®EPA
New England Office
Center for
Environmental
Industry &
Technology
CURRENT NEWS AND EVENTS ON INNOVATIVE ENVIRONMENTAL TECHNOLOGIES • VOLUME 2003 - 1
Where's the Money?
The Small Business Innovation
Research Program (SBIR) is the
only vehicle by which the Environ-
mental Protection Agency (EPA) can
give funds to businesses for research
and development (R&D). EPA is a
mission agency with regulatory
responsibilities; therefore, the
agency is not otherwise allowed to
give R&D contracts directly to
businesses. EPA New England's
Center for Environmental Industry
and Technology (CEIT) felt that the
importance of SBIR in funding
environmental technology research
merited several Golden Opportunity
Seminars and an updated SBIR
Technovation. This issue of
Technovation summarizes some of
the presentations from past
seminars, features two SBIR com-
pany success stories, and announces
this year's SBIR opportunity.
In 2003, there will be four EPA
SBIR Phase I Solicitations: 1) Moni-
toring and Control of Air Pollution,
2) Technology Solutions for Western
USA Environmental Problems, 3)
Building Decontamination, and 4)
the Regular Solicitation. All solicita-
tions will open March 27,2003, and
close on May 23, 2003.
If you are considering
applying for SBIR funding, this
Technovation will give you a
number of important tips that can
help you develop a winning SBIR
proposal.
Small Business Access to Federal
Research and Development Funds
T
he Small Business Innovation Research Program
(SBIR) was enacted in 1982 as part of the Small
Business Innovation Development Act.
The purpose of the program is to stimu-
late technological innovation, utilize small
businesses to meet federal research and
development (R&D) needs and increase
private sector commercialization. The
program provides early-stage R&D fund-
ing directly to small technology compa-
nies or individual entrepreneurs who
form a company. Small businesses must
meet the following criteria to participate:
(1) be American-owned and indepen-
dently operated; (2) be for-profit; (3)
employ no more than 500 employees;
and (4) employ the principal researcher.
Joint ventures and limited partnerships
are eligible for SBIR awards, provided
the entity created qualifies as a small busi-
ness. Each year, the following 10 federal
departments and agencies are required to
reserve a portion of their R&D funds for
awards through the program:
Department of Agriculture (USDA)
Department of Commerce (DOC)
•National Oceanic and Atmospheric
Administration (NOAA)
•SBIR/Office of Research and
Technology Application (ORTA)
•National Institute of Standards and
Technology (NIST)
Department of Defense (DOD)
• Army
• Navy
• Air Force
• Defense Advance Research Project
Agency (DARPA)
• Ballistic Missile Defense
Organization (BMDO)
• Special Operations Command
Center (SOCOM)
• National Imagery & Mapping
Agency (NIMA)
Department of Education (ED)
Department of Energy (DOE)
Department of Health and Human
Services (HHS)
• National Institute of Health
(NIH)
• Center for Disease Control (CDC)
• Food and Drug Administration
(FDA)
Department of Transportation
(DOT)
Continued on page 5
Table of Contents
Innovative Solutions for
Environmental Problems 2
Maximizing SBIR Success 3
Proposal Preparation for SBIR 4
Proposing SBIR: From Thought
to Bought 5
How to Write a Competitive
Proposal 6
Precision Combustion, Inc.
Success Story 8
Niton Corp. Success Story 9
Matrix of Characteristics 10
About CEIT 10
State Contacts 11
Commercializing Technology 12
Federal Agency SBIR/STTR
Program Contacts 13
TECH NOVATION Volume 2003 —1
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Innovative Solutions for Environmental Problems
EPA's Small Business Innovation Research (SBIR) Program
The Environmental Protection Agency
(EPA) is one of 10 federal agencies that
participate in the SBIR Program. EPA pro-
grams view SBIR technologies as
a means of reducing pollution by
EPA programs view SBIR
technologies as a means of
reducing pollution by providing
lower capital and operational cost
options and controlling pollution in
more efficient and effective ways.
providing lower capital and operational cost
options and controlling pollution in more
efficient and effective ways. Every year, EPA
issues solicitations for Phase I and Phase II
research proposals from science and tech-
nology-based firms. The solicitation is
posted on the National Center for Envi-
ronmental Research web site at
cs.epa.gov/ncer/sbir. The solicitation is
also available by fax by calling the EPA
SBIR Helpline at 1-800-490-9194.
Phase I of the program is designed to
investigate the scientific and technical
feasibility of technologies. EPA awards up
to $70,000 and also provides free commer-
cialization assistance during Phase I. The
period of performance is typically six
months. Approximately 10% of the appli-
cants are funded.
Only Phase I winners are eligible for
Phase II. The objective of Phase II is to
commercialize the Phase I technology.
Competitive awards are based on the re-
sults of Phase I and the commercialization
potential of the Phase II technology. In
Phase II, EPA awards contracts of up to
$225,000 and the period of performance
is typically 1 year. EPA also offers up to
$100,000 and 1 additional year as Phase
II Options for firms with third-party fi-
nancing for accelerating commercialization
and for technologies accepted into the EPA
Environmental Technology Verification
(ETV) Program. Approximately 40% of
Phase II applicants are funded.
How to win an SBIR award
Winning an EPA SBIR award requires
preparatory work such as reading the
solicitation, reviewing topic descriptions,
searching the EPA web site for previous
awards and clearly understanding the
environmental problem. The next step
is to build a team with which to brain-
storm, plan and select an approach.
Developing a quality proposal involves
preparing an outline and a realistic
workplan, emphasizing your strengths,
Developing a quality proposal
involves devising an outline and a
realistic workplan, emphasizing your
strengths, showing the potential of
your idea and describing a clear
path to commercialization.
showing the potential of your idea,
providing a cost breakdown and describ-
ing a clear path to commercialization. This
step includes clearly outlining the agency
priority needs your technology addresses
and the potential environmental benefits it
should provide. A good
proposal will contain key figures and
tables, a third-party independent
evaluation, letters of support and an
excellent executive summary. Key figures
and tables, specifically the pert chart and
work plan, are essential because they help
the reader to skim the proposal. They are
always in the outstanding proposals. An
excellent executive summary is
particularly important because only three
members of the External Peer Review
Panel read the entire proposal. The other
members receive the executive summary
and a report with recommendations from
the panel. The three members present
the report to the rest of the panel and
then answer questions. The panel then
ranks the proposals. Only those propos-
als with ratings of "excellent" or "very
good" are passed on to the EPA Rel-
evancy Review Panel, which makes the
final recommendations.
Othor Options
Other agencies, such as DOD, DOE
and NIH, have environmental topics in
their SBIRsolicitations. These agencies
have much larger budgets and often will
have two solicitations per year. Some
agencies are willing to discuss the
topics with companies prior to the
solicitation and may be open to
suggestions for future topics. Also some
of the larger agencies, such as DOD and
NIH, are testing a fast-track approach
for proposals which shortens the
approval process and provides funding
sooner.
Summary of presentation by Jim Gallup,
Ph.D., Director of the EPA SBIR Program.
For more information:
EPA SBIR Program
EPA, Office of Research and
Development
ORD/NCERQ/EERD8722R
401 M Street SW
Washington, DC 20460
1-800-490-9194
website: es.epa.gov/ncer/sbir/
TECHNOVATION Volume2003 —1
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Maximizing SBIR Success by Utilizing
Other State and Federal Programs
Understanding the Phase
Structure of the SBIR
Program
Phase I is a proof of concept phase that
establishes the feasibility of the project.
You have to win here to be eligible to
compete for Phase II. Up to $100,000
is available in Phase I, depending
on the agency, to demonstrate the
innovativeness of your technology, its
importance, and its commercial potential.
Phase II, worth up to $750,000, again
depending on the agency, is to develop
the concept to the prototype stage. To
successfully win this phase, a solid
R&D plan needs to be clearly
articulated, the market identified, and
your knowledge, commitment and abil-
ity to commercialize demonstrated. Phase
III is the ultimate goal—commercializa-
tion.
Agency Differences
It is extremely important to know the
differences between agencies. First, the
dollar amount for each phase is
different. Second, the mission of each
agency is different and therefore so are
each agency's research objectives. Third,
the type of review process is different—
peer review vs. line review.
Peer review - in peer review there are
external reviewers, usually looking for the
development of great technologies.
Agencies that utilize peer review are:
USDA, HHS, ED, NSF, and EPA.
Line review - this is used by agencies
looking for a product to meet their needs
at the end of the process. Agencies that
use line review are: DOC, DOD, DOE,
DOT, and NASA.
Optimize your chances of winning.
Your technology may be of interest to
more than EPA. Scan all agencies for
research topics where your technology/
research effort could apply. For most
agencies, the research topics are listed in
Section 8 of the solicitation. EPA does
not fund the design and development of
prototypes, only the construction and
testing of prototypes as designed.
The SBIR/STTR program provides
more than $1 billion in R&D
funding annually for small
businesses. It provides funding for
high risk ideas and solicits a wide
range of topics.
What are the Program
Advantages and Benefits of
the SBIR/STTR Program?
The SBIR/STTR program provides
more than $1 billion in R&D funding
annually for small businesses. It provides
funding for high risk ideas and solicits a
wide range of topics. It enables the
development of a technology base. The
program leaves patent and proprietary
rights with small businesses. It requires
no repayment of the money received and
requires no equity sacrifice.
However, the SBIR/STTR programs
are highly competitive, requiring
excellence in all aspects of the competi-
tion process. A commitment to win the
competition is essential, even if the first
attempt is unsuccessful. If the first
proposal is unsuccessful, the agency will
provide comments. With those
comments incorporated, the chances of
winning a resubmission is increased
significantly.
Problems Typically
Encountered
There are a number of general reasons
why proposals are rejected. One reason
is the lack of a technically sound concept
and/or logical approach to the project.
Two is a failure to demonstrate
knowledge of the technical field (what is
the current state-of-the-art), the market
potential, and the impact of the idea on
society (the big picture). Third is the
submission of a budget that is not in
accordance with government accounting
regulations. Fourth is the absence of a
description of how the management
team will commercialize the product,
particularly in Phase II. Fifth and
probably the most common reason is a
failure to follow directions for preparing
and submitting the proposal!
SBIR proposals are unique, requiring
different proposal writing skills.
Applicants must be able to write
technically so nontechnical people
understand (line review) or to write
technically so technical people not strong
in the applicants' discipline understand
(peer reviews).
The good news is that support is
available through Small Business
Development Centers (SBDC),
Manufacturers Extension Partnership,
SCORE, Procurement Technical Assis-
tance Center (PTAC), state economic
development districts, university
industrial cooperation offices, state
financial support programs for early
seed capital/loan investments and
industry and trade organizations.
Summary of presentation by David Patch,
a regional SBIR expert.
For more information:
David Patch
Technology Systems, Inc.
P.O. Box 71 7
Wiscasset, ME 04578
207-882-7589
email: dapatch@simworks.com
web site: www.simworks.com
TECHNOVATION Volume2003— 1
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Proposal Preparation for SBIR
Before You Write - Thinking About
Applications
Before writing a proposal, think about
who might need your technology. Ideally
you want to have both a government user
and a commercial user in mind. The way
these people will use the technology is
called an application for the technology.
Applications are built around the needs
of users. They are context bound. The
engineering specifications and other char-
acteristics of your technology must meet
these needs as well as comply with any
relevant regulations and/or standards and
certification requirements (i.e., UL for
electric consumer products). The follow-
ing are sources of information on
standards, certification and regulations:
•American National Standards
Institute: public.ansi.org/
ansionline/documents
• International Organization for
Standardization: www.iso.ch/VL/
Standards.html
• American Society for Testing and
Materials: www.astm.org/
• International Directory of Testing
Laboratories (Directory can be
searched by geographic location, lab
name, subject area, or keywords)
astm.org/labs/index.html
• U.S. State & Local Gateway of
National Performance Review:
www.statelocal. gov/
• Federal Web Locator of Center for
Information Law and Policy:
www.infoctr.edu/fwl/
Applications are also time bound. The
year of commercial introduction is
not necessarily the current year. The
requirements and traits that embody end-
user needs may change over time so you
may have to design your project to "hit" a
moving target.
With the applications in mind, find a
topic in an agency solicitation under which
you can submit a proposal. In choosing
an agency and topic in which to compete,
remember—programs and topics with
growing funding are better targets than
those that are shrinking—more money.
New programs or topics are better targets
than established programs—no estab-
lished competitors to knock out. Topics
addressing high priority problems are
better targets than programs that do not—
they need a solution so they are
willing to try innovative solutions.
Topics which do not describe a design
for the technological solution are better
targets if you are developing a product
but worse if you are developing a
process—you have to know what you
will build before you worry about
building it more efficiently.
Writing the Proposal
Now you are ready to write. There
are three themes behind successful
SBIR/STTR proposals. These three
themes can be mapped into the proposal.
Proposal Significance
What is the significance of the
problem? What problems are you
going to solve and for whom? What are
you going to produce? What difference
will your effort make to them?
Proposal Technical Objectives
How are you going to go about
resolving the problem identified above?
What are your specific technical
objectives and how do you intend to
demonstrate their feasibility? What are
the details of the work plan for
accomplishing the objectives?
Proposal Outline
Background/Work Plan: What are
the scientific/technical quality, the
innovativeness and the originality of the
proposed project? This issue is seldom
addressed in a distinct part of the
proposal. Rather, you should keep your
attention on this issue throughout the
proposal.
Staff, Facilities and Equipment:
Why are you the right firm to perform
the work? What evidence can you
provide to establish your firm's
credibility including your awareness of
the state-of-the-art, your firm's previous
experience in conducting related
research and development and the quali-
fications of key personnel, consultants
and your facilities?
Some Hints!
Create check lists. This applies to
proposals and to performance. At the
beginning of the program, make check
lists. During the work effort, check items
off the lists. Before delivery, check all lists,
and then deliver a complete and correct
product. Here are some things to include
in your check lists: Does the content
violate laws of physics, economics or
common sense? Is the math correct? Are
your cost tables correct? Have you
edited the proposal for spelling, gram-
mar, clarity, etc.? Are there any blank page
errors, incomplete and/or inconsistently
labeled charts and is the pagination
correct? What did independent review-
ers say about your proposal (after all, you
are to close to it to be objective)?
Make the proposal look good!
When you are writing, ask yourself,
"Who am I writing for?" and "Can I lis-
ten to this proposal if it is read aloud?"
Think about graphics. Ask, "How can
this information best be grasped -
through graphics?" Also ask, "Will
graphics cut down the length of my pro-
posal?" Remember your reviewer will
have a stack of proposals on the desk.
Get a debriefing. Always debrief if
you lose so you can do better next time.
Decide in advance whether you are likely
to appeal. Request debriefings in
writing and highlight in your request any
specific information you want to know.
Request a debriefing by technical
personnel. Before the debriefing request
copies of all reviews and be familiar with
them. Make debriefings a key part of
your marketing strategy.
Summary of presentation by Phyl Speser,
J.D., Ph.D., a nationally known SBIR
proposal preparation expert and an SBIR
multiple award winner.
For more information:
Phyl Speser
Foresight Science & Technology
P.O. Box 6815
New Bedford, MA 02742
508-984-0018 ext 12
email: phyl@seeport.com
website: www.seeport.com
TECHNOVATION Volume2003 —1
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Proposing SBIR: From Thought to Bought
There are three keys to writing a good
proposal which are patterned after
Weinberg's Element of Technical
Innovation (Weinberg, 1986). The
first key is understanding the
problem. This will require you to read
the specifications, review the state-of-
the-art, consult with the independent
experts, talk to the topic sponsors and
contact the end-user. Look for high
priority topics. The second key is
managing the flow of ideas. This
involves building a team and enlisting
the experts without necessarily
becoming one. The third key is main-
taining quality. The proposal is your
first "product." It is important to
secure resources necessary to do the
work, monitor progress, manage
customer expectation and deliver a
quality product.
Ingredients of a Winner
You must clearly understand the
customer's requirements. Broaden your
capability. Only true genius works in
isolation; for the rest of us collabora-
tion is key. Show the potential of your
ideas and a clear path to commercial-
ization. It is okay to go out on a limb
and over commit yourself. Most of all
—DON'T QUIT; learn from losing.
The Elements of a Phase I Program
Your technology must be a new
approach. You must demonstrate the
capability and the resources of the team.
Show clear cost and performance
benefits if the project is successful.
Identify main risk areas. Phase I is a
time to show proof of principle and to
reduce risks. Make sure your scope of
work is realistic. Request a maximum
dollar amount to go farther faster. Get
an independent evaluation. Make sure
your project ties to a major agency
program. A key to getting Phase II
funding is to deliver a "touchy-feely" at
the end of Phase I.
Writing the Phase I Proposal
Read the instructions. Visualize the
proposal flow. Determine the content
of the illustrations. Do an outline or
story board and then write the sections
out of order. As a general guideline,
the Intro/summary should be about one
page; Phase I technical objectives, one
page; Phase I work plan, three to four
pages; Commercialization plan, one
page; and Identification and significance
of the problem or opportunity, four to
five pages. Eliminate repetition.
Format attractively. Leave time for criti-
cal review. Remember that a good pro-
posal skims easily but withstands
thorough critical review. In light of
this, make sure to include the follow-
ing key figures and tables: a concept
diagram; a performance comparison; a
program schedule; and, milestones.
Letters of support also go a long way.
Summary of presentation by Jack
DeMember, Ph.D., Business Development
Manager of Foster-Miller, Inc. Foster-
Miller, Inc. is a multiple SBIR award
winner.
For more information:
Jack DeMember
Foster-Miller, Inc.
350 Second Avenue
Waltham, MA 02451-1196
781-684-4153
email: idemember@foster-miller.com
website: www.foster-miller.com
Small Business Access to Federal
Research and Development Funds
from page 1
Environmental Protection Agency
(EPA)
National Aeronautics and Space
Administration (NASA)
National Science Foundation (NSF)
SBIR is a highly competitive three-
phase award program. Phase I is a fea-
sibility study to evaluate the scientific
and technical merit of an idea. Phase II
is to expand on the results of and to
further pursue the development of Phase
I. Phase III is the commercialization of
Phase II results and requires the use of
private sector or non-SBIR federal
agency funding.
The Small Business Technology
Transfer (STTR) Program was estab-
The purpose of the program is to
stimulate technological innovation,
utilize small businesses to meet fed-
eral research and development
(R&D) needs and increase private
sector commercialization.
lished by Congress in 1992. Five federal
agencies with R&D budgets over $1
billion conduct STTR programs: DOD,
DOE, HHS, NASA and NSF. The
program is similar in structure to SBIR
but funds cooperative R&D projects
involving a small business and a research
institution (i.e., university, federally-
funded R&D center or nonprofit
research institution).
A program solicitation is produced
annually for both SBIR and STTR.
These solicitations open on the
release dates and contain deadlines and
target dates. The solicitations are
publicized by the Small Business
Administration, announced in the
Commerce Business Daily, sent to NSF's
small business mailing list and placed on
the agencies' web sites.
TECHNOVATION Volume2003— 1
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How to Write a Competitive Proposal
As you prepare to write your SBIR
proposal, there are some things you should
keep in mind about the proposal review,
grading and selection process.
Proposal reviewers are a heterogenous
group of people. They have personalities,
other jobs and interests, objective
capabilities, subjective feelings, moods, etc.
Evaluators have varying reading
habits:
• Conscientious reader 30%
• Skimmer 30%
• Peruser/Reader's Digest 30%
• Critic 10%
Therefore, it is important to make their
job as easy as you can. Work on the
quality appearance of your proposal. Write
a proposal that holds interest and is easy to
read. Do not make the reviewer dig for
information; highlight key issues and use
pictures, tables and figures.
Abstract
The abstract should identify the
problem and your solution to the
problem, and describe why the solution will
work, plans to demonstrate the
solution and the benefits to be derived. Here
is an example of an abstract:
Plastic media blast (PMB) is rapidly
growing as a coating removal method be-
cause it does not damage composite or soft
metal surfaces when compared with the
effects of chemical stripping solvents or
Write a proposal that holds interest
and is easy to read. Convince the
reviewer that you are the best
qualified to carry out the project.
hard abrasives (i.e., sand). However, the
conventional PMB materials are all highly
resistant to biodegradation. A commercially
available, biodegradable plastic known as
PHBV® and manufactured by Imperial
Chemical Industries, is proposed as a bio-
degradable plastic media blast (BPMB).
This new class of biodegradable polymers
has several unique features which make
it an ideal candidate as a BPMB: (1) mi-
croorganisms rapidly biodegrade it to
CO2 and water, (2) it is not affected by
Describe who/what will benefit from
the success of your work. Develop
either a general or specific pathway
to commercial use.
water or humidity like starch-blast me-
dia, (3) like conventional thermoplastics,
it can be melted, molded, or extruded,
and (4) different hardness
characteristics can be engineered into the
polymer formulations. Lynntech, Inc. has
outlined a comprehensive Phase I project for
conversion of raw PHBV® into 20-30 mesh
abrasive, testing and evaluation of coating
removal characteristics using established
procedures for PMB application,
documenting biodegradation features, and
performing a cost analysis. This will form
the basis for transitioning this new
material to commercial production and
application.
WHAT: Identification and Sig-
nificance of the Problem
Revisit the problem and introduce the
basis for innovation (solution). Explain
how solutions logically merge with the
problem. Introduce an overview of the
Technical Objectives. Discriminator:
Boldface one or two thoughts you
really want to impress upon the reviewer.
Do all this on the first page.
WHY: Background
Develop the framework for merging
the innovation with the problem to
provide the solution. Explain the
problem and the innovation in detail.
Develop the premise of why your
innovation will work. Discriminator:
Explain how you have positioned
yourself using preliminary work or data
to start "ahead" of this project.
TECHNOVATION Volume2003
HOW Part I: Technical Approach
Walk the reviewer through the project
in general terms. A drawing or diagram
of the project components is extremely
helpful. What is stated in the work plan
(tasks) will track with specific objectives.
HOW Part II: Technical Objectives
- Tasks
Identify tasks or steps needed to
demonstrate the innovation and how it
applies to the solution. When giving task
description, give the reviewer a guided
tour of exactly (step by step) what you
plan to do to accomplish each task. Do
not leave any room for assumptions.
Use recognized procedures or standard
methods where possible; this establishes
credibility. Be sure the work outlined
answers the questions but is not
impossible to accomplish.
WHEN: Schedule
The objective of the schedule is to
demonstrate that thought and planning
have been directed toward the project. Be
sure that the schedule is directly related
to tasks. Strive for quick startup. Show a
logical progression of events vs time. Be
reasonable; build in time for Murphy's
Law. Discriminator: This is the key place
where you set in the reviewers mind that:
(1) You have a logical, realistic plan and
(2) You can pull it off.
The abstract should identify the
problem and your solution to the
problem, and describe why the
solution will work, plans to
demonstrate the solution and the
benefits to be derived.
Commercial Potential
Describe who/what will benefit
from the success of your work. Develop
either a general or specific pathway to
-------
commercial use. Provide cost analysis data
that have solid data for the conventional
technology(s) and provide an estimate of
how the new process costs-out. Introduce
future plans by including an outline of
where you go after this project and a plan
for how you will interface with your
industry partner.
Key Personnel
Provide qualification and related work
experience for the principal investigator
(PL). Convince the reviewer that you are
the best qualified to carry out the project.
Involve one or more expert consultants
in your project. Identify and obtain
support from an industrial partner.
Equipment/Instrumentation and
Facilities
Briefly describe all equipment and
instrumentation that is available to
support this project. If analytical work or
other tests are performed outside, tell
The proposed budget for
accomplishing your research
plan must be realistic. All direct
cost items must be justified.
who and where. Describe facilities where
project will be carried out. Show how you
fit in the management structure if
necessary.
Proposal Budget
The proposed budget for accomplish-
ing your research plan must be realistic.
Include one month of P.I. time on Phase
I, two months on Phase II. Also include
adequate man-hours of engineering and
technical personnel. You must establish
engineering overhead rate and G&A rate.
All direct cost items must be
justified. Travel must be directly related
to carrying out the project. You must dem-
onstrate the ability to capture direct and
indirect costs as they occur (time sheets
and purchase orders). An accounting sys-
tem appropriate for government contracts
must be in place before a Phase II award
Key Elements of on SBIR Proposal
BENEFITS
Cover Page
Abstract Page
WHAT
Identification
& Significance
of the Problem
Technology
Innovation
1-Page
Proposal
Overview
Background /
Technical
Approach
Objectives
HOW
WHEN
•Schedule and
Deliverables
Commercial
Potential
Applications
& Benefits /
Cost Analysis
Plans for
Phase II
Recognized
Consultant*/
Industry/
Partner*
Key
Personnel
Company
Profile
Management
Structure
•Task
Description
Proposal
References
Detailed
Budget
*Lctter of Intent
can be made. Keep in mind that pre-award
and post-awards audits are likely to be
made.
Proposal Preparation Schedule
Most successful proposals are written
with a timetable or schedule. Provide
sufficient time to think the project
through and adequately research back-
ground. Develop and rework research
approach. Define technical objectives and
develop work plans that adequately satisfy
technical objectives. Prepare a
complete draft of the proposal and leave it
for a few days. Then review the
proposal and make changes that will give
TECHNOVATION Volume2003— 1
rise to significant improvements. You are
now ready to prepare the final draft and
submit the proposal.
From handout created by Oliver}. Murphy,
President ofLynntech, Inc. Lynntech, Inc.
is a multiple SBIR award winner.
For more information:
Oliver J. Murphy
Lynntech, Inc.
7610 Eastmark Drive, Suite 105
College Station, TX 77840
979-693-0017
web site: http://www.lynntech.com/
7
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SBIR Program Success Stories
The following are the success stories of two New England companies that received EPA SBIR Phase III
contracts. The Phase III projects were funded as part of the President's Environmental Technology Initiative
(non-SBIR funding). The technologies, briefly described in this section, hold great promise for future
environmental benefits. These companies demonstrated the technical feasibility and commercialization
potential of technologies that could benefit the public and further the Agency's mission. These companies are:
Niton Corporation, Billerica, Massachusetts and Precision Combustion, Inc., New Haven, Connecticut.
Precision Combustion, Inc.
Precision Combustion, Inc. (PCI) of
New Haven, Conn., has developed a light-
weight, highly efficient Microlith*
catalytic automotive pre-converter based
upon a novel reactor engineering design.
It is a fast lightoff catalytic device capable
of significantly reducing automotive emis-
sions when placed in an automotive exhaust
system upstream of a conventional catalytic
converter. Research funded by EPA has
resulted in successful concept feasibility test-
ing and technology demonstration, as well
as significant progress in prototype manu-
facture and pre-commercialization trials
with automakers and Tier 1 automotive
suppliers. Additional applications for the
technology are being developed for marine
4-stroke engine, heavy-duty natural gas 1C
engine, and small 2-stroke utility engine
emissions reduction.
Environmental Significance
PCI's pre-converter, used with a
conventional main converter, offers a simple
and durable solution to reducing cold start
emissions. The technology will enable
automakers to equip light-duty vehicles, at
reasonable costs, with emission systems that
meet the Ultra-Low Emissions Vehicle
(ULEV) standards required for the cleanest
segment of their fleets, as mandated by the
new National LEV program. The National
LEV, or the "Voluntary National Low
Emission Vehicle Program for Light-Duty
Vehicles and Light-Duty Trucks," applies
to 1999 and later model-year light-duty
vehicles to be sold in the Northeast Trad-
ing Region, and 2001 and later model-
year light-duty vehicles to be sold
throughout the United States. ULEV
emission standards for a light vehicle cer-
tification have been established at levels
not to exceed (@50,000 miles, in g/mile):
CO (1.7), NMOG (non-methane or-
ganic gases) (0.04), NOx (0.2) and form-
aldehyde (0.008).
Through EPA support, PCI's
technology has evolved via a number of
crucial Federal Test Procedure (FTP) and
New European Driving Cycle (NEDC)
automotive tests at major U.S., Asian and
European automotive companies and at
their Tier 1 supplier test facilities.
Impact of Commercial Success
PCI was founded in 1986, and has
grown since its first EPA funding from
four employees to 40 employees. PCI has
developed a broad-based, world-leading
technology in the core areas of ultra-low
NOx gas turbine catalytic reactors for ex-
haust after treatment, fuel cell systems,
and chemical processes. PCI is now work-
ing to commercialize its technologies
through industrially funded strategic alli-
ances with major manufacturers. PCI
product development has been supported
by a combination of government R&D
contracts, direct major manufacturer
investment and equity investment.
PCI's success has been recognized
through various awards, such as the
"Tibbetts Awards" in 1998 from the Of-
fice of Technology, U.S. Small Business
Administration, in recognition of its unique
contributions as a "Small Business Inno-
vation Research Model of Excellence."
Other awards include selection as one
of five for the 1998 Environmental Tech-
nology Innovator Award by EPA New
England and selection by Deloitte &
Touche as one of the fifty fastest
growing high technology companies in
Connecticut for the last three years in
a row.
For more information:
Tom Lamb
Precision Combustion,
41 OSackett Point Road
New Haven, CT 06473
203-287-3700 ext. 2 76
email: kwexler@precision-
combustion.com
Inc.
Disclaimer: EPA has not examined any technology and does not endorse or recommend any product offered for sale by companies
featured in this publication. Furthermore, EPA has not confirmed the accuracy or legal adequacy of any disclosures, product
performance or other information provided by the companies or presenters and used by EPA in production of this publication.
TECHNOVATION Volume2003 —1
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NITON Corporation Detects Lead On-Site In Situ
Corporation, located in
Billerica, Mass., has developed
several XL Series Spectrum Analyzers to
measure up to 25 different elements in
soil, paint, dust wipes and filters.
NITON has a patented portable
detection system, which uses x-ray
fluorescence (XKF) of elements coupled
The NITON XRF was able to take up
to 100 samples a day and analyze
the samples at a significantly lower
cost than conventional analysis.
with microelectronics and a solid state
semiconductor detector to detect lead
and other elements. At the completion
of the SBIR Phase II cycle, NITON had
developed an instrument capable of
detecting deeply buried and layered lead
in paint as well as surface lead. In Phase
III, NITON focused on completing a
NITON XL Spectrum Analyzer, afield
portable fluorescence analyzer.
dual-detector instrument that would
give better performance and reduce
detection limits of the current lead and
multi-element analyzers. The dual-
detector instrument analyzes lead and up
to 17 other elements in less than a
minute. Subsequent innovations have
enabled enhanced versions of these
instruments to quantify all eight RCRA
metals in-situ.
Environmental Application
The NITON analyzers are capable of
measuring lead contamination in paint,
soil and dust wipes. An example of this
technology's application is illustrated in
a recent lead abatement project
conducted by Fuss & O'Neil. The site,
located in a rural area in western
Connecticut, was a rifle and handgun
firing range, which was under agreement
for sale if the lead contamination could
be removed prior to a pre-set closing
date. The site had approximately 270
tons of lead contaminated soil. The
project manager was able to
rapidly identify "hot spots" of
contamination with the NITON
XL-700 Series analyzer.
The State of Connecticut
required that lead be removed to
below 500 ppm in soil and have a
mobility criterion of less than
0.015 ppm. The initial challenge
for the contract engineers, Fuss &
O'Neil, was gaining state approval
for the use of the NITON XRF.
To accomplish this goal, Fuss &
O'Neil took 21 soil samples at the
site and had confirmatory labora-
tory analysis performed. This
gave the state confidence in the
NITON analyzer's precision and
accuracy for identifying lead con-
tamination on-site. The technol-
ogy was, therefore, used as the pri-
mary decision-making tool to
evaluate the site and to provide
"real-time" measurements for the
INEEL found NITON'S dual-detector
analyzer of high quality and able to
measure lead in paint and other
elements within minutes saving
significant costs during paint removal
activities.
remediation activity. The NITON XRF
was able to take up to 100 samples a day
and analyze the samples at a significantly
lower cost than conventional analysis.
Verification Studies
The evaluation of NITON's lead
analyzer by the Connecticut Department
of Environmental Protection is one of
several that have been conducted since
1994. An evaluation performed by the
Idaho National Environmental
Evaluation Laboratories (INEEL)
found NITON's dual-detector analyzer
of high quality and able to measure lead
in paint and other elements within min-
utes saving significant costs during paint
removal activities. A video illustrating
this evaluation is available through
INEEL or NITON. The NITON
Corporation has also participated in
the Environmental Technology
Verification (ETV) program. The report
can be obtained from EPA's web site at
www.epa.gov/etv.
For more information:
Jonathan J. Shein
Executive Vice President, Sales &
Marketing
NITON Corporation
900 Middlesex Turnpike,
Building 8
Billerica, MA 01821
978-670-7460
1-800-875-1578
email: sales@niton.com
TECH NOVATION Volume 2003 —1
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Matrix of Characteristics of Federal Agency SBIR Programs
Contract vs Grant
Maximum Phase 1 Amount
# of Phase 1 Awards
Maximum Phase II Amount
#of Phase II Awards
Profit/Fee Allowed
Phasel/ll Gap Funding
# of Solicitations per Year/# of Due Dates
Solicitation Access: Electronic or Paper
Electronic or Paper Proposal Submission
Dept. $s Possible for Phase III
Renewal Required to Stay on Mailing List
Advanced vs Progress Payments
Phase III Funding Precommit Required
% Pi's Time Required with Firm
Open Ended (Broad) Topics
Solicitation Open Date
Solicitation Close Date
Notification Date
Contact OK w/ Tech Rep When Solicit Out
% Phase 1 Applications Awarded
% Phase II Applications Awarded
Debriefing Request: Oral or Written
Debriefing: Oral or Written
US DA
G
$80k
90
$300k....
35
Y
Y
1/1
E, P
P
N
Y
AorP ....
N
51%
Y
June
Aug
Mar
Y
18%
50-60%...
Auto
W
DOC
NOAA/NIST
C
$75
40
.... $300k
20
Y
N
1/1
E
P
N
N
P
N
51%
Y
Oct
Jan
... July/Sept ....
N
10%
... 30-50%
W
W
4
Air Force Army
C
. $100K...
.... 350
.. $750k+...
....250
Y
Y
1/1
....E, P
P
Y
Y
P
Fast Track.
... Negot ....
N
.... Oct
Jan
.... May
N
....12%
....50%
W
W
C
... $70/1 20k...
200
$730k/750k+
100
Y
Y
1/1
E, P
E
Y
Y
P
.. Fast Track ..
Negot
N
May
Aug
Nov
N
9%
53%
W
W
DOD
DARPA
C
.... $99k
100
.. $750k+
45
Y
Y
2/2
E, P
E, P
Y
Y
P
Fast Track
51%
N
. Dec/May
.. Jan/Aug
.. Mar/Oct
N
25%
45%
W
W
About CEIT
EPA's Center for Environmental Industry
and Technology (CEIT) continues to
move forward with our mission to
promote New England's environmental
technologies. We have embarked on
numerous programs and projects designed
to sustain the strength of the environ-
mental industry, make it easier to
commercialize new technologies, provide
more flexibility for environmental
technologies buyers and reduce costs for
the regulated community. CEIT acts as a
point of contact for the environmental
industry, technology developers, investors
and other interested stakeholders,
providing an ombudsman service for
those seeking assistance on the
development of new technologies. The
following are highlights of our services:
Golden Opportunity
Seminar Series
Through this series, participants learn
about technology transfer; assistance
and verification opportunities; and
financing opportunities.
Technology Trade Shows
Technology Trade Shows showcase
new and innovative technologies.
CEIT is now featuring web-based
or "virtual" trade shows focused on
decentralized wastewater and storm
water technologies.
Innovative Technology
Inventory
This web-based database contains
information on descriptions, applica-
tions, performances, limitations, and
costs of innovative environmental
technologies.
Technovotion
CEIT's technical bulletin highlights
promising technologies developed by
New England companies and provides
information on important issues.
Ombudsman Hotline
CEIT offers assistance, information,
and referrals on a wide range of federal
and state programs to the industry
through its Ombudsman Hotline:
1-800-575-CEIT.
CEIT HomePoge
A visit to our Home page at
www.epa.gov/ne/assistance/ceit
will give you up-to-date information on
business opportunities, upcoming events,
links to other web sites of interest to the
envirotech industry, and access to the
Virtual Trade Shows and the Innovative
Technology Inventory.
10
TECHNOVATION Volume2003 —1
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ED
DOE
HHS
DOT
EPA NASA NSF
BMDO Navy
C C C G C G C C C G
$65k $70/$100k $60K $100k $100k+ $100k+ $100k $100k $70K $100k
167 223 55-61 215 28 963 20 40 300 212
$600k/750k $600k/750k $300k $750k $750k $750k+ $750k $225k/295k.... $600k $500k+
69 191 10-15 90 18 266 10 10 100 108
Y... ...Y... ...Y... ...Y... ...Y... ...Y... .. Y... ...Y... ...Y.... ... Y
Y
1/1
E. P...
Y
2/2
.. E. P ...
N
1/1
...E.P...
N
1/1
.. E.P...
N
1/1
...E...
Y
1/3
...E ...
N
1/1
... E...
N
1/1
...E...
N
1/1
.. E ..
N
2/2
...E
E, P
Y
Y
P
Fast Track..
51%
Y...
E
Y
Y
P
. Fast Track ....
Negot
.. N ..
P
N
Y
P
N
51%
...N...
P
Y
Y
AorP ..
N
51%....
.. N ...
P
N
No list
P
... Encouraged
51%
...Y...
P
N
No list
A
Encouraged...
51%
Y
.... E, P
Y
.... N/A
P
N
,...51%
... N ..
P
N
N/A
p
N
51%
Y
E
Y
N/A
A
N
51%
.. N ...
E
N
N/A
P
N+
51%
...Y
Oct Oct/May Jan Oct Sept Jan Feb Mar June Mar/Oct
Jan Jan/Aug April Jan Nov Apr/Aug/Dec May May Aug June/Jan
May May/Dec Aug June Varies Varies Oct July Nov Dec/July
N... .. N .. ...Y... ..N... ...N... ...Y.. ...N.. ...N... .. N ... ...N
36%
53%
W
W ...
14%
53%
W
...O/W...
20%
36%
Auto
.. O/W...
25%
50%
O/W
...W...
20%
55%
W
...O/W...
27%
39%
Auto
... W...
6%
50%
W
...W...
8 to 1 0%
30 to 40%
W
... W ..
18%
40%
E
.. E ..
15%
50%
Auto
... W
Envirotech News
CEIT's free monthly listserve,
EnvirotechNews, contains information
on government funding opportunities,
technology opportunities, future needs,
Environmental Technology Verification
(ETV) opportunities, and upcoming
events. To subscribe, send an email to
lyris@lists.epa.gov with any subject line; the
body of the message must only contain:
subscribe envirotech news [your first
name] [your last name].
If you would like to know
more about CEIT services or
events, please contact
Maggie Theroux or
Junenette Peters of CEIT at
l-800-575-CEIT(2348)or
617-918-1783.
State Economic Development Contacts
Resources for all U.S. states: www.winbmdo.com/4states/4states.html
Connecticut:
Pamela Hartley
Director, Business Development
Connecticut Innovations
999 West Street
Rocky Hill, CT 06067-3019
Phone: 860-563-5851
Fax: 860-563-4877
email: pamela.hartley@ctinnovations.com
www.ctinnovations.com
Maine:
Rick Alexander
Director of Market Dev. Center
Eastern Maine Development Corporation
1 Cumberland Place, Suite 300
P.O. Box 2579
Bangor, ME 04402-2579
Phone: 207-942-6389
Fax: 207-942-3548
email: ralexander@emdc.org
Massachusetts:
Robert Kispert
Director of Federal Programs
Massachusetts Technology Collaborative
75 North Drive
Westborough, MA01581
Phone:508-870-0312
Fax: 508-898-2275
email: kispert@mtpc.org
New Hampshire:
Joe Flynn, Program Procurement Manager
NH PTAC
State of New Hampshire DRED
1 72 Pembroke Rd., P.O. Box 1 856
Concord, NH 03302-1856
Phone: 603-271-2591
Fax: 603-271-6784
email:jflynn@dred.state.nh.us
www.nheconomy.com
Rhode Island:
Kathi Hotalen
Government Business Specialist
Rhode Island Econmic Dev. Corp.
1 West Exchange St.
Providence, Rl 02903
Phone:401-222-2601
Fax:401-222-2102
email: jsheehan@riedc.com
www.riedc.com
Vermont:
Janice St.Onge
Technical Business Dev. Director
Vermont Dept. of Economic Development
National Life Building-Drawer 20
Montpelier, VT 05620-0501
Phone: 802-828-3211
Fax: 802-828-3258
email: ianice@thinkvermont.com
TECH NOVATION Volume 2003 —1
11
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Commercializing Technology
Goals/Capabilities
The first step to commercialization is think-
ing about your goals and capabilities. Why
do you want to commercialize? Is it to make
money? Do you have other goals of suc-
cess, such as prestige or publications? These
goals can be translated into clear objectives
for future negotiations. In
setting objectives, it helps to distinguish
among must-have items, like-to-have items
and no-way items. The first set enables
you to meet your goals. If someone offers
them to you, take them. Everything else
is nice to have and sweetens the deal. Of
course, avoid the no-way items. Now
The first step to commercialization is
thinking about your goals and
capabilities. Why do you want to
commercialize?
review these goals to bring them into
coherence with your firm's business
strategy, positioning and capabilities.
Remember that you must have something
to sell. You must be able to complete
R&D, design the product, complete
production engineering, produce the
product, support it and distribute it. If you
do not have all the capabilities and
resources needed to get the product or
service to market on your own, partnering
for these capabilities and resources is
probably going to be a key part of your
goal for commercialization.
Your Technology
The second step in commercializing is
to figure out who will buy your
technology. To do so, you must find where
the performance and characteristics of
your technology intersects with the needs
of end-users. You must make it cheaper
or easier for the users to do their job or
make it possible for them to sell something
new or more of what they already sell. In
short, if the users cannot have a better life
or make money from your technology,
why buy it? You can find out about needs
through web searches, traditional library
literature searches, contacting associations
and requesting road-maps or other au-
thoritative statements of their
members' needs or by interviewing
You must make it cheaper or easier
for the users to do their job or make
it possible for them to sell
something new or more of what
they already sell.
experts. Also important is to understand
the standards, certifications and
government regulations the users will
expect your technology to meet or
comply with.
Market Conditions
The third step is to investigate
market conditions. What technology will
you compete against? What firms? How
do firms who sell to end-users compete
in the industry? How do firms who will
be vying with you to
sell technology to the firms that
manufacture and distribute products for
and to the end-user compete? To find out
You must be able to complete
R&D, design the product,
complete production engineering,
produce the product, support it
and distribute it.
about technology, look at: (1) patents
(www.uspto.gov), (2) federal
research and development projects, (3)
scholarly literature, (4) news groups, (5)
list servers, (6) conferences/symposia and
(7) preprint repositories. To
evaluate the size, structure and
dynamics of the market, contact:
experts; associations; leading firms
competing in the market; and, web
services like Electric Library and Dialog.
Find a market where you think you can
successfully compete.
Doing Deals
Now you need a partner to help you
commercialize the technology. Usually
this will be a major corporation, but it
also can be another small company, a
venture capitalist or angel, or even a state
agency funding high tech economic
development or environmental projects.
When you talk with your targets, in
order to better plan and move to a deal,
ask the following kinds of questions:
What technology will you compete
against? What firms? How do firms
who sell to end-users compete in the
industry?
Who are the decision makers? How long
is the decision process? Who will be
involved and in what roles or functions?
What criteria will be important and why?
What specific information will be
desired? Are their models or examples of
deals that the target has made in the past?
Summary of presentation by Phyl Speser,
J.D., Ph.D., a nationally known SBIR
proposal preparation expert and an SBIR
multiple award winner.
For more information:
Phyl Speser
Foresight Science & Technology
P.O. Box 6815
New Bedford, MA 02742
508-984-0018 ext 12
email: phyl@seeport.com
web site: www.seeport.com
12
TECHNOVATION Volume2003 —1
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Federal Agency SBIR/STTR Program Contact Information
Each participating federal agency administers its SBIR/STTR program differently. Each has its own priorities and
areas of focus. The following lists provide general and participating agency contact information. The National
SBIR Conference Center is a particularly good source of consolidated resource information. The web site of the
participating agencies provides additional information on the agency's SBIR/STTR program from which you can
download current solicitations.
General Contact Information
Small Business Administration (SBA)
web Site: www.sbaonline.sba.gov/SBIR/
phone: 202-205-6450
email: robert.connolly@sba.gov
National SBIR Conference Center
web Site: www.zyn.com/sbir/
phone: 360-681-4123
email: info@zyn.com
Agency Contact Information
DOC, NOAA, SBIR/ORTA
web site: www.rdc.noaa.gov/~amd/
sbir.html
phone:301-713-3565
email: joseph.bishop@noaa.gov
NIST
web site: www.nist.gov/sbir
phone: 301-975-3085
email: sbir@nist.gov
DOD
web site: www.acq.osd.mil/sadbu/sbir/
phone: 866-724-7457
Air Force
web site: www.afrl.af.mil/sbir/
index.htm
phone: 800-222-0336
email:
afrL.xptt.dl.sbir.hq@wpafb.af.mil
Army
web site: www.aro.army.mil/
arowash/rt/
phone:703-617-7425
email: aro-sbir@hqamc.army.mil
BMDO
web site: www.winbmdo.com
phone: 703-697-3641, or
866-724-7457
DARPA
web site: www.darpa.mil/sbir/
DOD (cont.)
Navy
web site: www.navysbir.com
phone: 703-696-8528, or
703-696-0342
email: schapev@onr.navy.mil, or
williajr@onr.navy.mil
NIMA
web site: www.nima.mil/poc/
contracts/sbir/sbir.html
phone: 301-227-1966
email: sbir@nima.mil
SOAC
web site: soal.socom.mil
phone: 813-828-6593
email: SADBU@socom.mil
DOE
web site: science.doe.gov/sbir/
phone: 301-903-1414
email: sbir-sttr@science.doe.gov
DOT
web site: www.volpe.dot.gov/sbir/
phone: 617-494-2051
email: henebury@volpe.dot.gov
ED
web site: www.ed.gov/offices/OERI/
SBIR/
phone: 202-219-2004
email: Lee_Eiden@ed.gov
TECHNOVATION Volume2003— 1
EPA
web site: es.epa.gov/ncer/sbir/
phone: 800-490-9194
HHS NIH
web site: www.nih.gov/grants/funding/
sbir.htm
phone: 301-435-2688
email: goodnigj@od.nih.gov
NASA
web site: sbir.nasa.gov
phone: 301-286-8888, or
301-937-0204
email: sbir@reisys.com
NSF
web site: www.eng.nsf.gov/sbir/ phone:
703-306-1390
email: sbir@nsf.gov
USDA
web site: www.reeusda.gov/sbir
phone: 202-401-4002
email: ccleland@reusda.gov, or
wgoldner@reusda. gov
13
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®EPA
New England Office
Center for
Environmental
Industry &
Technology
EPA New England
1 Congress Street Suite 1100 (SPI)
Boston, MA 02114-2023
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