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# SOL-NC-14-00014

ISSUE DATE: July 16, 2014
CLOSING DATE: September 11, 2014 October 9, 2014 *

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

Your proposal in Portable Document Form (PDF) (including all appendices) shall be received via FedConnect by 12:00 p.m. (noon) eastern standard time on September 11, 2014 October 9, 2014.

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

Notwithstanding any other provision or clause in this solicitation to the contrary, proposals shall be submitted via the FedConnect web portal exit EPA. In order to submit proposals, offerors must register in FedConnect exit EPA, see main page of FedConnect website for registration instructions. For assistance in registering or for other FedConnect technical questions please contact the FedConnect Help Desk (support@fedconnect.net) at (800) 899-6665.

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 submit proposals in FedConnect with sufficient time to ensure they are received by the date and time specified. Only proposals received by the date and time specified via FedConnect will be considered for award.

Table of Contents

Section
I. SBIR Program Description
  A. Purpose of EPA’s SBIR Program
  B. Phase I to Phase II Transition Rate Benchmark
  C. SBIR Phase I Research Topics
    1. Air and Climate
      1A. Industrial process pollution reductions
      1B. Lab-on-a-chip sensors
      1C. Nano-air filters
    2. Manufacturing
      2A. Non-toxic electronics
    3. Toxic Chemicals
      3A. Non-fluorinated surfaces or coatings
      3B. Polyurethane coatings
      3C. Flame retardant materials
    4. Water
      4A. Nutrient recovery
      4B. Small drinking water systems
    5. Building Materials
      5A. Innovative Construction Materials
      5B. Material reuse and Recycling
    6. Food Waste
      6A. Food Waste – Resource Recovery
    7. Homeland Security
      7A. Pathogen removal from water pipes
  D. Phase II
  E. Phase III
  F. Guidelines
  G. Award Amounts
  H. Fraud Waste and Abuse
  I. EPA 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. Woman-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 Abstract
  D. Technical Contact
  E. Proposed Budget
  F. Phase I Quality Assurance Statement (QAS)
  G. Company Registry Requirements
IV. Method of Selection and Evaluation Criteria
  A. Phase I External Peer Review
  B. Phase I Internal Programmatic Review
  C. Release of Proposal Review Information
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. Submission Forms and Certifications
  APPENDIX A - Proposal Cover Sheet
  APPENDIX B - Project Summary
  APPENDIX C - SBIR Proposal Summary Budget
  APPENDIX D - Frequently Asked Questions (FAQ’s)
  APPENDIX E - Certification (at Time of Award)
  APPENDIX F - Certification (with Final Report)

SBIR PHASE I SOLICITATION

I. SBIR PROGRAM DESCRIPTION

A. Purpose of EPA’s SBIR Program

Every Federal agency with an extramural research and development (R&D) budget over $100 million is required by law to have a Small Business Innovation Research (SBIR) program. For the Environmental Protection Agency (EPA), the SBIR program provides the only way it can directly award R&D funding to small businesses. The EPA SBIR program is very competitive. Each agency implements the program in a phased manner that follows the technology development continuum:  research, development, demonstration, commercialization, and utilization. The number of phases an agency supports depends on its program needs and budget. Generally, there are two phases:  the first is for proof of concept, and the second is intended to move the technology as far as possible toward full-scale commercialization.

Successful commercialization usually results from reversing the technology development continuum. That is, first identifying a need that can be addressed by technology, then assessing whether that need provides a viable market opportunity, and, after that, identifying or inventing a technology that can be developed and commercialized to meet that need in a profitable manner.

The EPA’s needs result from its mission to protect human health and the environment. Because its needs are large and the available funding is small, the EPA seeks “disruptive” technologies that offer totally new approaches to meeting its needs—not incremental improvements of existing technologies. Such novel technologies could, for example, completely eliminate a seemingly intractable problem or provide performance at dramatically reduced costs and orders of magnitude better than existing technology.

The EPA recognizes that supporting such ground-breaking technologies involves a high risk that projects will not meet their objectives. For the EPA, the potentially greater rewards of such technologies justify that larger degree of risk. The EPA welcomes and accepts such risks in the interest of fulfilling its mission.

For the EPA, success means that the technologies it supports will in fact be used to solve the problems for which they are being developed; therefore, from the outset of the selection process, the EPA will consider commercialization potential to be as important as technical potential, and it will evaluate proposals accordingly.

SBIR proposals should directly pertain to the EPA's mission of protecting human health and the environment. Those proposals should also consider the lifecycle environmental impacts of the technology itself, including (if applicable) minimizing resource use, minimizing toxicity of materials, efficient use of  water and energy, minimizing pollution, and minimizing the impacts of disposal.  The proposed research must be responsive to the topics included in this solicitation.  The research should be the basis for technological innovation resulting in new commercial products, processes, or services that benefit the public and promote the growth of the small business.

The EPA will follow a two-stage application evaluation process to make funding decisions. The two stages are: external peer review and internal programmatic review. The review processes are described below. The evaluation criteria that will be used in each stage are described later in the solicitation.

B. Phase I to Phase II Transition Rate Benchmark

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 to be eligible for a Phase I award under this SBIR solicitation being issued by the EPA. 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 a period of one year from the date of that 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. Furthermore, if a Phase I offeror that received 20 or more Phase I awards during the target period does not meet the Phase I – Phase II transition rate, but the offeror is able to demonstrate that at least 0.25 of its 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.

C. This Year’s SBIR Phase I Topics

For this solicitation, the EPA’s needs are being expressed through a variety of very specific topics. Offerors must select just one specific topic toward which their technology is addressed. The letter and number before a specific topic constitute the topic code.

The topics for this solicitation are:

  1. Air and Climate

    Industrial and energy production processes emit a variety of contaminants into the air.  Some of these contaminants are directly toxic to human health and the environment, some are greenhouse gases that contribute to global warming and, thereby, indirectly affect human health and the environment, and some are both. The EPA uses a variety of approaches to address these issues, including requiring the use of control technologies (Control Strategies and Organic Chemical Production Plants), setting emission and air quality standards (Technology Transfer Network National Ambient Air Quality Standards (NAAQS)), creating voluntary programs to achieve or go beyond compliance with standards Progress Cleaning the Air: Voluntary Partnership Program Accomplishments), and doing R&D to create and validate the performance of monitoring devices (Next Generation Air Measuring Research) and technologies that enable prevention, treatment, recycling, and disposal of contaminants and contaminated media (Air and Climate Change Research).

    With this in mind, the EPA is interested in supporting the development and commercialization of innovative technologies that address the following topics.

    1. Industrial process pollution reductions: Changes in an industrial production process that reduce the overall carbon footprint while minimizing emissions to other environmental media;
    2. Lab-on-a-chip sensors: Lab-on-a-chip sensors for affordable, remote, in-situ, real-time, and continuous measurement of multiple contaminants at trace (parts per trillion) concentrations;
    3. Nano-air filters: Super high-performance, low cost filters (e.g., using nanomaterials) for removing gaseous pollutants from contaminated air streams.
  2.  

  3. Manufacturing

    Executive Order 13329 directs the EPA to properly and effectively assist the private sector in its manufacturing innovation in order to sustain a strong manufacturing sector in the U.S. economy. These innovations often involve engineering and technical solutions that make the manufacturing operation and/or the manufactured product both more environmentally and economically sound.

    As a result, the EPA is seeking the development and commercialization of innovative technologies that, when compared with current technologies, dramatically improve the performance, dramatically reduces the environmental impacts, and significantly reduce the costs of both the production processes and the product characteristics of:

    1. Non-toxic electronics: Next generation non-toxic electronic devices and components.
  4. Toxic Chemicals

    In February 2012, the EPA issued an document, “Existing Chemicals Program: Strategy” under the Toxic Substances Control Act (TSCA). That strategy document noted that the TSCA inventory of chemicals in commerce now exceeds 84,000 chemicals. Furthermore, periodic TSCA chemical data reporting has indicated that there are approximately 7,000 chemicals currently produced at volumes of 25,000 pounds or greater. Under the TSCA, the EPA is responsible for assessing the safety of these commercial chemicals and to take necessary action if there are significant risks to human health or the environment from those chemicals.

    To implement its “Strategy”, the EPA developed a number of Action Plans (Existing Chemicals Action Plans) for addressing specific chemicals of concern.  Based on these plans, the EPA is seeking technological innovations that can be developed and commercialized to address the following needs:

    1. Non-fluorinated surfaces or coatings: Non-fluorinated surfaces or coatings that are water- and stain-resistant;
    2. Polyurethane coatings: Polyurethane coatings and foams that do not have free isocyanate groups in their monomers or pre-polymers;
    3. Flame retardant materials: Materials that are inherently flame retardant (that is materials that do not require added flame retardants).
  5. Water

    The Office of Water (OW) has the goal of being a catalyst for fostering the protection and sustainability of water resources in the U.S. and around the globe.  It has produced two papers that are intended to help achieve this goal. The first is the March 27, 2013, “Blueprint for Integrating Technology Innovation into the National Water Program.”  The second is the April 2014 “Promoting Technology Innovation for Clean and Safe Water:  Water Technology Innovation Blueprint—Version 2” (PDF) (EPA 820-R-14-006).

    These papers identify 10 market opportunities for technology innovation. This solicitation addresses 2 of these opportunities:  recovering nutrients, and improving performance of small drinking water systems. Consequently, the EPA is seeking innovative technologies that address the following needs:

    1. Nutrient recovery: Cost-effectively recover nutrients from human and animal wastes and convert them into marketable commodities before they impair surface and groundwater;
    2. Small drinking water systems: Cost-effective and affordable technologies that substantially improve the performance and reliability of small drinking water systems.
  6. Building Materials

    A large portion of the waste materials created in the United States results from the construction and demolition of buildings. These materials include concrete, wood, metal, glass, wallboard, and plastic. Much of this material goes to landfills. Waste reduction could be achieved by constructing buildings with innovative materials and creating demolition processes that increase the recycling and reuse of those materials. As a result, there is a need for the development and commercialization of the following:

    1. Innovative construction materials: Innovative commercial building construction materials that provide superior strength and durability; have less weight and volume, as well as reduced toxicity; and are easier to recycle and reuse than current materials;
    2. Material reuse and recycling: Innovative processes that will dramatically increase the reuse and recycling of materials that results from the demolition of commercial buildings.
  7. Food Waste

    The EPA and the USDA are partnering through the U.S. Food Waste Challenge to address sustainable food management from farm to final disposition.  Through this partnership, the EPA is working to reduce food waste, which is the largest component (21 percent) of discarded municipal solid waste. In keeping with the RCRA mandate to conserve resources and energy, and recognizing that an estimated 42 percent of greenhouse gas (GHG) emissions are attributable to materials management activities, the EPA continues to create innovative strategies that emphasize sustainable materials management. These efforts to identify and reduce or minimize the impact of waste and capture the resulting GHG benefits through more sustainable materials management throughout all life-cycle stages (from extraction of raw materials through end of life) are critical for offsetting the use of virgin materials.

    1. Food Waste- Resource Recovery: Innovative processes that divert food waste from landfills and recover valuable resources

      For more information, see the EPA’s FY 2011-2015 Strategic Plan

  8. Homeland Security

    More than 280 million Americans count on the safety of the tap water provided by their local water systems. The President has given the EPA the primary responsibility for coordinating Federal, state, and local authorities in the protection of drinking water systems. The Bioterrorism Act of 2002 requires communities serving more than 3,300 people to develop vulnerability assessments and certify emergency response plans. With most of this work now completed, the EPA has shifted its focus to reducing the risks associated with those vulnerabilities.  These risks include the adherence of biological agents to the inside of water system pipes.  As a result, the EPA is interested in the development and commercialization of innovative technologies that can perform more effectively and affordably than current approaches.

    1. Pathogen removal from water pipes: Remove chlorine-resistant pathogens (such as Bacillus anthracis in spore form) that adhere to the inside of water system pipes.

D. Phase II

THIS SOLICITATION IS FOR PHASE I PROPOSALS ONLY

Process

Upon completion of their Phase I project, Phase I awardees will be eligible to apply for follow-on Phase II funding.  Phase II is the principal R&D effort. It should be completed in 24 months. It has two objectives. The first is to continue the R&D initiated under Phase I, and take it at least through full-scale testing of the technology. The second is to work with partners, investors, and customers to fully commercializing the technology and obtain widespread utilization.

The EPA recognizes that a full demonstration of a technology’s capability and full-scale commercialization may require, in effect, a Phase III that utilizes non-EPA Federal and/or private sector funds. Phase II projects should position their technologies to successfully move into and through such a Phase III.     

The Agency anticipates making approximately eight (8) Phase II awards, each in the amount of $300,000 with a 24-month term of performance.  In Phase II, the EPA is also offering a commercialization option of $100,000 to companies that can secure third-party investment for the commercialization of their technology.  To implement this, the Agency plans to require a “Commercialization Option” under which Phase II offerors shall submit a proposal for $100,000 of additional EPA funding based on having obtained at least $100,000 of private sector funding. The proposal should document the receipt of these latter funds from one or more third-party investors, such as a venture capital firm, an individual "angel" investor, a state or local funding source, another company under a partnership, licensing, or joint venture arrangement, or any combination of third parties. The EPA funds must be designated solely for support of the R&D-related elements of the project. The entire Phase II proposal, including the documentation submitted in support of the commercialization option, will be evaluated together.

The EPA anticipates issuing the follow-on Phase II Solicitation on or about October 15, 2015, with proposals due on/about November 30, 2015.

Evaluation

For Phase II, the EPA plans to use a two-stage evaluation process similar to that used for Phase I. There will be an external peer review, plus an internal review that considers programmatic balance, Agency priorities, and available funding. The following criteria will be used in the external peer review of the Phase II proposals.

  1. Technical Merit:  Adequately established proof of concept in Phase I.  Showed 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 disruptive technology 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:  Strength of market analysis and product marketing plans.  Strength 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 commercializing technology.
  5. Partners/Investors:  Demonstrated ability of company 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.

Internal Programmatic Review Criteria

  1. 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.

E. Phase III

THIS SOLICITATION IS FOR PHASE I PROPOSALS ONLY

The EPA strongly encourages Phase II awardees who do not think they will be able to achieve full-scale commercialization by the end of Phase II to diligently plan for and pursue during Phase II non-EPA SBIR sources of funding to achieve full-scale commercialization and utilization of their technology. That third phase could be funded by:

  1. Non-Federal sources of capital—including investors, commercial partners, licensing, etc.
  2. Federal non-SBIR sources that support any necessary continued R&D and product development.
  3. Federal non-SBIR funds for purchasing and/or domestic and international marketing of the technology.

F. Guidelines

Each offeror submitting a proposal must qualify as a small business for research or R&D purposes at the time of award of the Phase I and Phase II funding agreements. In addition, the primary employment of the principal investigator must be with the small business firm, both 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, s/he will become a less than half-time employee of the second employer. 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 the definition of the “United States”, see Section II. J.)

G. Award Amounts

For Phase I, the EPA 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 period of performance is expected to be 6 months. Source selection will not be based on a comparison of cost or price between offerors. 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.

H. Fraud Waste and Abuse

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

E-mail:  OIG_Hotline@epa.gov

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

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

I. Contact Information

Potential offerors shall only communicate with the Agency via FedConnect. All inquiries concerning this solicitation shall be submitted via FedConnect.    

II. DEFINITIONS

For purposes of this solicitation, the following definitions apply:

A. 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.

B. 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.

C. Subcontract

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

D. Small Business Concern

Only United States small businesses are eligible to participate in the SBIR program. 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 located in the United States;
  2. Is more than 50 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, or by another for-profit business concern that is more than 50% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and
  3. Has no more than 500 employees, including affiliates;
  4. 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;
  5. Phase I awardees with multiple prior awards must meet the benchmark requirements for progress toward commercialization outlined in I.B. above.

PLEASE NOTE:  Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity Firms.  For the EPA SBIR FY 2014 solicitation, the SBIR Program will not accept proposals from or make awards to small business concerns that are owned in major 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.

E. 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.

F. 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).

G. 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.

H. Historically Underutilized Business Zone (HUBZone)

A small business concern meeting the following requirements:

  1. It must be a small business by SBA standards;
  2. It must be owned and controlled at least 51% by U.S. citizens, or a Community Development  Corporation, an agricultural cooperative, or an Indian tribe;
  3. Its principal office must be located within a “Historically Underutilized Business Zone,” which includes lands considered “Indian Country” and military facilities closed by the Base Realignment and Closure Act;
  4. At least 35% of its employees must reside in a HUBZone.

I. Primary Employment

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

J. 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.

K. Commercialization

The process of developing products, processes, technologies, or services, and the production and delivery (whether by the originating party or others) of the products, processes, technologies, or services for sale to or use by the Federal government or commercial markets.

L. SBIR Technical Data

All data generated during the performance of an SBIR award.

M. 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

A. Proposal Page Limit

Proposals shall be submitted in Portable Document Form (PDF) in response to this Phase I of the SBIR program and 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. H). 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 (1”; 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 a letter of transmittal is attached it will be counted as page 1 of the proposal.

B. 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 topic code and the corresponding topic title as page 1 of the proposal. The offeror shall select one (and only one) research topic code and the corresponding topic title on the cover sheet. It is the complete responsibility of offerors to select and identify the best research topic code and the corresponding topic title for their proposal. No other proposal cover sheet 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 Appendix A will only count as one page. 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 cover sheet shall contain the pen-and-ink signatures of the principal investigator and the corporate/business official authorized to sign the proposal.

C. Project Abstract

Each application must include an abstract which will be an important document for all stages of the review process. In addition, if a project is funded, it will be posted on the EPA SBIR web site, so the abstract shall not include any proprietary data. The abstract format is provided in Appendix B and shall be submitted as page 2 of the proposal. When downloading the solicitation from the Internet, Appendix B may print on no more than two pages, but Appendix B will only count as one page. If Appendix B exceeds two pages, any additional pages will count toward the 25-page limitation.

The abstract must use include the following information:

Project Summary: Describe the Specific Need for the Technology, What the Technology Would Do to Meet That Need, What Basic Research Was Done with What Result, What is the Application, Who are the End Users, the Size of the Potential Market, and Potential Investors and Commercial Partners (~1/2 page);

Evidence that Successful Development and Commercialization of this Technology will Result in Widespread Environmental Benefit (~1/4 page);

Basic Market Research that Shows There Would be Willing Buyers for the Technology if It Were Commercialized (~1/4 page);

The Technical Concepts that Support the Feasibility of Developing the Technology (1/2 page);

How this Technology Would Outperform Currently-Used Technologies (1/2 page).

D. Technical Content

Begin the main body of the proposal on page 3. At 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 associated environmental benefits.

    INFORMATION ON THE ENVIRONMENTAL BENEFITS ASSOCIATED WITH THE TECHNOLOGY IS A VERY IMPORTANT PART OF THE EXTERNAL PEER REVIEW AND THE 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.  That information shall be used 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 shall 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 shall be discussed in detail, to enable a complete scientific and technical evaluation of the work plan. A work schedule shall 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, including the 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 shall be described in detail and vitae shall 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, the 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.  The 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.

    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. SBIR Project:  A 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 product? (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 the EPA or another Federal agency.)  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 the EPA or any Federal agency for similar or closely related research, submit the name of the awarding agency, the date of the award, the funding agreement number, the amount of the awards, and the 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 the 25 page proposal limitation.)
  11. DUPLICATE OR EQUIVALENT SBIR PROPOSALS. A firm may elect to submit essentially equivalent work under other Federal Program Solicitations. In those 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; the dates of proposal submissions or dates of award; the titles, numbers, and dates of the 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 the 25-page proposal 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 the name of the awarding agency, the date of the award, the funding agreement number, the amount, the topic or subtopic title, any follow-on agreement amount, the source and date of commitment, and the current commercialization status for each Phase II award. (This required proposal information shall be included as an attachment to the proposals and shall not be counted toward the 25-page proposal 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.

E. Proposed Budget

Complete the budget form in Appendix C and include the completed form immediately after proposal Section D.11. 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 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

F. 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 the processes that will be used to assure that results of the research satisfy the intended project objectives. The 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 function(s), 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 measures 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, and 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(s) 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 that will be used to make inferences and conclusions, acceptable error rates, and any statistical software that will 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 that will be used to make inferences and conclusions, acceptable error rates, and any statistical software that will 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 shall be required in Phase II. The plan shall be required as part of the first monthly report under the Phase II contract.

G. Company Registry Requirements

  1. The Small Business Administration (SBA) maintains and manages a Company Registry at www.SBIR.gov 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 its 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. 

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 of the 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/or 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 below. 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. Phase I External Peer Review

Process

All applications will be reviewed by external (non-EPA) peer reviewers. The peer reviewers will be selected so they include a roughly equal balance of people with technical expertise related to the topic and people who have relevant commercialization experience.

The evaluation criteria that the reviewers will use, which are provided below, give equal weight to factors affecting the likely technical success and to factors affecting the likely commercial success of the project. The reviewers will rate individual proposals, and then meet as one or more panels that will produce a final rating for each proposal.

The EPA does not permit current Phase I contractors, Phase I offerors, or Phase II offerors to participate in the peer review. All peer reviewers are required to describe their SBIR contracts and proposals, sign an agreement to protect the confidentiality of all proposal materials they review and the discussions within the peer review panel, and certify that no conflict of interest exists between them and the offeror. While members of the public may obtain copies of these forms, the identities of the reviewers will not be released.

Evaluation Criteria

The peer reviewers will use the following criteria to evaluate each proposal. The criteria are of equal importance.

  1. Disruptive Potential:  Degree to which the technology provides a totally new approach to solving a key problem within the topic. Degree to which, if successful, the technology would transform the way that problem is solved. Degree to which this is a “platform” technology off which other useful technologies could be developed and commercialized.
  2. Management and Technical Capabilities:  Evidence that the owners and managers of the company, the principal investigator (PI), supporting staff, advisors, and consultants have adequate and relevant management and business expertise to successfully complete the project within six months. Degree to which the PI has a track record of creating innovative technologies and successfully bringing them to market. Degree to which the PI has sufficient technical expertise to carry out the project as planned and address any technical issues that may arise during the project. Degree to which the PI is committed to developing and commercializing this technology.
  3. Life Cycle Impacts:  Degree to which life cycle analyses have been and will be applied to the production and use of the technology. Degree to which potential negative environmental impacts of the technology are assessed and addressed—e.g., how collected contaminants and contaminated equipment will be recycled, re-used, or disposed of.
  4. Technical Soundness:  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 within six months. Availability of facilities and capability to demonstrate and evaluate performance of the technology. Planned use of widely accepted and important performance evaluation criteria—e.g., maximum contaminant levels under EPA regulatory standards and the specifications of the American Society for Testing and Materials (ASTM) methods. Adequacy of the Quality Assurance Statement.
  5. Commercialization Potential:  Potential of the proposed technology to be commercially successful. Evidence of a clear-cut technical need with significant market potential. Knowledge of the market and of competitors. Quality of the company’s business strategy. Demonstrated progress of the 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.

The peer reviewers will rate each proposal on its own merits. They will rate them as “excellent”, “very good”, “good”, “fair”, or “poor”. Only proposals that receive a panel rating of “excellent” or “very good” will be put forward for internal review. Proposals rated “good”, “fair”, or “poor” will not be considered for award.

Per the clause entitled “Principal Investigator (PI) Substitution due to Death, Resignation or Illness”, if the need for PI substitution is substantiated, offerors acknowledge and affirm this is not considered discussions, that there will be no competitive range determination, and that no discussions will be conducted.  The qualifications of the substitute will be evaluated in accordance with the stated criteria.

B. Phase I Internal Programmatic Review

The EPA will do an internal evaluation of the applications that have passed peer review. The internal reviewers will use the following criteria, which will be equally weighted:

  1. 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.

The applications will be ranked, including considerations of programmatic balance, Agency priorities, and available funding.

C. 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.

V. CONSIDERATIONS

A. Awards

The EPA 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, 2015. 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 EPA is not obligated to fund any specific Phase I proposal.

Funds are not presently available for this contract. The EPA'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 EPA 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

All reports shall include the following information: EPA Contract Number; Company Name; Project Title; and Period covered by the report. All reports listed below shall be submitted in hardcopy to the Contract Specialist, and electronically to the Contract-level Contracting Officer's Representative (COR) and the EPA technical specialist.

  1.  Monthly Reports:  The Contractor shall submit a Monthly Report describing progress made. The report shall be submitted within seven (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 summary 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.  Final Report:   The Contractor shall submit a comprehensive Final Report on the Phase I project. The report must be submitted by the completion date of the contract. The Contractor shall submit the Final Report Certification with the final report (see Appendix F). 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.  Executive Summary:  The Contractor shall submit a publishable (cleared for the general public) 2-3 page Executive Summary of the Final Report for Phase I 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 website, 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
    1. Proprietary Information

      Information contained in unsuccessful proposals will remain the property of the offeror. The EPA 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. This information must be clearly marked by the offeror with the term “confidential proprietary information" and the following legend must appear on the cover page of the proposal:

      “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 this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets _______; and use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal."

      Any other legend may be unacceptable to the EPA and may constitute grounds for removing the proposal from further consideration, without assuming any liability for inadvertent disclosure. The EPA will limit dissemination of such information to within official channels.

    2. Alternative to Minimize Proprietary Information:  Offerors shall limit proprietary information to only that absolutely essential to their proposal.

    3. 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.

    4. 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. The EPA receives a royalty-free license for the Federal Government, and it requires that each publication contain an appropriate acknowledgment and disclaimer statement.

    5. Patents

      Small business concerns normally may retain the principal worldwide patent rights to any invention developed with Governmental support. The EPA 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 neither required nor will it be an evaluation factor in consideration of proposals.

F. Profit or Fee

Reasonable fee (estimated profit) will be considered under this solicitation. For guidance purposes, the amount of profit shall 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 a SBIR Phase I proposal, a minimum of two-thirds of the research and/or analytical effort, as measured by the budget, must be performed by the proposing small business concern, and the balance of one third may be outsourced to a consultant or subcontract or a combination of the two.
  2. For a SBIR Phase II proposal, a minimum of one-half of the research and/or analytical effort, as measured by the budget, must be performed by the proposing small business concern, and the balance of one-half may be outsourced to a consultant or subcontract or a combination of the two.

I. Contractor Commitments

Upon award of a funding agreement, the Awardee shall be required to make certain legal commitments through acceptance of numerous clauses in the Phase I funding agreement. 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, or to represent the specific wording of such clauses. Copies of the 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 the 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 applicant for employment because s/he 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 s/he 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 INFRINGEMENT. The Contractor shall report each notice or claim of patent 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, the Contractor shall 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 shall be controlling.

  2. Before making an award of an SBIR funding agreement, the EPA may request the offeror submit certain organizational, management, personnel, and financial information to assure the responsibility of the offeror.

  3. The EPA 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 EPA, and it does not obligate the EPA to make any specific number of awards.  Also, awards under the SBIR program are contingent upon the availability of funds.

  5. The EPA SBIR program is not a substitute for existing unsolicited proposal mechanisms. Unsolicited proposals shall not be accepted under the EPA 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 s/he has not previously been, and is not 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 not be considered in compliance with the solicitation intent and, therefore, they shall be considered technically unacceptable.

  8. The requirement that the offeror designate a topic, and only one topic, (see page 1, Section I above) is also mandatory. The EPA receives hundreds of proposals each year, and it has special panels of reviewers for review of each research topic. In order to assure that proposals are evaluated by the correct panel, it is the complete responsibility of the offeror to select and identify the best topic.

  9. Instructions to Offerors - Competitive Acquisition (Jan 2004) FAR 52.215-1

    1. 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.

    2. 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).

    3. 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-

        1. The solicitation number;
        2. The name, address, and telephone and facsimile numbers of the offeror (and electronic address if available);
        3. 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;
        4. 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
        5. 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.

        1. 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.
        2.  

          1. 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.
          2. 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.
        3. 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.
        4. 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.
        5. 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.

    4. 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).

    5. 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 this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and
      2. Mark each sheet of data it wishes to restrict with the following legend: Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.
    6. 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. If a post-award debriefing is given to requesting offerors, the Government shall disclose the following information, if applicable:
        1. The agency's evaluation of the significant weak or deficient factors in the debriefed offeror's offer.
        2. The overall evaluated cost or price and technical rating of the successful and the debriefed offeror and past performance information on the debriefed offeror.
        3. The overall ranking of all offerors, when any ranking was developed by the agency during source selection.
        4. A summary of the rationale for award.
        5. For acquisitions of commercial items, the make and model of the item to be delivered by the successful offeror.
        6. Reasonable responses to relevant questions posed by the debriefed offeror as to whether source-selection procedures set forth in the solicitation, applicable regulations, and other applicable authorities were followed by the agency.
  10. Organizational Conflicts of Interest (EPAAR 1552.209-71) (May 1994) Alternate I (May 1994)

    1. The Contractor warrants that, to the best of the Contractor's knowledge and belief, there are no relevant facts or circumstances which could give rise to an organizational conflict of interest, as defined in FAR Subpart 9.5, or that the Contractor has disclosed all such relevant information.
    2. Prior to commencement of any work, the Contractor agrees to notify the Contracting Officer immediately that, to the best of its knowledge and belief, no actual or potential conflict of interest exists or to identify to the Contracting Officer any actual or potential conflict of interest the firm may have. In emergency situations, however, work may begin but notification shall be made within five (5) working days.
    3. The Contractor agrees that if an actual or potential organizational conflict of interest is identified during performance, the Contractor will immediately make a full disclosure in writing to the Contracting Officer. This disclosure shall include a description of actions which the Contractor has taken or proposes to take, after consultation with the Contracting Officer, to avoid, mitigate, or neutralize the actual or potential conflict of interest. The Contractor shall continue performance until notified by the Contracting Officer of any contrary action to be taken.
    4. Remedies - The EPA may terminate this contract for convenience, in whole or in part, if it deems such termination necessary to avoid an organizational conflict of interest. If the Contractor was aware of a potential organizational conflict of interest prior to award or discovered an actual or potential conflict after award and did not disclose it or misrepresented relevant information to the Contracting Officer, the Government may terminate the contract for default, debar the Contractor from Government contracting, or pursue such other remedies as may be permitted by law or this contract.
    5. The Contractor agrees to insert in each subcontract or consultant agreement placed hereunder provisions which shall conform substantially to the language of this clause, including this paragraph, unless otherwise authorized by the Contracting Officer.
  11. Data Universal Numbering System (DUNS) Number  (JUL 2013)   FAR 52.204-6

    1. Definition. Data Universal Numbering System (DUNS) number, as used in this provision, means the 9-digit number assigned by Dun and Bradstreet, Inc. (D&B) to identify unique business entities, which is used as the identification number for Federal Contractors.
    2. The offeror shall enter, in the block with its name and address on the cover page of its offer, the annotation "DUNS" or "DUNS+4" followed by the DUNS number or "DUNS+4" that identifies the offeror's name and address exactly as stated in the offer. The DUNS number is a nine-digit number assigned by Dun and Bradstreet, Inc. The DUNS+4 is the DUNS number plus a 4-character suffix that may be assigned at the discretion of the offeror to establish additional System for Award Management records for identifying alternative Electronic Funds Transfer (EFT) accounts (see Subpart 32.11) for the same concern.
    3. If the offeror does not have a DUNS number, it should contact Dun and Bradstreet directly to obtain one.
      1. An offeror may obtain a DUNS number-

        (i) Via the Internet at http://fedgov.dnb.com/webform or if the offeror does not have internet access, it may call Dun and Bradstreet at 1-866-705-5711 if located within the United States; or

        (ii) If located outside the United States, by contacting the local Dun and Bradstreet office. The offeror should indicate that it is an offeror for a U.S. Government contract when contacting the local Dun and Bradstreet office.

      2. The offeror should be prepared to provide the following information:
        1. Company legal business name.
        2. Tradestyle, doing business, or other name by which your entity is commonly recognized.
        3. Company physical street address, city, state and Zip Code.
        4. Company mailing address, city, state and Zip Code (if separate from physical).
        5. Company telephone number.
        6. Date the company was started.
        7. Number of employees at your location.
        8. Chief executive officer/key manager.
        9. Line of business (industry).
        10. Company Headquarters name and address (reporting relationship within your entity).
  12. Annual Representations and Certifications   (MAY 2014), FAR 52.204-8

    1.  

      1. The North American Industry Classification System (NAICS) code for this acquisition is 541712.
      2. The small business size standard is 500 employees.
      3. The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees.
    2.  

      1. If the provision at 52.204-7, System for Award Management, is included in this solicitation, paragraph (d) of this provision applies.
      2. If the provision at 52.204-7 is not included in this solicitation, and the offeror is currently registered in the System for Award Management (SAM), and has completed the Representations and Certifications section of SAM electronically, the offeror may choose to use paragraph (d) of this provision instead of completing the corresponding individual representations and certifications in the solicitation. The offeror shall indicate which option applies by checking one of the following boxes:
        1. [ ] Paragraph (d) applies.
        2. [ ] Paragraph (d) does not apply and the offeror has completed the individual representations and certifications in the solicitation.
    3.  

      1. The following representations or certifications in SAM are applicable to this solicitation as indicated:
        1. 52.203-2, Certificate of Independent Price Determination. This provision applies to solicitations when a firm-fixed-price contract or fixed-price contract with economic price adjustment is contemplated, unless—
          (A) The acquisition is to be made under the simplified acquisition procedures in Part 13;
          (B) The solicitation is a request for technical proposals under two-step sealed bidding procedures; or
          (C) The solicitation is for utility services for which rates are set by law or regulation.
        2. 52.203-11, Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions. This provision applies to solicitations expected to exceed $150,000.
        3. 52.204-3, Taxpayer Identification. This provision applies to solicitations that do not include the provision at 52.204-7, System for Award Management.
        4. 52.204-5, Women-Owned Business (Other Than Small Business). This provision applies to solicitations that—
          (A) Are not set aside for small business concerns;
          (B) Exceed the simplified acquisition threshold; and
          (C) Are for contracts that will be performed in the United States or its outlying areas.
        5. 52.209-2, Prohibition on Contracting with Inverted Domestic Corporations—Representation. This provision applies to solicitations using funds appropriated in fiscal years 2008, 2009, 2010, or 2012.
        6. 52.209-5, Certification Regarding Responsibility Matters. This provision applies to solicitations where the contract value is expected to exceed the simplified acquisition threshold.
        7. 52.214-14, Place of Performance—Sealed Bidding. This provision applies to invitations for bids except those in which the place of performance is specified by the Government.
        8. 52.215-6, Place of Performance. This provision applies to solicitations unless the place of performance is specified by the Government.
        9. 52.219-1, Small Business Program Representations (Basic & Alternate I). This provision applies to solicitations when the contract will be performed in the United States or its outlying areas.
          1. The basic provision applies when the solicitations are issued by other than DoD, NASA, and the Coast Guard.
          2. The provision with its Alternate I applies to solicitations issued by DoD, NASA, or the Coast Guard.
        10. 52.219-2, Equal Low Bids. This provision applies to solicitations when contracting by sealed bidding and the contract will be performed in the United States or its outlying areas.
        11. 52.222-22, Previous Contracts and Compliance Reports. This provision applies to solicitations that include the clause at 52.222-26, Equal Opportunity.
        12. 52.222-25, Affirmative Action Compliance. This provision applies to solicitations, other than those for construction, when the solicitation includes the clause at 52.222-26, Equal Opportunity.
        13. 52.222-38, Compliance with Veterans’ Employment Reporting Requirements. This provision applies to solicitations when it is anticipated the contract award will exceed the simplified acquisition threshold and the contract is not for acquisition of commercial items.
        14. 52.223-1, Biobased Product Certification. This provision applies to solicitations that require the delivery or specify the use of USDA–designated items; or include the clause at 52.223-2, Affirmative Procurement of Biobased Products Under Service and Construction Contracts.
        15. 52.223-4, Recovered Material Certification. This provision applies to solicitations that are for, or specify the use of, EPA–designated items.
        16. 52.225-2, Buy American Certificate. This provision applies to solicitations containing the clause at 52.225-1.
        17. 52.225-4, Buy American—Free Trade Agreements—Israeli Trade Act Certificate. (Basic, Alternates I, II, and III.) This provision applies to solicitations containing the clause at 52.225-3.
          1. If the acquisition value is less than $25,000, the basic provision applies.
          2. If the acquisition value is $25,000 or more but is less than $50,000, the provision with its Alternate I applies.
          3. If the acquisition value is $50,000 or more but is less than $79,507, the provision with its Alternate II applies.
          4. If the acquisition value is $79,507 or more but is less than $100,000, the provision with its Alternate III applies.
        18. 52.225-6, Trade Agreements Certificate. This provision applies to solicitations containing the clause at 52.225-5.
        19. 52.225-20, Prohibition on Conducting Restricted Business Operations in Sudan—Certification. This provision applies to all solicitations.
        20. 52.225-25, Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran-Representation and Certifications. This provision applies to all solicitations.
        21. 52.226-2, Historically Black College or University and Minority Institution Representation. This provision applies to—
          1. Solicitations for research, studies, supplies, or services of the type normally acquired from higher educational institutions; and
          2. For DoD, NASA, and Coast Guard acquisitions, solicitations that contain the clause at 52.219-23, Notice of Price Evaluation Adjustment for Small Disadvantaged Business Concerns.
      2. The following certifications are applicable as indicated by the Contracting Officer:

        [Contracting Officer check as appropriate.]

        1. __ 52.219-22, Small Disadvantaged Business Status.
          1. __ Basic.
          2. __ Alternate I.
        2. __ 52.222-18, Certification Regarding Knowledge of Child Labor for Listed End Products.
        3. __ 52.222-48, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment- Certification.
        4. __ 52.222-52, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Certification.
        5. __ 52.223-9, with its Alternate I, Estimate of Percentage of Recovered Material Content for EPA–Designated Products (Alternate I only).
        6. __ 52.227-6, Royalty Information.
          1. __ Basic.
          2. __ Alternate I.
        7. __ 52.227-15, Representation of Limited Rights Data and Restricted Computer Software.
    4. The offeror has completed the annual representations and certifications electronically via the SAM website accessed through https://www.acquisition.gov. After reviewing the SAM database information, the offeror verifies by submission of the offer that the representations and certifications currently posted electronically that apply to this solicitation as indicated in paragraph (c) of this provision have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201); except for the changes identified below [offeror to insert changes, identifying change by clause number, title, date]. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer.


      FAR Clause # Title Date Change

      ____________ _________ _____ _______

      Any changes provided by the offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted on SAM.

  13. 52.219-1   Small Business Program Representations   (APR 2012)  FAR 52.219-1.

    1.  

      1. The North American Industry Classification System (NAICS) code for this acquisition is ____541712___.
      2. The small business size standard is __500___.
      3. The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees.
    2. Representations.

      1. The offeror represents as part of its offer that it o  is, o  is not a small business concern.
      2. [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents, for general statistical purposes, that it o  is, o  is not, a small disadvantaged business concern as defined in 13 CFR 124.1002.
      3. [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents as part of its offer that it o  is, o  is not a women-owned small business concern.
      4. Women-owned small business (WOSB) concern eligible under the WOSB Program. [Complete only if the offeror represented itself as a women-owned small business concern in paragraph (b)(3) of this provision.] The offeror represents as part of its offer that—
        1. It o  is, o  is not a WOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and
        2. It o  is, o  not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (b)(4)(i) of this provision is accurate for each WOSB concern eligible under the WOSB Program participating in the joint venture.[The offeror shall enter the name or names of the WOSB concern eligible under the WOSB Program and other small businesses that are participating in the joint venture: __________.]Each WOSB concern eligible under the WOSB Program participating in the joint venture shall submit a separate signed copy of the WOSB representation.
      5. Economically disadvantaged women-owned small business (EDWOSB) concern. [Complete only if the offeror represented itself as a women-owned small business concern eligible under the WOSB Program in (b)(4) of this provision.]The offeror represents as part of its offer that—
        1. It o  is, o  is not an EDWOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and
        2. It o  is, o  is not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (b)(5)(i) of this provision is accurate for each EDWOSB concern participating in the joint venture. [The offeror shall enter the name or names of the EDWOSB concern and other small businesses that are participating in the joint venture: __________.] Each EDWOSB concern participating in the joint venture shall submit a separate signed copy of the EDWOSB representation.
      6. [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents as part of its offer that it o  is, o  is not a veteran-owned small business concern.
      7. [Complete only if the offeror represented itself as a veteran-owned small business concern in paragraph (b)(6) of this provision.] The offeror represents as part of its offer that it o  is, o is not a service-disabled veteran-owned small business concern.
      8. [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents, as part of its offer, that—
        1. It o  is, o  is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material changes in ownership and control, principal office, or HUBZone employee percentage have occurred since it was certified in accordance with 13 CFR Part 126; and
        2. It o  is, o  is not a HUBZone joint venture that complies with the requirements of 13 CFR Part 126, and the representation in paragraph (b)(8)(i) of this provision is accurate for each HUBZone small business concern participating in the HUBZone joint venture. [The offeror shall enter the names of each of the HUBZone small business concerns participating in the HUBZone joint venture: __________.] Each HUBZone small business concern participating in the HUBZone joint venture shall submit a separate signed copy of the HUBZone representation.
    3. Definitions. As used in this provision—

      “Economically disadvantaged women-owned small business (EDWOSB) concern” means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States and who are economically disadvantaged in accordance with 13 CFR part 127. It automatically qualifies as a women-owned small business concern eligible under the WOSB Program.

      “Service-disabled veteran-owned small business concern”—

      1. Means a small business concern—
        1. Not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and
        2. The management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran.
      2. “Service-disabled veteran” means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

        “Small business concern” means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard in paragraph (a) of this provision.

        “Veteran-owned small business concern” means a small business concern—

        1. Not less than 51 percent of which is owned by one or more veterans (as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and
      3. The management and daily business operations of which are controlled by one or more veterans.

        “Women-owned small business concern” means a small business concern—

        1. That is at least 51 percent owned by one or more women; or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and
        2. Whose management and daily business operations are controlled by one or more women.
          “Women-owned small business (WOSB) concern eligible under the WOSB Program” (in accordance with 13 CFR part 127), means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States.
    4. Notice.

      1. If this solicitation is for supplies and has been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be furnished.
      2. Under 15 U.S.C. 645(d), any person who misrepresents a firm’s status as a business concern that is small, HUBZone small, small disadvantaged, service-disabled veteran-owned small, economically disadvantaged women-owned small, or women-owned small eligible under the WOSB Program in order to obtain a contract to be awarded under the preference programs established pursuant to section 8, 9, 15, 31, and 36 of the Small Business Act or any other provision of Federal law that specifically references section 8(d) for a definition of program eligibility, shall—
        1. Be punished by imposition of fine, imprisonment, or both;
        2. Be subject to administrative remedies, including suspension and debarment; and
        3. Be ineligible for participation in programs conducted under the authority of the Act.
  14. Principal Investigator (PI) Substitution due to Death, Resignation or Illness – (AUG 2013)   

    The SBIR solicitation, evaluation, and award process is an elaborate chain of events involving hundreds of proposals and multiple offices within EPA.  It entails the coordination of external peer review panels, the evaluation of proposals, and the ultimate determination of eligibility for award.   Consequently, this process can be quite time consuming and delays may be encountered.   Accordingly, every effort should be made by an offeror to retain the Principal Investigator (PI) initially identified in its proposal.  When circumstances occur beyond an offeror’s control, such as death, illness, or resignation of a PI, the offeror shall provide acceptable documentation that could include a letter of resignation, copy of an obituary, or a signed statement by the PI that s/he is unable to perform based on medical reasons, etc.   An offeror, upon notification that its proposal is being considered for award, will be required to agree to the alternate evaluation of the substitute PI, and will have an opportunity to submit a timely resume for a qualified substitute PI.  Note, however, that the evaluation of a substitute PI will not improve an offeror’s rating, and could actually result in an offeror’s failure to receive an award based on inadequate substitute PI qualifications.    

  15. EPA-H-42-102 UTILIZATION OF FEDCONNECT FOR CONTRACT ADMINISTRATION (MAR 2013)

    EPA will utilize the FedConnect® web portal in administering this contract. The contractor must be registered in FedConnect® and have access to the FedConnect website located at FedConnect web portal exit EPA . For assistance in registering or for other FedConnect® technical questions please call the FedConnect® Help Desk (support@fedconnect.net) at (800) 899-6665.

VI. SUBMISSION OF PROPOSALS

A. Your proposal in Portable Document Form (PDF) shall be received via FedConnect by 12:00 p.m. (noon) eastern standard time on September 11, 2014 October 9, 2014.

Notwithstanding any other provision or clause in this solicitation to the contrary, proposals shall be submitted via the FedConnect web portal exit EPA. In order to submit proposals, offerors must register in FedConnect web portal exit EPA, see main page of FedConnect website for registration instructions. For assistance in registering or for other FedConnect technical questions please contact the FedConnect Help Desk (support@fedconnect.net) at (800) 899-6665.

IMPORTANT!!!  Please note Section V, Paragraph J.9(c) concerning Late Proposals, Modifications of Proposals and Withdrawal of Proposals.

B. The proposal should be self-contained and written with the care and thoughtfulness accorded papers for publication.

VII. SUBMISSION FORMS AND CERTIFICATIONS

The attached forms, Appendix A - Proposal Cover Sheet, Appendix B - Project Summary, 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.

Appendix A

U.S. ENVIRONMENTAL PROTECTION AGENCY
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
SBIR PHASE I SOLICITATION NO. SOL-NC-14-00014

PROPOSAL COVER SHEET

PROPOSAL TITLE: _________________________________________________________________________________
FIRM NAME: _________________________________________________________________________________
ADDRESS: _________________________________________________________________________________
CITY: ____________________________________________ STATE:___________ ZIP:_______________

AMOUNT REQUESTED:$ ____________ PROPOSED DURATION (PHASE I): 6 MOS
(Not to Exceed $100,000)
******Proposals submitted in response to this solicitation will be valid for 300 days*******

RESEARCH TOPIC (check one)
____ 1. A. Industrial process pollution reductions
____ 1. B. Lab-on-a-chip sensors
____ 1. C. Nano-air filters
____ 2. A. Non-toxic electronics
____ 3. A.  Non-fluorinated surfaces or coatings
____ 3. B. Polyurethane coatings
____ 3. C. Flame retardant materials
____ 4. A. Nutrient recovery
____ 4. B. Small drinking water systems
____ 5. A. Innovative construction materials
____ 5. B. Material reuse and recycling
____ 6. A. Food Waste- resource recovery
____ 7. A. Pathogen removal from water pipes

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. The above concern certifies it is a HUBZone small business concern and meets the definition as stated in the program solicitation.*
____7. 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.)_______________
     8. Choose one of the following to describe your Organization Type:
_____Individual _____Partnership _____Corporation_____LLC
     9. Provide the following information: Tax Identification No:____________________
Dun & Bradstreet Number:__________________ Common Parent Name:_______________________
* For statistical purposes only.

ENDORSEMENTS

Principal Investigator: Corporate/Business Official:
Print Name:_________________________ Print Name:_________________________
Title:______________________________ Title:______________________________
Telephone:__________________________ Telephone:__________________________
Email:______________________________ Email:______________________________
Signature:__________________________ Signature:__________________________
Date:_______________________________ Date:_______________________________

PROPRIETARY NOTICE: 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 this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets _______; and use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.


Appendix B

U.S. ENVIRONMENTAL PROTECTION AGENCY
SMALL BUSINESS INNOVATION RESEARCH PROGRAM
SBIR PHASE I SOLICITATION NUMBER SOL-NC-14-00014
ABSTRACT
(Limit to Two Pages; Must be Publishable)

Company Name: _________________________________________________________________________________
Address: _________________________________________________________________________________
City: ____________________________________________ State:___________ ZIP:_______________
Telephone: __________________________       Fax:__________________________
Website: _________________________________________________________________________________
 
Name of Principal Investigator: _________________________________________________________________________________
Telephone: ____________________________________________________
Email: ____________________________________________________
 
RESEARCH TOPIC CODE AND TOPIC TITLE:

The abstract should address the following items:

    Project Summary: Describe the Specific Need for the Technology, What the Technology Would Do to Meet That Need, What Basic Research Was Done with What Result, What is the Application, Who are the End Users, the Size of the Potential Market, and Potential Investors and Commercial Partners (~1/2 page)

    Evidence that Successful Development and Commercialization of this Technology will Result in Widespread Environmental Benefit (~1/4 page)

    Basic Market Research that Shows There Would be Willing Buyers for the Technology if It Were Commercialized (~1/4 page)

    The Technical Concepts that Support the Feasibility of Developing the Technology (1/2 page)

    How this Technology Would Outperform Currently-Used Technologies (1/2 page)


Appendix C

SBIR PROPOSAL SUMMARY BUDGET

(See Instructions Below)

 

Organization and Address:
NAME: _________________________________________________________________________________
ADDRESS: _________________________________________________________________________________
CITY: ____________________________________________ STATE:___________ ZIP:_______________

____________________________________________________________________

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
-------------------------------------------------------
Attend one-day SBIR Kick-Off Meeting in Washington, DC

$_________

____________________________________________________________________
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. SOL-NC-14-00014 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.)

  1. Direct Labor - List individually all personnel included, the estimated hours to be expended and the rates of pay (salary, wages, and fringe benefits).

  2. 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.

  3. 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.

  4. Travel - Address the type and extent of travel and its relation to the project. Include travel expenses for a one-day SBIR Phase I Kick-Off Meeting in Washington, DC.

  5. Consultants - Indicate name, daily compensation, and estimated days of service.

  6. General and Administrative (G&A) - Same as B. above.

  7. Profit - Reasonable fee (estimated profit) will be considered under this solicitation. For guidance purposes, the amount of profit should not exceed 10% of total project costs.

If the proposed budget exceeds the maximum amount, or the amount requested in Appendix A, a detailed explanation of funding source(s) for the additional proposed costs must be provided. Additionally, an offeror that submits a budget that exceeds the maximum amount or the amount requested must affirmatively state they the offeror understands that no award will exceed the maximum amount or the amount requested. Offerors are further advised that if the proposed budget is less than the maximum award or the amount requested, an award would provide only the budgeted amount. The failure to explain additional cost proposed and/or acknowledgment that the offeror understands no award will exceed the maximum will result in the rejection of the offer.


Appendix D

FREQUENTLY ASKED QUESTIONS  (FAQs)

Q. Where can I find information about the current  SBIR Solicitation?
A. The Solicitation requirements are posted on the https://www.epa.gov/sbir website. A SBIR Fact Sheet is posted on this site which provides additional information about the program.

Q. Is our company eligible for a SBIR contract?
A. The Small Business Innovation Research (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. Only small business concern businesses are eligible to participate. A small business concern is described in full in the solicitation. For more information on eligibility and the SBIR Program in general, see www.SBIR.gov.

Q. After submitting a proposal, what is the next step?
A. Once a proposal has been submitted and considered to be responsive, it will be forwarded for External Peer Review. You may expect to receive written feedback in or around February of 2015. Proposals evaluated “Very Good” and “Excellent” will also undergo an EPA Programmatic Review, as described in the solicitation. It is anticipated that approximately 20 contract awards will be made in or around April of 2015.

Q. If a brief description/summary is provided about an offeror’s technology, could a representative from the EPA recommend the topic that best fits our technology?
A. It is the complete responsibility of the offeror to select and identify the best topic for its proposal as stated in Section I of the Solicitation.

Q. Can more than one proposal be submitted?
A. The same proposal cannot 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 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 VI for additional requirements.

Q. Can we request a copy of the Solicitation or supporting Appendices?
A. This office does not mail copies of the solicitation. However, the solicitation and appendices are available on the following website: FedConnect web portal exit EPA

Q. Do we have to have a Tax Identification number before submitting a proposal?
A. No. BUT a Tax Identification is required at time of award.

Q. How do we submit our proposal this year?
A. The EPA is now using an electronic proposal submission system, FedConnect. All companies must register in FedConnect before submitting a proposal. In addition, FedConnect requires that companies be registered with the System for Award Management (SAM).

Q. Do we need a DUNS number in order to submit a proposal?
A. Yes, firms need a DUNs number to register with the System for Award Management (SAM). All responsive firms must obtain a DUNs number and be registered with the System for Award Management (SAM) at prior to registering in FedConnect.

If you have any problems registering in SAM, contact the Federal service desk at 1-866-606-8220. Tell the representative that you need to register your company name and information (which is your name and address). Once you register, it may take 3-5 business days to become active in the system.

Q. “What is” and “Who should be” the “Endorser” in regards to the proposal?
A. The Endorser is usually the Principal Investigator or President of the Company.

Q. What is the best way to protect proprietary information contained in our proposal?
A. A Proprietary Notice is located on the bottom of Appendix A, “Proposal Cover Sheet”.

Q. Can we use a consultant or subcontractor?
A. As stated in the Solicitation, for a SBIR Phase I proposal, a minimum of two-thirds of the research and/or analytical effort, as measured by the budget, must be performed by the proposing small business concern, and the balance of one third may be outsourced to a consultant or subcontractor or a combination of the two.

Q. Can a modification or update to a proposal be issued?

A. An Offeror can submit [changes and/or updates] prior to the closing date. After the closing date, there is NO opportunity to modify or update a proposal unless the change is requested by the Contracting Officer


Appendix E

Certification (At Time of Award)

Submission of this certification is required prior to contract award:

The contractor certifies that:

  1. the principal investigator and the small business firm have not accepted funding for the same or overlapping work except as stated in the underlying proposal;
  2. all proposals describing the same or overlapping work have been withdrawn from other agencies;
  3. the primary employment of the principal investigator is with this firm at the time of the award and will continue during the conduct of the research;
  4. the contractor is a small business as defined in the EPA SBIR Solicitation under which the contractor submitted its proposal, and the principal investigator is an employee of the firm and is currently available to perform the proposed work; and
  5. the undersigned understands that willfully making a false statement to or concealing a material fact from EPA is a criminal offense (U.S. Code, title 18, Section 1001).

Authorized Company Officer:

Signature:  ______________________________________________

Date:  _______________________

Principal Investigator:

Signature:  ______________________________________________

Date:  _______________________

Company Name:  ______________________________________________

Contract No:  ______________________________________________


Appendix F

Certification (with Final Report)

Submission of this certification is required with the final report:

I certify that the Principal Investigator currently is___, is not___ “primarily employed” by the firm as defined in the SBIR solicitation.

 I certify that the work under this project has___, has not___, been submitted for funding to another Federal agency and that it has___, has not____ been funded under any other Federal grant, contract, or subcontract.

 I certify that to the best of my knowledge the work for which payment is hereby requested was performed in accordance with the award terms and conditions and that payment is due and has not been previously requested.

I certify that to the best of my knowledge, (1) the statements herein (excluding scientific hypotheses and scientific opinions) are true and complete; and (2) the text and graphics in this report as well as any accompanying publications or  other documents, unless otherwise indicated, are the original work of the signatories or individuals working under their supervision.

I understand that the willful provision of false information or concealing a material fact in this report or any other communication submitted to the EPA is a criminal offense (U.S. Code, title 18, Section 1001).

Authorized Company Officer:

Signature:  ______________________________________________

Date:  _______________________

Principal Investigator:

Signature:  ______________________________________________

Date:  _______________________

Company Name:  ______________________________________________

Contract No:  ______________________________________________