Grantee Research Project Results

U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
Small Business Innovation Research (SBIR)

SMALL BUSINESS INNOVATION RESEARCH
PHASE I Program Solicitation
RFP# SOL-NC-13-00012

CLOSED: FOR REFERENCE PURPOSES ONLY

Recipients List

• SBIR Phase I Research Topics

ISSUE DATE: June 27, 2013
CLOSING DATE: August 13, 2013 *

* CAUTION - See Section V., Paragraph J.9(c), Instructions to Offerors, Concerning Late Proposals and Modifications.

Your proposal with an original and two (2) copies (including all appendices) and one (1) CD-ROM with a Portable Document Form (PDF) copy of your proposal  shall be received at one of the following addresses by 12:00 p.m. (noon) eastern time on  August 13, 2013.

Please Read this entire solicitation carefully prior to submitting your proposal.

U.S. POSTAL SERVICE MAIL ADDRESS:

NOTICE: This address should NOT be used for U.S. Postal Service Express Mail Signature Required Service.

U.S. Environmental Protection Agency
Solicitation No. SOL-NC-13-00012 SBIR Phase I
Attention: Judy Ancharski SBIR Phase I
RTP Procurement Operations Division (E105-02)
Research Triangle Park, NC 27711

Offerors are advised that use of U.S. Postal Service Mail may result in delays in receipt of the offer at the required location.  Offerors are further advised that delivery to the U.S. Post Office in Research Triangle Park, NC and the Post Office Boxes within that facility does not constitute delivery to the Procurement Operations Division of U.S. EPA in Research Triangle Park, NC. 

HAND CARRIED, COURIER DELIVER, AND U.S. POSTAL EXPRESS MAIL SIGNATURE REQUIRED DELIVERY:

Notice: This address should be used for commercial delivery, including Federal Express, United Parcel Service, DHL, and similar carriers. It also includes any hand carried offer from the offeror or its agents. This address must also be used for U.S. Postal Service Express Mail Signature Required.

U.S. Environmental Protection Agency
Solicitation No. SOL-NC-13-00012 SBIR Phase I
Attention: Judy Ancharski SBIR Phase I
RTP Procurement Operations Division (E105-02)
4930 Old Page Road
Durham, NC 27703

IMPORTANT:

Offerors should note and consider Federal Acquisition Regulation Clause 52.215(c)(3), “Instructions to Offerors – Competitive Acquisitions” concerning Late Proposals, Modification of Proposals and Withdrawal of Proposals.

It is the responsibility of Offerors to send proposals with sufficient time to allow delivery to the Procurement Operations Division by the date and time specified.

Table of Contents

Section
I.	Program Description
	A.	Overview
	B.	SBIR Program Phases
	C.	Fraud Waste and Abuse
	D.	Guidelines
	E.	Award Amounts
	F.	Contact Information
II.	Definitions
	A.	Research or Research and Development (R/R&D)
	B.	Funding Agreement
	C.	Subcontract
	D.	Small Business Concern
	E.	Socially and Economically Disadvantaged Small Business Concern
	F.	Socially and Economically Disadvantaged Individual
	G.	Women-Owned Small Business Concern
	H.	Historically Underutilized Business Zone (HUBZone)
	I.	Primary Employment
	J.	United States
	K.	Commercialization
	L.	SBIR Technical Data
	M.	SBIR Technical Data Rights
III.	Proposal Preparation Instructions and Requirements
	A.	Proposal Page Limit
	B.	Proposal Cover Sheet
	C.	Project Summary
	D.	Technical Contact
	E.	Cost Breakdown/Proposed Budget
	F.	Phase I Quality Assurance Statement (QAS)
IV.	Method of Selection and Evaluation Criteria
	A.	Technical Evaluation Criteria
	B.	Release of Proposal Review Information
	C.	Phase I to Phase II Transition Rate Benchmark
	D.	Company Registry Requirements
V.	Considerations
	A.	Awards
	B.	Reports
	C.	Payment Schedule
	D.	Innovations, Inventions, and Patents
	E.	Cost Sharing
	F.	Profit or Fee
	G.	Joint Ventures or Limited Partnerships
	H.	Research and Analytical Work
	I.	Contractor Commitments
	J.	Additional Information
VI.	Submission of Proposals
VII.	SBIR Phase I Research Topics
	A.	Water
	B.	Innovation in Manufacturing
	C.	Waste
	D.	Air Quality
	E.	Homeland Security
	F.	People Prosperity and the Planet (P3) Special Funding Opportunity
VIII.	Submission Forms and Certifications
	A.	Appendix A
	B.	Appendix B
	C.	Appendix C
	D.	Appendix D
	E.	Appendix E
	F.	Appendix F
	G.	Appendix G
	H.	Appendix H

SBIR PHASE I SOLICITATION

I. PROGRAM DESCRIPTION

 

 

 

 

 

1. Overview

   The Environmental Protection Agency (EPA) invites small businesses to submit research proposals under this Small Business Innovation Research (SBIR) Solicitation.  Proposals must directly pertain to EPA’s mission of protecting human health and the environment.  The SBIR program is a phased process across 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 that address priority environmental issues.  In this year’s solicitation, an attempt has been made to focus and limit the topics in order to have more impact in specific areas.  The proposed research must be responsive to the more focused topic descriptions in this year’s solicitation.  This year there are six general areas:  Safe and Sustainable Water Resources (Topic A. Water), Chemical Safety for Sustainability (Topic B. Innovation in Manufacturing), Sustainable and Healthy Communities (Topic C. Waste), Air/Climate/Energy (Topic D. Air Quality), E. Homeland Security, and F. People, Prosperity, and the Planet (P3) Special Funding Opportunity. 

   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 and the corresponding topic code for their proposal.  The same proposal may not be submitted under more than one topic.  An organization may, however, submit separate proposals on different topics, or different proposals on the same topic, as long as the proposals are not duplicative. If such duplicates are submitted, only one will be reviewed. Refer to Sections IV, V, and VI for additional requirements. Where similar research is discussed under more than one topic, the offeror shall 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. 

   SBIR PHASE I RESEARCH TOPICS

   The Phase I research topics and the corresponding topic codes are listed (and hyperlinked) below and described in more detail in section VII.

   SAFE AND SUSTAINABLE WATER RESOURCES

   • A. Water
     • A.1  Drinking Water
     • A.2  Wastewater, Stormwater, and Water Reuse

    

   CHEMICAL SAFETY FOR SUSTAINABILITY

   • B. Innovation in Manufacturing
   • B.1 Green Manufacturing
   • B.2  Green Materials

    

   SUSTAINABLE AND HEALTHY COMMUNITIES

   • C. Waste
     • C.1  Monitoring
     • C.2  Waste-to-Energy Systems

    

   AIR/CLIMATE/ENERGY

   • D.  Air Quality
     • D.1  Air Pollution Monitoring
     • D.2  Air Pollution Control

    

   E.  HOMELAND SECURITY

   • • E.1  Decontamination and Waste Treatment Disposal
     • E.2  Drinking Water and Wastewater Systems Security

    

   F.  PEOPLE, PROSPERITY, AND THE PLANET (P3) SPECIAL FUNDING OPPORTUNITY

2. SBIR Program Phases

   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 PHASE I PROPOSALS 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 awards under this Phase I solicitation is $100,000 and the term of performance should not exceed six months.  

   2. PHASE II.  Phase II proposals may only be submitted by small business who have received Phase I awards.  Phase II is the principal research or R&D effort and Phase II projects should normally be completed in 24 months.  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.    

      It is anticipated that approximately six (6) Phase II awards will be made, each with a dollar amount of $300,000 and a 24 - month term of performance. For Phase II, the Agency is planning to require a Phase II Commercialization Option under which Phase II offerors shall submit a proposal for $100,000 additional funding to expand R&D efforts to accelerate commercialization.  EPA federal funds must be designated strictly for advancing the research related elements of the project.  The entire Phase II proposal including the option will be evaluated together. Documentation for the Phase II Commercialization Option are receipts 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 individual "angel" investor, state or local funding source, or another company under a partnership, licensing or joint venture arrangement, or any combination of third parties.

      For companies awarded Phase I contracts under this solicitation and who choose to submit a follow-on EPA Phase II Proposal, the follow-on Phase II Solicitation will be issued on/about September 1, 2014, and proposals will be due on/about November 19, 2014.  The EPA Phase II evaluation criteria will be as follows:

      PHASE II CRITERIA

      The following Phase II peer review criteria have equal weight.

      1. Technical Merit:  Adequately established proof of concept in Phase I.  Demonstrated the soundness of the scientific and technical principles underlying the technology.  Technology is ready to move from laboratory scale to pilot scale and prototype development.
      2. Performance Demonstration:  Adequacy of staff, facilities, and resources to demonstrate and evaluate in Phase II the technical performance, environmental benefits, and cost of the technology at pilot or larger scale.  Likelihood the technology will be a “game-changer” when compared with the performance, benefits, and cost of existing and likely competitor technologies in the field.  Adequacy of the Phase II Quality Assurance Statement.
      3. Company/Team:  Management Team demonstrated effective performance and good working relations in Phase I.  PI, supporting staff, and consultants demonstrated commitment to the project and have adequate plans to continue and enhance that commitment in Phase II.  In Phase I, company effectively used external advisors such as leaders in technical, entrepreneurial, financial, and other relevant areas and has adequate plans to continue and strengthen these relationships in Phase II.
      4. Commercialization Potential:  Adequacy of market analysis and product marketing plans.  Adequacy of business development strategy and plans for Phase II and beyond.  Adequacy of current and planned facilities and resources for scaling up production to gain market penetration.  Likelihood of successfully crossing the “valley of death.”
      5. Partners/Investors:  Adequacy of company’s progress in Phase I in building relationships with commercial, distribution, and/or other relevant partners that would result in successful commercialization of the technology.  Adequacy of plans for moving in Phase II to more formalized relationships with these and other partners.  Success in obtaining investment commitments for Phase II and beyond.

   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.

3. Fraud Waste and Abuse

   To report fraud, waste or abuse in EPA programs, contact the OIG Hotline. 

   E-mail:  OIG_Hotline@epa.gov

   Postal Mail:
   EPA Inspector General Hotline
   1200 Pennsylvania Avenue NW Mailcode 2431T

   Phone: 1-888-546-8740
   Fax: 1-202-566-2599

4. Guidelines

   Each offeror submitting a proposal must qualify as a small business for research or R&D purposes at the time of award of Phase I and Phase II funding agreements.  In addition, the primary employment of the principal investigator must be with the small business firm at the time of contract 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 a 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 a SBIR contract, he/she will become a less than half-time employee of such organization.  Letters demonstrating that these requirements have been fulfilled shall 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.  (For definition of the United States, see Section II. J.)

5. Award Amounts

   For Phase I, the Government anticipates the award of approximately $2.0M in firm fixed price contracts at a maximum dollar amount of  $100,000 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 6 months.  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. 

6. Contact Information

   Potential offerors are encouraged to communicate via E-mail.  All inquiries concerning this solicitation shall be submitted to the following E-mail address:

   Judy Ancharski (ancharski.judy@epa.gov)

   If E-mail is not available to you, written or telephone inquiries may be directed to:

   U.S. Environmental Protection Agency
   Attention: Judy Ancharski, SBIR Phase I
   RTP Procurement Operations Division (E105-02)
   Research Triangle Park, N.C. 27711
   Telephone: (919) 541-5293 SBIR Hotline
   Fax: (919) 541-4273

II. DEFINITIONS

For purposes of this solicitation, the following definitions apply:

 

 

 

 

 

 

 

 

 

 

 

 

 

1. Research or Research and Development (R/R&D)

   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; or
   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.

2. 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, including products or services, funded in whole or in part by the Federal Government.

3. Subcontract

   Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement.

4. Small Business Concern

   A small business concern is one that, at the time of award of Phase I and Phase II, meets all of the following criteria:

   1. Is organized for profit, with a place of business in the United States (US), which operates primarily within the US or which makes a significant contribution to the US economy through payment of taxes or use of American products, materials or labor;
   2. Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust, or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by business entities in the joint venture;
   3. Is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States or it must be a for-profit business concern that is at least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the US – (except in the case of a joint venture); and
   4. Has, including its affiliates, not more than 500 employees. 

    

   Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity Firms. For this EPA SBIR FY 2013 solicitation, the EPA’s SBIR Program will not accept proposals from or make awards to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms. Small business concerns with such ownership are ineligible to submit proposals under this solicitation.

5. Socially and Economically Disadvantaged Small Business Concern

   A socially and economically disadvantaged small business concern is one that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals, or an Indian tribe, including Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO), or a Community Development Corporation (CDC). Control includes both the strategic planning (as that exercised by boards of directors) and the day-to-day management and administration of business operations. See 13 CFR 124.109, 124.110, and 124.111 for special rules pertaining to concerns owned by Indian tribes (including ANCs), NHOs or CDCs, respectively.

6. 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 (including Hong Kong), 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, Fiji, Tonga, Kiribati, Tuvalu, or Nauru);
   5. Subcontinent Asian Americans (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal); and
   6. Other groups designated from time to time by SBA pursuant to Section 124.103 (d) of 13 CFR Ch.1(1-1-02 Edition).

7. Women-Owned Small Business Concern

   A small business concern that is at least 51 %  owned by and controlled by a woman or women.  Control includes both the strategic planning (as that exercised by boards of directors) and the day-to-day management and administration of  business operations.

8. Historically Underutilized Business Zone (HUBZone)

   A small business concern meeting the following requirements:

   1. Located in a HUBZone area located in one or more of the following:
      1. A qualified census tract (as defined in Section 42(d)(5)(C)(i)(1) of the Internal Revenue Code of 1986;
      2. A qualified "non-metropolitan county" (as defined in Section 143 (k)(2)(B) of the Internal Revenue Code of 1986) with a median household income of less than 80 percent of the State median household income or with an unemployment rate of not less than 140 percent of the Statewide average, based on US Department of Labor recent data; or,
      3. Lands within the boundaries of federally recognized Indian reservations.
   2. Owned and controlled by one or more US Citizens; and,
   3. At least 35% of its employees must reside in a HUBZONE.

9. Primary Employment

   More than one-half of the principal investigator's time is spent in the employ of the small business concern.

10. United States

    The 50 States, the Territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.

11. Commercialization

    The process of developing marketable products or services and producing and delivering products or services for sale (whether by the originating party or by others) to Government or commercial markets.

12. SBIR Technical Data

    All data generated during the performance of an SBIR award.

13. SBIR Technical Data Rights

    The rights a small business concern obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

III. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

 

 

 

 

 

1. 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. Exceptions being the requirements set forth in Section III.D.12, "Prior SBIR Awards" and the one page print out showing the company has registered in the SBA company registry (described in IV. D).  The 25 pages shall include the cover page, budget, and all enclosures or attachments.  Pages (including enclosures or attachments such as letters of recommendation) 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 shall 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 shall 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.

2. Proposal Cover Sheet

   The offeror shall photocopy (or download from the Internet) and complete Appendix A of this solicitation which has the relevant solicitation number and applicable research topics and the corresponding topic codes as page 1 of each copy of each proposal. The offeror shall select one (and only one) research topic and the corresponding topic code on the cover sheet.  It is the complete responsibility of offerors to select and identify the best research topic and the corresponding  topic code for their proposal.  No other cover shall be permitted.   Do not use cover sheets from previous years’ solicitations; they include obsolete research topics and corresponding topic codes. When downloading the solicitation from the Internet, Appendix A may print on no more than two pages, but will only count as one page per Appendix.  If Appendix A exceeds two pages, any additional pages will count toward the 25-page limitation.  Offerors may reformat the forms to correct spacing and pagination errors, however, identical information shall be provided.

   The original of the cover sheet shall contain the pen-and-ink signatures of the principal investigator and the corporate/business official authorized to sign the proposal.

3. Project Summary

   The offeror shall complete Appendix B as page 2 of each proposal.  Appendix B may be no more than two pages, but will only count as one page per Appendix.  If Appendix B exceeds two pages, any additional pages will count toward the 25-page limitation.  Offerors may reformat the forms to correct spacing and pagination errors, however, identical information shall be provided.  The Project Summary shall include a technical abstract with 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 (APPENDIX B) IS USED EXTENSIVELY DURING THE EXTERNAL PEER REVIEW AND EPA INTERNAL PROGRAMMATIC REVIEW.  The project summary and proposal title (Appendix B) of successful proposals will be published by EPA and, therefore, must not contain proprietary information.  No changes shall be allowed.

4. Technical Contact

    Begin the main body of the proposal on page 3.  As a minimum, the following shall be included:

   The Phase I plan shall 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 shall address:

    

   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 impacts 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, use, and disposal.

   2. PHASE I OBJECTIVES.  State the specific objectives of the Phase I research and development effort; including the technical questions it will try to answer to determine the feasibility of the proposed approach.

   3. PHASE I WORK PLAN.  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 should also be provided.

   4. RELATED RESEARCH OR R&D.  Describe significant research or R&D that is directly related to the proposal including any conducted by the project manager/principal investigator or by the proposing firm.  Describe how it relates to the proposed effort, and any planned coordination with outside sources.  Offerors must demonstrate their awareness of key recent research or R&D conducted by others in the 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 shall 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 shall be required as part of the Phase II Application.

      NOTE:  In accordance with the SBIR/STTR Reauthorization Act of 2011, EPA is able to provide discretionary commercialization assistance to SBIR awardees.  The Agency may provide up to $5,000 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.  If you wish to receive commercialization assistance from the EPA vendor (Foresight), you do not need to include this in your budget.

      1. 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.
      2. 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?
      3. 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 D.)  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 may also contain important criteria).
      4. 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?
      5. 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?  Describe what steps you plan to take towards building relationships with commercial, distribution or financial partners aimed at furthering the commercialization of the technology.

   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 shall 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.)  Information provided shall be limited to what has been requested.  Proposals that contain information in the attachment beyond what is requested shall count toward the 25 page limitation.

    

5. Cost Breakdown/Proposed Budget

   Complete the budget form in Appendix C and include the completed 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 completed 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.  Offerors are encouraged to include the travel expenses on the budget form to attend a one-day SBIR Phase I Kick-Off Meeting in Washington, DC, soon after the Phase I awards are made.   

6. Phase I Quality Assurance Statement (QAS)

   Offerors must state whether or not their proposal involves data collection or processing, environmental measurements, modeling, or the development of environmental technology (whether hardware-based or via new techniques).  The QAS describes processes that will be used to assure that results of the research satisfy the intended project objectives. EPA is particularly interested in the quality controls for data generation and acquisition, and how data validation and usability will be verified. This QAS shall not exceed one page and will be included in the 25 page limitation for the proposal. The QAS shall briefly address each of the sections below.  If a section does not apply, provide a brief justification of why.

   1. Identify the individual who will be responsible for the quality assurance (QA) and quality control (QC) aspects of the research along with a brief description of this person’s functions, experience and authority within the firm.  Describe the firm’s general approach for conducting quality research.  (QA is a system of management activities to ensure that a process or product is of the type and quality needed for the project.  QC is a system of activities that measure the attributes and performance of a process or product against the standards defined in the project to verify that they will meet those stated requirements.)

   2. Discuss project objectives, including quality objectives, any hypotheses to be tested, and the quantitative and/or qualitative procedures that will be used to evaluate the success of the project.  Include any plans for peer or other reviews of the study design or analytical methods.

   3. Address the collection of new primary data, if applicable:  (Note: In this case the word “sample” is intended to mean any finite part of a statistical population whose properties are studied to gain information about the whole.  If certain attributes listed below do not apply to the type of samples to be used in the research, simply explain why those attributes are not applicable.)

      Discuss the plan for sample collection and analysis.  As applicable, include sample type(s), frequency, locations, sample sizes, sampling procedures, and the criteria for determining acceptable data quality (e.g., precision, accuracy, representativeness, completeness, comparability, or data quality objectives).   Describe the procedures for the handling and custody of samples including sample collection, identification, preservation, transportation, storage and how the accuracy of test measurements will be verified.  Describe or reference each analytical method to be used, any QA or QC checks or procedures with the associated acceptance criteria, and any procedure that will be used in the calibration and performance evaluation of the analytical instrumentation.  Discuss the procedures for overall data reduction, analysis and reporting.  Include a description of all statistical methods to make inferences and conclusions, acceptable error rates and any statistical software to be used.

   4. Address the use of existing/secondary data (i.e., data previously collected for other purposes or from other sources), if applicable:  Describe or reference each analytical method to be used, any QA or QC checks or procedures with the associated acceptance criteria, and any procedures that will be used in the calibration and performance evaluation of the analytical instrumentation.  Discuss the procedures for overall data reduction, analysis and reporting.  Include a description of all statistical methods to make inferences and conclusions, acceptable error rates and any statistical software to be used.

   5. Address method development, if applicable:  (Note: The data collected for use in method development or evaluation should be described in the QAS as per the guidance in sections 3 and/or 4 above.)  Describe the scope and application of the method, any tests (and measurements) to be conducted to support the method development, the type of instrumentation that will be used and any required instrument conditions (e.g., calibration frequency), planned QC checks and associated criteria (e.g., spikes, replicates, blanks), and tests to verify the method’s performance. 

   6. Address development or refinement of models, if applicable:  (Note:  The data collected for use in the development or refinement of models should be described in the QAS as per the guidance in sections 3 and/or 4 above.)

      Discuss the scope and purpose of the model, key assumptions to be made during development/refinement, requirements for code development and how the model will be documented.  Discuss verification techniques to ensure the source code implements the model correctly.  Discuss validation techniques to determine that the model (assumption and algorithms) captures the essential phenomena with adequate fidelity.  Discuss plans for long-term maintenance of the model and associated data.

   7. Address development or operation of environmental technology, if applicable: (Note: The data collected for use in the development or evaluation of the technology should be described in the QAS as per the guidance in sections 3 and/or 4 above.)

      Describe the overall purpose and anticipated impact of the technology.  Describe the technical and quality specifications of each technology component or process that is to be designed, fabricated, constructed and/or operated.  Discuss the procedure to be used for documenting and controlling design changes.  Discuss the procedure to be used for documenting the acceptability of processes and components, and discuss how the technology will be benchmarked and its effectiveness determined.  Discuss the documentation requirements for operating instructions/guides for maintenance and use of the system(s) and/or process(s).

   8. Discuss data management activities (e.g., record-keeping procedures, data-handling procedures, and the approach used for data storage and retrieval on electronic media).  Include any required computer hardware and software and address any specific performance requirements for the hardware/software configuration used.

   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 and failing to identify the research topic by topic code on the cover page will not be considered for review or award.  Proposals passing this initial screening will be reviewed for technical and commercial merit by external peer reviewers, using the technical evaluation criteria described in A.1 below.  Each of the criteria are equal in value.  Peer reviewers will assign each proposal an adjectival rating of “excellent”, “very good”, “good”, “fair” or “poor”, using the specified criteria.  Proposals rated “good”, “fair”, or “poor” will not be considered for award. 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.

 

 

 

1. Technical Evaluation Criteria

   1. EXTERNAL PEER REVIEW.  The external peer review meetings will utilize the following evaluation criteria to rate each proposal.  The criteria are of equal importance.

      PHASE I PEER REVIEW CRITERIA

      1. Relevance/Environmental Benefit:  Relevance of the proposed technology to the selected research topic.  Degree to which successful development of the technology would provide environmental and public health benefits in the topic area.  Originality and potential uniqueness of the technology as a means of providing these benefits and adequacy of addressing the lifecycle impacts of the technology.
      2. Technical Merit:  Soundness of the scientific and technical principles underlying the proposed technology.  Robustness of the research plan and its likelihood of establishing the technical feasibility of the proposed technology.  Capability of company to validate performance of the technology.  Adequacy of the Quality Assurance Statement.
      3. Innovation:  The uniqueness/ingenuity of the proposed concept or application as a technological innovation.  Likelihood that the technology would be a “game-changer” in terms of significantly reducing costs, increasing performance, and improving environmental and public health benefits when compared with existing technologies.
      4. Company/Team:  Technical and business qualifications of the principal investigator, supporting staff and consultants.  A demonstrated commitment from the PI for developing and commercializing this technology.  PI’s track record in creating innovative technologies and successfully bringing them to market.  Quality and relevant capabilities of the supporting staff and facilities.  Strength of the company’s management team.  Evidence the management team has good relations and is effective in working together.  Existence and use by company management of external advisors such as leaders in technical, entrepreneurial, financial and other relevant fields.
      5. Commercialization:  Potential of the proposed technology to be commercially successful.  Existence of a clear-cut technical need with significant market potential including knowledge of competitors.  Quality of the company’s business strategy.  Demonstrated progress of company towards building relationships with commercial, distribution and/or other relevant partners.  Existence of patents or other considerations of intellectual property protection.  Company track record of successfully developing and commercializing innovative technologies.

      Peer Review Panels exclude personnel from current Phase I contractors, Phase I offerors, and Phase II offerors from the panel. All peer reviewers will be queried on their SBIR contracts or proposals and 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 reviewers will not be released.

   2. EPA PROGRAMMATIC REVIEW.  The proposals that received ratings of "excellent" or "very good" by the external peer reviewer 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.  Please note that not all of the proposals rated “Excellent” or “Very Good” will receive a contract award.  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.  Final decisions will also consider overall balance of the EPA SBIR portfolio.

      PHASE I PROGRAMMATIC REVIEW CRITERIA

      1. How well the technology addresses the Phase I focus areas.  The potential of the technology to meet Agency program priorities.
      2. The potential of the technology to advance sustainability including environmental, economic and societal benefits.
      3. The potential of the technology to be widely used, have broad application and/or to impact large segments of the population.

2. 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 reviewers shall not be disclosed.

3. Phase I to Phase II Transition Rate Benchmark

   To be eligible for a Phase I award under SBIR solicitations issued by the U.S. Environmental Protection Agency (EPA), Phase I offerors that have received 20 or more Phase I SBIR awards over the 5 year period that ends one year prior to the date of submission of a proposal must meet a Phase I - Phase II transition rate of at least 0.25.  The Phase I - Phase II transition rate reflects the minimum ratio of Phase II awards to Phase I awards received by an offeror in the target period.

   If it is determined that a Phase I offeror subject to the Phase I - Phase II transition rate requirement does not meet the Phase I - Phase II transition rate, the offeror will not be eligible for a Phase I SBIR award for one year beginning on the date of the determination. 

   The Phase I - Phase II transition rate requirement does not apply to Phase I offerors that have received less than 20 Phase I awards during the target period.  If a Phase I offeror that received 20 or more Phase I awards during the target period did not meet the Phase I – Phase II transition rate, but is able to demonstrate that at least 0.25 of their Phase I awards received either Phase II awards or research or development investments comparable in size to Phase II awards, the offeror may submit supporting documentation for consideration in lieu of meeting the Phase I - Phase II transition rate requirement. 

4. Company Registry Requirements

   1. The Small Business Administration (SBA) maintains and manages a Company Registry at SBIR/STTR to track ownership and affiliation requirements for all companies applying to the SBIR Program.  The SBIR Policy Directive requires each small business concern (SBC) applying for a Phase I or Phase II award to register in the Company Registry prior to submitting a proposal.
   2. The SBC will save its information from the registration in a .pdf document and will append this document to the last page of your technical proposal.   This page will not count towards the 25 page limit.
   3. All SBCs will report and/or update ownership information to SBA prior to each SBIR proposal submission or if any information changes prior to award.  For example, if a concern that registers on the Company Registry becomes majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms after the time it submitted its initial proposal (or other formal response) to a Phase I or Phase II SBIR announcement or solicitation, the SBC must update the Company Registry.

V. CONSIDERATIONS

 

 

 

 

 

 

 

 

 

1. Awards

   The Government anticipates award of approximately twenty (20) firm-fixed-price contracts of up to $100,000 each including profit.  It is expected that these contracts will be awarded with a contract start date of April 1, 2014.  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 and commercial 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 paymen