U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
Small Business Innovation Research (SBIR)
CLOSED - FOR REFERENCES PURPOSES ONLY
Small Business Innovation Research
Phase I Program Solicitation
RFP# PR-NC-02-10155
Issue Date: March 28, 2002
Closing Date: May 23, 2002 *
* CAUTION - See Section V., Paragraph J.9(c), Instructions to Offerors, Concerning Late Proposals and Modifications.
Your proposal with an original and nine (9) copies (including all appendices) shall be received at one of the following addresses by 12:00 p.m. (Noon) local time on May 23, 2002.
U.S. MAIL:
U.S. Environmental Protection Agency
Attention: Marsha Johnson, SBIR Phase I
RTP Procurement Operations Division (D143-01)
Research Triangle Park, N.C. 27711
HAND-CARRIED/COURIER ADDRESS:
U.S. Environmental Protection Agency
Attention: Marsha Johnson, SBIR Phase I
RTP Procurement Operations Division (D143-01)
4930 Old Page Road
Research Triangle Park, N.C. 27709
Table of Contents
II. Definitions
III. Proposal Preparation Instructions and Requirements
IV. Method of Selection and Evaluation Criteria
VII. Scientific and Technical Information Sources
VIII. Research Topics
A. Nanomaterials and Clean Technology
B. Prevention and Control of Air Pollution
C. Treatment and Monitoring of Drinking Water
D. Municipal and Industrial Wastewater Treatment
E. Hazardous Waste Management and Site Remediation
F. Recycling of Municipal and Industrial Solid Waste
IX. Submission Forms and Certifications
APPENDIX A - Proposal Cover Sheet
APPENDIX B - Project Summary
APPENDIX C - SBIR Proposal Summary Budget
APPENDIX D - Scientific and Technical Information
Sources
APPENDIX E - Commercialization Fact Sheet/Patent
Search
SBIR PHASE I SOLICITATION
A. The Environmental Protection Agency (EPA) invites small business firms to submit research proposals under this Small Business Innovation Research (SBIR) Solicitation. The SBIR program is a phased process uniform throughout the Federal Government of soliciting proposals and awarding funding agreements for research (R) or research and development (R&D) to meet stated agency needs or missions.
EPA is interested in advanced technologies in nanomaterials and pollution prevention, air and water pollution control, solid and hazardous waste management, environmental monitoring and analytical technologies, and environmental bioterrorism detection and decontamination where the research will serve as a base for technological innovation and commercialization. The proposed research must directly pertain to EPA's environmental mission and must be responsive to EPA program interests included in the topic descriptions in this solicitation.
In order to facilitate proposal reviews by external peer reviewers with specialized expertise and by EPA technical personnel with focused program needs and priorities, offerors must designate a research topic for their proposal. The same proposal may not be submitted under more than one topic, but an organization may submit separate proposals on different topics or different proposals on the same topic as long as the proposals are not duplicates of the same research principle modified to fit the topic. If such duplicates are submitted, only one will be reviewed. Refer to Sections IV, V, and VII for additional requirements. Where similar research is discussed under more than one topic, the offeror should choose the topic most relevant to the proposed research. It is the complete responsibility of offerors to select and identify the best topic for their proposals.
B. Offerors are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in this solicitation by the time specified in this solicitation. See Section V, Paragraph J.9(c), Instructions to Offerors, Concerning Late Proposals and Modifications.
THIS SOLICITATION IS FOR SBIR PHASE I ONLY.
To stimulate and foster technological innovation, including increasing private sector applications of federal research or R&D, EPA's program follows the SBIR program's uniform process:
(1) PHASE I. Phase I involves a solicitation of proposals to conduct feasibility related experimental research or R&D related to described agency requirements. The objective of this phase is to determine the technical feasibility and preliminary commercialization potential of the proposed effort and the quality of performance of the small concern with a relatively small agency investment before consideration of further federal support in Phase II. The Government is not obligated to fund any specific Phase I proposal. The maximum dollar amount of this Phase I solicitation is $70,000 and the term of performance should not exceed six months.
(2) PHASE II. Phase II proposals may only be submitted by Phase I award winners invited to submit proposals. Phase II is the principal research or R&D effort and Phase II projects should normally be completed in two years. The objective is to continue the research or R&D initiated under Phase I and work toward commercialization of the technology. Phase II awards are expected to include full-scale testing of the technology, but may not necessarily complete the total research and development that may be required to satisfy commercial or federal needs beyond the SBIR program. Completion of the research and development may be through Phase III. The Agency is under no obligation to fund any proposal or any specific number of proposals in a given topic. It also may elect to fund several or none of the proposed approaches to the same topic.
It is anticipated that approximately 10 Phase II awards will be made, each with a dollar amount of $225,000 and a two year term of performance. For Phase II, the Agency is planning to offer a Phase II Option under which Phase II offerors may submit a proposal for $70,000 additional funding to expand R&D efforts to accelerate the project from full-scale testing and demonstration to full commercialization. EPA federal funds must be designated strictly for advancing the research related elements of the project. No automatic preference shall be given to offers which address the option; however, in the case where an offeror addresses the option in its proposal, the entire proposal including the option shall be evaluated. The Agency would have a unilateral right to exercise the option after EPA's acceptance of the company's detailed commercialization plan, including documentation showing that at least $100,000 was transferred to the contractor from one or more third-party investors, such as a venture capital firm, an "angel" investor, local, state or federal non-SBIR funding source, or another company under a partnership, licensing or joint venture arrangement, or any combination of third parties. The Government is not obligated to fund any specific Phase II proposal.
For technologies awarded Phase I contracts under this solicitation, the follow-on Phase II Solicitation will be issued on/about September 25, 2003, and proposals will be due on/about November 26, 2003. It is expected that each Phase II proposal will be evaluated on the results of Phase I, the Phase II program plan, and the commercial potential of the Phase II proposal. The evaluation criteria will be as follows:
PHASE II CRITERIA
3. Results of Phase I and degree to which research objectives and
identified customer needs were met. Demonstration of performance/cost
effectiveness and environmental benefits associated with the proposed
research, including risk reduction potential.
2. Quality and soundness of the Phase II research plan to establish
the technical and commercial viability of the proposed concept as
evidenced through technology prototypes or initial commercial demonstrations.
3. Qualifications of the principal/key investigator, supporting
staff, and consultants. Time commitment of principal/key investigator,
adequacy of equipment and facilities, and proposed budget to accomplish
the proposed research. Adequacy of Phase II Quality Assurance Summary.
4. Potential of the proposed concept for significant commercialization
applications. The quality and adequacy of the commercialization
plan to produce an innovative product, process, or device and to
put technology prototypes or initial Phase II applications into
commercial production and sales.
5. The offeror's SBIR or other research commercialization record. Existence of second phase funding commitments from private sector or non-SBIR funding sources. Existence of third phase follow-on commitments and presence of other indicators of commercial potential of the idea.
(3) PHASE III. Where appropriate and needed in order to
complete the research and development, there may be a third phase
which is funded by:
1. Non-federal sources of capital for commercial applications of
SBIR funded research or research and development.
2. Federal Government with non-SBIR federal funds for SBIR-derived
products and processes that will be used by the Federal Government.
3. Non-SBIR federal funds for the continuation of research or research
and development that has been competitively selected using peer
review or scientific review criteria.
C. Each offeror submitting a proposal must qualify as a small business
for research or R&D purposes at the time of award. In addition,
the primary employment of the principal investigator must be with
the small business firm at the time of award and during the conduct
of the proposed research. Principal investigators who appear to
be employed by a university must submit a letter from the university
stating that the principal investigator, if awarded an SBIR contract,
will become a less-than-half-time employee of the university. Also,
a principal investigator who appears to be a staff member of both
the applicant and another employer must submit a letter from the
second employer stating that, if awarded an SBIR contract, he/she
will become a less than half-time employee of such organization.
Letters demonstrating that these requirements have been fulfilled
must be submitted prior to contract award to the addressee stated
in Section VI of this solicitation. Failure to do so may jeopardize
award. Also, for both Phase I and Phase II, the research or R&D
work must be performed in the United States. "United States"
means the 50 states, the Territories and possessions of the United
States, the Commonwealth of Puerto Rico, the Trust Territory of
the Pacific Islands, and the District of Columbia.
D. For Phase I the Government anticipates the award of approximately
$1.75 M in firm fixed price contracts at approximately $70,000 each
including profit, but reserves the right to change either
the number of awards or the amount of the individual awards depending
on the outcome of the selection process. The contractor's period
of performance is expected to be six months. Award of any contract(s)
resulting from this solicitation shall be to the responsible offeror(s)
with the highest rankings after evaluation in accordance with Section
IV. Source selection will not be based on a comparison of cost or
price. However, cost or price will be evaluated to determine whether
the price, including any proposed profit, is fair and reasonable
and whether the offeror understands the work and is capable of performing
the contract.
E. All inquiries concerning this solicitation shall be submitted
to the following E-mail address:
johnson.marsha@epa.gov
If E-mail is not available to you, written or telephone inquiries
may be directed to:
U.S. Environmental Protection Agency
Attention: Marsha Johnson, SBIR Phase I
RTP Procurement Operations Division (D143-01)
Research Triangle Park, N.C. 27711
(919) 541-0952
Potential offerors are encouraged to communicate via E-mail.
Return to Table of Contents
II. DEFINITIONS
For purposes of this solicitation, the following definitions apply:
Research or Research and Development: Any activity that is:
(1) A systematic, intensive study directed toward greater knowledge
or understanding of the subject studied.
(2) A systematic study directed specifically toward applying new
knowledge to meet a recognized need.
(3) A systematic application of knowledge toward the production
of useful materials, devices, and systems or methods, including
design, development, and improvement of prototypes and new processes
to meet specific requirements.
Funding Agreement: Any contract, grant, or cooperative agreement
entered into between any federal agency and any small business concern
for the performance of experimental, developmental, or research
work funded in whole or in part by the Federal Government.
Subcontract: Any agreement, other than one involving an employer-employee
relationship, entered into by a Federal Government funding agreement
awardee calling for supplies or services required solely for the
performance of the original funding agreement.
Small Business Concern: A small business concern is one that,
at the time of award of Phase I and Phase II funding agreements,
meets the following criteria:
(1) Is independently owned and operated, is not dominant in the
field of operation in which it is proposing, has its principal place
of business located in the United States, and is organized for profit;
(2) Is at least 51 percent owned, or in the case of a publicly owned
business, at least 51 percent of its voting stock is owned by United
States citizens or lawfully fully admitted permanent resident aliens
(if this applies, appropriate documentation must be submitted).
(3) Has, including its affiliates, a number of employees not exceeding
500, and meets the other regulatory requirements found in 13 CFR
Part 121. Business concerns, other than investment companies licensed,
or state development companies qualifying under the Small Business
Investment Act of 1958, 15 U.S.C. 661, et. seq., are affiliates
of one another when either directly or indirectly:
(A) one concern controls or has the power to control the other;
or
(B) a third party or parties controls or has the power to control
both.
Control can be exercised through common ownership, common management,
and contractual relationships. The term "affiliates" is
defined in greater detail in 13 CFR 121. The term "number of
employees" is defined in 13 CFR 121. Business concerns include,
but are not limited to, any individual, partnership, corporation,
joint venture, association, or cooperative.
Socially and Economically Disadvantaged Small Business Concern:
A socially and economically disadvantaged small business concern
is one:
(1) That is at least 51 percent owned by (i) an Indian tribe or
a native Hawaiian organization, or (ii) one or more socially and
economically disadvantaged individuals, and
(2) Whose management and daily business operations are controlled
by one or more socially and economically disadvantaged individuals.
Socially and Economically Disadvantaged Individual: A member
of any of the following groups:
(1) Black Americans;
(2) Hispanic Americans;
(3) Native Americans (American Indians, Eskimos, Aleuts, or Native
Hawaiians);
(4) Asian-Pacific Americans (persons with origins from Burma, Thailand,
Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos,
Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust
Territory of the Pacific Islands (Republic of Palau), Republic of
the Marshall Islands, Federated States of Micronesia, the Commonwealth
of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong,
Fiji, Tonga, Kiribati, Tuvalu, or Nauru);
(5) Subcontinent Asian (Asian-Indian) Americans (persons with origins
from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives
Islands, or Nepal); and
(6) Members of other groups designated from time to time by SBA
pursuant to Section 124.103 of 13 CFR Ch.1(1-1-99 edition).
Women-Owned Small Business Concern: A small business concern
that is at least 51 percent owned by a woman or women who also control
and operate it. "Control" in this context means exercising
the power to make policy decisions. "Operate" in this
context means being actively involved in the day-to-day management.
Primary Employment: More than one-half of the principal investigator's
time is spent in the employ of the small business.
United States: The 50 States, the Territories and possessions
of the United States, the Commonwealth of Puerto Rico, the Trust
Territory of the Pacific Islands, and the District of Columbia.
Commercialization: The process of developing markets and
producing and delivering products for sale (whether by the originating
party or by others); as used here, commercialization includes both
government and commercial markets.
Return to Table of Contents
III. PROPOSAL PREPARATION INSTRUCTIONS
AND REQUIREMENTS
A. PROPOSAL PAGE LIMIT
Proposals submitted in response to this Phase I of the SBIR program
shall not exceed a total of 25 pages, one side only. The only exception
would be regarding the requirements set forth in Section III.D.12,
"Prior SBIR Awards". The 25 pages should include the cover
page, budget, and all enclosures or attachments. Pages should be
of standard size (8 ½" x 11"; 21.6 cm x 27.9 cm)
with 2.5 cm margins and type no smaller than 10 point font size.
All pages must be consecutively numbered. Proposals in excess of
the 25-page limitation shall not be considered for review or award.
Any additional attachments, appendices, or references beyond the
25-page limitation shall result in the proposal not being considered
for review or award. A letter of transmittal is not necessary. If
one is furnished, it must not be attached to every copy of the proposal.
If a letter of transmittal is attached to every copy of the proposal,
it will be counted as page 1 of the proposal. No binders are necessary.
If binders are provided, they will be counted as pages even if no
printing or writing is thereon.
B. PROPOSAL COVER SHEET
The offeror shall photocopy (or download from the Internet) and
complete Appendix A as page 1 of each copy of each proposal. No
other cover is permitted. When downloading the solicitation from
the Internet, Appendix A may print on two pages, but will only count
as one page per Appendix. Offerors may reformat the forms to correct
spacing and pagination errors, however, identical information must
be provided.
The original of the cover sheet must contain the pen-and-ink signatures
of the authorized negotiator and the person authorized to sign the
proposal.
C. ABSTRACT OR SUMMARY
The offeror shall complete Appendix B as page 2 of each proposal.
Appendix B is limited to 1 page. The technical abstract should include
a brief description of the problem or opportunity, the innovation,
project objectives, and description of the effort. In summarizing
anticipated results, the implications of the approach (for both
Phases I and II) and the potential commercial applications of the
research shall be stated. THE ABSTRACT IS USED EXTENSIVELY DURING
THE EXTERNAL PEER REVIEW AND EPA INTERNAL PROGRAMMATIC REVIEW. The
project summary of successful proposals will be published by EPA
and, therefore, must not contain proprietary information.
D. TECHNICAL CONTENT
Begin the main body of the proposal on page 3. As a minimum, the
following shall be included:
1. IDENTIFICATION AND SIGNIFICANCE OF THE PROBLEM OR OPPORTUNITY.
A clear statement of the specific technical problem or opportunity
addressed and the environmental benefits. INFORMATION ON THE ENVIRONMENTAL
BENEFITS ASSOCIATED WITH THE TECHNOLOGY IS A VERY IMPORTANT PART
OF THE EXTERNAL PEER REVIEW AND EPA INTERNAL PROGRAMMATIC REVIEW.
Where appropriate, proposals should describe the positive and negative
environmental benefits based on an assessment of the full life cycle
of the new product or technology. Life Cycle Assessment (LCA) refers
to the analysis of impacts throughout all stages of a product or
process from production to use to disposal. Integration of a life
cycle perspective into the environmental analysis typically considers
impacts from raw materials extraction, manufacture, packaging, distribution,
and disposal.
2. PHASE I OBJECTIVES. State the specific objectives of Phase I
research and development effort, including the technical questions
it will try to answer to determine the feasibility of the proposed
approach.
3. PHASE I WORK PLAN. This section provides a detailed description
of the work plan. The work plan should describe what will be done,
where it will be done, and how the R/R&D will be carried out.
The work planned to achieve each task should be discussed in detail,
to enable a complete scientific and technical evaluation of the
work plan. A work schedule also should be provided.
4. RELATED RESEARCH OR R&D. Describe significant research or
R&D that is directly related to the proposal including any conducted
by the project manager/principal investigator or by the proposing
firm. Describe how it relates to the proposed effort, and any planned
coordination with outside sources. Offerors must demonstrate their
awareness of key recent research or R&D conducted by others
in the specific topic area by providing appropriate references from
the literature and other published documents.
5. KEY PERSONNEL AND BIBLIOGRAPHY OF DIRECTLY RELATED WORK. Identify
key personnel involved in Phase I including their directly related
education, experience, and bibliographic information. Where vitae
are extensive, summaries that focus on the most relevant experience
or publications are desired and may be necessary to meet proposal
size limitations.
6. RELATIONSHIP WITH FUTURE RESEARCH OR RESEARCH AND DEVELOPMENT.
State the anticipated results of the proposed approach if the project
is successful (Phase I and II). A discussion of cost-effectiveness
is paramount, especially comparing the state-of-the-art approaches
with the proposed approach. Discuss the significance of the Phase
I effort in providing a foundation for Phase II R/R&D effort.
7. FACILITIES. A detailed description, availability, and location
of instrumentation and physical facilities proposed for Phase I
should be provided.
8. CONSULTANTS. Involvement of consultants in the planning and research
stages of the project is permitted. If such involvement is intended,
it should be described in detail and vitae should be provided.
9. COMMERCIALIZATION PLAN. Provide an abbreviated 2-3 page plan
related directly to producing an innovative product, process, or
device and getting it into commercial production and sales. Comprehensive
business plans (that are company rather than project oriented) are
not desired. The Phase I plan is a roadmap toward producing a detailed
Phase II Commercialization Plan, which will be required as part
of the Phase II Application.
NOTE: The Small Business Research and Development Enhancement Act
of 1992 allows discretionary technical assistance to SBIR awardees.
The Agency may provide up to $4,000 of SBIR funds for technical
assistance per award. EPA intends to provide Phase I awardees with
technical assistance through a separate EPA arrangement. For Phase
I, this assistance will be in addition to the award amount. For
Phase II, the law allows each awardee to expend up to $4,000 per
year of the award amount for technical assistance services.
The Phase I plan should provide limited information on the subjects
described below. Explain what will be done during Phase I to decide
on applications, markets, production, and financing. The Commercialization
Plan should address:
a. SBIR Project: Brief description of the company, its principal
field(s) of interest, size, and current products and sales. A concise
description of the SBIR project and its key technical objectives.
b. Commercial Applications: Potential commercial applications of
the research results specifying customers and specific needs that
will be satisfied. Have you or do you intend to file for one or
more patents as a result of the SBIR project?
c. Competitive Advantages: What is particularly innovative about
the anticipated technology or products? (Innovation may be expressed
in terms of applications, performance, efficiencies, or reduced
cost. To determine if your innovation is likely to result in intellectual
property that may be legally protected, it helps to conduct a patent
search and look for related work being funded by EPA or another
federal agency. A fact sheet on how to search for patents and related
federally-funded work is provided in Appendix E.) What significant
advantages in application, performance, technique, efficiency, or
costs, do you anticipate your new technology will have over existing
technology? (In order to assess such advantages, it is useful to
compare the anticipated performance of your technology against substitutable
products currently being sold or emerging out of R&D. If regulations,
industry standards, or certifying requirements apply to your technology
or product, these provide useful criteria for comparing your anticipated
performance with potentially competing technology and products.
However, other expressions of end-user needs also may contain important
criteria.)
d. Markets: What are the anticipated specific markets for the resulting
technology, their estimated size, classes of customers, and your
estimated market share 5 years after the project is completed and/or
first sales? Who are the major competitors in the markets, present
and/or anticipated?
e. Commercialization: Briefly describe how you plan to produce your
product. Do you intend to manufacture it yourself, subcontract the
manufacturing, enter into a joint venture or manufacturing agreement,
license the product, etc.? Briefly describe the approach and steps
you plan to take to commercialize the research results to significant
sales. Do you plan to market the product yourself, through dealers,
contract sales, marketing agreements, joint venture, sales representatives,
foreign companies, etc.? How do you plan to raise money to support
your commercialization plan?
10. SIMILAR OR CLOSELY RELATED SBIR AWARDS. If the small business
concern has received ANY prior Phase I or Phase II award(s) from
EPA or any federal agency for similar or closely related research,
submit name of awarding agency, date of award, funding agreement
number, amount and topic or subtopic title. DESCRIBE THE TECHNICAL
DIFFERENCES AND REASONS WHY THE PROPOSED NEW PHASE I RESEARCH IS
DIFFERENT FROM RESEARCH CONDUCTED UNDER PRIOR SBIR AWARDS. (This
required proposal information shall be counted toward proposal pages
count limitation.)
11. DUPLICATE OR EQUIVALENT SBIR PROPOSALS. A firm may elect to
submit essentially equivalent work under other Federal Program Solicitations.
In these cases, a statement must be included in each such proposal
indicating: the name and address of the agencies to which proposals
were submitted or from which awards were received; date of proposal
submission or date of award; title, number, and date of solicitations
under which proposals were submitted or awards received; specific
applicable research topics for each proposal submitted or award
received; titles of research projects; name and title of project
manager or principal investigator for each proposal submitted or
award received. (This information shall count toward proposal pages
count limitation.)
12. PRIOR SBIR AWARDS. If the small business concern has received
ANY prior Phase II award from any federal agency in the prior 5
fiscal years, submit name of awarding agency, date of award, funding
agreement number, amount, topic or subtopic title, follow-on agreement
amount, source and date of commitment, and current commercialization
status for each Phase II. (This required proposal information shall
be included as an attachment to the proposals and shall not be counted
toward proposal pages count limitation.)
E. COST BREAKDOWN/PROPOSED BUDGET
Complete the budget form in Appendix C and include the form immediately
after proposal Section D.11. Photocopy the form for the required
copies for submission. Incorporate the copy of the budget form bearing
the original signature into the copy of the proposal bearing the
original signature on the cover page. The budget form will count
as one page in the 25-page limit. If budget explanation pages are
included, they will count toward the 25-page limit.
F. PHASE I QUALITY ASSURANCE NARRATIVE STATEMENT
Offerors must state whether or not their proposal involves
the performance of environmental technology, whether hardware based
or via new techniques. This quality assurance narrative statement
should not exceed two pages and will be included in the 25-page
limitation for the proposal. The narrative statement must for each
of the following items either address the required information or
explain why the item does not apply to the proposed research.
1. Discuss the activities to be performed or hypothesis to be tested
and criteria for determining acceptable data quality. (Note: Such
criteria may be expressed in terms of precision, accuracy, representativeness,
completeness, and comparability. These criteria also must be applied
to determine the acceptability of existing or secondary data to
be used in the project.)
2. Describe the study design, including sample type and location
requirements, any statistical analyses that were used to estimate
the types and numbers of samples required for physical samples,
or equivalent information for studies using survey and interview
techniques.
3. Describe the procedures for the handling and custody of samples,
including sample collection, identification, preservation, transportation,
and storage.
4. Describe the procedures that will be used in the calibration
and performance evaluation of the sampling and analytical methods
and equipment to be used during the project.
5. Discuss the procedures for data reduction and reporting, including
a description of statistical analyses to be used and of any computer
models to be designed or utilized with associated verification and
validation techniques.
6. Describe the quantitative and/or qualitative procedures that
will be used to evaluate the success of the project, including any
plans for peer or other reviews of the study design or analytical
methods prior to data collection.
A more detailed Proposal Quality Assurance Plan will be required
in Phase II. The plan will be required as part of the first monthly
report under the Phase II contract.
IV. METHOD OF SELECTION AND EVALUATION
CRITERIA
All Phase I proposals will be evaluated and judged on a competitive
basis by peer reviewers from outside EPA. Proposals will be initially
screened to determine responsiveness. As noted in Section III, proposals
exceeding the 25-page limitation will not be considered for review
or award. Also, as noted in Section I, any proposal addressing more
than one research topic, or failing to identify the research topic
by letter symbol on the cover page, will not be considered for review
or award. Proposals passing this initial screening will be reviewed
for technical merit by external panels of technical experts, using
the technical evaluation criteria described in A.1 below. Each of
the criteria are equal in value. These panels will assign each proposal
an adjectival rating of "excellent", "very good",
"good", "fair", or "poor", using the
specified criteria. The proposals assigned "excellent"
and "very good" ratings, will then be subjected to the
programmatic review within EPA, to further evaluate these applications
in relation to program priorities and balance using the criteria
specified in A.2 below. Each proposal will be judged on its own
merit. The Agency is under no obligation to fund any proposal or
any specific number of proposals in a given topic. It also may elect
to fund several or none of the proposed approaches to the same topic
or subtopic.
A. TECHNICAL EVALUATION CRITERIA
1. EXTERNAL PEER REVIEW. The external peer review panels will utilize
the following evaluation criteria to rate each proposal. The criteria
are of equal importance.
CRITERIA
a. The scientific and technical significance of the proposed technology
and its appropriateness to the research topic. Quality and soundness
of the research plan to establish the technical and commercial feasibility
of the concept.
b. The uniqueness/ingenuity of the proposed concept or application
as technological innovation. Originality and innovativeness of the
proposed research toward meeting customer needs and achieving commercialization
of the technology.
c. Potential demonstration of performance/cost effectiveness and
environmental benefits associated with the proposed research, including
risk reduction potential.
d. Qualifications of the principal/key investigator, supporting
staff, and consultants. Time commitment of principal/key investigator,
adequacy of equipment and facilities, and proposed budget to accomplish
the proposed research. Adequacy and quality of the Quality Assurance
Narrative Statement.
e. Potential of the proposed concept for significant commercial
applications. Potential for the commercialization plan to produce
an innovative product, process or device and to put it into commercial
production and sales. Potential market and competition and other
financial/business indicators of commercialization potential and
the offeror's SBIR or other research commercialization record.
All peer reviewers will be required to sign an agreement to protect
the confidentiality of all proposal material, and to certify that
no conflict of interest exists between the reviewer and the offeror.
A copy of both forms is available upon request; however, the identity
of the reviewer will not be released.
2. EPA PROGRAMMATIC REVIEW. The proposals that received ratings
of "excellent" or "very good" by the External
Peer Review Panel will be subject to the programmatic review by
EPA program managers using the criteria set forth below to select
which of the "excellent" and "very good" proposals
will be funded. Projects will not be funded where EPA determines
the proposed research is already being supported by EPA or another
known source. The evaluation criteria "a" through "c"
are of equal value and will be used to evaluate the applications
in relation to program priorities, balance, and programmatic relevancy.
CRITERIA
a. The potential of the technology to meet Agency program priorities
and to strengthen the overall balance of the SBIR program. How well
the technology fits into EPA's overall research strategy.
b. The potential of the technology for significant environmental
benefits and for strengthening the scientific basis for risk assessment/risk
management in the Agency research topic area.
c. The potential of the technology to have broad application or
to impact large segments of the population.
B. RELEASE OF PROPOSAL REVIEW INFORMATION
After final award decisions have been announced, the technical evaluations
of the offeror's proposal will be provided to the offeror. The identity
of the reviewer shall not be disclosed.
Return to Table of Contents
V. CONSIDERATIONS
A. AWARDS
The Government anticipates award of approximately 25 firm-fixed-price
contracts of up to $70,000 each including profit. It is expected
that these contracts will be awarded with a contract start date
of April 1, 2003. The period of performance for the contracts should
not exceed six (6) months. The primary consideration in selecting
proposals for award will be the technical merit of the proposal.
Proposals shall be evaluated in accordance with the Technical Evaluation
Criteria stated in IV.A. above. Source selection will not be based
on a comparison of cost or price. However, cost or price will be
evaluated to determine whether the price, including any proposed
profit, is fair and reasonable and whether the offeror understands
the work and is capable of performing the contract.
This current solicitation is for Phase I only, and the Government
is not obligated to fund any specific Phase I proposal.
Funds are not presently available for this contract. The Government's
obligation under this contract is contingent upon the availability
of appropriated funds from which payment for contract purposes can
be made. No legal liability on the part of the Government for any
payment may arise until funds are made available to the Contracting
Officer for this contract and until the Contractor receives notice
of such availability, to be confirmed in writing by the Contracting
Officer.
B. REPORTS
1. The Contractor shall furnish two (2) copies of a monthly letter
report stating progress made. One (1) copy of the report shall be
submitted to the Project Officer and one (1) copy to the Contract
Specialist. The reports shall be submitted within 7 calendar days
after the end of the reporting period. Specific areas of interest
shall include progress made and difficulties encountered during
the reporting period, and a statement of activities anticipated
during the subsequent reporting period. The report shall include
any changes in personnel associated with the project. Also, the
first month's report shall contain a work plan and schedule of accomplishments
for the subsequent months of the project. The Monthly Report shall
include, as an attachment, a copy of the monthly voucher for the
same period.
2. Two (2) copies of a comprehensive final report on the Phase I
project must be submitted to the Project Officer by the completion
date of the contract. The Contract Specialist shall receive one
copy. This final report shall include a single-page project summary
as the first page, identifying the purpose of the research, a brief
description of the research carried out, the research findings or
results, and potential applications of the research in a final paragraph.
The balance of the report should indicate in detail the research
objectives, research work carried out, results obtained, and estimates
of technical feasibility. The report should include a discussion
of any commercialization activity carried out during Phase I as
well as future commercialization plans.
3. Two (2) hard copies (and one copy on a disk in Word Perfect or
ASCII format) of a publishable (cleared for the general public)
2-3 page Executive Summary of the final report for Phase I must
be submitted to the Project Officer by the completion date of the
contract. This special report should be a true summary of the report,
including the purpose of the project, work carried out, and results.
The summary should stress innovativeness and potential commercialization.
The Executive Summary will be placed on the EPA SBIR Web Site, and
therefore, it should include the specific results the company is
willing to release to the public.
C. PAYMENT SCHEDULE - Phase I payments will be made as follows:
Eighteen percent (18%) of the total contract price upon receipt
and acceptance of a proper invoice with each of the first five monthly
reports. The remainder shall be paid upon receipt and acceptance
of the final report. Pursuant to the provisions of FAR 52.232-25,
"Prompt Payment", payment will be rendered within thirty
(30) days after receipt of a proper invoice.
D. INNOVATIONS, INVENTIONS AND PATENTS
1. LIMITED RIGHTS INFORMATION AND DATA
a. Proprietary Information
Information contained in unsuccessful proposals will remain the
property of the offeror. The Government may, however, retain copies
of all proposals. Public release of information in any proposal
submitted will be subject to existing statutory and regulatory requirements.
If proprietary information is provided by an offeror in a proposal
which constitutes a trade secret, proprietary commercial or financial
information, confidential personal information or data affecting
the national security, it will be treated in confidence to the extent
permitted by law, provided this information is clearly marked by
the offeror with the term "confidential proprietary information"
and provided the following legend appears on the title page of the
proposal:
"For any purpose other than to evaluate the proposal, these
data shall not be disclosed outside the Government and shall not
be duplicated, used, or disclosed in whole or in part, provided
that if a funding agreement is awarded to this offeror as a result
of or in connection with the submission of this data, the Government
shall have the right to duplicate, use, or disclose the data to
the extent provided in the funding agreement. This restriction does
not limit the Government's right to use information contained in
the data if it is obtained from another source without restriction.
The data subject to this restriction is contained in pages ________
of this proposal."
Any other legend may be unacceptable to the Government and may constitute
grounds for removing the proposal from further consideration and
without assuming any liability for inadvertent disclosure.
b. Alternative to Minimize Proprietary Information: Offerors shall
limit proprietary information to only that absolutely essential
to their proposal.
c. Rights in Data Developed Under SBIR Funding Agreements: The Contract
will contain a data clause which will provide the following:
SBIR RIGHTS NOTICE (MAR 1994)
These SBIR data are furnished with SBIR rights under Contract No.___________
(and subcontract _________ if appropriate). For a period of four
(4) years after acceptance of all items to be delivered under this
contract, the Government agrees to use these data for Government
purposes only, and they shall not be disclosed outside the Government
(including disclosure for procurement purposes) during such period
without permission of the Contractor, except that, subject to the
foregoing use and disclosure prohibitions, such data may be disclosed
for use by support Contractors. After the aforesaid 4-year period
the Government has a royalty-free license to use, and to authorize
others to use on its behalf, these data for Government purposes,
but is relieved of all disclosure prohibitions and assumes no liability
for unauthorized use of these data by third parties. This Notice
shall be affixed to any reproductions of these data, in whole or
in part.
d. Copyrights
With prior written permission of the Contracting Officer, the Awardee
normally may copyright and publish (consistent with appropriate
national security considerations, if any) material developed with
EPA support. EPA receives a royalty-free license for the Federal
Government and requires that each publication contain an appropriate
acknowledgment and disclaimer statement.
e. Patents
Small business concerns normally may retain the principal worldwide
patent rights to any invention developed with Governmental support.
The Government receives a royalty-free license for Federal Government
use, reserves the right to require the patent holder to license
others in certain circumstances, and requires that anyone exclusively
licensed to sell the invention in the United States must normally
manufacture it domestically. To the extent authorized by 35 U.S.C.
205, the Government will not make public any information disclosing
a Government-supported invention for a 4-year period to allow the
Awardee a reasonable time to pursue a patent.
E. COST SHARING
Cost sharing is permitted for proposals under this Program Solicitation;
however, cost sharing is not required nor will it be an evaluation
factor in consideration of your proposal.
F. FEE OR PROFIT
Reasonable fee (estimated profit) will be considered under this
solicitation. For guidance purposes, the amount of profit normally
should not exceed 10% of total project costs.
G. JOINT VENTURES OR LIMITED PARTNERSHIPS
Joint ventures and limited partnerships are eligible provided the
entity created qualifies as a small business as defined in this
Program Solicitation.
H. RESEARCH AND ANALYTICAL WORK
1. For Phase I, a minimum of two-thirds of the research and/or analytical
effort must be performed by the proposing small business concern
unless otherwise approved in writing by the Contracting Officer.
2. For Phase II, a minimum of one-half of the research and/or analytical
effort must be performed by the proposing small business concern
unless otherwise approved in writing by the Contracting Officer.
I. CONTRACTOR COMMITMENTS
Upon award of a funding agreement, the Awardee will be required
to make certain legal commitments through acceptance of numerous
clauses in Phase I funding agreements. The outline that follows
is illustrative of the types of clauses to which the Contractor
would be committed. This list should not be understood to represent
a complete list of clauses to be included in Phase I funding agreements,
nor to be specific wording of such clauses. Copies of complete terms
and conditions are available upon request.
1. INSPECTION. Work performed under the contract is subject to Government
inspection and evaluation at all times.
2. EXAMINATION OF RECORDS. The Comptroller General (or a duly authorized
representative) shall have the right to examine any directly pertinent
records of the awardee involving transactions related to this contract.
3. DEFAULT. The Government may terminate the contract if the Contractor
fails to perform the work contracted.
4. TERMINATION FOR CONVENIENCE. The contract may be terminated at
any time by the Government if it deems termination to be in its
best interest, in which case the Contractor will be compensated
for work performed and for reasonable termination costs.
5. DISPUTES. Any dispute concerning the funding agreement that cannot
be resolved by agreement shall be decided by the Contracting Officer
with right of appeal.
6. EQUAL OPPORTUNITY. The awardee will not discriminate against
any employee or applicant for employment because of race, color,
religion, sex, or national origin.
7. AFFIRMATIVE ACTION FOR VETERANS. The awardee will not discriminate
against any employee or application for employment because he or
she is a disabled veteran or veteran of the Vietnam era.
8. AFFIRMATIVE ACTION FOR HANDICAPPED. The awardee will not discriminate
against any employee or applicant for employment because he or she
is physically or mentally handicapped.
9. OFFICIALS NOT TO BENEFIT. No Government official shall benefit
personally from the contract.
10. COVENANT AGAINST CONTINGENT FEES. No person or agency has been
employed to solicit or secure the contract upon an understanding
for compensation except bonafide employees or commercial agencies
maintained by the Contractor for the purpose of securing business.
11. GRATUITIES. The contract may be terminated by the Government
if any gratuities have been offered to any representative of the
Government to secure the contract.
12. PATENT AND COPYRIGHT INFRINGEMENT. The Contractor shall report
each notice or claim of patent or copyright infringement based on
the performance of the contract.
13. AMERICAN MADE EQUIPMENT AND PRODUCTS. When purchasing equipment
or a product under the SBIR funding agreement, purchase only American-made
items whenever possible.
J. ADDITIONAL INFORMATION
1. The Program Solicitation is intended for informational purposes
and reflects current planning. If there is any inconsistency between
the information contained herein and the terms of any resulting
SBIR funding agreement, the terms of the funding agreement are controlling.
2. Before award of an SBIR funding agreement, the Government may
request the offeror to submit certain organizational, management,
personnel, and financial information to assure responsibility of
the offeror.
3. The Government is not responsible for any monies expended by
the offeror before award of any funding agreement.
4. This Program Solicitation is not an offer by the Government and
does not obligate the Government to make any specific number of
awards. Also, awards under the SBIR program are contingent upon
the availability of funds.
5. The SBIR program is not a substitute for existing unsolicited
proposal mechanisms. Unsolicited proposals shall not be accepted
under the SBIR program in either Phase I or Phase II.
6. If an award is made pursuant to a proposal submitted under this
Program Solicitation, the Contractor will be required to certify
that he or she has not previously been, nor is currently being,
paid for essentially equivalent work by any agency of the Federal
Government.
7. Notwithstanding the relatively broad definition of R/R&D
in Section II, Definitions, hereof, awards under this solicitation
are limited to APPLIED forms of research. Proposals that are surveys,
including market, state-of-the-art and/or literature surveys, which
should have been performed by the offeror prior to the preparation
of the proposal, or the preparation of allied questionnaires and
instruction manuals, shall not be accepted. If such proposals are
submitted, they shall be considered as not in compliance with the
solicitation intent, and therefore, technically unacceptable.
8. The requirement that the offeror designate a topic, and only
one topic, (see page 1, Section I above) also is necessary. EPA
receives hundreds of proposals each year and has special teams of
reviewers for review of each research topic. In order to assure
that proposals are evaluated by the correct team, it is the complete
responsibility of the offeror to select and identify the best topic.
9. Instructions to Offerors - Competitive Acquisition (May 2001)
FAR 52.215-1
(a) Definitions. As used in this provision-
"Discussions" are negotiations that occur after establishment
of the competitive range that may, at the Contracting Officer's
discretion, result in the offeror being allowed to revise its proposal.
"In writing," "writing," or "written"
means any worded or numbered expression that can be read, reproduced,
and later communicated, and includes electronically transmitted
and stored information.
"Proposal modification" is a change made to a proposal
before the solicitation's closing date and time, or made in response
to an amendment, or made to correct a mistake at any time before
award.
"Proposal revision" is a change to a proposal made after
the solicitation closing date, at the request of or as allowed by
a Contracting Officer as the result of negotiations.
"Time," if stated as a number of days, is calculated using
calendar days, unless otherwise specified, and will include Saturdays,
Sundays, and legal holidays. However, if the last day falls on a
Saturday, Sunday, or legal holiday, then the period shall include
the next working day.
(b) Amendments to solicitations. If this solicitation is amended,
all terms and conditions that are not amended remain unchanged.
Offerors shall acknowledge receipt of any amendment to this solicitation
by the date and time specified in the amendment(s).
(c) Submission, modification, revision, and withdrawal of proposals.
(1) Unless other methods (e.g., electronic commerce or facsimile)
are permitted in the solicitation, proposals and modifications to
proposals shall be submitted in paper media in sealed envelopes
or packages (i) addressed to the office specified in the solicitation,
and (ii) showing the time and date specified for receipt, the solicitation
number, and the name and address of the offeror. Offerors using
commercial carriers should ensure that the proposal is marked on
the outermost wrapper with the information in paragraphs (c)(1)(i)
and (c)(1)(ii) of this provision.
(2) The first page of the proposal must show-
(i) The solicitation number;
(ii) The name, address, and telephone and facsimile numbers of the
offeror (and electronic address if available);
(iii) A statement specifying the extent of agreement with all terms,
conditions, and provisions included in the solicitation and agreement
to furnish any or all items upon which prices are offered at the
price set opposite each item;
(iv) Names, titles, and telephone and facsimile numbers (and electronic
addresses if available) of persons authorized to negotiate on the
offeror's behalf with the Government in connection with this solicitation;
and
(v) Name, title, and signature of person authorized to sign the
proposal. Proposals signed by an agent shall be accompanied by evidence
of that agent's authority, unless that evidence has been previously
furnished to the issuing office.
(3) Submission, modification, revision, and withdrawal of proposals.
(i) Offerors are responsible for submitting proposals, and any modifications
or revisions, so as to reach the Government office designated in
the solicitation by the time specified in the solicitation. If no
time is specified in the solicitation, the time for receipt is 4:30
p.m., local time, for the designated Government office on the date
that proposal or revision is due.
(ii)(A) Any proposal, modification, or revision received at the
Government office designated in the solicitation after the exact
time specified for receipt of offers is "late" and will
not be considered unless it is received before award is made, the
Contracting Officer determines that accepting the late offer would
not unduly delay the acquisition; and-
(1) If it was transmitted through an electronic commerce method
authorized by the solicitation, it was received at the initial point
of entry to the Government infrastructure not later than 5:00 p.m.
one working day prior to the date specified for receipt of proposals;
or
(2) There is acceptable evidence to establish that it was received
at the Government installation designated for receipt of offers
and was under the Government's control prior to the time set for
receipt of offers; or
(3) It is the only proposal received.
(B) However, a late modification of an otherwise successful proposal
that makes its terms more favorable to the Government, will be considered
at any time it is received and may be accepted.
(iii) Acceptable evidence to establish the time of receipt at the
Government installation includes the time/date stamp of that installation
on the proposal wrapper, other documentary evidence of receipt maintained
by the installation, or oral testimony or statements of Government
personnel.
(iv) If an emergency or unanticipated event interrupts normal Government
processes so that proposals cannot be received at the office designated
for receipt of proposals by the exact time specified in the solicitation,
and urgent
Government requirements preclude amendment of the solicitation,
the time specified for receipt of proposals will be deemed to be
extended to the same time of day specified in the solicitation on
the first work day on which normal Government processes resume.
(v) Proposals may be withdrawn by written notice received at any
time before award. Oral proposals in response to oral solicitations
may be withdrawn orally. If the solicitation authorizes facsimile
proposals, proposals may be withdrawn via facsimile received at
any time before award, subject to the conditions specified in the
provision at 52.215-5, Facsimile Proposals. Proposals may be withdrawn
in person by an offeror or an authorized representative, if the
identity of the person requesting withdrawal is established and
the person signs a receipt for the proposal before award.
(4) Unless otherwise specified in the solicitation, the offeror
may propose to provide any item or combination of items.
(5) Offerors shall submit proposals in response to this solicitation
in English, unless otherwise permitted by the solicitation, and
in U.S. dollars, unless the provision at FAR 52.225-17, Evaluation
of Foreign Currency Offers, is included in
the solicitation.
(6) Offerors may submit modifications to their proposals at any
time before the solicitation closing date and time, and may submit
modifications in response to an amendment, or to correct a mistake
at any time before award.
(7) Offerors may submit revised proposals only if requested or allowed
by the Contracting Officer.
(8) Proposals may be withdrawn at any time before award. Withdrawals
are effective upon receipt of notice by the Contracting Officer.
(d) Offer expiration date. Proposals in response to this solicitation
will be valid for the number of days specified on the solicitation
cover sheet (unless a different period is
proposed by the offeror).
(e) Restriction on disclosure and use of data. Offerors that include
in their proposals data that they do not want disclosed to the public
for any purpose, or used by the Government except for evaluation
purposes, shall-
(1) Mark the title page with the following legend: This proposal
includes data that shall not be disclosed outside the Government
and shall not be duplicated, used, or disclosed-in whole or in part-for
any purpose other than to evaluate this proposal. If, however, a
contract is awarded to this offeror as a result of-or in connection
with-the submission of this data, the Government shall have the
right to duplicate, use, or disclose the data to the extent provided
in the resulting contract. This restriction does not limit the Government's
right to use information contained in these data if it is obtained
from another source without restriction. The data subject to this
restriction are contained in sheets [insert numbers or other identification
of sheets]; and
(2) Mark each sheet of data it wishes to restrict with the following
legend: Use or disclosure of data contained on this sheet is subject
to the restriction on the title page of this proposal.
(f) Contract award.
(1) The Government intends to award a contract or contracts resulting
from this solicitation to the responsible offeror(s) whose proposal(s)
represents the best value after evaluation in accordance with the
factors and subfactors in the solicitation.
(2) The Government may reject any or all proposals if such action
is in the Government's interest.
(3) The Government may waive informalities and minor irregularities
in proposals received.
(4) The Government intends to evaluate proposals and award a contract
without discussions with offerors (except clarifications as described
in FAR 15.306(a)). Therefore, the offeror's initial proposal should
contain the offeror's best terms from a cost or price and technical
standpoint. The Government reserves the right to conduct discussions
if the Contracting Officer later determines them to be necessary.
If the Contracting Officer determines that the number of proposals
that would otherwise be in the competitive range exceeds the number
at which an efficient competition can be conducted, the Contracting
Officer may limit the number of proposals in the competitive range
to the greatest number that will permit an efficient competition
among the most highly rated proposals.
(5) The Government reserves the right to make an award on any item
for a quantity less than the quantity offered, at the unit cost
or prices offered, unless the offeror specifies otherwise in the
proposal.
(6) The Government reserves the right to make multiple awards if,
after considering the additional administrative costs, it is in
the Government's best interest to do so.
(7) Exchanges with offerors after receipt of a proposal do not constitute
a rejection or counteroffer by the Government.
(8) The Government may determine that a proposal is unacceptable
if the prices proposed are materially unbalanced between line items
or subline items. Unbalanced pricing exists when, despite an acceptable
total evaluated price, the price of one or more contract line items
is significantly overstated or understated as indicated by the application
of cost or price analysis techniques. A proposal may be rejected
if the Contracting Officer determines that the lack of balance poses
an
unacceptable risk to the Government.
(9) If a cost realism analysis is performed, cost realism may be
considered by the source selection authority in evaluating performance
or schedule risk.
(10) A written award or acceptance of proposal mailed or otherwise
furnished to the successful offeror within the time specified in
the proposal shall result in a binding contract without further
action by either party.
(11) The Government may disclose the following information in postaward
debriefings to other offerors:
(i) The overall evaluated cost or price and technical rating of
the successful offeror;
(ii) The overall ranking of all offerors, when any ranking was developed
by the Agency during source selection;
(iii) A summary of the rationale for award; and
(iv) For acquisitions of commercial items, the make and model of
the item to be delivered by the successful offeror.
Return to Table of Contents
VI. SUBMISSION OF PROPOSALS
A. Your proposal with an original and nine (9) copies shall be received
at one of the following addresses by 12:00 p.m. (noon), local time,
on May 23, 2002.
U.S. MAIL ADDRESS:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-02-10155 - SBIR Phase I
Closing Date: May 23, 2002 at 12:00 p.m. (noon)
Attention: Marsha Johnson, SBIR Phase I
RTP Procurement Operations Division (D143-01)
Research Triangle Park, NC 27711
HAND CARRIED/COURIER ADDRESS:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-02-10155 - SBIR Phase I
Closing Date: May 23, 2002 at 12:00 p.m. (noon)
Attention: Marsha Johnson, SBIR Phase I
RTP Procurement Operations Division (D143-01)
4930 Old Page Road
Research Triangle Park, NC 27709
IMPORTANT!!! Please note Section V, Paragraph J.9(c) concerning
Late Proposals, Modifications of Proposals and Withdrawal of Proposals.
Telegraphic, telecopied, or facsimile proposals will NOT be considered
for award.
B. Please do not use special bindings or covers. Staple the pages
in the upper left corner of the cover sheet of each proposal.
C. All copies of a proposal shall be sent in the same package.
D. The proposal should be self-contained and written with the care
and thoughtfulness accorded papers for publication.
VII. SCIENTIFIC AND TECHNICAL INFORMATION
SOURCES
(See Appendix D)
VIII. SBIR PHASE I RESEARCH TOPICS
Program Scope: The objective of this solicitation is to increase
the incentive and opportunity for small firms to undertake cutting
edge, high-risk, or long-term research that has a high potential
payoff if the research is successful. Federal support of the front-end
research on new ideas, often the highest risk part of the innovation
process, may provide small businesses sufficient incentive to pursue
such research.
EPA's SBIR program does not fund basic research or literature searches.
It is recognized that any research and development project starts
out as a concept of the inventor. Basic theoretic research studies
and preliminary laboratory testing of the concept often are needed
to develop an idea. Literature and other surveys and questionnaires
also are needed to rule out duplication and inappropriate research
study and process detail, finally leading to the process design
of a prototype apparatus or process that could be tested to show
the feasibility of the innovation. These basic research activities
and preliminary studies should be completed before preparing an
SBIR proposal.
Proposals only offering computer expert systems, computer models,
and computer-aided design activities are unacceptable. Computer
activities may be helpful tools in the early identification of pollution
problems and possible solutions, but they do not directly reduce
pollution. They cannot be used in lieu of applied laboratory research
to determine the feasibility of a pollution control process. Also,
proposals that only offer the performance of a design activity cannot
be judged, as it is impossible to guess what sort of apparatus or
process will result. Without a straightforward description of the
process and/or apparatus to be tested, there can be no determination
of the scientific and technical quality of the work plan. Proposals
only offering such design activities are unacceptable.
Program Topics: The proposed research must directly pertain to EPA's
environmental mission and must be responsive to EPA program interests
included in the topic descriptions of this solicitation. The research
should be the basis for technological innovation resulting in new
commercial products, processes, or services which benefit the public
and promote the growth of the small business. This solicitation
covers nanotechnologies and pollution prevention, drinking water
and wastewater treatment, control of air pollution, solid and hazardous
waste management, environmental monitoring and analytical technologies,
and environmental bioterrorism detection and decontamination.
Processes involving anthropogenic radioactive materials or the application
of fertilizers are addressed by other agencies and are not included
in this solicitation. Technologies that only involve fuel savings
without direct environmental benefits, also are addressed by other
agencies and are not included in this solicitation. Specific topics
of this solicitation include:
A. NANOMATERIALS AND CLEAN TECHNOLOGY
Research is needed to apply the principles of nanotechnology to
the areas of environmental monitoring and pollution prevention and
control. Nanotechnology is defined as the creation of functional
materials, devices, and systems through control of matter at the
scale of 1 to 100 nanometers, and the exploitation of novel properties
and phenomena at the same scale. EPA is particularly interested
in nanotechnologies that reduce the use and release of toxic pollutants,
especially persistent, bioaccumulative toxics, hazardous air pollutants,
and volatile organic compounds. Nanotechnology is emerging as a
technology platform with potential for great environmental breakthroughs
and significant commercial applications. This nanomaterials topic
area is closely related to other topics in the solicitation. Specific
areas of interest include, but are not limited to:
- Environmentally benign manufacturing processes. Green nanotechnology
that eliminates or minimizes harmful emissions and material waste
from industrial processes or that improves reuse or our ability
to recycle.
- New nanoporous filters for removal of gaseous pollutants and
particulates from contaminated air streams.
- Nanofiltration membranes for organic solvent recovery and similar
applications.
- Nanoparticulate catalysts for utilization in VOC treatment
devices and related applications.
- Development of microelectromechanical systems (MEMS) and nanotechnology
based devices for use in environmental analytical and monitoring
instrument devices including sensors and nano plumbing components.
- Metal free nano laminated coatings and nanomaterials with smart
characteristics including reactive coatings that destroy or immobilize
toxic compounds.
- Development of technology for solvent free production of nano
size high performance ceramic powders and similar materials.
- High surface area nano materials for new coatings and environmental
applications.
- Nanomaterial sensors for rapid and precise process control and environmental monitoring. EPA is particularly interested in remote, in-situ, real-time and continuous measurement of species at trace (ppt) concentrations. Sensors that utilize lab-on-a-chip technology also are of interest.
Clean Technology, the second part of this topic, includes pollution
prevention, waste minimization, green chemistry, and several industry-specific
engineering interests. Pollution prevention includes source reduction
practices that reduce the release of any hazardous or non-hazardous
substance, including fugitive emissions. This topic includes equipment
or technology modifications, process or procedure modifications,
reformulation or redesign of products, and substitution of raw materials.
While improvements in housekeeping, maintenance, training, or inventory
control may result in pollution prevention, these activities are
outside the scope of EPA's SBIR program.
Green chemistry involves reducing or eliminating the use or generation
of hazardous substances, including feedstocks, reagents, solvents,
products, and byproducts. Green chemistry involves the design, manufacture,
and use of chemical products and processes and includes chemical
synthesis, catalysis, detection, analysis, monitoring, separation
processes, and reaction conditions. Of particular interest are green
chemistry projects that reduce the generation of pollutants that
contain persistent, bioaccumulative, and toxic chemicals. Examples
of pollution prevention and green chemistry areas of interest include,
but are not limited to:
- Novel cost-effective separation methods and long-life coatings.
- Development of new cost-competitive, low-temperature sterilization
processes to replace the use of ethylene oxide (EO). (For background
information, see: http://www.h2e-online.org/
and http://www.aha.org/ )
- Changes in the composition of end products that would allow
fundamental changes in the production process, in the use of raw
materials, or that reduce the relative environmental impact resulting
from their use and disposal. Of particular interest are mercury-free
products such as lighting, switches, and thermostats, and products
used in a hospital setting. (For information on hospital products,
see: http://www.sustainablehospitals.org )
Another part of this topic includes engineering proposals that
focus on industry-specific process technology and production equipment,
including modernization, modification, or better control of process
equipment. Process inputs, including changes in raw materials, either
to different materials (e.g., water instead of organic solvents)
or materials with different specifications (e.g., lower contaminant
levels) also are of special interest. Priority sectors include industries
under EPA's Sector-Based, Sustainable Industries Partnership Program
(see the Web site: http://www.sectorstar.org
)and the Design for
the Environment/Small Business Partnership, including metal finishing,
printing, electronics, garment and fabric care, shipbuilding and
ship repair, foundries, die casting, meat processing, specialty
batch chemicals, adhesives manufacturing, and safer chemicals and
processes for automotive repair facilities and automobile and appliance
assembly plants. An example of EPA's needs is provided below:
- Shipbuilding and Repair Industry: EPA is interested in cleaner technologies and product substitutions that result in low or zero-leaching of toxic metals from water-borne vessels into water coming into contact with these vessels. Contact water includes process and wash water, runoff, and the water bodies where ships operate. Examples of product substitutions include metal-free marine coatings and new ship construction materials.
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B. PREVENTION AND CONTROL OF AIR POLLUTION
Research is needed on new, innovative, and cost-effective approaches
that prevent or control emissions of nitrogen oxides (NOx), fine
particles, volatile organic compounds (VOCs), or toxic air pollutants
(TAPs) from stationary sources. Systems that can be used to control
combinations of these pollutants are of particular interest. Areas
of interest include, but are not limited to:
- Innovative and cost-effective technologies to control emissions
of sulfur trioxide (SO3) from stationary sources. Sources of particular
interest include coal-fired boilers and smelters.
- Advanced systems to capture gaseous contaminants such as acid
gases, dioxins, and TAPs. Techniques that simultaneously control
multiple pollutants, such as SO2 and NOx, or SO2 and mercury or
SO2, NOx, and mercury are of special interest.
- Innovative and cost-effective techniques to control directly
emitted submicron size particles, secondary particles, and organic
compounds from stationary sources. Sources of particular interest
include boilers and smelters.
- Innovative and cost-effective NOx, SO2, and mercury controls
for stationary sources such as coal-fired electric utility boilers.
Cost-effective techniques to control emission streams with low
concentrations of TAPs. VOC and TAP emission controls and prevention
technologies for area sources, such as gasoline marketing operations,
surface coating operations, and solvent usage related to consumer
and commercial products.
- New, cost-effective sulfur oxides control techniques for the
large number of smaller SO2 emitters targeted for regulation by
states. Many of these sources impact short-term air quality standards
due to their relatively high concentration of SO2 in stack gases.
- Cost-effective techniques to control and/or remove toxic air
emissions, such as heavy metals, nitroaromatics, and other extraordinarily
active mutagens in vent and flue gases from combustion and/or
industrial sources. Mercury from coal-fired combustors is of special
interest. Also included are isocyanates from auto refinish spray
painting and brominated flame retardant dust from plastics manufacturing
operations.
- Innovative clay-based or other inexpensive sorbents for selective
removal of toxic and other air pollutants from coal-fired power
plant emissions. Control of mercury is of special interest.
- Technologies that allow leaking valves to be safely repaired online.
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C. TREATMENT AND MONITORING OF DRINKING
WATER
EPA needs new technologies, especially for small systems, for removal
of organic and inorganic contaminants and disinfection by-products,
and protection from disease-causing organisms. Innovation is needed
to upgrade existing techniques as well as to develop new approaches
to address these problems. Areas of interest include, but are not
limited to:
- Development of innovative unit processes, particularly for small
systems, for removal of contaminants such as perchlorate, aluminum
and pesticides, and pathogens such as Cryptosporidium and cyst-like
organisms and emerging pathogens like caliciviruses, microsporidia,
echoviruses, coxsackieviruses, adenoviruses, and others on the
Drinking Water Contaminant Candidate List. More information is
available from the following Web site:
https://www.epa.gov/OGWDW/ccl/cclfs.html#table1 . - Alternatives to chlorine disinfection for removing pathogenic
microorganisms, including innovative applications of ultraviolet
radiation and processes that improve overall effectiveness while
using reduced amounts of disinfectant.
- Development of efficient, cost-effective treatment processes for removing disinfection by-product precursors and innovative methods that minimize their formation.
New approaches also are needed to solve drinking water monitoring and measurement problems. EPA is interested in the adaptation or extension of existing techniques from other, non-environmental fields that can provide significant improvements in current environmental measurements. Specific areas of interest include, but are not limited to:
- Portable measurement technologies that can be used in the field
to eliminate packaging and shipping samples to distant laboratories,
and yield real-time information at a lower cost. Such technologies
need to be rugged, sensitive, and suitable for the wide variety
of drinking water samples that are commonly analyzed. Rapid field
tests also are needed to respond to spills and accidents.
- Improved measurement of microbial pathogens in drinking water
systems is of special interest. Improved methods for Cryptosporidium
are a priority. Better methods also are needed for measuring other
cyst-like organisms and emerging pathogens like caliciviruses,
microsporidia, echoviruses, coxsackieviruses, adenoviruses, and
others on the Drinking Water Contaminant Candidate List.
- Research is needed to develop sensitive, accurate, and specific
rapid-screening technologies and methods to detect algal neurotoxins
and cytotoxins in source water and drinking water. The analytical
techniques should be appropriate for use in measuring algal toxin
occurrence at or shortly after the time of sample collection.
D. MUNICIPAL AND INDUSTRIAL WASTEWATER
TREATMENT
Research is needed to improve existing municipal wastewater treatment
processes and treatment and management of septage and sewage sludge
(biosolids). Existing treatment and management systems often fail
to perform as intended due to unforeseen factors not considered
in the plant design, usually related to upsets in the process itself
or inefficiencies in ancillary treatment and control processes.
Specific areas of interest include, but are not limited to:
- New, cost-effective technologies that improve treatment efficiency
at municipal wastewater treatment facilities with design flows
less than 50,000 gallons per day.
- Cost-effective alternatives to the chlorination of outfalls
from municipal wastewater treatment plants, emphasizing the identity
and characteristics of by-products associated with the alternative
treatments.
- Innovative, cost-effective techniques for removing phosphorus
and nitrogen nutrients from municipal wastewater, particularly
in small (<10,000 population) or decentralized systems.
- Innovative methods to manage and treat septage and new techniques
for unsewered residential and commercial wastewaters.
- Cost-effective treatment technologies for removal of pesticides from discharges to surface waters.
Research is needed to address environmental and public health problems associated with industrial sources including mining and animal feeding operations. Innovative methods are needed to improve existing industrial wastewater treatment processes, which often fail to perform as intended due to unforeseen factors not considered in the plant design, usually related to upsets or inefficiencies in the treatment processes. Mercury-contaminated surface waters and ground waters and technologies that remove oil and other contaminants from surface waters are of special interest. Areas of interest include, but are not limited to:
- Technologies to control discharges from concentrated animal
feeding operations (CAFOs) including beef cattle feedlots; hog,
sheep, chicken, and turkey operations; and dairy farms. (For more
information, see: http://epa.gov/ost/guide/cafo/index.html.)
- Process concepts and modifications to enhance reliability of
achieving high efficiencies for industrial wastewater treatment
systems from facilities with design flows less than 50,000 gallons
per day.
- Economical processes for treating drainage from abandoned factories,
coal mines, etc., including low-cost treatment of drainage, coal
mine spoils, overburden, leachate, and tailings.
- Low-cost processes for controlling wastewater discharges containing
volatile or toxic organic pollutants, pesticides or oil/fuels.
- Mercury-contaminated surface water and ground water is of special interest. Technologies are needed to remove mercury in its various forms including methylmercury. Also needed are innovative technologies and robust extractants (i.e., cross-linked polystyrene polymers, selective ion-exchange resins, special membranes) that selectively remove mercury even in the presence of competing metal ions (e.g., Hg(II), Cd).
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E. HAZARDOUS WASTE MANAGEMENT AND SITE
REMEDIATION
This topic includes management of hazardous solid waste and sediments,
and remediation of contaminated sites, soils, sediments, and ground
water. Management, treatment, and recycling of municipal and industrial
solid waste is included in Topic F. Innovative approaches are needed
for hazardous wastes, including incineration and other treatment,
and disposal in conventional or special landfills. Contaminated
sediments now appear to be the main source of toxic contaminants
in many bays, lakes, and rivers. Areas of interest include, but
are not limited to:
- Innovative methods for the operation and control of high temperature waste combustion incinerators that lead to reduced contaminant release through air, water, or residual ash streams. Of special interest is mercury, one of the worst emission problems for waste incinerators. The current technology for capturing mercury is injection of sorbents/reactants into the flue which results in the capture of mercury along with fly ash in electrostatic precipitators or baghouses. This creates a problem with disposal of the mercury-contaminated fly ash or scrubber solution. Improved technologies are needed to retrofit incinerators for optimum capture of the mercury and minimization of mercury-contaminated waste by-products.
- Advanced hazardous constituent destruction technologies using
cost-effective thermal, chemical and biological detoxification
methods.
- Innovative ways of preventing or treating/detoxifying wastes prior to land disposal, particularly those containing highly persistent, bioaccumulative, and toxic constituents (e.g., improved means of leaching toxic constituents from wastes in a landfill environment to render the wastes innocuous within the period of operation and post-closure care). Of particular interest are immobilization technologies suitable for mercury-bearing wastes. More information on the Agency's strategy for "PBT Chemicals" is available at the following Web site: https://www.epa.gov/pbt.
This topic also includes remediation of organically contaminated
soil, sediments and ground water and treatment or removal of heavy
metals at contaminated sites. Certain locations within the United
States have become contaminated with heavy metals and hazardous
and toxic organic substances. Contaminants have permeated and adsorbed
onto soils, diffused to interstitial saturated zones, dissolved
into ground waters, and migrated to subsurface aquifers. In many
instances, contaminants have exhibited physical and chemical properties
that make them difficult to remove from the environment. Contaminants
may exist in subsurface deposits as immobile gums or sludges difficult
to access. They may be resistant to normal subsurface chemical and
biological degradation processes. They may strongly adsorb on soil
structures and be only slightly soluble in aqueous concentrations.
Proposals are solicited that will result in the development of innovative,
cost-effective methods for the in-situ or ex-situ treatment or control
of heavy metals and hazardous organic wastes. Also needed are in-situ
technologies that mobilize contaminants to make them more amenable
to subsequent ex-situ or in-situ treatment or extraction. Innovative
and cost-effective technologies are needed in areas including, but
not limited to:
- Innovative ex-situ and in-situ treatment technologies for mercury-contaminated
soil, sediments, and ground water are of special interest. Mercury
exists as organo-mercury complexes, phenyl mercury, methyl mercury,
and mixed mercury wastes. Cost-effective, innovative technologies
are needed to treat, remove, or immobilize these forms of mercury.
- Improved treatment and disposal of solid and/or liquid wastes
or sediments, including detoxification, solidification, chemical
treatment, neutralization, or otherwise fixing organic waste prior
to disposal in landfills. Physical methods for subsurface mixing
to enhance mobilization and mass transfer. Biotreatment methods
in the saturated and unsaturated zone.
- Approaches for detecting, degrading, and removing dense non-aqueous
phase liquids (DNAPL) from ground water. DNAPLs are usually highly
concentrated, small pockets or strands of semi-pure VOCs. Special
needs include better methods for locating DNAPL pockets and cost-effective
in-situ destruction technologies.
- Innovative physical separation, thermal processing (i.e., in-situ
or high vacuum thermal desorption), electrokinetics, and hydrometallurgical
processing technologies are needed to separate and recover mercury.
Ex-situ/in-situ remediation of mercury in ground water or surface
water including low-cost ion exchange resins, polymers, ligands,
or ceramic media are of interest to EPA.
- Improvement in recovery and separation systems that enhance the commercial value of heavy metal reaction products.
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F. RECYCLING OF MUNICIPAL AND INDUSTRIAL
SOLID WASTE
This topic includes management, treatment, and recycling of municipal
and industrial solid waste. The nation's municipal solid waste (MSW)
recycling infrastructure includes more than 12,000 drop-off sites
and some 9,000 curbside programs that collect recyclable materials.
MSW recycling is a complex and growing industry ripe for innovation
both in the collection of recyclable materials and in the processing
of those materials into usable goods. Areas of interest for innovation
include, but are not limited to:
- Processes to separate recyclables (e.g., various plastic resins)
and to remove contaminants (e.g., adhesives not soluble in water)
from recyclable materials.
- Technologies for improving quality control for recycled materials
or to identify the extent to which contaminants are present.
- Re-designing products to enhance their recyclability (e.g.,
recycling-friendly adhesives and better bottle coatings).
- Separation, recovery, and recycling of components from computers,
printers, monitors, and consumer electronics.
- Multiple recovery and recycling of different plastic materials
in automobile salvage operations.
- Advanced physical separation techniques that make wastes easier to treat or destroy by moving the metal/organic constituents from one medium to another.
G. MONITORING AND MEASUREMENT TECHNOLOGIES
New approaches are needed to solve environmental monitoring and
measurement problems, especially measurement of species at trace
(ppt) concentrations. EPA is interested in both remote and in-situ
measurements approaches. EPA also is interested in the adaptation
or extension of existing techniques from other, non-environmental
fields that can provide significant improvements in current environmental
measurements. Specific areas of interest include, but are not limited
to:
- C New technologies that use optical wavelengths from digital
cameras to measure OPACITY. Such technologies must be correlated
scientifically with opacity measured using visual EPA Method 9
(see https://www.epa.gov/ttn/emc/promgate.html).
EPA also is interested in technologies that extract color-dependent
information from digital camera pixel images and scientifically
relate the data to particle size and relative opacities in the
range of 10 - 40 percent as determined by EPA Method 9. (For more
information on an alternate opacity compliance system being tested
by U.S. Department of Defense, see http://www.estcp.org/projects/compliance/200119o.cfm
)
- C New cost-effective continuous AMMONIA monitoring systems,
particularly for utilities using Selective Catalytic Reduction
(SCR) to control nitrogen oxides.
- C Continuous monitors of trace level (ppt) toxic metals and
multiple toxic organic pollutants from high-temperature, complex
matrix sources such as incinerators, fossil fuel based power plants,
cement kilns, and smelters.
- C Continuous monitors for measuring volatile organic compounds
from emission sources such as tanks, pipes, valves, and contaminated
soils.
- C In-situ measurement of physical, chemical, and biological
water quality parameters in surface water. There is interest in
devices that can transmit data to remote receiving stations in
real time.
- C Continuous monitors for measuring organic and inorganic toxicants
in municipal and industrial waste water and their toxic effects
on receiving waters.
- C Alternative ground water monitoring well installation methods that can be used to collect water quality data that are equivalent to or better than traditional well installation methods.
EPA's Office of Solid Waste and Emergency Response (OSWER) has undertaken an initiative to advance new monitoring and characterization technologies for use at hazardous waste sites. (See OSWER's Monitoring and Measurement Technologies for the 21st Century or 21M2 initiative at: http://clu-in.org/programs/21m2.) Areas with significant technology needs and gaps include:
- In-situ sensors for monitoring ground water contamination and
treatment system performance.
- Continuous emissions monitors for use with thermal hazardous
waste treatment systems.
- Remote sensing for fence-line monitoring for fugitive emissions
and enforcement activities.
- New monitoring methods for total cyanides and cyanide speciation.
- Leak detection technologies for small municipal landfills.
- Monitoring technologies for mining waste sites.
- Technologies for locating and monitoring dense non-aqueous
phase liquids (DNAPLs).
- Internal inspection methods for internally lined underground
storage tanks.
- Non-invasive monitoring technologies for mercury and heavy
metals in soils.
- Leak detection methods for underground storage tanks and pipes.
EPA's Office of Pesticide Programs (OPP) is charged with protecting public health and the environment from risks posed by pesticides, and with promoting safer means of pest control. This topic requests research aimed at increasing OPP's ability to monitor the occurrence and movement of pesticides and their degradation products in the environment. Examples of research needed include, but are not limited to:
- Equipment and methods are needed for in-situ monitoring of non-persistent
pesticides and pesticide degradation products in soil, water,
and air. Time delays in collecting and transporting samples to
laboratories for analysis reduces our ability to track the occurrence
and movement of pesticides in the environment.
- Simple, accurate pesticide and pesticide degradation product
detection methods are needed for homeowner use.
- Methods are needed for detecting and measuring pesticide residues
on produce in the field. Also, methods are needed that allow consumers
to check produce for the presence of pesticides and pesticide
residues on fruit and vegetables at the point of purchase.
- Technologies and methods are needed for measuring the toxicity of chemical mixtures. For example, alachlor, atrazine, and aldicarb show little individual toxicity in concentrations currently observed in the environment. When multiple pesticides are present, the toxicity of the mixture can be significantly greater. New technologies and methods are needed for mixtures.
EPA has established the Endocrine Disruptor Screening Program (EDSP) to determine whether pesticides and certain other substances may interact with endocrine systems (i.e., estrogen, androgen, and thyroid related endpoints) of mammals and non-mammals. As part of this program, EPA is standardizing and validating the EDSP battery of mammalian and non-mammalian toxicity screening assays recommended by the Endocrine Disruptor Screening and Testing Advisory Committee. Because research concerning endocrine disruptors is rapidly evolving, EPA needs new technologies/assays/systems for mammalian and non-mammalian species that may be useful additions or alternatives to the EDSP battery of assays. (For more information, see https://www.epa.gov/oscpmont/oscpendo/.)
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H. ENVIRONMENTAL BIOTERRORISM DETECTION
AND DECONTAMINATION
There are significant efforts throughout the Government to develop
and implement systems that combat terrorism and protect the American
people and the environment. The EPA SBIR program, as part of the
Agency's overall response to terrorism, has identified three special
environmental bioterrorism needs for its initial focus: (1) decontamination
technologies and systems for high-value and special materials; (2)
special decontamination technologies and sampling systems for HVAC
systems in smaller buildings; and (3) pretreatment kits to minimize
interferences with polymerase chain reaction (PCR) analytical instruments
used at smaller drinking water system laboratories. Bioterrorism
agents of concern in this program include Bacillus anthracis (anthrax),
Francisella tularensis (tularemia), and Yersinia pestis (plague).
Bacillus globigii is an indicator organism (simulant) that can be
used for initial testing of decontamination systems.
- Bioterrorism decontamination systems are needed for high-value
and special materials typically found in museums, historic homes,
Government buildings, and important civilian buildings. Examples
of high-value and special materials include: fibrous tapestries,
art, gowns, and clothing; rare books, legal papers, and historic
documents; porous ceramics, desks, and historic furniture; and
electrical equipment including computers and commercial grade
servers. For these special materials, destruction is not an option
and they must be decontaminated. Decontamination of these materials
also may require special sampling and cleaning tools, liquid and
gaseous decontamination systems involving biocides generated on
site (devices) or delivered to the site (pesticides regulated
under FIFRA), portable and on-site trailer-mounted systems, and
technologies to verify that decontamination has been successfully
completed. Of special interest are environmentally friendly systems
that can replace typical cleaning agents (e.g., chlorine dioxide
(ClO2), decontamination foams, and compounds like ethylene oxide).
- Special decontamination technologies and sampling systems are
needed for existing smaller commercial building heating, ventilation,
and air-conditioning (HVAC) systems. Of special interest are robots,
special tools, and cleaning systems for smaller buildings. Examples
of smaller buildings include homes, apartments, and structures
with 2-3 stories and/or areas under 100,000 square feet. Environmentally
friendly decontamination systems such as ultraviolet, ozone, or
sonic cleaning systems are of special interest. Systems also should
be able to verify that decontamination has been successfully completed.
- Portable PCR analytical instruments have emerged as viable technologies for timely, sensitive, and accurate field detection and identification of suspected bioterrorism agents. Field portable pretreatment kits are needed for smaller drinking water systems, plants typically serving fewer than 10,000 people, and larger systems without extensive on-site testing laboratory capability. These kits should minimize chemical and biological interferences that inhibit or interfere with the PCR reaction affecting sensitivity, and agent detection and identification. The pretreatment process must not inhibit PCR reactions or interfere with signals used to detect the amplification of DNA/RNA. Pretreatment systems should address chemical/physical/biological differences in drinking water quality in different regions of the country (e.g., pH, hardness, and trace element content).
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IX. SUBMISSION FORMS AND CERTIFICATIONS
The attached forms, Appendix A - Proposal Cover Sheet, Appendix
B - Project Summary, and Appendix C - SBIR Proposal Summary Budget,
should be downloaded and printed from the Internet or photocopied,
and completed as indicated under Section III, Proposal Preparation
Instructions and Requirements. The purpose of these forms is to
meet the mandate of law or regulation and simplify the submission
of proposals.
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Appendix A: PROPOSAL COVER SHEET
U.S. Environmental Protection Agency,
SMALL BUSINESS INNOVATION RESEARCH PHASE I
SOLICITATION NO. PR-NC-02-10155
PROPOSAL TITLE_________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
FIRM NAME: _______________________________________________________________________________________
MAILING ADDRESS:_______________________________________________________________________________
CITY:__________________________________________________ STATE:___________
ZIP:__________________
AMOUNT REQUESTED:$ ____________ PROPOSED DURATION (PHASE I): 6 MOS
(Not to Exceed $70,000)
******Proposals submitted in response to this solicitation will
be valid for 300 days*******
TOPIC (check one)
____ A. Nanomaterials and Clean Technology
____ B. Prevention and Control of Air Pollution
____ C. Treatment and Monitoring of Drinking Water
____ D. Municipal and Industrial Wastewater Treatment
____ E. Hazardous Waste Management and Site Remediation
____ F. Recycling of Municipal and Industrial Solid Waste
____ G. Monitoring and Measurement Technologies
____ H. Environmental Bioterrorism Detection and Decontamination
CERTIFICATIONS AND AUTHORIZATIONS: Answer Y(Yes) or N(No)
____1. The above concern certifies that it is a small business concern
and meets the definition as stated in the program solicitation.
____2. The above concern certifies that a minimum of 2/3 of the
research and/or analytical effort will be performed by the proposing
firm.
____3. If the proposal does not result in an award, is the Government
permitted to disclose the title and technical abstract page of your
proposed project, and the name, address, and telephone number of
the official of the proposing firm to any inquiring parties?
____4. The above concern certifies that it is a woman owned small
business concern and meets the definition as stated in the program
solicitation.*
____5. The above concern certifies that it is a socially and economically
disadvantaged small business concern and meets the definition as
stated in the program solicitation.*
____6. Do you plan to send, or have you sent, this proposal or a
similar one to any other federal agency? If yes, which? Use acronym(s)
for each agency, (e.g., DOD, NIH, DOE, NASA, etc.)_______________
7. Choose one of the following to describe your Organization Type:
_____Individual _____Partnership _____Corporation_____LLC
____8. Provide the following information: Tax Identification No:_______________________Dun
& Bradstreet Number:____________________Common Parent Name:_______________________
* For Informational purposes only
ENDORSEMENTS
Authorized Negotiator: Person Authorized to Sign Proposal:
Print Name:_________________________ Print Name:_________________________
Title:______________________________ Title:______________________________
Telephone:__________________________ Telephone:__________________________
Fax:________________________________ Fax:________________________________
E-mail:______________________________ E-mail:______________________________
Signature:__________________________ Signature:__________________________
Date:_______________________________ Date:_______________________________
PROPRIETARY NOTICE: For any other purpose than to evaluate the proposal,
this data shall not be disclosed outside the Government and shall
not be duplicated, used or disclosed in whole or in part, provided
that if a funding agreement is awarded to this offeror as a result
of or in connection with the submission of this data the Government
shall have the right to duplicate, use or disclose the data to the
extent provided in the funding agreement. This restriction does
not limit the Government's right to use information contained in
the data if it is obtained from another source without restriction.
The data in this proposal subject to this restriction is contained
on pages________of this proposal.
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U.S. ENVIRONMENTAL PROTECTION AGENCY
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
SOLICITATION NUMBER PR-NC-02-10155
SBIR PHASE I
PROJECT SUMMARY (Limit to One Page)
FIRM NAME, ADDRESS, TELEPHONE AND FAX NUMBER, AND E-MAIL ADDRESS:
Firm Name:
Telephone:
Address:
Fax:
E-mail:
TITLE OF PROPOSAL:
TOPIC LETTER AND DESCRIPTION:
NAME, TITLE AND E-MAIL ADDRESS OF PRINCIPAL INVESTIGATOR/PROJECT
MANAGER:
TECHNICAL ABSTRACT, RESULTS, AND POTENTIAL COMMERCIAL APPLICATION
(Limit to 400 Words; Must be Publishable):
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SBIR PROPOSAL SUMMARY BUDGET
(See Instructions on Reverse Side)
Organization and Address
_____________________________________________________________________________________
A. DIRECT LABOR(PI and other staff, list separately) Hours/Est.
Rate:
_______________________________________________________________________$_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
B. OVERHEAD:
_______________________________________________________________________$_____________
C. OTHER DIRECT COSTS: (list separately)
_______________________________________________________________________$_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
D. TRAVEL: List purpose and individuals and or title
_______________________________________________________________________$_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
E. CONSULTANTS: (List Est. Rate and Hours)
_______________________________________________________________________$_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
F. GENERAL AND ADMINISTRATIVE:
_______________________________________________________________________$_____________
_______________________________________________________________________
_____________
_______________________________________________________________________
_____________
TOTAL COSTS (Total of A thru F above) ____________________________________ $ ____________
G. PROFIT ( ____%) Not to exceed 10% of total project costs ___________ $ ____________
TOTAL PROJECT PRICE (Total costs + Profit) ______________________________ $____________
PRINT NAME:
TITLE:
SIGNATURE:
DATE SUBMITTED:
This proposal is submitted in response to EPA SBIR Program Solicitation
No. PR-NC-02-10155 and reflects our best estimate as of this date.
INSTRUCTIONS FOR APPENDIX C
The purpose of this form is to provide a vehicle whereby the offeror
submits to the Government a pricing proposal of estimated costs
with detailed information for each cost element, consistent with
the offeror's cost accounting system.
If the completed summary is not self-explanatory and/or does not
fully document and justify the amounts requested in each category,
such documentation should be contained, as appropriate, on a budget
explanation page immediately following the budget in the proposal.
The form Appendix C will count as one page in the 25-page limit,
and any budget explanation pages included will count separately
toward the 25-page limit. (See below for discussion on various categories.)
A. Direct Labor - List individually all personnel included, the
estimated hours to be expended and the rates of pay (salary, wages,
and fringe benefits).
B. Overhead - Specify current rate(s) and base(s). Use current rate(s)
negotiated with the cognizant federal negotiating agency, if available.
If no rate(s) has (have) been negotiated, a reasonable rate(s) may
be requested for Phase I which will be subject to approval by EPA.
Offerors may use whatever number and types of overhead rates that
are in accordance with their accounting systems and approved by
the cognizant federal negotiating agency, if available.
C. Other Direct Costs - List all other direct costs which are not
otherwise included in the categories described above, i.e., computer
services, publication costs, subcontracts, etc. List each item of
permanent equipment to be purchased, its price, and explain its
relation to the project.
D. Travel - Address the type and extent of travel and its relation
to the project.
E. Consultants - Indicate name, daily compensation, and estimated
days of service.
F. General and Administrative (G&A) - Same as B. Above.
G. Profit - Reasonable fee (estimated profit) will be considered
under this solicitation. For guidance purposes, the amount of profit
normally should not exceed 10% of total project costs.
Appendix D
SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
State-of-the-art information, including service and cost details,
useful in preparing SBIR proposals or in guiding research efforts
may be obtained from the following sources:
National Technical Information Service (NTIS)
5288 Port Royal Road
Springfield, VA 22161
(513) 569-7562
EPA Headquarters Library (3404)
U.S. Environmental Protection Agency
401 M Street, SW
Washington, DC 20460
(202) 260-5922
The Hazardous Waste Collection and Database are available for use
in the EPA Headquarters Library, the 10 EPA Regional libraries,
EPA laboratories in ADA, OK; Edison, NJ; Las Vegas, NV; Research
Triangle Park, NC; and the National Enforcement Investigations Center
in Denver, CO. The Database runs on an IBM AT/XT or compatible equipment
and may be purchased from NTIS using the NTIS order number PB87-945000.
The Environmental Quality Instructional Resources Center
1200 Chambers Road, R.310
Columbus, OH 43212
(614) 292-6717
[Especially related to Drinking Water and Waste Water Treatment]
National Small Flows Clearinghouse (SWICH)
P.O. Box 7219
Silver Spring, MD 20910
1-800-677-9424
[Topic themes include source reduction, recycling, composting, waste
combustion, collection, transfer, disposal, landfill gas, and special
wastes]
ACCESS EPA (#055-000-00509-5) 1995 Edition
A consolidated guide to EPA information resources, services, and
products. It provides access to:
Public information tools
Major EPA dockets
Clearinghouses and hotlines
Records management programs
Major EPA environmental databases
Library and information services
State environmental libraries
"ACCESS EPA" may be ordered at a cost of $16.00 each from
the U.S. Government Printing Office, New Orders, Superintendent
of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954, or telephone
(202) 512-1800, or from NTIS using order number PB-147438.
Vendor Information System for Innovative Treatment Technologies
(VISITT) Profiles 325 innovative technologies available from 204
vendors to treat ground water in situ, soil, sludges, and sediments.
Includes technologies in all stages of development-bench, pilot,
or full. VISITT is available at no charge on diskettes compatible
with personal computers using DOS operating systems. To order VISITT
diskettes and user manual, and to become a registered user, call
the VISITT Hotline at 1-800-245-4505.
ENVIROSENSE
Internet: https://www.epa.gov/envirosense/
ES includes numerous databases and addresses industry and small
business needs by establishing specific compliance assistance, P2,
regulatory and specific industry sector (SIC) data sets.
Appendix E: COMMERCIALIZATION FACTSHEET
(Finding Commercial Products; Conducting a Patent Search; Searching
for Federal Research; Standards/Certifying Bodies)
FINDING COMMERCIAL PRODUCTS
The technology you are proposing may already be being sold in the
market. There are five Web searches recommended as the minimum for
determining if the technology is commercially available. In each
case, when having trouble look for the FAQs (Frequently Asked Questions)
or other advice on searching.
Web Search using General Search Engines
There are around 320 million indexed Web pages and the Web continues
to grow exponentially. One problem with this rate of growth is that
no single Web search engine is capable of indexing the whole of
cyberspace. We recommend using at least one meta-engine and two
search engines.
A meta-engine is a search engine which searches other engines that
actually catalog or index sites. Examples are Metacrawler (http://www.metacrawler.com/
and Dogpile (http://www.dogpile.com
). We use that search
to identify which search engines seem to be producing the best results
and then use those engines for more complicated queries which cannot
be supported by metacrawler and other meta-engines.
Two engines for more detailed searches at present are Hotbot's More
Options page (http://www.hotbot.com/default.asp?MT=&SM=MC&DV=7&RG=.com&act.super=+More+Options+&DC=10&DE=2&_v=2&OPs=MDRTP
) and Alta Vista's
Advanced Query page (http://www.altavista.com/sites/search/webadv
). Both engines allow
you to search new groups (Usenet) as well as the Web. Hotbot has
the largest number of pages indexed by any Web browser as this is
written. Alta Vista has the next most extensive coverage. Unfortunately,
queries are constrained to the options presented. Alta Vista supports
any Boolean query you can design. Both sites have a search by subject
feature that provides another path to sites of interest. Because
Digital Equipment Corporation, who maintains Alta Vista, is a high
tech company, this engine has traditionally been strong on indexing
science and technology sites.
When searching, expand or narrow your keywords over time. For example,
when searching for "sapphire liquid crystal displays,"
you may want to broaden to liquid crystal displays or just displays.
Also, remember to use abbreviations such as LCD.
Thomas Register of American Manufacturers: Long a staple of corporate
buyers and market researchers, you can access Thomas Register on-line
for free at http://www.thomasregister.com/
. Once you obtain
your free membership, you can search the 155,000 companies by product.
You may have to try a few different keywords to get hits.
Hoovers : Hoovers on-line at http://www.hoovers.com
provides access to
profiles on over 12,000 companies. These are the major firms in
America, including subsidiaries of foreign operations. By using
the keyword search, you can look for companies making products in
areas related to your technology. Hoovers provides hypertext links
to go to the company's Web page. Phone, fax, and street address
are also provided. If you cannot find the information on the Web,
ask for relevant product literature from their marketing departments.
Press Releases: PR Newswire (http://www.prnewswire.com/
) redistributes corporate
press releases. It provides coverage of newly released products
that might not otherwise be found on the Web.
Patents: We discuss patent searches in the next section. Look for
patents related to your technology, then examine the assignee field.
Companies licensing or patenting technology in areas related to
your technology are competitors that may be introducing products
similar to the one you are considering proposing. Search for their
Web pages using one of the resources above.
CONDUCTING A PATENT SEARCH
What is a patent? A patent is a right to an invention that is granted
by the U.S. Government or a foreign government. It gives the holder
an exclusive right to use an invention during a period of time.
In the United States, before a patent can be issued, the inventor
must demonstrate his or her invention is new and non-obvious. To
be new, an invention must not have been known nor made by others
in the U.S. The invention also cannot have been previously patented
or presented in a publication prior to the claimed date on which
the invention was made. Patents are handled by the U.S. Patent Office.
Non-obvious is established with reference to what would be obvious
to a person of ordinary skill in the relevant technology (or technologies)
at the time of the invention. A general rule is that the more complicated
the technology and the greater the rate at which it is developing,
the higher the skill-level of that hypothetical ordinary person.
Non-obvious is determined by examining prior patents, technical
publications, and non-secret work being conducted. Usually, some
aspect of an invention will be non-obvious and thus capable of being
patented.
It is important to recognize that different rules apply in different
countries. In the United States, you have one year from the time
of first disclosure, use, publication, or sale of an invention to
patent the invention. Where more than one person or group makes
a claim to be the inventor, the patent goes to the person or group
that can demonstrate priority in time. Overseas, the rules are different.
Usually, the invention must be patented before any public disclosure,
use, publication, or sale. In case of a dispute, priority goes to
the first person or group to apply for a patent, regardless of who
may actually be the inventor. You can, however, get the same overseas
priority rights you would get from simultaneously filing overseas
and in the United States if you file in each relevant country within
12 months of a U.S. patent application.
How to search for U.S. patents: To search the Patent Office go to
http://patents.uspto.gov/index.html
.
The Boolean search capability of the Patent Office enables constructing
complicated searches to narrow in on patents of interest. It allows
two terms Booleans in the first search, with more complicated queries
when refining a search. You can search specific sets of years or
the entire database. The advanced search gives you the ability to
look in any or all of the fields in the patent -- a very nice feature.
Coverage includes all patents issued no later than one week earlier.
It includes all utility, design, and plant patents since 1976. Claims
and pictures are not included. (See below, Reading Patents.)
The IBM Patent server contains over 2 million patents. Where drawings
are part of the patent, they have been scanned in and can be viewed.
Off the home page, you have the option of searching from 1995 to
present or 1971 to present. Hypertext links on the home page let
you search by patent number, use Boolean Logic, or do a text search
in various sections of the patent. Try to be as targeted as possible
in your search terms. For example, "environmental monitor"
will return 42 patents issued in 1995 or later on IBM's server.
"Mercury monitor," by comparison, returns only three.
Reading Patents: Once you have found a patent that looks relevant
for your interests, examine the abstract and the claims. The abstract
provides an overview of what is covered. The claims give you the
specific scope of the patent.
There are three paths for finding other patents of interest, once
you have found the first one. The first method is to look at the
class (or classes) of the patent. You can find patents addressing
similar problems by looking in those classes. To fine tune the classes
to use, look at a number of relevant patents. Examine the classes
that are listed on the patent. Select those classes that most frequently
appear across your sample of patents for further examination.
The second method is to look at the patents cited as references.
The final method is to look at patents that reference the one you
are examining. By searching text, relevant classes, and patents
referred to or referencing relevant patents, you can quickly determine
if a U.S. patent has been issued on a technology of interest. CAUTION:
Examining U.S. patents does not assure you that the technology has
not been patented elsewhere. Further, if the patent is only applied
for and has not yet been issued, you will not find it.
SEARCHING FOR FEDERAL RESEARCH
There are two sets of publicly available data on Federal Research.
FEDRIP, or Federal Research in Progress, provides access to current
civilian agency research. FEDRIP includes:
- Department of Agriculture
- Department of Energy
- Department of Veterans Affairs
- Environmental Protection Agency
- Federal Highway Administration
- National Institutes of Health
- NASA
- National Science Foundation
- U.S. Geological Survey
- National Institute of Standards and Technology
- Nuclear Regulatory Commission
- Small Business Innovation Research
Parts of FEDRIP may be searched for free at The Community of Science
(http://fundedresearch.cos.com/
). Separate databases
exist for the National Institutes of Health, NSF, USDA, and the
SBIR program-which means you must do multiple searches. You can
also search projects of the Medical Research Council of the United
Kingdom. To search all of FEDRIP, go to http://grc.ntis.gov/fedrip.htm
. There is a $350
fee.
In addition, by going to an agency's web site, you can find information
on their current and/or past awards. The National Technical Information
Service (NTIS) is the designated repository of research reports.
It contains technical reports and other government-produced information
products. The free access parts may be searched at http://www.ntis.gov/
.
Perhaps the best comprehensive resource for searching is the RAND's
RaDiUS at http://www.rand.org/radius/
. RaDiUS, stands for
"Research and Development in the United States." It is
the first comprehensive database that tracks in real-time the research
and development activities and resources of the U.S. Government.
Among its sources are the following: the Catalog of Federal Domestic
Assistance (CFDA); USDA's Current Research Information System (CRIS);
HHS's Computer Retrieval of Information on Scientific Projects (CRISP)
and Information for Management, Planning, Analysis, and Coordination
(IMPAC) system; DoD's R-1 and R-2 Budget Exhibits and Work Unit
Information Summaries (WUIS); DOE's laboratory information system;
the Federal Assistance Awards Data System (FAADS); the Federal Procurement
Data System (FPDS); OMB's MAX system; DVA's R&D Information
System (RDIS); NSF's Science and Technology System (STIS); and NASA's
507 System.
You must be a Government Contractor to subscribe to RaDiUS. The
small business fee is $1,000 per year per password.
STANDARDS AND CERTIFYING BODIES
If you are going to introduce a commercial product, it most likely
will have to meet certain standards and be certified as meeting
those standards. For example, we all are familiar with the Underwriter
Laboratories (UL) seal found on household electrical products-a
certification of safety under normal use.
A wide range of bodies creates standards or certifies products.
To find relevant standards, we recommend beginning at the American
National Standards Institute's "Internet Resources for Standards
Developers," located at: http://web.ansi.org/
. The site provides
links to U.S. bodies developing standards.
In the U.S., private sector laboratories, like UL commonly do certification.
These organizations rely on standards developed by consensus bodies
such as the American Society for Testing and Materials (http://www.astm.org/
) or federal agencies
such as EPA. ASTM maintains an International Directory of Testing
Laboratories. The Directory can
be searched by geographic location, laboratory name, subject area,
or keywords.
IMPORTANT!!
IF YOU WISH TO RECEIVE AN ACKNOWLEDGMENT CARD TO CONFIRM RECEIPT
OF YOUR PROPOSAL, PLEASE COMPLETE A STANDARD SELF-ADDRESSED POSTCARD
CONTAINING THE FOLLOWING INFORMATION AND ATTACH TO THE ORIGINAL
OF EACH PROPOSAL:
Please type the following and fill in the blanks as appropriate:
-----------------------------------------------------------------
This will acknowledge the receipt of your proposal titled:
________________________________________________________
________________________________________________________
Topic Letter _____. The evaluation of proposals and the award of
SBIR Contracts will require approximately 10 months, and no information
on proposal status will be available until final selection(s) is
made. Your proposal has been assigned EPA No. _________(to be filled
in by EPA).
Date:______________
-----------------------------------------------------------------
REVERSE SIDE: Please type the following in the upper left-hand corner
(return address) and self-address the card to your corporate official:
(Postcards that do not meet not postal service standards will not
be returned).
________________________________________________
U.S. EPA
RTP/POD (D143-01)
RTP, NC 27711
___________
Official Business
Penalty for Private Use $300
Your Firm Name
Address
City, State Zipcode
_______________________________________________