EPA/600/R-15/161
June 2015
U.S. EPA Water Technology Innovation Cluster Leaders Meeting
Federal Funding Opportunities for Early-Stage Water Companies
April 27,2015
Pittsburgh, Pennsylvania
Meeting Summary Report
Developed by:
Abt Associates
Bethesda, Maryland 20814
Under EPA Contract No. GS07F136AAEP-G14H-00969
Environmental Technology Innovation Clusters Program
Immediate Office of the Assistant Administrator
Office of Research and Development
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268
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DISCLAIMER
This report was funded by the U. S. Environmental Protection Agency (EPA) under EPA Contract
Number GS07F136AA/EP-G14H-00969 to Abt Associates. EPA does not endorse the purchase or sale of
any products or services from companies mentioned in this document. This report has been subjected to
the Agency's peer and administrative reviews and has been approved for publication as an EPA
document. The views expressed by individual speakers/participants, however, are their own, and do not
necessarily reflect those of EPA
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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ACKNOWLEDGEMENTS
The U. S. EPA Office of Research and Development (ORD) wishes to extend its appreciation to the
following speakers and panelists for sharing their expertise and perspectives: Jack Adams, Calgon Carbon
Corporation and Water Economy Network; Prakash Balan, National Science Foundation; Jason Bernard,
Water Economy Network; Jon Capacasa, U. S. EPARegion 3; Grant Ervin, City of Pittsburgh,
Pennsylvania; Phil Fatula, Lanxess; Heather Henry, National Institutes of Health/National Institute of
Environmental Health Sciences; Michael Hoops, Axiall Corporation; Kelly Hunt, U.S. Small Business
Administration Pittsburgh District Office; LekKadeli, U.S. EPA ORD; Julie Lenzer Kirk, U.S.
Department of Commerce, Economic Development Administration; Ali Mohamed, National Institute of
Food and Agriculture, U.S. Department of Agriculture; Manny Oliver, U.S. Department of Energy; April
Richards, U.S. EPA ORD; J. Richard Schorr, MetaMateria; Devesh Sharma, Aquatech International
Corporation; James Uber, CitiLogics; Ken Wolf, RedZone Robotics, Inc.; and Hanbae Yang, ABS
Materials Inc.
EPA ORD would like to thank the Water Economy Network (WEN) for partnering with EPA in hosting
this event. In particular, EPA would like to thank the following WEN representatives for their time and
efforts in helping with the planning and execution of this event: Jack Adams, Jason Bernard, and Stephen
McKnight.
The following EPA ORD staff aided in the planning, implementation and logistical coordination for the
meeting: Aimee Boucher, Ryan Connair, Julius Enriquez, Bernadette Fay, Sally Gutierrez, TeresaHarten,
Maggie Theroux, and Abby Waits.
Logistical support for the meeting also was provided by Jennifer Myers, EPA Conference Planning
Services.
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015 ii
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EXECUTIVE SUMMARY
The U. S. Environmental Protection Agency (EPA) partnered with the Water Economy Network (WEN)
to host a Water Technology Innovation Cluster Leaders Meeting on April 27, 2015, in Pittsburgh,
Pennsylvania. Approximately 75 individuals attended. The meeting was organized to bring together
various government staff and cluster leaders to discuss federal funding opportunities for early-stage water
technology companies. Participants included federal, state, and city government officials, water
technology developers and entrepreneurs, non-profit organization representatives, business and
technology consultants, and university representatives—all of whom expressed an interest in sharing and
learning about federal funding that is available for small water technology companies.
Several federal representatives gave presentations outlining opportunities for funding through the Small
Business Innovation Research (SBIR) program. Staff from EPA, the U.S. Department of Energy, the
National Institutes of Health, the U.S. Department of Agriculture, and the National Science Foundation
presented on a panel. They discussed the types of projects that each agency's SBIR program funds,
application process logistics, and the characteristics of good proposals and candidates. A representative
from the Small Business Administration (SBA) explained the support that SBA provides for small
businesses, including serving as a guarantor of loans that can help businesses grow. Ms. Julie Lenzer
Kirk, Director of the Office of Innovation and Entrepreneurship at the U.S. Department of Commerce
within the Economic Development Administration, provided the luncheon keynote address.
In the second panel, previous awardees of SBIR funding spoke to the importance of finding a niche
market for a technology, connecting with universities to expand resources and ideas, and working with
the water clusters' member companies to find demonstration platforms. Athird panel provided the
meeting attendees with information from water cluster anchor companies. They discussed the benefits of
belonging to a water cluster, including the opportunities to become aware of new technologies that are
being developed by regional businesses and to interface with academic and regulatory entities.
In addition to the primary presentations, two breakout discussion sessions allowed for the federal SBIR
representatives to discuss bestpractices for leveraging SBIR awards with cluster leaders. They
highlighted the importance of proving commercialization potential in SBIR applications, among other
rec ommendations.
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TABLE OF CONTENTS
DISCLAIMER i
ACKNOWLEDGEMENTS ii
EXECUTIVE SUMMARY iii
TABLE OF CONTENTS iv
ABBREVIATIONS AND ACRONYMS v
INTRODUCTION AND OVERVIEW 1
WELCOME TO PITTSBURGH 1
PERSPECTIVES ON WATER TECHNOLOGY INNOVATION FROM U. S. EPA OFFICE OF
RESEARCH AND DEVELOPMENT AND REGION 3 1
WATER CLUSTER LEADERS ROUND-THE-ROOM INTRODUCTIONS AND UPDATES 3
SMALL BUSINESS ADMINISTRATION OVERVIEW 4
OVERVIEW OF FEDERAL SMALL BUSINESS INNOVATION RESEARCH (SBIR) WATER
AWARDS 5
PANEL: SBIR PROGRAM MANAGERS 6
LUNCHEON KEYNOTE SPEAKER 9
U.S. DEPARTMENT OF ENERGY SBIR PROGRAM 10
PANEL: SBIRAWARDEES AND PERSPECTIVES ON APPLICATION PROCESS AND
EXPERIENCE WITH AWARDS 11
BREAKOUT SESSIONS AND IN-DEPTHDISCUSSIONS: "COMPANY EXPERIENCES AND
RECOMMENDATIONS FOR CLUSTER LEADERS—SHARING BEST PRACTICES ON
LEVERAGING SBIR AWARDS, PERSPECTIVES OF ANCHOR COMPANIES, ETC." 13
PANEL PERSPECTIVES FROM WATER CLUSTER ANCHOR COMPANIES 15
FINAL COMMENTS, NEXT MEETING 17
APPENDIX A PARTICIPANTS LIST 18
APPENDIX B: MEETING AGENDA 21
APPENDIX C: HOW TO SEARCH FOR SBIR AWARDS FOR WATER TECHNOLOGY IN YOUR
AREA 24
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015 iv
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ABBREVIATIONS AND ACRONYMS
DOD
DOE
EDA
EPA
LIFT
LINC
NEWIN
NIH
NIEHS
NIFA
NSF
ORD
SBA
SBDC
SBIR
SO WC
STTR
R&D
USDA
WEF
WEFTEC
WEN
U.S. Department of Defense
U.S. Department of Energy
Economic Development Administration
U.S. Environmental Protection Agency
Leaders Innovation Forum for Technology
Leveraging Information and Networks to access Capital
New England Water Innovation Network
National Institutes of Health
National Institute of Environmental Health Sciences
National Institute for Food and Agriculture
National Science Foundation
Office of Research and Development (EPA)
U.S. Small Business Administration
Small Business Development Center
Small Business Innovation Research
Southern Ontario Water Consortium
Small Business Technology Transfer
research & development
U.S. Department of Agriculture
Water Environment Federation
Water Environment Federation's Annual Technical Exhibition and Conference
Water Economy Network
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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INTRODUCTION AND OVERVIEW
The U. S. Environmental Protection Agency (EPA) Water Technology Innovation Cluster Leaders
Meeting was held on April 27, 2015, in Pittsburgh, Pennsylvania. Environmental technology innovation
clusters are regional groupings of businesses, government, research institutions, and other organizations
focused on innovative technologies for protecting the environment. As part of its efforts to support
environmental technology innovation clusters, the EPA Office of Research and Development (ORD)
hosts periodic water technology innovation cluster leaders meetings.
The purpose of this workshop was to focus on federal programs that support funding of water
technologies. Small Business Innovation Research (SBIR) program managers from multiple federal
agencies and a representative from the U.S. Small Business Administration (SBA) presented. Previous
awardees of SBIR funding and water cluster anchor companies also presented at the meeting. Two
breakout sessions allowed for cluster leaders to ask questions and hold discussions with the SBIR
program managers.
WELCOME TO PITTSBURGH
Sally Gutierrez, Director, Environmental Technology Innovation Clusters Program, U.S. EPA Office
of Research and Development; Jack Adams, Director of Government Affairs, Calgon Carbon
Corporation and Chairman, Water Economy Network; Grant Ervin, Sustainability Manager, City of
Pittsburgh
Ms. Sally Gutierrez welcomed participants to Pittsburgh and introduced Mr. Jack Adams, Chairman of
the Water Economy Network (WEN). Mr. Adams began with a short video that showed how Pittsburgh is
a center of growth and innovation. Relisted the members of WEN and noted that Fourth Economy
Consulting has been instrumental in keeping members of WEN focused as a regional water cluster. Mr.
Adams introduced Mr. Grant Ervin, who emphasized that Pittsburgh has a strong culture of innovation.
Mr. Ervin explained that much of his time as the city's Sustainability Manager is spent working on water
issues, including regulation of water resources and innovative water technologies. To address water
quality issues, the City of Pittsburgh has focused on creating green infrastructure by fostering water
technology and innovation. They have conducted outreach to partners, such as WEN, universities, and
other private-sector organizations, to unite and focus them on creating solutions for the city's most
pressing water problems.
PERSPECTIVES ON WATER TECHNOLOGY INNOVATION FROM U.S. EPA OFFICE OF RESEARCH
AND DEVELOPMENT AND REGION 3
LekKadeli, Acting Assistant Administrator, U.S. EPA Office of Research and Development; Jon
Capacasa, Water Division Director, U.S. EPA Region 3
Mr. LekKadeli described a time when he met with a U.S. Congressman who was upset with perceived
negative economic impacts of a recent EPAregulation that could affect his district's businesses. Mr.
Kadeli explained to the Congressman that this was a great opportunity to usher green infrastructure
development into the area.
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Mr. Kadeli commended Pittsburgh and other cities for highlighting their investments in green
infrastructure, and thanked all participants for attending and WEN for their innovative efforts. He went on
to explain that small businesses are a vital part of the American economy, generating 60 to 80 percent of
new jobs, creating new technologies, and turning these innovations into market-ready solutions. At EPA,
the SBIR funding program is enabling small businesses to translate innovative technologies into
commercial products that solve pressing environmental problems in our nation's communities. Through
this program, entrepreneurs are able to turn environmental challenges into business opportunities.
Mr. Kadeli gave several examples of SBIR grant recipients, including a Massachusetts-based company
that has created a technology that transforms wastewater into energy. Small businesses need more than
just funding in order to bring new technologies to the marketplace, according to Mr. Kadeli. They need
access to incubators, test-beds, venture capital, potential end-users, and other resources. With the help of
clusters, SBIR awardees are more likely to connect with these resources and turn their technologies into
commercial products. Mr. Kadeli stated that he hoped the day's meeting would provide attendees with the
tools to help small businesses successfully compete for SBIR funding.
Next, Mr. Jon Capac as a welcomed the attendees to the region. He discussed issues in EPARegion 3,
which includes the city of Pittsburgh, that drive the need for new water technology innovation, including:
1. Sustainability/climate change/resilience: Mr. Capacasa explained that sustainability embodies the
principles of taking a longer view, achieving multiple benefits, preventing pollution at the source,
reducing footprints (water, carbon, and energy), and preserving precious, limited resources.
Advanced water technologies are needed to make communities more resilient to climate change.
2. Excess nutrient pollution: He highlighted the need for green infrastructure to promote clean
water. These technologies relate to bioretention, infiltration, and evaporation processes. He stated
that leaders in these techniques include Philadelphia, Pennsylvania; Washington, D.C.; and Prince
George's County, Maryland, among others. Region 3 has focused on the concept of "net-zero
energy" including a new vision for local wastewater treatment facilities to function instead as
resource recovery facilities. Next, he noted that algal blooms are a huge concern in the region,
especially in the Chesapeake Bay, and that manure runoff must be minimized. There is a great
need for more real-time monitoring technologies with respect to this issue.
3. Safeguarding drinking water sources: Region 3 features vital w ater res our ces that need to be kept
clean. There is a need for further development of contaminant warning systems to safeguard
against security threats to water quality. Source water protection requirements are also apriority
in Region 3, especially in light of the recent Charleston, West Virginia spill. Further development
of early detection systems for monitoring emerging contaminants and spills is needed.
4. Energy/water nexus: Region 3 is partnering with states to try to reduce the water footprint of
energy extraction and processing and increase water recycling and reuse. These efforts also
require technological innovation.
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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WATER CLUSTER LEADERS ROUND-THE-ROOM INTRODUCTIONS AND UPDATES
Ms. Sally Gutierrez asked the cluster leaders to discuss progress and accomplishments since the
September 2014 meeting:
• Jason Bernard, Director, Emerging Partnerships, Fourth Economy Consulting and WEN: Since
the last meeting, WEN re-tooled its work plan. It implemented a three-pronged approach towards
service delivery to their member companies: (1) technology acceleration by identifying new
technologies, systems, and vendors; (2) policy barrier elimination by working through regulations
that impede small business progress; and (3) communication of their issues and needs.
• Jeff Bronow ski, City of Akron, Ohioand Akron Global Water Alliance: Mr. Bronowski explained
that the Akron Global Water Alliance is a new initiative that kicked off last year with the intent to
promote new technologies domestically and internationally. They have partnered with several
different international organizations to demonstrate water technologies at U. S. water utilities.
These activities help identify new water technologies that could be established at U.S. water
utility systems, including in Akron, Ohio.
• Karl Mundorff, Director of Research Programs, Oregon BEST: Mr. Mundorff s organization is
just starting a regional water cluster. They attended the Water Environment Federation's
Technical Exhibition and Conference (WEFTEC), held meetings at Portland State University, and
established two new water laboratories at Oregon State University where stormwater
management technologies are being developed.
• Acharya Kumud, Research Professor, Desert Research Institute: Mr. Kumud was at the meeting
to represent the Nevada Center of Excellence for Water, anew initiative started by the
Governor's Office of Economic Development. The recent economic recession prompted the
Nevada government to diversify the state's economy, which led to a focus on water issues. The
Nevada Center of Excellence for Water brings stakeholder groups together to address water
challenges.
• Thomas Schumann, Managing Member, L.A. Water Cluster LLC: Mr. Schumann discussed the
recent creation of L.A Water Cluster LLC. He has attended recent water technology events and is
interested in furthering a partnership between California and Israel to advance water technologies.
Mr. Schumann is seeking $100,000 in seed funding for the cluster.
• Alan Vicory, President, Confluence: Mr. Vicory stated that Confluence has been a cluster for four
years and that they are developing a virtual campus for Confluence members to access technology
development information. Confluence is also focused on connecting to utility companies and
enhancing technology development for addressing algal toxins. The organization is receiving an
award from the Federal Laboratories Consortium.
• Dan Page, Southeastern Water Coalition: Mr. Page's engineering firm is involved in a methane-
recovery project with BMW. They have additionally set-up operations in Research Triangle Park,
North Carolina for manufacturing of new technologies under the direction of a scientist from
Europe. One of their projects is a technology that removes pathogens and nutrients from water.
The Southeastern Water Coalition is trying to expand and build partnerships with universities in
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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the Southeastern United States. He emphasized the need for both profitability and sustainability in
water technology industries.
• Gary Keller, CEO, Xom.ix.Ltd.: Xomk is a biotechnology accelerator that builds and funds start-
up companies relating to technology and economic development. Mr. Keller is the industry leader
for GSUH2O Tech, a water cluster that is based out of Georgia State University. Mr. Keller
serves on the financial committee for an online portal of service technology providers called
WIPO Green. WIPO Green works with the National Center for Environmental Health to look at
their objectives and how business can enhance environmental health technologies.
• Karen Golmer, Executive Director, New England Water Innovation Network (NEWIN): Ms.
Golmer explained that NEWIN incorporated about ayear ago, and has about 30 start-up business
members. Their focus is on local innovation for global impact. NEWIN hosts symposiums
regarding water innovation in Massachusetts, and is focusing on establishing a test-bed network
to accelerate innovation and commercialize products.
• Brenda Lucas, Executive Director, Southern Ontario Water Consortium (SOWC): Since 2010, the
City of Ontario has focused on enhancing the water technology sector. SOWC was created to
establish the physical facilities in which companies can do real-world demonstrations, specifically
of wastewater treatment technologies for municipal facilities and watershed quality monitoring.
• Elizabeth Thelen, Director of Entrepreneur ship & Talent, The Water Council: Ms. Thelen
mentioned several of the Water Council's initiatives including The BREW, a global seed
accelerator for water technology start-up businesses. The Water Council also focuses on outreach
to schools to help make students aware that water is an industry and profession they can choose.
• Louann DeCoursey, Executive Director, Colorado Water Innovation Cluster: This water cluster
has historically served as a consulting-based association but has recently stepped back to create a
membership model and open-source data cooperative.
SMALL BUSINESS ADMINISTRATION OVERVIEW
Kelly Hunt, District Director, U.S. Small Business Administration Pittsburgh District Office
Ms. Kelly Hunt described SBA and the resources it provides to small business owners and entrepreneurs.
SBA was established in 1953 and is a Cabinet-level agency. It was designed to help small businesses
start, grow, and succeed. The Agency is headquartered in Washington, D.C., and has 10 regional offices
and 68 District offices across the country. Seven disaster-center offices are also part of SBA The teams at
these offices are available to help small businesses that are impacted by disasters.
SBA focuses on counseling, capital access, and contracting. Counseling is conducted through SBA's
resource partners. SBAhas three resource partners who receive funding from SBA to provide counseling:
Small Business Development Centers (SBDCs), Women's Business Centers, and SCORE Counseling. In
Pennsylvania, the SBDCs are all based out of colleges and universities, but that varies from state-to-state.
SCORE chapters are groups of retired professionals who volunteer to counsel and work with small
businesses to provide them with business insight. Additionally, the resource partners provide trainings
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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and courses at a small cost. Ms. Hunt encouraged meeting attendees to direct start-up businesses and
entrepreneurs to SBA's resource partners.
In terms of capital ace ess, SBAdoes not lend money, but guarantees loans through lenders. SBAcan
provide guarantees to banks for newer businesses to receive loans. When looking for lending, the best
first-step for businesses is to approach their local lender, who would have knowledge of SBA programs,
as well as state-level programs. These lenders can help start-ups apply for and obtain packages of loans.
Recently, SBA rolled out a new online portal called LINC, which stands for "leveraging information and
networks to access capital." This portal is designed to connect small business borrowers to lenders.
Currently, only non-profit lenders are a part of the LINC system, but eventually, banks and other entities
will be added. The portal can be accessed from the SBA website. To begin using the portal, entrepreneurs
must fill out a short profile with information about their business. This information is then sent to non-
profit lenders who cover the area where a given business is located. Lenders will contact entrepreneurs
whose businesses they are interested in funding.
SBA has staff members that help small businesses who are interested in doing business with the
government via contracting. The U.S. governmentis the largest purchaser of goods and services and is an
advantageous partner for small businesses, according to Ms. Hunt. There are certain programs that feature
"set-aside" contracts that are designed to help typically socially and economically disadvantaged groups,
such as veterans.
The SBA Awards Program recognizes local and state business winners, including Small Business of the
Year, among others. Three businesses in the Pittsburgh district will be recognized in 2015. Winning
businesses at the district level then go on to compete at the state and national levels.
Last year, there were just over 5,000 recipients of the SBIR/Small Business Technology Transfer (STTR)
investment programs nationally. The SBDC network in Pennsylvania is a member of the Innovation
Partnership, and can help businesses receive SBIR/STTR funds. Ms. Hunt encouraged attendees to visit
www.SBAgov for more information.
OVERVIEW OF FEDERAL SMALL BUSINESS INNOVATION RESEARCH (SBIR) WATER AWARDS
Maggie Theroux, Senior Cluster Development Specialist, U.S. EPA Office of Research and
Development
Ms. Maggie Theroux explained that in her earlier career, she was an entrepreneur. She then made a career
change and was hired by EPA Region 1, where she focused on encouraging small businesses to develop
environmental technologies. She worked with the EPA SBIR program manager to create an SBIR
proposal preparation workshop. In 2008, Ms. Theroux moved to the Office of Research and Development
and after that, began focusing on water technologies in the context of SBIR.
Ms. Theroux found that across all agencies, there is a large amount of funding available in SBIR awards.
She explained that from 2012 to 2014, eight federal agencies awarded $90 million to 244 projects. Ms.
Theroux has compiled information relating to SBIR awards since 2006 across eight federal agencies. She
brought together the SBIR program managers from five agencies for this meeting to help water clusters
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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understand the SBIR process. These agencies awarded $74.2 million across 194 projects from2012 to
2014. As shown in Ms. Theroux's PowerPoint slides, water quality monitoring and energy and water
efficiency were the two types of projects most heavily funded by SBIR from 2012 to 2014. Ms. Theroux
also showed graphs revealing which agencies funded specific types of technologies the most. For
example, the U.S. Department of Energy (DOE) is the biggest funder of energy and water efficiency
awards, and EPAis the sole funder of stormwater technologies.
This information can help cluster leaders guide small businesses towards the agencies that are most likely
to fund their type of technology. Ms. Theroux also has detailed instructions for searching www.SBIR.gov
to find SBIR water technology awardees in a given region (see Appendix C for the instructions). Data
from www.SBIR.gov can reveal areas of research concentration, which can help water clusters connect to
groups of companies that are developing technologies that have been funded by the federal government.
Cluster leaders can also connect universities to these technology industries to further expand water
clusters.
PANEL: SBIR PROGRAM MANAGERS
Panel Moderator: Jack Adams, Director of Government Affairs, Calgon Carbon Corporation
Mr. Jack Adams introduced each of the panel members, listing their agency, their title, their primary
projects, and previous relevant experiences.
April Richards, SBIR Program Manager, U.S. EPA Office of Research and Development
Ms. April Richards provided an overview of the federal SBIR/STTR program. SBIR funding goes to
small businesses, while STTR funds partnerships between businesses and universities. The EPA does not
award STTR funds because their budgeting does not meet the threshold for that program. The SBIR
program is a "set-aside" program (meaning that there is always a budget for it, although it may fluctuate)
for small businesses to engage in federal research and development (R&D). The main goal for the SBIR
program is to promote commercialization of technology. Whereas other federal R&D programs aim to
foster scientific discovery or build academic capacity, SBIRhelps to expand businesses. Eleven federal
agencies have SBIR programs that work to promote their individual missions.
SBIR funds critical early-stage and high-risk innovative projects that otherwise may not be funded by
organizations such as venture capital firms. Ms. Richards stated that SBIR programs are a "good deal" for
the small business because there is no repayment, no dilution of company equity, and no cost sharing
required for Phases I and II. She then listed the goals of the SBIR program, including stimulating
technological innovation, and the STTR program, including stimulating and fostering scientific and
technological innovation through cooperative R&D.
There are three phases of the SBIR program:
• Phasel: Feasibility and Proof of Concept provides smaller grants ranging from $150,000-
225,000 that are given to numerous businesses. This phase lasts 6-12 months. The agencies then
select the projects with the greatest chances of success for Phase II funding.
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• Phase II: Continue Research/R&D towards Commercialization provides $1-1.5 million for two
years.
• Phase III: Commercialization focuses on businesses building partnerships to further
commercialize their technology.
The EPA SBIR program works to further EPA's mission of protecting human health and the environment.
The EPA award budget is roughly $4.2 million and is awarded through contracts. Phase I offers $100,000
for six months and Phase II provides $300,000 for two years with a commercialization option of
$100,000. EPA provides commercialization support to all Phase I and Phase II companies. They release
one solicitation per year, and the next is scheduled for Spring 2015. In terms of topic development, the
SBIR program works across the Agency to gather information from the various regional offices and
laboratories on potential topics—water is generally one of these topics.
EPA is using FedConnect, an electronic submission system, for SBIR application submissions. The
Agency does a two-stage review process. During external peer review, EPA assesses whether
technologies are innovative and disruptive. This review stage prioritizes management and technical
capabilities in the proposed team, as well as technical soundness, lifecycle environmental impacts, and
commercialization potential. Internal review criteria include EPA needs and program priorities,
significant environmental benefits, and broad application and impact. Ms. Richards concluded with some
tips for submitting a successful proposal, including putting together an effective team of technical and
business experts, as well as examples of past success stories.
AHMohamed, Director, Division of Environmental Systems, National Institute of Food and
Agriculture, U.S. Department of Agriculture
Mr. Ali Mohamed started his talk by stating that the U. S. Department of Agriculture (USDA) has a very
broad reach in terms of water issues. Like EPA, USDA awards grants only for SBIR. Their awards are
based on scientific and technical merit, company qualifications, and commercial potential. Proposals are
reviewed through confidential peer review using outside experts. Funds are allocated to topic areas in
proportion to the number of proposals received. USDApermits and encourages subcontracting to
universities and USDA laboratories; companies can save money by harnessing the services of pre-existing
laboratory and technical facilities.
Phase I grants are for eight months at $100,000, and Phase II grants are for $500,000. Twelve-month, no-
cost extensions are also available. In terms of topic areas, "air, water, and soils" and "aquaculture" most
directly relate to the technologies of the water cluster businesses. Air, water, and soils projects develop
technologies for conserving and protecting air, water and soil resources while sustaining optimal farm and
forest productivity. The aquaculture topic develops new technologies that will enhance the knowledge and
technology basenecessary forthe expansion of the domestic aquaculture industry as a form of production
agriculture. USDA also funds projects relating to rural community development and small and mid-size
farms, both areas where water technologies are needed.
Mr. Mohamed listed the USDA SBIR program staff and technology areas supported by the program (both
shown on the PowerPoint slides). He went on to explain the SBIR review process. Proposals are
evaluated by confidential peer review in two phases that include panels and ad-hoc reviewers. Selection
criteria include scientific and technical merit and commercial potential. All applicants receive verbatim
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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c opies of review s. Phas e I applic ants who w ere denied are able to reapply for Phas e I funding during the
next solicitation cycle, while Phase II applicants are only able to apply one time.
USDA strongly encourages involvement by universities and government scientists. Scientists may serve
as consultants or receive a subcontract and continue to work full time at their home institution. Mr.
Mohamed encouraged Phase I applicants to provide a vision of where they would like to be by the end of
Phase II and provide a detailed experimental plan, among other recommendations. He also mentioned
some factors that improve chances for commercial success, including high scientific/technical merit, good
consultants, and business expertise, for example.
Other opportunities for funding can be found through the USDA's National Institute for Food and
Agriculture (NIF A). NIFA offers $1.5 billion in funding, with a sizable amount of that being offered for
water projects. Mr. Mohamed concluded with listing several examples of successful past USDA SBIR
grant recipients.
Prakash Balan, SBIR Program Manager, National Science Foundation
Dr. Prakash Balan began with explaining that the National Science Foundation's (NSF's) SBIR program
works to promote their vision of a nation that creates and exploits new concepts in science and
engineering and provides global leadership in research and education. The budget for the NSF
SBIR/STTR program is roughly $ 177 million. The federal SBIR program began at NSF in 1982 with the
passing of the Small Business Innovation Development Act.
NSF has a very broad landscape of project topics that they fund. Dr. Balan listed the various topics as
well as the program manager for each (this information is available on the PowerPoint slides). NSF does
not allocate budget by topic. Instead, they are flexible and allocation depends on incoming proposal
quality. SBlRPhasel: Technology Proof of Concept offers $150,000 for sk months. To be granted Phase
I funding, companies must be able to show how their technology will generate jobs and grow a business.
Additional R&D funds are available for supporting third-party financial engagement. Phase II:
Technology Development offers $750,000 for two years. Supplemental R&D funding is also available via
a funding match for qualifying third-party funding/investment/commercial revenues, among others.
Smaller businesses can additionally be granted membership fees to industry organizations, which gives
them the opportunity to network with pre-existing and larger-scale companies in their respective fields.
According to Dr. Balan, the beauty of the SBIR program is that the process is quick, and small businesses
can get constructive feedback from experts in their technology field. The total available funding for a
single technology can be from $1-1.3 million at NSF.
Interested companies can apply on the NSF website for the two solicitations that they typically release
each year. Dr. Balan recommended that potential applicants first write an email to the appropriate NSF
program manager discussing aspects of the project, including description of the company and team,
market opportunity/value proposition, technology/innovation, the competition landscape, and a research
outline. The program managers can provide support to businesses prior to the proposal submission, as
well as during the feedback stage. Like the other agencies, NSF has an external peer and merit review,
conducts due diligence, and then sends notification of award or decline. They highly value disruptive and
discontinuous technology developments with broad impact. He encouraged the water cluster leaders to
attend the NSF Phase II Conference in Atlanta, Georgia.
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Heather Henry, Program Administrator, SuperfundResearch Program, National Institutes of
Health/National Institute of Environmental Health Sciences
The National Institutes of Health (NIH) and EPA work together through the Superfund Research
Program. The program, hased out of the National Institute of Environmental Health Sciences (NIEHS),
represents the detection and remediation technology side of NIH Topics of interest for its May 2015
solicitation will include better detection technologies for waste sites. In order for businesses to receive
funding, their technologies have to relate to Superfund projects, but are not required to function directly at
Superfund sites.
The award budget for the Superfund Research Program's SBIR/STTR program is roughly $1.8 million.
The SBlRPhasel: Feasibility Study provides $150,000 over sk months, wdPhasell: Full
Research/R&D provides $1 million in direct costs over two years. They do not fund Phase IE. The review
process is similar to the other agencies in that it includes an external peer review and a review by the
NIEHS Advisory Council. Applications are scored on significance, investigators, innovation, approach,
and environment. Ms. Henry also included a slide on keys to a successful proposal, and discussed the
types of work that they fund, including drinking water treatment and drinking water monitoring. She
concluded with several examples of past funding recipients, including one company that focused on
detection technologies to improve remediation of perchlorate in food and water supplies.
Mr. Adams closed out the panel and invited the meeting attendees to have lunch and listen to the keynote
speaker.
LUNCHEON KEYNOTE SPEAKER
Julie Lenzer Kirk, Director of the Office of Innovation and Entrepreneurship, U.S. Department of
Commerce, Economic Development Administration
Ms. Julie Lenzer Kirk began by noting that she appreciated the diversity of individuals who attended this
cluster leaders meeting. As a former entrepreneur, she was excited to see many innovative people and
projects when she began work at the Economic Development Administration (EDA). EDA works to
increase the quality of life in our communities, as well as to increase the U.S. global economic
competitiveness. The organization focuses on creating the conditions necessary for economic growth
through their sk regional offices by helping community partners and non-profit organizations build
capacity to develop applications for funding. EDA has a preference for public-private partnerships and
looks to catalyze investments.
Ms. Lenzer Kirk noted that economic development requires more than basic infrastructure. Technology
infrastructure, including broadband coverage, and business support, such as business incubators and SBIR
funding, is also necessary. Engines of innovation, including universities and R&D, create a climate that
drives economic development as well.
Maryland has a vast network of business resources, including 24 incubators. The key, ace or ding to Ms.
Lenzer Kirk, is connecting entrepreneurs to the resources that are available. She discussed Startup
Maryland's recent bus tour which promoted awareness of entrepreneurial resources amongthe state's
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015
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business community members, and recommended that the water clusters hold similar events in their
regions.
EDA has funded the Cluster Mapping Portal tool for economic development. On this website
(http://www. clustermapping.us/), policy makers, economic development professionals, and researchers
can find data and tools to understand clusters, improve institutions, and locate appropriate partners across
the country. The water cluster businesses can become a part of the cluster mapping tool database as
"traded clusters," which are engines of regional economies, in order to be connected to regional resources.
Ms. Lenzer Kirk explained that the critical elements of an innovation culture include openness, diversity,
tolerance for risk, trust, role models, and feedback loops.
Ms. Lenzer Kirk's office provides several grants; water cluster leaders can find more information on the
EDA website (http://www.eda.gov/funding-opportunities/). Overall, EDA works to support technologies
that have a real social impact. One participant asked what Ms. Lenzer Kirk's office's priorities are for
increasing the capacity to commercialize. Ms. Lenzer Kirk stated that they are working on ways to
support small businesses in activities such as applying for SBIR funding. EDA is also creating metrics to
help measure commercialization outcomes. Ms. Lenzer Kirk elaborated on the i6 Challenge, a federal
grant program that supports innovative initiatives to spur technology commercialization,
entrepreneurship, and jobs creation at the local level. One participant noted that it is a barrier for
technology development when technologies have to be approved on a state-by-state basis. Ms. Gutierrez
noted that EPA is working towards promoting regional agreements so that multiple states can approve
technologies and give businesses more opportunities to grow.
U.S. DEPARTMENT OF ENERGY SBIR PROGRAM
Moderator: Michael Hoops, General Manager, Axiall Corporation
Mr. Michael Hoops introduced Mr. Manny Oliver, who has been with DOE since 2010. Prior to that, he
led commercialization efforts at Motorola.
Manny Oliver, SBIR Program Manager, U.S. Department of Energy
Mr. Oliver discussed DOE's SBIR program, specifically how it funds water technologies. DOE works to
further its mission through its SBIR program. They focus on clean energy technologies, science and
engineering, and nuclear security. The DOE Office of Science, Office of Energy Efficiency and
Renewable Energy, and Office of Fossil Energy are involved in water-related topics. Topics for the next
round of funding opportunities will be posted in July 2015.
Similar to the other agencies, the SBIR program at DOE has two Phases—Phase I: Feasibility/Proof of
Concept and Phase II: Prototype or Process Development. Phase II awardees may also receive a second
or sequential Phase II award. Phase IIAincludes projects requiring more time and funding to complete
their prototype or process development than what is available with a single Phase II award. Phase IIB is
for projects requiring additional R&D funding to transition an innovation towards commercialization (Mr.
Oliver's PowerPoint slides include the schedule for the next round of SBIR awards).
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 10
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Unlike the other agencies, DOE topics are more specific. The water-related topic areas include
membranes and materials for energy efficiency, bioenergy, and solar and water power. They are drafted
by program managers who are aware of technology roadblocks but may not be aware of the
commercialization challenges. DOE expects small businesses to address the commercialization challenges
in their SBIR proposals and ensure that there is a profitable business opportunity with their technology.
They perform follow-up surveys to track commercialization outcomes. Review criteria include strength of
the scientific/technical approach, ability to carry out the project in a cost-effective manner, and potential
for positive impact. Additionally, they have recently implemented a Phase 0 Assistance Program to
increase the number of responsive, high quality proposals submitted to DOE from businesses in states
with historically low SBIR/STTR application numbers from women- and minority-owned businesses.
Questions and Discussion
The floor was then opened up for questions for Mr. Oliver as well the prior panel of SBIR program
managers. Mr. Oliver confirmed for one participant that the list of states with low numbers of applications
by women- and minority-owned businesses is determined by numbers of previous SBIR applications
numbers to DOE only. Another participant asked Mr. Oliver if DOE is open to SBIR applications that
cover multiple topics or if they must exclusively cover one topic. Mr. Oliver explained that it is
sometimes difficult to fund technologies that are multidisciplinary, but it is possible. Ms. Henry stated
that for the NIH program, as long as a technology primarily focuses on Superfund, it is acceptable to
cover different topics. She went on to note that so far, the status-quo has not been for the various agencies
to co-fund the same project with SBIR funds, but that that could be a possibility in the future.
Another participant expressed concern over the regulatory barriers that vary from state-to-state.
Additionally, clusters are facing the challenge of helping equip technology companies with long-term
funding streams. Dr. Balan explained that there must be strong market demand for new technologies, and
that entrepreneurs must prove how their idea will succeed in the marketplace. He emphasized that the role
of the agencies should be to catalyze a technology that already has a strong likelihood of succeeding. Mr.
Oliver noted that SBIR is concentrated on funding early stages of technologies as opposed to
demonstration activities, which are often funded by private-sector entities.
PANEL: SBIR AWARDEES AND PERSPECTIVES ON APPLICATION PROCESS AND EXPERIENCE
WITH AWARDS
Panel Moderator: Devesh Sharma, Managing Director, Aquatech International Corporation
Mr. Devesh Sharma introduced the panel and explained that the speakers represent companies that have
previously been awarded SBIR funding.
James Uber, Principal, CitiLogics (NSFAwardee), Covington, Kentucky
Mr. James Uber explained that CitiLogics is a member of the Confluence water cluster and is a company
that is in the smart water infrastructure space. With regard to SBIR, he stated that there are many
opportunities for small businesses to get help with the proposal writing and editing process. From the
water cluster perspective, however, he stated that the greatest need is assistance with turning an idea into
a business. Especially at universities, there are people who need encouragement and assistance with
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015 11
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commercializing ideas. Mr. Uber stated that cluster leaders can identify people who built successful
water-sector technologies and can share information with people who have ideas. He also advised that
regional water clusters work with university administrators and regional water utilities. Bringing these
types of people together can lead to company formation. According to Mr. Uber, SBIR is a great program,
but it should not mean that cluster leaders can take their eyes off of helping to advance their member
businesses in other ways.
Hanbae Yang, Product Engineering Team Leader, ABS Materials Inc. (NSF, DOEAwardee),
Wooster, Ohio
Mr. Hanbae Yang explained that ABS Materials has received SBIR grants for technologies relating to
water purification, stormwater treatment, and refinery water purification, among others. Several benefits
of SBIR awards, fromhis company's perspective, include the ability to develop products or technology to
sell, increased credibility, and publicity that comes with validation from a federal agency. Mr. Yang
advised that water cluster businesses ensure that their technologies have market validation and a niche
market. He stated that innovations and technologies are only worth what the market is willing to pay.
Finally, Mr. Yang recommended that water clusters focus on assisting companies with achieving
demonstration projects and introducing companies to potential users of their technologies.
/. Richard Schorr, Founder and CEO, MetaMateria (EPA, NSF, USDAAwardee), Columbus, Ohio
Mr. Richard Schorr's company has focused on phosphorus development technologies and has benefitted
from the SBIR program. The funding and assistance has helped with proposal development and
expanding business knowledge. In terms of the technology, the program supported his company in
developing new capabilities to make nano-enabled materials with enhanced properties for water cleanup.
He explained some of the differences he has seen between the types of projects the various agencies fund
with SBIR. In his opinion, the U. S. Department of Defense (DOD) and DOE look for clearly defined
problems to be solved, NSF prioritizes new technology with commercial potential, and EPA accepts a
broad range of ideas for technology that can be commercialized in the near term. US DA is tied mostly to
issues of the farming community. Overall, the SBIR program can be instrumental to company growth by
providing a forum to establish credibility, helping the business team to develop knowledge of the process,
and launching the company towards market acceptance and expansion.
Ken Wolf, Executive Vice President of Business Development and Strategy, RedZone Robotics, me.
(DOE, DOD, NASAAwardee), Pittsburgh, Pennsylvania
Mr. Ken Wolf stated that RedZone is a well-recognized wastewater technology company founded in
1987. They have expanded their technologies beyond Pittsburgh to other cities with sewer system issues
as well. It has been roughly 20 years since RedZone received an SBIR grant, and since then, they have
greatly expanded their businesses and have been involved with venture capital firms.
Questions and Discussion
Mr. Sharmathen opened the floor for questions. One participant commented that bringing together certain
technologies that he knows of with Mr. Schorr's pathogen removal technology could be beneficial. He
also asked Mr. Uber how he made his personal transition from university to business and if he had used
grant writers for SBIR proposals in the process. Mr. Uber commented that he had a very supportive
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 12
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graduate student and EPA team that assisted with the transition, and that he has not used grant writers for
his proposals. Mr. Oliver noted that SBIR funds cannot be used for consulting services, such as grant
writing, prior to being awarded the funding. Dr. Balan commented that plain and simple language is
appreciated in SBIR proposals, and that business owners should be able to easily write them. Another
audience member was curious how, as innovators and inventors, the panel members think through the
issue of blending technologies. Mr. Uber noted that he thinks the way to advance is to find the right
partnerships. Mr. Yang explained that his company has used SBIR funding to grow and gain partners who
prefer to work with larger companies; Mr. Schorr echoed this sentiment.
BREAKOUT SESSIONS AND IN-DEPTH DISCUSSIONS: "COMPANY EXPERIENCES AND
RECOMMENDATIONS FOR CLUSTER LEADERS-SHARING BEST PRACTICES ON LEVERAGING
SBIR AWARDS, PERSPECTIVES OF ANCHOR COMPANIES, ETC."
The SBIR program managers and meeting attendees were divided into two breakout groups. The
breakouts were open-ended question and answer sessions that allowed participants to voice questions
regarding funding opportunities. The SBIR program managers then switched groups so they could field
questions from the other half of the attendees.
Breakout A: EPA, USD A, NJH SBIR funded companies, anchor companies
Session 1: One participant asked why the Department of the Interior is not in the SBIR program, and Ms.
Richards explained that that they do not have an R&D budget, which is necessary to participate in the
program.
Another individual brought up the point that he is not aware of a national organization that advocates for
SBIR expansion. Ms. Richards noted that Congressional representatives do listen to constituents, and
value small business owners, so cluster leaders could advocate for their member businesses in this way.
Mr. Schumann noted that water is such a pressing issue and that on a national scale, the United States
does not have the luxury of time to address issues such as shortages. Mr. Vicory posed the idea of the
water cluster community developing a letter that could be sent to Congress to advocate for enhancement
of SBIR funding.
Ms. Henry promoted water cluster organizations interfacing with the Interstate Technology and
Regulatory Council, which is essentially a public-private partnership that could help to advance the
technologies of the water clusters. One participant noted that the water clusters should work to have a
broader dialogue with stakeholders. Ms. Golmer stated that her organization, NEWIN, recently held a
conference with municipal leaders to establish a conversation around water technology needs, and that a
similar event could be organized by cluster leaders in their respective regions. The breakout session
concluded with Mr. Vicory explaining that Confluence has grown organically because the participants see
the value and identify what the businesses can achieve together as a team. Confluence is not an incubator,
but they connect technologies to incubator opportunities.
Session 2: The session began with a discussion of peer reviewers. If an individual is interested in serving
as a peer reviewer for SBIR proposals, they should reach out to the appropriate SBIR program manager
who leads efforts for the topic with which a peer reviewer would like to be involved. One participant
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 13
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asked if there is a list of funding for technologies. Mr. Mohamed stated that for US DA, there is a website
for the Office of Technology Transfer where users can get information about all patents to see which one
would be a fit for their given technology. Mr. Mohamed was also prompted to discuss that technologies
are needed to address the contamination of agricultural water supplies by fracking chemicals.
In terms of SBIR topics, Ms. Henry and Ms. Richards explained that for NIH and EPA, write-in topics are
not permitted and applications must fit in to one of the pre-designated topics. Applicants cannot submit
the same proposal to multiple agencies and receive funding from more than one. If companies want to
apply for SBIR funding from more than one agency, the proposals must be at least slightly different.
The SBIR program managers also discussed that a consortium of businesses can coalesce around a
technology and write an SBIR proposal together, if they wish. In fact, the agencies encourage
collaboration on technologies and SBIR applications. Collaboration between businesses and universities
needs to be formalized by a contractual agreement that describes the distinction of organizational roles.
The discussion concluded with the SBIR program managers explaining that it is often more important to
have a strong team than a good technology because technologies may unexpectedly change, but a good
team can navigate these challenges.
Breakout B: NSF, DOE SBIR funded companies, anchor companies
Session 1: One participant asked what the SBIR/STTR proposal review process looks like. Mr. Oliver
stated that the review process varies by agency. Contracting agencies (e.g., EPA) typically use agency
personnel to perform the reviews. Granting agencies (e.g., DOE, NIH, NSF, and USDA) typically use
external peer review. The reviews may be performed individually or in a panel format. The information
provided by the reviewers is advisory to the agency program manager who will make a recommendation
for funding. The review criteria and weighting are described in the solicitation. Another participant asked
what kind of response potential applicants should receive back from SBIR program managers when they
contact them directly. Mr. Oliver and Dr. Balan noted that this depends on the nature of the question and
its timing. SBIR program managers are free to respond to questions about their programs, topic areas, or
the application process at any time, and will usually reply within a week of receipt of the inquiry for
feedback. However, once an application is submitted, they are not in a position to discuss your application
prior to making a final decision.
One attendee asked how important the proof-of-concept is when applying to the SBIR/STTR program.
Mr. Oliver stated that the SBIR/STTR programs fund early-stage feasibility or proof-of-concept R&D in
Phase I. Therefore, it is not necessary to have completed any experiments prior to submission. If a
potential applicant or team is at the idea stage, they will still need to make a compelling case for their idea
based on theoretical grounds or extrapolations from related experimental work. Letters of support were
also discussed. Dr. Balan stated that letters of support are a key way for companies to show the level of
market interest in the proposed innovation. Depending on what is stated in the letters, they may add
significant additional weight and credibility to the claims made in the proposal. It provides away for
reviewers to understand and validate the impact claims being made in the proposal.
Another individual asked if applicants can designate proposals for both SBIR and STTR At DOE, if a
business meets the requirements for both programs, they can apply to both with a single application. At
NSF, an organization may submit no more than two Phase I proposals in total during the cycle, which is
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 14
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defined as the SBIR Phase I solicitation and the concurrent STTR Phase I solicitation. For example, an
organization may submit one SBIR Phase I and one STTR Phase I proposal, two SBIR Phase I proposals,
or two STTR Phase I proposals during this cycle. These eligibility constraints will be strictly enforced. In
the event that an organization exceeds this limit, the first two proposals received will be accepted, and the
remainder will be returned without review. The submission of the same project idea to both the SBIR
Phase I solicitation and the concurrent STTR Phase I solicitation is strongly discouraged.
Mr. Oliver and Dr. Balan also explained that when businesses apply for SBIR funding with technologies
that already have patents, it demonstrates that the technology is novel, but a commercialization and
business plan is still necessary.
Session 2: Mr. Oliver noted that it is sometimes difficult for small businesses to identify which agency
they should approach for SBIR funding. They often have to dig into what technologies the agency has
funded in the past, especially with agencies such as DOD. Mr. Oliver noted that DOD gives out more
dollars in Phase III than Phase I and II, which distinguishes it from the other agencies.
One participant asked what the definition of small business is in the context of the SBIR program. Dr.
Balan stated that a small business is a business that is majority U.S.-owned, majority-owned by
individuals, and has 500 or less employees. He added that when businesses submit an SBIR proposal,
they are self-certify ing that they are a small business.
Mr. Dan Deocampo asked how the Atlanta Water Cluster can ensure that the resources are available for
entrepreneurs. Dr. Balan recommended letting entrepreneurs know of their capabilities via networking.
Mr. Schorr thought that more universities should look at STTR to move technology from the university
with a small grant. The cluster network might be able to spread the word of SBIR funding opportunities to
universities, ace or ding to Ms. Theroux.
Finally, Dr. Balan and Mr. Oliver discussed some of the reporting requirements for grant awardees. Mr.
Schorr expressed that he thought these requirements were very reasonable and achievable for small
businesses who receive SBIR funding.
PANEL: PERSPECTIVES FROM WATER CLUSTER ANCHOR COMPANIES
Panel Moderator: Jason Bernard, Program Manager, Water Economy Network
Mr. Jason Bernard introduced the panel members, who are all part of companies that are members of
WEN. The panel members each discussed their company's role in being a member of the water cluster,
technology development insights, and thoughts or suggestions forthe federal agencies in working with
individual companies or the clusters as a whole.
Jack Adams, Director of Government Affairs, Calgon Carbon Corporation
Mr. Jack Adams explained that Calgon Carbon has a host of technologies relating to water. They develop,
manufacture and supply activated carbon, other media, and treatment systems to provide clean, safe
drinking water and reduce environmental impact and allow wastewater reuse or disposal. Mr. Adams
invited Mr. Arthur Kney to the microphone. Mr. Kney explained that Calgon Carbon's focus on engaging
researchers in technology development has led to the establishment of atest-bed research and education
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 15
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facility for wastewater treatment in eastern Pennsylvania. The facility is at the beginning stages, but Mr.
Kney and his colleagues hope that manufacturers and academics can use the site to test technology ideas
for wastewater.
Devesh Sharma, Managing Director, Aquatech International Corporation
Mr. Sharma explained that Aquatech promotes technologies for wastewater treatment by delivering them
to the market. As an anchor company, Aquatech offers perspective on the industrial market opportunities,
provides feedback such as market value proposition, and catalyzes commercialization by scaling up,
testing, and piloting technologies of smaller, newer companies. Several important issues in the market of
high-tech water include reducing energy consumption in any type of desalination, improving reliability of
wastewater processes, and resource recovery. He recommended that technology start-ups, cluster leaders,
and federal agencies need to work together to improve the cycle of technology development.
Michael Hoops, General Manager, Axiall Corporation
Mr. Michael Hoops stated that Axiall is an integrated leader in the chemicals and building products
industry. They manufacture technologies such as calcium hypochlorite and equipment systems solutions
for markets such as irrigation and municipal wastewater. He echoed prior sentiment that different labeling
and regulations across states make it difficult for some technology companies to expand regionally. Mr.
Hoops expressed that WEN has allowed Axiall to network and become aware of new technologies and
products in the Pittsburgh area. He commended Ms. Gutierrez for organizing the meeting and increasing
communication between the water clusters and federal agencies.
PhilFatula, Market Manager, Lanxess
Lanxess, according to Mr. PhilFatula, is a leading global solution supplier for liquid purification
technologies. He explained that benefits of being part of WEN have included intercompany networking,
local/regional networking, academic and regulatory interfacing, and technology acquisition. Lanxess will
continue to work to enhance these benefits within the water cluster.
Questions and Discussion
Mr. Bernard then opened the floor up for questions. One participant asked about how to apply solutions
and development to a test-bed in the Pittsburgh area. Mr. Fatula stated that companies can harness the
power of the water cluster companies to expand resources. One participant requested that the various
water clusters' companies start to integrate and share information. Mr. Adams confirmed that this would
be helpful, but that we need to figure how to get universal permitting of technologies to reduce barriers
from state-to-state. Another participant asked the anchor company representatives if they see any places
in particular where companies should invest time and money. Mr. Fatula stated that his company is
interested in South America, and Mr. Sharma noted that China is probably the best market in the world to
adopt new technology.
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 16
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FINAL COMMENTS, NEXT MEETING
Maggie Theroux, Senior Cluster Development Specialist, U.S. EPA Office of Research and
Development
Ms. Theroux thanked the meeting attendees for participating. She asked the participants to comment on
what EPA did well and what it could have done better for the day's meeting. One audience member noted
that more breakouts with fewer people per session would be helpful. Several participants stated that they
appreciated the breakouts as a chance to engage in discussion with federal representatives and ask
questions.
Ms. Theroux stated that the next water cluster leaders meeting is planned for Sunday, September 27,
2015, in Chicago, Illinois before the Annual WEFTEC conference. The proposed topic for that meeting is
private investments in water technologies.
Following the meeting, participants were invited to attend the Three Rivers to Haiti Benefit hosted by
Deep Springs International at the Hotel Monaco Pittsburgh (located across the street from the meeting
location).
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 17
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APPENDIX A: PARTICIPANTS LIST
The following individuals attended the Water Technology Innovation Cluster Leaders Meeting on April
27,2015.
Jack Adams
Calgon Carbon Corporation
Clarisse Croteau-Chonka
Xomix, Ltd.
Jon Allan
Michigan Office of the Great Lakes
Prakash Balan
National Science Foundation
Michael Berger
Aquatech International
Jason Bernard
Fourth Economy Consulting
Nehal Bhojak
Idea Foundry
Terri Billups
U.S. Small Business Administration
Lou aim DeCoursey
Colorado Water Innovation Cluster
Dan Deocampo
Georgia State University
Julius Enriquez
U.S. Environmental Protection Agency
Grant Ervin
City of Pittsburgh, Pennsylvania
Tom Falcone
Water Recycling Corporation of America
Phil Fatula
Lanxess
Aimee Boucher
U.S. Environmental Protection Agency
Michael Gallagher
Bayer Materials cience LLC
Jeff Bronowski
City of Akron, Ohio
Jon Capacasa
U.S. Environmental Protection Agency,
Region 3
Doug Conley
Calgon Carbon Corporation
Ryan Connair
U.S. Environmental Protection Agency
Ravi George
Water Environment Research Foundation
Karen Golmer
New England Water Innovation Network
Brian Gresser
Akron Global Water Alliance
Sally Gutierrez
U.S. Environmental Protection Agency
Bill Hagstrand
Team NEO
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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Teresa Harten
U.S. Environmental Protection Agency
Stephen McKnight
Water Economy Network
Heather Henry
National Institutes of Health/National Institute
of Environmental Health Sciences
Ebie Hoist
SplashLink
Michael Hoops
Axiall
felly Hunt
U.S. Small Business Administration
Lek Kadeli
U.S. Environmental Protection Agency
Fidan Karimova
Water Environment Research Foundation
Gary Keller
GSUH2O TECH/Xomix, Ltd.
Arthur Kney
Lafayette College
Acharya Kumud
Desert Research Institute
Jeff Lape
U.S. Environmental Protection Agency
Julie Lenzer Kirk
U.S. Department of Commerce, Economic
Development Administration
Brenda Lucas
Southern Ontario Water Consortium
James McCarville
McCarville Consulting
Ali Mohamed
U.S. Department of Agriculture
Karl Mundorff
Oregon BEST
Manny Oliver
U.S. Department of Energy
John Owsiany
CONSOL Energy
Dan Page
Southeastern Water Coalition
John Patrin
Dow Water & Process Solutions
Vikram Pattarkine
PEACE USA
Gate Rahmlow
Wisconsin Economic Development Corporation
April Richards
U.S. Environmental Protection Agency
Seth Rose
Eneref Institute
David Ruppersberger
Pittsburgh Regional Alliance
Ryan Russell
U.S. Commercial Service
Richard Schorr
Metamateria Technologies
Thomas Schumann
LA Water Cluster LLC
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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Richard Seline
Accelerate H2O
Mans a Tricas
Water Environment Federation
Devesh Sharma
Aquatech International
Cat Shrier
Water Citizen News
James Uber
CitiLogics
Alan Vicory
Confluence
Ernesto Silva Mojica
Bayer Materials cience
Ken Wolf
RedZone Robotics, Inc.
Elizabeth Thelen
The Water Council
Rex Woodward
MMC Inc.
Maggie Theroux
U.S. Environmental Protection Agency
Hanbae Yang
ABS Materials, Inc.
ZiyuZhu
Blue Tech Alliance/Mandarin Environment
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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APPENDIX B: MEETING AGENDA
U.S. EPA Water Technology Innovation Cluster Leaders Meeting
Federal Funding Opportunities for Early-Stage Water Companies
April 27, 2015 Pittsburgh, Pennsylvania
Omni William Penn Hotel, Monongahela Room, 17th Floor
AGENDA
Time Event
7:30 AM Registration (outside of Monongahela Room, 17th Floor)
Welcome to Pittsburgh
Jack Adams, Director of Government Affairs, Calgon Carbon Corporation; Chairman,
Water Economy Network (WEN)
Introduction of the WEN Board
Grant Ervin, Sustainability Manager, City of Pittsburgh
8:00 AM
Perspectives on Water Technology Innovation from U.S. EPA Region 3 and Office
of Research and Development
Lek Kadeli, Acting Assistant Administrator, U.S. EPA Office of Research and
Development (Washington, DC)
JonCapacasa, Water Division Director, U.S. EPARegion 3 (Philadelphia, PA)
830 AM Water Cluster Leaders Round-the-Room Introductions and Updates
All (2-3 minutes from each water cluster on recent updates and accomplishments)
9:30 AM Networking Break
Small Business Administration Overview
10:00 AM Kelly Hunt, District Director, U.S. SmallBusiness Administration Pittsburgh District
Office
Overview of Federal Small Business Inn ovation Re search (SBIR) Water Awards
10:15 AM Maggie Theroux, Senior Cluster Development Specialist, U.S. EPA Office of Research
and Development
EPA Water Technology Innovation Cluster Leaders Meeting-April 27, 2015 21
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Time Event
Panel: SBIR Program Managers
Moderator: Jack Adams, Director of Government Affairs, Calgon Carbon Corporation
April Richards, SBIR Program Manager, U.S. EPA Office of Research and Development
i nin A A /r AU Mohamed, Director, Division of Environmental Systems, National Institute of Food
10:30 AM j A • u TTO ™ _4. * f A • u
and Agriculture, U.S. Department of Agriculture
Prakash Balan, SBIR Program Manager, National Science Foundation
Heather Henry, Program Administrator, Superfund Research Program, National
Institutes of Health/National Institute of Environmental Health Sciences
Luncheon Keynote Speaker
12:00 PM Julie Lenzer Kirk, Director of the Office of Innovation and Entrepreneurship, U.S.
Department of Commerce, Economic Development Administration
U.S. Department of Energy SBIR Program
1:15 PM Manny Oliver, SBIR Program Manager, U. S. Department of Energy
Moderator: Michael Hoops, General Manager, Axiall Corporation
Panel: SBIR Awardees and Perspectives on Application Process and Experience
with Awards
Moderator: Devesh Sharma, Managing Director, Aquatech International Corporation
James Uber, Principal, Citilogics (NSF), Covington, Kentucky
1-4S PM Hanbae Yang, Product Engineering Team Leader, ABS Materials Inc. (NSF, DOE),
Wooster, Ohio
J. Richard Schorr, Founder and CEO, MetaMateria (EPA, NSF, USDA), Columbus,
Ohio
Ken Wolf, Executive Vice President of Business Development and Strategy, RedZone
Robotics, Inc. (DOE, DOD, NASA), Pittsburgh, Pennsylvania
2:45 PM Networking Break
Breakout Session and In-Depth Discussion
"Company experiences and recommendations for Cluster Leaders—sharing best
3:00 PM practices on leveraging SBIR awards, perspectives of anchor companies, etc."
Breakout A- EPA, USDA, NIH SBIR-funded companies, anchor companies
Breakout B - NSF, DOE SBIR-funded companies, anchor companies
Panel: Perspectives from Water Cluster Anchor Companies
Moderator: Jason Bernard, Program Manager, Water Economy Network
Jack Adams, Director of Government Affairs, Calgon Carbon Corporation
Devesh Sharma, Managing Director, Aquatech International Corporation
Michael Hoops, General Manager, Axiall Corporation
Phil Fatula, Market Manager, Lanxess
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015 22
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Time Event
Final Comments, Next Meeting
5:30 PM Maggie Theroux, Senior Cluster Development Specialist, U.S. EPA Office of Research
and Development
5:45 PM Adjourn
6-00 - 8'00 Participants are invited to attend the Three Rivers to Haiti Benefit hosted by Deep
' Springs International at the Hotel Monaco Pittsburgh (located across the street from 1he
meeting location)
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015 23
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APPENDIX C: HOW TO SEARCH FOR SBIR AWARDS FOR WATER TECHNOLOGY IN YOUR AREA
1. GotoSBIR.gov
2. In the right hand corner of the page, type in your general search word into the search box, check
"Awards" and click "Go"
Login | Register New User/Company
CONTACTS
FAQS
3. Expand the "More Options" tab and set the "Field to search" to "Award titles." Then, click "Search"
Search
Note: The Award Database is continually updated throughout the year. As a result, data for a given year is generally not compleufintil
(lowing year.
More Options
f—^
Agency: Any agency
Fields to search: f H
Narrow Your Search 0
I By Agency
Sort by: Award Year
2345. Next > Last »> >
Displaying 1 - 25 of 7159 Awards
4. You can further narrow downyour search by going to the right hand side of
the page to "Narrow Your Search." You can tailor your search by:
a. Agency
b. Year
c. Phase
d. Program
e. State
f. Company Ownership
g. Company
5. To narrow your search by state, under the "Narrow Your Search" header,
expand the "By State" tab. This will show the states in descending order of
SBIR Awards that meet your search criteria.
nerally not complete until
Narrow Your Search ©
| ByY
| By Phase
|^ By Program
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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6. In order to organize the states alphabetically, click "Order
by state" under the "By State" tab.
7. Click the state you would like to look at.
8. This will create a list of SBIR Awards that meet your search
criteria narrowed down by state and is organized by most
recent SBIR awards to oldest.
Massachusetts (991)
••»••-——i
Colorado (458}
I
9. Once you have created your list, you can either print or export this list by clicking on the either the
printer icon (to print) or spreadsheet icon to export as a. csv file.
a. To export list, click the spreadsheet icon. At the bottom of the web page, you will receive a
message asking if you would like to save a . csv file from sbir. gov. Click "Open" to open the
document or "Save" to either save or save as to your computer.
Sort by: Award Yearly |
Displaying 1 - 25 of 7159 Awards
Technology for Removal of Heavy Metals and Arsenic from Juice
Company:
Abstract:
XPLOSAFE. LLC
Agenc y/Prog ram/Yea r/Phase:
USDA/SBIR/2014 /
...c. It is very difficult to remove the undesirable species and leave the belief cial ones untouched.
high acidity of juice (e.g. apple juice pH is 3.35 - 4.00 and grape juice pH is 3.4-3.8) also makes
purification a challenge since many of the technologies for treating water... more
Do you want to open or save Techr>ok>gy_Search_Results,csv (472 KB) from sbir.gov?
Narrow Your Search O
b. To print, click the printer icon. This will create a new tab in your web browser with a printer-
friendly version of the list of SBIR awards you created. This will include the title, company
name, agency, program, year, phase and the first two lines of the project's abstract.
Along with the printer-friendly version, your print option should open up and be ready for
you to print the page.
Sort by: Award Year|v|
Displaying 1 - 25 of 7159 Awards
|[T][3j[4][5] ... Next* Last**
Narrow Your Search O
By Agency
By Year
EPA Water Technology Innovation Ouster Leaders Meeting-April 27, 2015
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