary 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 II, the law allows
each awardee to expend up to $4,000 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 Ito decide on applications, markets, produc-
tion and financing. The Commercialization Plan should
address:
a. SBIR Project: Brief description of the company,
its principal field(s) of interest, size and current
products and sales. A concise description of the
SBIR project and its key technical objectives.
b. Commercial Applications: Potential commercial
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
patents 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
reduced 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 factsheet on
how to search for patents and related Federally-
funded work is provided in Appendix F.) 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
comparing your anticipated performance with
potentially competing technology and products.
However, other expressions of end-user needs may
also contain important criteria. A factsheet on how
to identify potentially substitutable products and
to locate relevant regulations, standards, certifica-
tion requirements and expressions of end-user
need is in Appendix F.)
d. Markets: What are the anticipated specific
markets for the resulting technology, their esti-
mated size, classes of customers, and your
estimated market share 5 years after the project is
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EPA Small Business Innovation Research Ftiase 1 FY99 Pn,gsam Solicitation No. PR-NC-98- 1221 1
completed and/or first sales? Who are the major
competitors in the markets, present and/or
anticipated?
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
describe 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 PROPOSALS OR 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 research, 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 commercialization status.
Briefly describe the differences and relationships
between the proposed new Phase I research and prior
research activities. (This required proposal informa-
tion shall be counted toward proposal pages count
limitation.)
11. 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 title,
follow-on agreement amount, source and date of
commitment and current commercialization status for
each Phase II. (This required proposal information
shall not be counted toward proposal pages count
limitation.)
12. DUPLICATE OR EQUIVALENT SBIR
PROPOSALS. A finn may elect to submit essentially
equivalent work under other Federal Program
Solicitations. In these cases, a statement must be
included in each such proposal indicating: the name
and eddress 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 submitted or awards received; specific
applicable research topics for each proposal submit-
ted or award received; titles of research projects;
name and title of project manager or principal
investigator for each proposal submitted or award
received. (This information shall count toward
proposal pages count limitation.)
E COST BREAKDOWN!
PROPOSED BUDGET
Complete the budget form in Appendix C. Photocopy
the form for the required 6 copy submission. Incorporate
the copy of the budget form bearing the original signature
into the copy of the proposal bearing the original signature
on the cover page. This will count as one page in the 25-
page limit
E PHASE I QUALITY ASSURANCE
NARRATIVE STATEMENT
Offerors must state whether or not their proposal
involves technology-specific testing or environmentally
related measurements. This quality assurance narrative
statement should not ei ceed two pages and will be included
in the 25-page limitation for the proposal. It should address
the items below that apply to the proposed research.
I. The data collection activities to be performed or
hypothesis to be tested (reference may be made to the
specific page and paragraph number in the application
where this information may be found); acceptance
criteria for data quality (precision, accuracy, represen-
tativeness, completeness, comparability).
2. The study design including sample type and location
requirements and any statistical analyses that were
used to estimate the types and numbers of samples
required.
3. The procedures for the handling and custody of
samples, including sample identification, preserva-
tion, transportation, and storage.
4. The methods that will be used to analyze samples
collected, including a description of the sampling
and/or analytical instruments required.
5. The procedures that will be used in the calibration
and performance evaluation of the sampling and
analytical methods used during the project.
6. The procedures for data reduction and reporting,
including description of statistical analyses to be
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EPA Small Business innovation Research Phase I FY99 Program Solicitation No. !R:NCT98- 1221 1
7. The intended use of the data as they relate to the
study objectives or hypotheses.
8. The quantitative and/or qualitative procedures that
will be used to evaluate the success of the project.
9. 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 11. The plan will be required as part of
the first monthly report under the Phase II contract.
I V METHOD OF SELECTION AND
EVALUATION CRITERIA
A. All Phase I proposals will be evaluated and
judged on a competitive basis. Proposals will be initially
screened to determine responsiveness. As noted in Section
Ill, proposals exceeding the 25-page limitation will not be
considered for review or award. Also, as noted in Section
I.B., any proposal addressing more than one research topic,
or failing to identify the research 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 technical evaluation criteria described in B. 1
below. Each of the criteria are equal in value. These panels
will assign each proposal an adjectival rating of “excel-
lent”, “very good”, “good”, “fair” or “poor”, using the
specified criteria. The proposals assigned “excellent” and
“very good” ratings will then be subjected to a program-
matic review within EPA, to further evaluate these applica-
tions in relation to program priorities and balance using the
criteria specified in B.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 in
a given topic. It also may elect to fund several or none of
the proposed approaches to the same topic or subtopic.
B. TECHNICAL EVALUATION
CRITERIA
1. EXIERNAL PEER REVIEW. The external peer
review panels will utilize the following evaluation criteria
to rate each proposal. The criteria are of equal importance.
CRITERIA
a. The scientific and technical significance of the
proposed technology and its relevance to the
Agency 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 innovation.
Originality and innovativeness of the proposed
research toward meeting customer needs and
achieving commercialization of the technology.
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 investigator,
supporting staff and consultants. Time commit-
ment of principal/key investigator and adequacy of
equipment and facilities to accomplish the
proposed research. Adequacy and quality of the
Quality Assurance Narrative Statement.
e. Potential of the proposed concept for significant
commercial applications. Potential for the com-
mercialization plan to produce an innovative
product, process or device and getting it into
commercial production and sales. Potential market
and competition and other financial/business
indicators of commercialization potential and the
offeror’s SBIR or other research commercializa-
tion 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 offeror. A copy of both forms is available
upon request.
2. iNTERNAL EPA REVIEW The proposals that
received ratings of “Excellent” or “Very Good” by the
External Peer Review Panel, will be subject to an internal
evaluation by EPA program managers using the criteria to
select which of the “Excellent” and “Very Good” proposals
will be funded. Projects will not be funded where EPA
determines the proposed research is already being sup-
ported by EPA or another known source. The evaluation
criteria “a” through “d” are of equal value and will be used
to evaluate the applications in relation to program priorities
and balance.
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EPA Small Business Innovation Research Phase I FY99 Psegram Solicitation No. PR-NC.98-1221 I
CRITERIA
a. How the proposed study fits into EPA’s overall
research strategy or program within the Phase I
research topic.
b. Whether the study has the potential for significant
environmental benefits and for strengthening the
scientific basis for risk assessment/risk manage-
ment in the Agency research topic area.
c. How the proposed study meets Agency program
priorities and strengthens the overall program
balance.
d. Whether the results of the study will have broad
application or impact large segments of the
population.
C. RELEASE OF PROPOSAL
REVIEW INFORMATION
After final award decisions have been announced, the
technical evaluations of the proposer’s proposal may be
requested. The identity of the reviewer shall not be dis-
closed.
V CONSIDERATIONS
A. AWARDS
The Government anticipates award of approximately
30 firm-fixed-price contracts of up to $70,000 each
including profit. 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 consider-
ation 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
IV. B. 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
prt tposcd profit, is fair and reasonable and whether the
offerer understands the work and is capable of performing
the contract
This current solicitation is for Phase I only, and the
Government is not obligated to fund any specific Phase II
—.
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 payment
may arise until funds are made available to the Contracting
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 with
one (I) 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 statement of activities 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 subsequent
months of the project. The Monthly Report shall include, as
an attachment, a copy of the monthly voucher for the same
period.
2. Two 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 applications of the research in a final para-
graph. The balance of the report should indicate in detail
the research objectives, research work carried out, results
obtained, and estimates of technical feasibility. A copy of
the detailed commercialization plan developed during
Phase I should be included in the final report. The final
report will be required as part of the Phase II proposal
submitted in response to the Phase II solicitation.
3. Two hard copies (and one copy on a disk in WP6.l
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 submitted 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 commercializa-
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EPA Small Business Innovation Research Phase I FY99 Pngram Solicitation No. PR-NC-98-1221 I
tion. 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%) upon receipt and acceptance
of each of the first five monthly reports. The remainder
shall be paid upon receipt and acceptance of the final
report.
D. INNOVATIONS, INVENTIONS
AND PATENTS
1. LIMITED RIGHTS INFORMATION AND DMA
a. Proprietary Information
Information contained in unsuccessful proposals will
remain the property of the offeror. The Government may,
however, retain copies of all proposals. Public release of
information in any proposal submitted will be subject to
existing statutory and regulatory requirements.
If proprietary information is provided by an offeror in
a proposal which constitutes a trade secret, proprietary
commercial or financial information, confidential personal
information or data affecting the national security, it will be
treated in confidence to the extent permitted by law,
provided this information is clearly marked by the offeror
with the term “confidential proprietary information” and
provided the following legend appears on the title page of
the proposal:
“For any purpose other than to evaluate the proposal,
this data shall not be disclosed outside the Govern-
ment and shall not be duplicated, used, or disclosed in
whole or in part, provided that if a funding agreement
is awarded to this offeror as a result of or in connec-
tion 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 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 Govern-
ment and may constitute grounds for removing the pro-
posal from further consideration and without assuming any
liability for inadvertent disclosure.
b. Alternative to Minimize Proprietary Information
Offerors 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:
SBIR RIGHTS NOTICE (MAR 1994)
These SBIR data are furnished with SBIR rights
under Contract No.___________ (and subcontract
_________ 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 permission 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 Govern-
ment 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 repro-
ductions 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 security consider-
ations, 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
acknowledgment and disclaimer statement.
e. Patents
Small business concerns normally may retain the
principal worldwide patent rights to any invention devel-
oped with Governmental support. The Government receives
a royalty-free license for Federal Government use, reserves
the right to require the patent holder to license others in
certain circumstances, 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 Government will not
make public any information disclosing a Government-
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EPA Small Business Innovation Reseanth Phase 1 FY99 Program Solicitation No. PR-NC-98-12211
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 pulposes, 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,aminimum of two-thirds of the
research and/or analytical effort must be performed
by the proposing small business concern unless
otherwise approved in writing by the Contracting
Officer
2. For Phase H, a minimum of one-half of the
research and/or analytical effort must be performed
by the proposing small business concern unless
otherwise 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
agreements. The outline that follows is illustrative of the
types of clauses to which the Contractor would be commit-
ted. This list should not be understood to represent a
complete list of clauses to be included in Phase I funding
agreements, nor to be specific wording of such clauses.
Copies of complete terms and conditions are available upon
request.
1. STANDARDS OF WORK. Work performed under
the contract must conform to high professional
standards.
2. INSPECTION. Work performed under the contract
is subject to Government inspection and evaluation at
all times.
3. EXAMINATION OF RECORDS. The Comptroller
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.
4. DEFAULT. The Government may terminate the
contract.
5. TERMINATION FOR CONVENIENCE. The
contract may be terminated at any time by the
Government if it deems termination to be in its best
interest, in which case the Contractor will be compen-
sated for work performed and for reasonable termina-
tion costs.
6. DISPUTES. Any dispute concerning the funding
agreement that cannot be resolved by agreement shall
be decided by the Contracting Officer with right of
appeal.
7. CONTRACT WORK HOURS. The awardee may
not require an employee to work more than 8 hours a
day or 40 hours a week unless the employee is
compensated accordingly (e.g., overtime pay).
8. EQUAL OPPORFUNIT’ L The awardee will not
discriminate against any employee or applicant for
employment because of race, color, religion, sex, or
national origin.
9. AFFIRMATIVE ACTION FOR VETERANS. The
awardee will not discriminate against any employee
or application for employment because he or she is a
disabled veteran or veteran of the Vietnam era.
10. AFFIRMATIVE ACTION FOR HAND!-
CAPPED. The awardee will not discriminate against
any employee or applicant for employment because
he or she is physically or mentally handicapped.
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 1
11. OFFICIALS NOT TO BENEFIT. No Govern-
ment official shall benefit personally from the
contract.
12. COVENANT AGAINST CONTINGENT FEES.
No person or agency has been employed to solicit or
secure the contract upon an understanding for
compensation except bonaflde employees or commer-
cial agencies maintained by the Contractor for the
purpose of securing business.
13. GRAI1JI11ES. The contract may be terminated
by the Government if any gratuities have been offered
to any representative of the Government to secure the
contract.
14. PATENT AND COPYRIGHT INFRINGEMENT
The Contractor shall report each notice or claim of
patent or copyright infringement based on the
performance of the contract.
15. AMERICAN MADE EQUIPMENT AND
PRODUCTS. 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 offeror to submit certain
organizational, management, personnel, and financial
infonnation to assure responsibility of the offeror.
3. The Government is not responsible for any monies
expended by the offeror 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
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
proposals shall not be accepted under the SBIR
program in either Phase I or Phase II.
6. If an award is made pursuant to a proposal
submitted under this Program Solicitation, the
Contractor will be required to certify that he or she
has not previously been, nor is currently being, paid
for essentially equivalent work by any agency of the
Federal Government.
7. Notwithstanding the relatively broad definition of
R/R&D in Section II, 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 offeror
prior to the preparation of the proposal, or the
preparation of allied questionnaires and instruction
manuals, shall not be accepted. If such proposals are
submitted, they shall be considered as not in compli-
ance with the solicitation intent, and therefore,
technically unacceptable.
8. The requirement that the offeror designate a topic,
and only one topic, (see page 1, item I.B. above) is
also necessary. EPA receives hundreds of proposals
each year and has special teams of reviewers for
review 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 Offerors - Competitive Acquisition
(Oct 1997) FAR 52.215-1
(a) Definitions. As used in this provision, discussions
are negotiations that occur after establishment of the
competitive range that may, at the Contracting
Officer’s discretion, result in the offeror being
allowed to revise its proposal.
In writing or written means any worded or numbered
expression which can be read, reproduced, and later
communicated, and includes electronically transmit-
ted and stored information.
Proposal modification is a change made to a proposal
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
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EPA Small Business Innovation Reseaseb Phase I FY99 Program Solicitation No. PR-NC-98-I221 I
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 Saturday, Sunday,
or legal holiday, then the period shall include the next
working day.
(b) Amendments to solicitations. If this solicitation
is amended, all terms and conditions that are not
amended remain unchanged. Offerors shall acknowl-
edge 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 permitted in the
solicitation, proposals and modifications to
proposals shall be submitted in paper media in
sealed envelopes or packages
(i) addressed 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. Offerors using
commercial carriers should ensure that the
proposal is marked on the outermost wrapper
with the information in paragraphs (cXlXi)
and (cXlXii) 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
opposite each item;
(iv) Names, titles, and telephone and fac-
simile numbers (and electronic addresses if
available) of persons authorized to negotiate
on the offeror’s behalf with the Government in
connection with this solicitation; and
(v) Name, title, and signature of person
authorized 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) Late proposals and revisions.
• (i) Any proposal received at the office
designated in the solicitation after the exact
time specified for receipt of offers will not be
considered unless it is received before award is
made and
(A) It was sent by registered or certified
mail not later than the fifth calendar day
before the date specified for receipt of
offers (e.g., an offer submitted in response
to a solicitation requiring receipt of offers
by the 20th of the month must have been
mailed by the 15th);
(B) It was sent by mail (or telegram or
facsimile, if authorized) or hand-Carried
(including delivery by a commercial
carrier) if it is determined by the Govern-
ment that the late receipt was due primarily
to Government mishandling after receipt at
the Government installation;
(C) It was sent by U.S. Postal Service
Express Mail Next Day Service-Post Office
to Addressee, not later than 5:00 p.m. at the
place of mailing two working days prior to
the date specified for receipt of proposals.
The term “working days” excludes
weekends and U.S. Federal holidays;
(D) It was transmitted through an elec-
tronic commerce method authorized by the
solicitation and was received at the initial
point of entry to the Government infra-
stnicture not later than 5:00p.m. one
working day prior to the date specified for
receipt of proposals; or
(E) There is acceptable evidence to
establish that it was received at the activity
designated for receipt of offers and was
under the Government’s control prior to the
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No PR-NC-98-1221 1
time set for receipt of offers, and the
Contracting Officer determines that
accepting the late offer would not unduly
delay the procurement; or
(F) It is the only proposal received.
(ii) Any modification or revision of a proposal
or response to request for information,
including any final proposal revision, is
subject to the same conditions as in subpara-
graphs (c)(3)(I)(A) through (c)(3X 1)(E) of this
provision.
(iii) The only acceptable evidence to establish
the date of mailing of a late proposal or
modification or revision sent either by
registered or certified mail is the U.S. or
Canadian Postal Service postmark both on the
envelope or wrapper and on the original
receipt from the U.S. or Canadian Postal
Service. Both postmarks must show a legible
date or the proposal, response to a request for
information, or modification or revision shall
be processed as if mailed late. “Postmark”
means a printed, stamped, or otherwise placed
impression (exclusive of a postage meter
machine impression) that is readily identifi-
able without further action as having been
supplied and affixed by employees of the U.S.
or Canadian Postal Service on the date of
mailing. Therefore, offerors or respondents
should request the postal clerk to place a
legible hand cancellation bull’s eye postmark
on both the receipt and the envelope or
wrapper.
(iv) Acceptable evidence to establish the time
of receipt at the Government installation
includes the time/date stamp of that installa-
tion on the proposal wrapper, other documen-
tary evidence of receipt maintained by the
installation, or oral testimony or statements of
Government personnel.
(v) The only acceptable evidence to establish
the date of mailing of a late offer, modification
or revision, or withdrawal sent by Express
Mail Next Day Service-Post Office to Ad-
dressee is the date entered by the post office
receiving clerk on the “Express Mail Next Day
Service-Post Office to Addressee” label and
the postmark on both the envelope or wrapper
and on the original receipt from the U.S.
Postal Service. “Postmark” has the same
meaning as defined in paragraph (c)(3)(iii) of
this provision, excluding postmarks of the
Canadian Postal Service. Therefore, offerors
or respondents should request the postal clerk
to place a legible hand cancellation bull’s eye
postmark on both the receipt and the envelope
or wrapper.
(vi) Notwithstanding paragraph (c)(3)(I) of
this provision, a late modification or revision
of an otherwise successful proposal that makes
its terms more favorable to the Government
will be considered at any time it is received
and may be accepted.
(vii) Proposals may be withdrawn by written
notice or telegram (including mailgram)
received at any time before award. 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
entitled “Facsimile Proposals.” Proposals may
be withdrawn in person by an offeror or an
authorized representative, if the
representative’s identity is made known and
the representative signs a receipt for the
proposal before award.
(viii) 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 or other notice
of an extension of the closing date, the time
specified 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. If no time is specified in the
solicitation, the time for receipt is 4:30 p.m.,
local time, for the designated Government
office.
(4) Unless otherwise specified in the solicitation,
the offeror may propose to provide any item or
combination of items.
(5) Proposals submitted in response to this
solicitation shall be in English and in U.S. dollars,
unless otherwise permitted by the solicitation.
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EPA Small Business Innovation Reseaivh Ptiase I
(6) Offerors may submit modifications to their
proposals at any time before the solicitation
closing date and time, and may submit modifica-
tions in response to an amendment, or to correct a
mistake at any time before award.
(7) Offerors may submit revised proposals only if
requested or allowed by the Contracting Officer.
(8) Proposals may be withdrawn at any time
before 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 (unless a
different period is proposed by the offeror).
(e) Restriction on disclosure and use of data. Offerors
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
disclosed outside the Government and shall not be
duplicated, used, or disclosed—in whole or in
part—for any purpose other than to evaluate this
proposal. If, however, a contract is awarded to
this offeror as a result of—or in connection
with—the submission of this data, the Govern-
ment shall have the right to duplicate, use, or
disclose the data to the extent provided in the
resulting contract. 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 restriction 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
restriction 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) repre-
sents the best value after evaluation in accordance
with the factors and subfactors in the solicitation.
FY99 Pmgram Solicitation No. PR-NC-98-1221 I
(2) The Government may reject any or all
proposals 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
offerors (except clarifications as described in FAR
15.306(a)). Therefore, the offeror’s initial
proposal should contain the offeror’s best terms
from a cost or price and technical standpoint. The
Government reserves the right to conduct
discussions if the Contracting Officer later
determines them to be necessary. If the Contract-
ing Officer determines that the number of
proposals that would otherwise be in the competi-
tive 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 proposals.
(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 offeror specifies otherwise in the
proposal.
(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 offerors after receipt of a
proposal do not constitute a rejection or counter-
offer by the Government.
(8) The Government may determine that a
proposal is unacceptable if the prices proposed
are materially unbalanced between line items or
sub-line items. Unbalanced pricing exists when,
despite an acceptable total evaluated price, the
price of one or more contract line items is
significantly overstated or understated as indi-
cated by the application of cost or price analysis
techniques. A proposal may be rejected if the
Contracting Officer determines that the lack of
balance poses an unacceptable risk to the Govern-
ment.
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-98-1221 I
(9) If a cost realism analysis is perfonned, cost
realism may be considered by the source selection
authority in evaluating performance or schedule
risk.
(10) A written award or acceptance of proposal
mailed or otherwise furnished to the successful
offeror within the time specified in the proposal
shall result in a binding contract without further
action by either party.
(11) The Government may disclose the following
information in post-award debriefings to other
offerors:
(i) The overall evaluated cost or price and
technical rating of the successful offeror;
(ii) The overall ranking of all offerors, 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 offeror.
VI. SUBMISSION OF PROPOSALS
A. Your proposal shall be submitted with an
original and five (5) copies to one of the following ad-
dresses by 4:30 p.m., local time, on November 19, 1998.
U.S. MAIL ADDRESS:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-98-12211; SBIR Phase I
Closing Date: November 19, 1998 at 4:30 p.m.
Contracts Management Division (MD-33)
Attn: Kathryn Peele
Research Triangle Park, NC 27711
HAND CARRIED/COURIER ADDRESS:
U.S. Environmental Protection Agency
Receptionist, EPA Administration Building
Solicitation No. PR-NC-98-12211; SBIR Phase I
Closing Date: November 19,1998 at 4:30 p.m.
Attn: Kathryn Peek/Contracts Mgmt. Division
79 T.W Alexander Drive
Research Triangle Park, NC 27709
IMPORTANT!!! Please note Section V, Paragraph
J(9)(c) concerning Late Proposals, Modifications of
Proposals 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.
VII. SCIENTIFIC AND TECHNICAL
INFORMATION SOURCES
(See Appendix D)
Vifi. 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 the design and
development of prototype equipment. Only the construc-
tion and testing of the prototype as designed can be funded.
It is recognized that any research and development project
starts out as a concept of the inventor. Literature and other
surveys and questionnaires are often needed to rule out
duplication and inappropriate process details, finally
leading to the process design of a prototype apparatus or
process that could be tested to show the feasibility of the
concept. These surveys are paper studies which should be
completed before preparing an SBIR proposal. Other
activities expected to be completed prior to an SBIR award
include small scale, short term laboratory testing of the
concept, instruction manuals and other preliminary studies
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EPA Small Business InnovalionResca ith Phase 1 FY99 Program Solicitation No. PR-NC-98- 1221 I
needed to design the prototype and/or develop the proto-
type testing program.
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
cannot be used in lieu of applied laboratory research to
determine the feasibility of a pollution control process.
Also, proposals which 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
responsive to EPA program interests included in the topic
descriptions of this solicitation. The research should be the
basis for technological innovation resulting in new com-
mercial products, processes, or services which benefit the
public and promote the growth of the small business. The
Agency’s SBIR program is concerned with pollution
prevention, urban infrastructure rehabilitation, environmen-
tal monitoring and analytical technologies and pollution
control technologies applicable to: drinking water treat-
ment; municipal and industrial wastewater; stormwater;
indoor air and air pollution emissions solid and hazardous
wastes, contaminated sites, toxic and ozone depleting
substances and greenhouse gas emissions. The offeror is
required to designate a topic, and only one topic, and it is
the complete responsibility of the offeror to select and
identify the best topic for their proposal.
Technologies featuring conservation, reuse, recycling,
increased efficiencies, and waste minimization are of
special interest Processes involving anthropogenic radioac-
tive materials or the application of fertilizers are addressed
by other Agencies and are not included in this solicitation.
Technologies that only involve 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 focus areas of
this solicitation include:
A. DRINKING WATER TREAThIENT
The Safe Drinking Water Act requires 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
human 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,
disinfectant by-products (DBPs), and disease-causing
organisms. Disinfectants are used by virtually all surface
water systems in the U.S. and many systems that rely on
ground water. Chlorine 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. Recently, there has been concern that water
quality can deteriorate dramatically during distribution
unless systems are properly designed and operated. While
disinfection is an integral part of water treatment, filtration
is necessary in surface water systems to reduce pathogen
levels and make disinfection more reliable by removing
turbidity and other interfering constituents.
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 limited to:
• 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 and inorganic contaminants (such as
ammonium perchlorate, pesticides, arsenic,
nitrate, sulfate, radon, MTBE, etc.), particulates,
and pathogens (e.g., cyst-like organisms
(Cryptosporidium) and emerging pathogens like
caliciviruses, microsploridia, hepatitis A virus,
Legioneila, etc.
• Development of efficient, cost-effective
treatment processes for removing disinfection
by-product precursors and innovative methods
that minimize their formation.
• Improved methods for controlling pathogens
through coagulation/settling, filtration or other
cost-effective means.
• Drinking water contamination control between
the treatment plant and the user; especially
considering potential chemical leaching (copper
and lead) from distribution system materials and
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EPA Smalt Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-12211
surfaces and biological regrowth in the
distribution system.
• 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.
B. MUNICIPAL WASTEWATER
TREATMENT, SEPT&GE AND
BIOSOLIDS MANAGEMENT
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
limited to:
• Process technologies and modifications to
enhance reliability of achieving secondary and
reuse quality effluent from facilities with design
flows less than 5 million gallons per day (mgd).
• Process concepts and modifications to enhance
reliability of achieving high efficiencies for
municipal wastewater treatment systems from
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.
• More 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
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 enhance
reliability of achieving biosolids Vector
Attraction requirements of 40 CFR Part 503.
C. INDUSTRIAL WASTEWATER
TREATMENT INCLUDING
MINING AND FEEDLOTS
Research is needed to address environmental and
public health problems associated with animal feeding
operations, including management of animal manure and
by-products. Innovative 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. Areas of
interest include, but are not limited to:
• Technologies to contain and treat uncontrolled
air and unsewered wastewater from animal
waste from large animal husbandry operations
including pig, chicken, and turkey fanns.
Development of methods that complement or
replace existing lagoon and field spraying
operations that release ammonia to the
atmosphere, saturate and contaminate ground
water and overflow into waterways during
periods of heavy rainfall.
• Process concepts and modifications to enhance
reliability of achieving high efficiencies for
industrial wastewater treatment systems from
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98- 12211
facilities with design flows less than 50,000
gallons per day.
Economical processes for treating drainage
from abandoned factories, coal mines, etc.,
including low-cost methods of augmenting coal
mine spoils, treating drainage and spoil.
• Innovative techniques and technologies for
management of runoff from mine wastes (i.e.,
overburden, leachate and solids from tailings).
• Low cost processes for controlling wastewater
discharges containing volatile or toxic organic
pollutants.
• Recovery or advanced treatment and disposal of
liquid dye baths containing salts that result from
textile finishing operations.
• Innovative technologies are needed to monitor
and treat bilgelballast water within vessels,
especially important for the Great Lakes,
Houston Ship Channel, Baltimore Harbor, etc.
• 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 foedstocks for construction materials and
other — —
ft STORM WATER MANAGEMENT
AND W I’ WEATHER
POLLITflON CONTROL
Rese h is needed to improve the treatment and
control c i rm waler nmofl before it is discharged to
surface and ground waters in urban mean. Urban runoff
from transportation corridors carries trash, sediment, oil
and grease, nutrients, metals, and petroleum hydrocarbons
that may be characterized an “ultra urban” pollutants. Many
densely urbanized mean are net suitable for the application
of land-intensive storm water control measures such as wet
— vegetated swales, and infiltration trenches. Alterna.
the technologies, including manufactured devices, will
provide public officials with a wider array of options to
efl&thely address eti w w r ue nt issues in urban-
ized mean. These control measures fall into a number of
categories, including c & Ii.aet inlet traps or macna, oW
— and dcl wis separators, sedimentation chambers,
filtration chambers, and detention/exfiliration systems. The
development of innovative technologies to treat urban
runoff from roads, bridges, and other impervious surfaces
will enhance the ability of States and municipalities to
effectively address the EPA Phase II Storm Water Regula-
tions and improve the quality of storm water 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.
E. REHABILITKF ION OF URBAN
INFRASTRUCTURE SYSTEMS
The aging condition of our cities and deterioration of
infrastructure includes water distribution and sewerage
systems. This provides an important research area address-
ing how to repair and maintain this infrastructure. The costs
are staggering; the national investment in sewers alone
approaches $1.8 trillion. Excessive flow to the sewer
system from infiltration and inflow (Ill) robs the capacity
of the sewer system and negatively affects proper operation
of the entire sewerage system. Ill 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 rehabilitation
may not be economically feasible because of the sheer
number of connections. Less expensive techno1ogie other
than acoustic approaches are needed to detect leaks,
forecast 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
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EPA Small Business Innovation Research Phase 1 FY99 Program Solicitation No. PR-NC-98-1221 I
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.
E PREVENTION ANI) CONTROL
OF INDOOR AIR POLLUTION
This topic focuses on indoor environmental quality
engineering research directed at: (1) determining the nature
of indoor air emissions and surfaces and how they contrib-
ute to human exposure, and (2) developing cost-effective
tools, techniques, and technologies necessaiy to prevent or
reduce individual exposure to indoor environmental
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,
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.
G. PREVENTION AND CONTROL
OF NO 2 , VOCs, SO 2 ,
PARTICULATES AND TOXIC
AIR EMISSIONS
Research is needed on new, innovative and cost-
effective approaches that prevent or control emissions of
nitrogen oxides (NO 1 ), fine particles, volatile organic
compounds (VOCs), or toxic air pollutants (TAP) from
stationary or mobile sources. Systems that can be used to
control combinations of these pollutants are of particular
interest. Areas of interest 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 or mobile sources.
Sources of particular interest include boilers,
smelters, internal combustion and diesel engines
and animal waste operations.
• Innovative NO 1 controls for stationary or mobile
sources and innovative systems for reducing or
eliminating mobile source cold start emissions.
• VOC and TAP emission controls and prevention
technologies for area sources, such as off-
highway vehicles, 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 SO 2
emitters targeted for regulation by States as
impacting short-term air quality standards from
their relatively high concentration of SO 2 in
stack gases.
• Advanced systems to capture gaseous
contaminants such as acid gases, dioxins, and
volatile metals simultaneously with SO 2 .
Techniques that control multiple pollutants,
such as SO 2 and NO 1 , or SO 2 and toxic metals,
with one process step are of special interest.
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EPA Small Business Innovation Research Phase I
FY99 Program Solicitation No. PR-NC-98-1221 I
• Cost-effective techniques to control and/or
remove toxic air emissions, such as heavy
metals, nitroaromatics, and other 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 and cost-effective measurement
techniques to characterize the activity levels of
vehicles on specific segments of major arterial
and interstate highways in urban areas for use in
estimating mobile emissions. Sources of
particular interest include heavy duty trucks
visiting truck terminals, local terminal and
commercial business delivery trucks, and week-
end traffic flows for all type vehicles by time of
day. For trucks, information on loaded weight
and roadway grade is also critical to developing
value emission estimates.
• Innovative clay-based or other inexpensive
sorbents for selective removal from coal-fired
power plant emissions.
H. RECYCLING OF MUNICIPAL
SOLID WASTE
The nation’s growing recycling infrastructure includes
more than 12,000 drop-off sites and some 9,000 curbside
programs that collect recyclable materials from municipal
solid waste (MSW). In 1996, over 27% of MSW was
recycled. This means that in 1996 alone more than 57
million tons of recyclable materials from MSW re-entered
manufacturing processes to make new products and
packaging. MSW recycling is a complex and growing
industry ripe for innovation both in the collection of
recyclable materials and in the processing of those materi-
als into usable 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).
I. TREATMENT, RECYCLING,
AND DISPOSAL OF
HAZARDOUS AND NON-
HAZARDOUS SOLID WASTES
AND SEDIMENTS
Solid wastes appear in various forms and may be
hazardous or non-hazardous in character. In practice,
numerous approaches are used to manage these wastes,
including recycling, incineration or other treatment, and
disposal in conventional or special landfills. Contaminated
sediments now appear to be the main source of toxic
contaminants in many bays, lakes, and rivers. Innovative
approaches to address these problems are needed in areas
including, but not limited to:
• 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 in landfills. New
methods are also needed for cost-effective
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-98-1221 I
treatment and removal of PCBs from
contaminated sediments.
Multiple recovery and recycling of different
plastic materials in automobile salvage
operations.
• 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.
• Advanced hazardous constituent destruction
technologies using cost-effective thermal,
chemical and biological detoxification methods.
• Advanced physical separation techniques that
make wastes easier to treat or destroy by
moving the metal/organic constituents from one
media to another.
• Recovery processes which 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.
• 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).
• 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.
J. IN SITU SITE REMEDIATION
OF ORGANICALLY
CONTAMINATED SOIL,
SEDIMENTS AND GROUND
WATER
Certain locations within the United States have
become contaminated with hazardous and toxic organic
substances or agents. These contaminants have permeated
and adsorbed onto soils, diffused to interstitial saturated
zones, dissolved into ground waters and migrated to
subsurface aquifers. In many instances, these contaminants
have exhibited physical and chemical properties that make
them difficult to remove from the environment. They may
exist in subsurface deposits as immobile gums or sludges
difficult 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 treatment
or extraction of hazardous organic waste contaminants in
situ, using physical, chemical, and biological techniques.
Included are techniques that promote mobilization of
contaminants in situ to make them more amenable to
subsequent in situ treatment or extraction. Biological
techniques that utilize genetically engineered microorgan-
isms can be included in this solicitation, 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
EPA’s Office of Pollution Prevention and Tonics (contact
Ellie Clark at (202) 260-3402).
To be considered in this topic, in situ treatment
technologies must meet the following requirements: (1) In
all technology to be considered, the soil phase must remain
in place although mechanical devices which promote local
mixing of the soil may be incorporated in the process; (2)
Processes in which ground water is pumped to the surface
to add chemical and biological agents or to remove
products of subsurface degradation are permissible as long
as all degradation processes occur in any one or all of the
following layers (at the upper surface of the soil; in the
vadose zone; or in the ground water); (3) “On-site” or
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No PR-NC-98 12211
“pump-and-treat” processes where pollutants are treated or
removed from contaminated ground water or air after being
brought to the surface are not acceptable.
Innovative approaches to in situ treatment are needed
in areas including, but not limited to:
• Chemical detoxification, such as neutralization
and dehalogenation or electrochemical
decomposition.
• Physical methods for subsurface mixing to
enhance mobilization and mass transfer.
• Biotreatment methods in the saturated and
unsaturated zone.
• Approaches for detecting, degrading and
removing dense non-aqueous phase liquids
(DNAPL) from ground water. 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.
K. TREATMENT OR REMOVAL OF
HEAVY METALS AT
CONTAMINATED SiTES
Environmental contamin ion at various sites often
includes both toxic and hazardous organics and heavy
metals. Topic 3 specifically deals with the organics and this
— addresses the heavy metal components. Here the goal
is to either remove heavy metals from the soil, vadose zone,
or ground water, or to treat in situ by techniques other than
conventional fixation or solidification.
Research and development effoits that employ
physical, chemical and biological techniques for the
mobilization of the heavy metals must describe the subse-
quent heavy metal removal methods. Treatment of complex
mixed wastes, especially c aining mercury, cadmitn
clEomium and arsenic, are of pmlicular interest. Treatment
iccimologies to be considered in this topic must mccl the
following requirements: (1) Ii all technology to be ceosid-
cied, the sell phase must remain in place although me-
chanical devices that promote local mixing of the soil may
be incorporated in the process; (2) “On-site” or “pump-
and-treat” processes where heavy metals are removed from
contaminated water after being brought to the surface are
acceptable; (3) Processes which immobilize or treat
contaminants in situ are acceptable.
Opportunities for innovation in the themes listed
below are provided as examples only and are not meant to
be all inclusive.
• Physical methods for subsurface mixing to
enhance mobilization and mass transfer of
heavy metals.
• In situ treatment of soils, sediments, and
sludges.
• 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.
L. POLLUTION PREVENTION
AND CLEAN TECHNOLOGIES
Pollution prevention means “source reduction”
including any practice which: (1) reduces the amount of
any hazardous substance, pollutant, contaminant entering
any waste stream or otherwise released into the environ-
ment (including fugitive emissions) prior to recycling,
treatment, or disposal; and (2) reduces the hazards to public
health and the environment associated with the release of
such substances pollutants, or contaminants. The term
includes: equipment or technology modifications, process
or procedure modifications, reformulation or redesign of
products, and substitution of raw materials. Practices which
reduce large amounts of non-hazardous wastes will also be
considered under this catego y. While improvements in
housekeeping, maintenance, training or inventory control
may result in pollution prevention, these activities are
outside the scope of EPA’s SBIR program.
Recycling, energy recovery, treatment and disposal
e not included within the definition of pollution proven-
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-95- 12211
tion. Some practices commonly described as “in-process
recycling” may qualify as pollution prevention. However,
recycling is not considered waste reduction if waste exits a
process, exists as a separate entity, undergoes significant
handling, and is transported from the waste generation
location to another production site (perhaps another part of
a large plant) for reuse, or to an offsite commercial recy-
cling facility or waste exchange.
Green Chemistry, a fundamental approach to prevent-
ing pollution at the source, is also of interest. Green
chemistry involves reducing or eliminating the use or
generation of hazardous substances—including feedstocks,
reagents, solvents, products, and byproducts—during the
design, manufacture, and use of chemical products and
processes. Green Chemistry includes all types of chemical
activity that reduce negative impacts on human health and
the environment relative to the current state of the art.
Appropriate areas of investigation include chemical
synthesis, catalysis, detection, analysis, monitoring,
separation processes, and reaction conditions. We are also
interested in developing innovative products that are
consistent with the guiding principles of EPA’s Environ-
mentally-Preferable Purchasing Program. See the EPA
Website (http:I/www.epa.gov/opptintr/epp) for more
information.
Examples of Pollution Prevention and Green Chemis-
try areas of interest include, but are not limited to:
• In-Process Recycling: Potential 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.
• Changes in the composition of end products that
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.
• Techniques to prevent the drift of pesticide
aerosols during aerial spraying or field tractor
application of pesticides to plants. Techniques
may include changes to the process (e.g., direct
application of a systemic pesticide replacement
below the soil surface), or improvements in
pesticide materials and application hardware
(e.g., an alternative pesticide formulation with
improved wetting properties that will have
higher transfer efficiency to the plant leaf
surface coupled with an adjustable height spray
drift cover).
• Alternative Synthetic Pathways: The use of: (1)
catalysis/biocatalysts; (2) natural processes such
as photochemistry and biomimetic synthesis; (3)
alternate feedstocks that are more innocuous
and renewable (e.g., biomass, solar energy).
• Alternative Reaction Conditions: The use of
solvents that 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.
Clean Technologies are of special interest in this
solicitation. Many industrial processes and treatment
technologies still release a large amount of toxic chemicals
into the environment. Persistent pollution problems and
regulation costs have stimulated industrial demand for
research and development into cleaner processes and
materials technologies that prevent pollution, reduce
regulatory burden and improve worker health and safety.
An additional perceived benefit of these “beyond compli-
ance” technologies is the reduced costs realized by lower-
ing the amount of materials used in production processes
and the amount of waste streams that must be treated and
disposed. To continue to achieve environmental improve-
ments, we are interested in bringing to the market a broader
range of cleaner production technologies that result in
reducing the environmental impact of the entire manufac-
turing process.
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98- 122 1 I
We are interested in Clean Technology proposals that
address the industry sectors under the EPA Common Sense
Initiative ( CSD and Design for the Environment/Small
Business Partnership , including metal finishing, printing,
electronics, garment and fabric care and adhesives manu-
facturing. Additional areas of interest include safer chemi-
cals or processes for automotive repair facilities and
automobile and appliance assembly plants. Examples of
areas of interest include, but are not limited to:
Metal Finishing: EPA 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 air—especially in
the presence of other pollutants (e.g., other
heavy metals and fine particulate matter). New
low/no emission chlorinated solvent vapor
degreasing systems and technologies that
eliminate the need for cyanide arc of particular
interest.
• Printing: EPA’s Design for the Environment
Program (DIE) has partnered with four sectors
of the printing industry—screen printing
reclamation products, lithography press
cleaning solvents (blanket washes), flexography
ink, and gravurc technologies. Additional
cleaner technologies are needed for these
industiy sectors so that printers have a cleaner,
safer, and more efficient way of doing business.
• Electronics and Printed Wiring Boards: The DIE
Printed Wiring Board (PWB) Project has
evaluated alternative technologies for the
making holes conductive step of PWB
manufacturing and is now 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 Care: Dry cleaners are
small businesses that are dependent on solvents
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.
Adhesives: Development of low VOC adhesives,
caulks and sealers for automotive body
assembly operations and/or for the building
construction industry are needed.
We also welcome Clean Technology proposals that
reduce emissions and risks in other industries, most notably
those for which there are EPA programmatic efforts that are
likely to highlight the need for and extend the potential use
of these technologies. Such proposals include, but are not
limited to:
• Process Technology and Equipment: Significant
changes in the basic technology and equipment
of production, including modernization,
modification, or better control of process
equipment.
• Process Inputs: Changes in raw materials, either
to different materials (e.g., water instead of
organic solvents) or materials with different
specifications (e.g., lower levels of
contaminants).
M. ADVANCED MONITORING AND
ANALYTICAL TECHNOLOGIES
The purpose of this program is to advance measure-
ment science by stimulating research on new approaches to
solving environmental monitoring and measurement
problems. EPA is interested in both remote and in situ
measurements approaches. EPA is also interested in the
adaption or extension of existing techniques from other,
non-environmental fields that can provide significant
improvements in current environmental measurements.
Specific areas of interest include, but are not limited 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 samples that are
commonly analyzed, including contaminated
soils and sediments, industrial wastes,
incinerator stack emissions, industrial waste
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
waters, and drinking water (source water
assessment and for use in the distribution
system). Ability to measure multiple pollutants
simultaneously would be a plus factor. Rapid
field tests are also 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 are also needed for
measuring other cyst-like organisms and
emerging pathogens like caliciviruses,
microsploridia, hepatitis A virus, Legionella,
etc. 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.
• 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.
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 metal (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.
• On-line, in situ monitors for drinking water,
including source water monitoring and
protection, treatment and distribution system
monitoring.
• 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.
• 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 waste
water and their impact (toxic effects) on
receiving waters.
• Measurement of the size distribution and dry
mass of inhalable particulate matter (PM 2.5
and PM 10), including semi-volatile organic
toxicants and ammonium nitrate in air.
• Mass measurements of particle-bound water in
airborne inhalable particulate matter (PM 2.5
andPM 10).
• New on-line 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
construction-related dust.
• Redesign of personal protective equipment to be
more comfortable to use and wear, less likely to
cause heat stress or irritation and cost less,
thereby leading to a reduction in actual human
exposure to potentially harmful chemicals.
• Alternative monitors that provide similar data to
expensive monitoring wells of ground water
resources, including refinements of CPT/
hydropunch techniques.
• Analytical monitors for hazardous air pollutant
emissions from curing coatings based on the
resin and hardener chemical properties,
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-98-1221 1
including the analytical procedures for their
measurement.
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.
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,
CO 2 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 such as construction
equipment or lawn and garden equipment
engines.
N. NEW TECHNOLOGIES AND
ALTERNATIVES FOR OZONE
DEPLETING COMPOUNDS
Under Tifle VI Section 612 of the Clean Air Act
(CAA) of 1990, the EPA is required, to the maximum
extent practicable, to enable the replacement of substances
that harm the stratospheric ozone layer (such as
chioroflourocarbons (CR:s) and halon fire suppressants)
with safer alternatives and technologies that reduce overall
risks to human health and the environment.
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, fire extin-
guishing systems and foams industries. Examples of areas
where research is needed include, but are not limited to:
• Development of systems to reduce the amount
of hydrogen fluoride generated during the use
of hydrofluorocaibon (HFC) fire-suppressants.
• 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 alternatives to ozone-depleting
foam to foam and wood to wood adhesive
alternatives.
• Development of low-ozone depleting coating
removers.
• Alternatives to methyl bromide, particularly
non-chemical alternatives like steam
sterilization and solarization for soil fumigation
or irradiation and CO 2 Iheat treatment for
quarantine.
• Development of very-low-temperature
refrigerants (e.g., -50° C) or alternative
technologies.
• Development of alternatives to control the slow
emissions of the blowing agent in insulating
foams, i.e., non-emissive foam, capture/recycle
the agent.
• 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
minimize 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).
0. GLOBAL CLIMATE CHANGE:
PREVENTION AND CONTROL
OF GREENHOUSE GAS (GHG)
EMISSIONS
This topic focuses on GHGs as they relate to global
climate change. Gases of concern are methane, carbon
dioxide, nitrous oxide, hydrofluorocarbons,
26
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EPA Small Business Innovation Research Phase 1 FY99 Program Solicitation No. PR-NC-98-1221 1
perfluorocarbons, and sulfur hexaflonde. All aspects of
prevention and control of GHGs are applicable. However,
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 significant improvement can be
made over an existing or developing way to reduce GHG
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.
• Improved instruments and methods to measure
GHG emissions (e.g., from area sources such as
rice patties and urban transportation).
• New ways to improve control of aluminum
production to reduce perfluorocarbon emissions.
• 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 insulation materials or processes to replace
uses of sulfur hexafloride
IX. 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 ifi, 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 1 FY99 Program Solicitation No. PR -NC-98-l221 1
Appendix A: Proposal Cover Sheet
US. Environmental Protection Agency
SMALL BUSINESS INNOVATION RESEARCH PHASE I
SOLICITATION NO. PR-NC-98-12211
PROPOSAL TITLE
FIRM NAME: ____
MAILING ADDRESS:
CITY:__________________________________ STATE:________ ZIP:.
AMOUNT REQUESTED: $ PROPOSED DURATION (PHASE I): 6 MOS
(Not to Exceed $70,000)
TOPIC (check one)
— A. Drinking Water Treatment
— B. Municipal Wastewater Treatment, Septage and Biosolids Management
— C. Industrial Wastewater Treatment Including Mining and Feedlots
— D. Stormwater Management and Wet Weather Pollution Control
— E. Rehabilitation of Urban Infrastructure Systems
— F. Prevention and Control of Indoor Air Pollution
0. Prevention and Control of NO,,, VOCs, SO 2 , Particulates and Toxic Air Emissions
— H. Recycling of Municipal Solid Waste
— I. Treatment, Recycling, and Disposal of Hazardous and Non-Hazardous, Solid Wastes and Sediments
— i. In Situ Site Remediation of Organically Contaminated Soil, Sediments and Ground Water
— K. Treatment or Removal of Heavy Metals at Contaminated Sites
— L. Pollution Prevention and Clean Technologies
— M.AdvanCed Monitoring and Analytical Technologies
N. New Technologies and Alternatives for Ozone Depleting Compounds
0. Global Climate Change: Prevention and Control of Greenhouse Gas (GHG) Emissions
CERTIFICATIONS AND AUTHORIZATIONS: AnswerY (Yes) or N (No)
— 1. The above concern certifies that it is a small business concern and meets the definition as stated in the
program solicitation.
_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 title 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. 5
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 1 ype: Individual _Paiinership
_Corporation
8. Provide the following information, if known: Thx Identification No: Dun & Bradstreet
Number: Common Parent Name:________________________
* for information purposes
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
Endorsements
Authorized Negotiator Person Authorized to Sign Proposal
Type name, indicate Mr., Ms., or Dr. Type name, indicate Mr., Ms., or Dr.
Title___________________________ Title______________________
Telephone: Telephone:
sJL 5 *,aIIfl . J1 5 11atu1, .,.
of Principal Investigator of Corporate/Business Official
______________________________ 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 in whole or in part, pro-
vided that if a funding agreement is awarded to this offeror as a result of or in connection with the submis-
sion 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 information
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 pages ___________ of this proposal.
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EPA Small Business Innovation Reseatch Phase I FY99 Progfam Solicitation No. PR-NC-98-1221 I
Appendix B: Project Summary
US. ENVIRONMENTAL PROTECTION AGENCY
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
SOLICITATION NUMBER PR-NC-98-12211
PHASEI-FY99
PROJECT SUMMARY: (Limit to One Page)
FIRM NAME, ADDRESS, AND TELEPHONE NUMBER:
TITLE OF PROPOSAL:
TOPIC LETIER (A-O):
NAME AND TITLE OF PRINCIPAL INVESTIGATOR/PROJECT MANAGER:
(I) TECHNICAL ABSTRACT: (Limited to 200 words; Must be Publishable)
(II) ANTICIPATED RESULTS/POTENTIAL COMMERCIAL APPLICATIONS (Limited to 200 words;
Must be Publishable):
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
Appendix C: SBIR Proposal Summary Budget
(Instructions on Reverse Side)
TOTAL PRICE
Organization and Address
A. DIRECT LABOR (P1 and other Estimated Rate/ Est. staff, list separately) Hours Hour Cost $
B. OVERHEAD: $
C. OTHER DIRECT COSTS: $
D. TRAVEL: $
E. CONSULTANTS: $
F. GENERAL AND ADMINISTRATIVE: $
TOTAL COSTS: $
G.PROFIT(___ %)$
SIGNATURE:
This proposal is submitted in response to EPA SBIR Program Solicitation No. PR-NC-98-1221 1 and reflects our best
estimate as of this date.
DATE
SUBMH1ED: ________________
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-98-1221 1
Instructions for Appendix C
The purpose of this form is to provide a vehicle whereby the offeror submits to the Government a pricing proposal of
estimated costs with detailed information for each cost element, consistent with the offeror’s cost accounting system.
This sunimary does not eliminate the need to fully document and justify the amounts requested in each category. Such
documentation should be contained, as appropriate, on a budget explanation page immediately following the budget in
the proposal. (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
(salary, 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. Offerors may use whatever number and types of overhead rates that are
in accordance with their accounting systems and approved by the cognizant Federal negotiating agency, if avail-
able.
C. Other Direct Costs - List all other direct costs which 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 pur-
chased, 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 FY99 Program Solicitation No. PR-NC-98-122 11
Appendix D: Scientific and Technical Information Services
State-of-the-art information, including service and cost details, useful in preparing SBIR proposals or in guiding
research 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 (PM-21 1A)
U.S. Environmental Protection Agency
401M Street, SW
Washington, DC 20460
(202) 260-5921
The Hazardous Waste Collection and Database are available for use in the EPA Headquarters Library, the 10 EPA
Regional 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 Flows 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 wastesj
ACCESS EPA (#055-000-00509-5) 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 database
Library and information services
State environmental libraries
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
“ACCESS EPA” may be ordered at a cost of $16.00 each from the U.S. Government Printing Office, New
Orders, Superintendent of Documents, P .O. Box 371954, Pittsburgh, PA 15250-7954, or telephone (202)512-1800, or
from N11S using order number PB-147438.
Vendor Information System for Innovative Treatment Technologies (VIS1TF) Profiles 325 innovative technolo-
gies available from 204 vendors to treat ground water in situ, soil, sludges, and sediments. Includes technologies in all
stages of development—bench, pilot, or full. VISITI is available at no charge on diskettes compatible with personal
computers using DOS operating systems. To order VISIT’F diskettes and user manual, and to become a registered user,
call the VISITF Hotline at 1-800-245-4505.
ENVIROSENSE
Internet: http://www.epa.gov/envirosense
ES includes numerous databases and addresses industry and small business needs by establishing specific
compliance assistance, P2, regulatory and specific industry sector (SIC) data sets.
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
Appendix E: Use of EPA Laboratory Facifities
The Office of Research and Development (ORD) National Risk Management Research Laboratory (NRMRL) is
willing to work with SBIR contractors to the maximum extent possible to facilitate the performance of EPA SBIR
projects. Under mutual agreement and benefit, such arrangements may involve the use of certain Laboratory facilities
and/or interaction with EPA Laboratory personnel at no cost to the SBIR contractor.
The address and description of NRMRL is profiled below:
National Risk Management Research Laboratory
U.S. Environmental Protection Agency
26 West Martin Luther King Drive
Cincinnati, OH 45268
Telephone: (513) 569-7418
The National Risk Management Research Laboratory facilitates advancement of the scientific understanding and
the development and application of technological solutions to prevent, control, or remediate important environmental
problems that threaten human health and the environment. The Laboratory is the principal entity within the ORD
responsible for environmental risk management research related to: characterization of pollutant generation and
release; prevention and control of pollution to air, land, and water resources; protection of water quality in public water
systems; remediation of contaminated soils and ground water; and protection of the public health from indoor pollut-
ants.
Land Remediation and Pollution Control: Identifies, develops, evaluates, and demonstrates methods, systems,
and technologies to control or remediate contaminated sites and related land areas. Legislation supported by the
division includes SARA, RCRA, CWA, TSCA, and FIFRA. Research at the basic level provides new technologies and
treatment concepts for innovative solution of current and future land pollution problems. Field evaluation of innovative
technologies, covering applied research, demonstration, and verification programs ensures that the environmental
industry is developing reliable and cost-effective alternatives for the domestic, Federal, and international markets.
Subsurface Protection and Remediation: Responsible for research programs: to (1) determine the fate,
transport, and transformation rates and mechanisms of pollutants in the subsurface environment, including both the
unsaturated soil profiles and the saturated zones; (2) define the processes for characterizing the subsurface environ-
ment as a receptor of pollutants; (3) develop techniques for predicting the effects of pollutants on ground water, soil,
and indigenous organisms; and (4) define and demonstrate the applicability and limitations of using natural processes,
indigenous to the subsurface environment, for the protection of this resource from municipal, industrial, and agricul-
tural activities entailing the release of pollutants to the soil or deeper regions of the subsurface.
Air Pollution Prevention and Control: Develops and assesses methods and technologies for characterizing
emissions, and preventing or reducing the deleterious effects of air pollutants on human health and welfare, and on the
global environment. Conducts fundamental and applied research to develop emission methodologies and models for
use in characterizing and estimating the contributions of various air emission sources to stratospheric ozone depletion,
global warming, ozone non-attainment, acid deposition and other causes of adverse impacts on the atmosphere;
characterize and evaluate sources and technologies for preventing or controlling volatile organic compounds and
hazardous air pollutants; characterize and verify the performance of alternative energy technologies; evaluate tech-
nologies and systems contributing to stratospheric ozone depletion; characterize and evaluate sources of indoor
environmental pollution; develop methods and technologies to reduce concentrations of organic and various soil gases
in buildings to background levels; develop, apply, and verify the performance of combustion modification techniques;
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EPA Smill Business Innovanon Research I%ase I FY99 Pingram Solicii ion No. PR-NC-9g-1221 I
conduct fundamental combustion research; develop, apply, and verify flue gas cleaning methods and techniques; and
perform cost analysis of prevention and control options.
Sustainable T chnology: Plans, coordinates, and conducts a national program of multimedia research, develop-
ment, and demonstration of new and improved methods, technologies, and techniques for integrated pollution manage-
ment with a priority to reduce or eliminate waste generation at the source with application of pollution prevention
technologies to industrial processes. An important part of this effort is the development of new pollution control tech-
niques that can be applied within a process train or for effluent stream control, and new chemical reactions or green
chemistry. Another important Division function is the development of multimedia decision tools with emphasis on
cost-benefit analysis.
Water Supply and Water Resources: responsible for helping prepare the primary and secondary regulations for
drinking water, integrating chemistry, engineering, microbiology, and cost analysis to provide effective, reliable and
cost-effective techniques (acquisition, treatment, distribution, and support services) for assuring the delivery of safe
drinking water; developing technology and strategies for controlling contaminants such as: (1) agricultural and rural
storm runoff; (2) combined sewer overflows; (3) urban storm water and sanitary sewer overflows; (4) underground and
aboveground storage tanks; (5) wastewater from small communities, including constructed wetlands; and (6) contami-
nated sediments; and investigating environmental restoration strategies and technologies.
Thchnology ‘franafer and Support: Responsible for planning, coordinating, reviewing and conducting a compr
hensive program for disseminating scientific and technical information developed by ORD and other environmental
research and development organizations.
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EPA Small Business Innovation Research Phase I FY99 Pmgram Solicitation No. PR-NC-98-1221 I
Appendix F: Commercialization Factsheet/Patent Search
(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 being sold in the market. There are five web searches recom-
mended as the minimum for determining if the technology is commercially available. In each case, when 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 using at least one meta-engine and two search engines.
A meta-engine is a search engine which searches other engines that actually catalog or index sites. Examples are
Metacrawler, httpi/www.metacrawler.com/ , and Dogpile http://www.dogple.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
which cannot be supported by metacrawler and other meta-engines.
1\vo engines for more detailed searches at present are Hothot’s More Options page ( http://www.hotbot.com/
défault.asp?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?Dg=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 this is written. 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, who maintains Alta Vista, is a
high tech company, 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 abbrevia-
tions such as LCD.
Thomas Register of American Manufacturers: Long a staple of corporate buyers and market researchers, you can
access Thomas Register on-line 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 on-line 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 are also 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.ornewswire.com/ ) redistributes corporate press releases. It provides
coverage of newly released products that might not otherwise be found on the web.
Patents: We discuss patent searches in the next section of this Factsheet. Look for patents related to your
technology, then examine the assignee field. Companies licensing or patenting technology in areas related to your
technology are competitors 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 FY99 Program Solicitation No. PR-NC-98-1221 I
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 govern-
ment. 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 U.S. The invention also can not 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
technology (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 U.S., you have one 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.
Overseas, 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 U.S. 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: US Patent
Office and IBM’s Patent Server. To search the Patent Office go to http//patents.uspto.gov/index.hlml . The IBM server
is at httpi/www.patents.ibm.com/ibm.html .
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 sections of the patent. Try to be as targeted as possible in 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 refeired to or referencing relevant
patents you can quickly determine if a U.S. patent has 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 FY99 Program Solicitation No. PR-NC-98-1 2211
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
• Department of Energy
• Department of Veterans Affairs
• Environmental Protection Agency
• Federal Highway Administration
• National Institutes of Health
• NASA
• National Science Foundation
• US Geological Survey
• National Institute of Standards and Technology
• Nuclear Regulatory Commission
• Small Business Innovation Research
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 program—which means you
must do multiple searches. You can also search projects of the Medical Research Council of the United Kingdom. To
search all of FEDRIP go to http:/Igrc.ntis.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
National 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 httpJ/www.dtic.millstinetl .
DoD material can be search through the Defense Technical Information Center (DTIC). Public access searching
is at hup//www.dtic.millstinetl .
Perhaps the best comprehensive resource for searching is the RAND’s RaDiUS at htto://www.rand.org/radiusl .
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
following: 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) system; DoD’s R- 1 and R-2 Budget Exhibits and Work Unit Informa-
tion Swnmaries (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.
You must be a Government Contractor to subscribe to RaDiUS. The small business fee is $1,000 per year per
password.
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98..1221 I
STANDARDS AND CERTIFYING BODWS
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 seal found on
household electrical products—a 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:
htif/web.ansi.org/public/library/lnternet/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
standards. The place to begin is the International Organization for Standardization. Their list of links to standards
bodies is at htipi/www.iso.ch/VliStandards.html .
In the U.S., private sector laboratories, like UL commonly do certification. These organizations rely on standards
developed by consensus bodies such as the American Society for Testing and Materials ( http .//www.astm.orgl ) or
Federal agencies such as EPA. ASTM maintains an International Directory of Testing Laboratories at: http:ll
www.astm.org/labs/index ..html . The Directory can be searched by geographic location, lab name, subject area, or
keywords.
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EPA Small Business Innovation Research Phase I FY99 Program Solicitation No. PR-NC-98-1221 I
I1\IPRTAN1!
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 AITACH TO THE ORIGINAL OF EACH PROPOSAL:
SIDE ONE: 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 approxi-
mately 6-9 months, and no information on proposal status will be available until final selection(s) is made.
Your proposal has been assigned EPA No. - 98 . (To be filled in by EPA)
Date:___________________________
SIDE TWO: Please type the following in the upper left-hand corner (return address) and self-address the
card to your corporate official:
U.S. EPA
CONTRACTS MANAGEMENT DIVISION (MD-33)
RESEARCH TRIANGLE PARK, NC 27711
OFFICIAL BUSINESS
PENALTY FOR PRIVATE USE $300
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