Contact Us

Grantee Research Project Results

ENVIRONMENTAL PROTECTION AGENCY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM PHASE I SOLICITATION

68HE0D18R0010

ISSUE DATE: June 13, 2018

CLOSING DATE: July 31, 2018

*CAUTION - See Section VI., Paragraph J. (j)(c)(3), Instructions to Offerors, Concerning Late Proposals and Modifications.
And Section VI., Paragraph J. (j)(d), offeror expiration date. Proposals submitted in response to this solicitation will be valid
for 300 days.

Your proposal (including all appendices) shall be submitted in Portable Document Format (PDF), and shall be received
via FedConnect by 12:00 p.m. (noon) Eastern Standard Time (EST) on July 31, 2018. Your entire proposal (including
appendices) shall be submitted through FedConnect as ONE document in PDF. Only proposals received via
FedConnect as ONE PDF by the deadline identified above will be considered for award.

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

Proposals shall be submitted via the FedConnect web portal (www.fedconnect.net). In order to submit proposals,
offerors must register in FedConnect at www.fedconnect.net, see main page of FedConnect website for registration
instructions. For assistance in registering or for other FedConnect technical questions please call the FedConnect
Help Desk at (800) 899-6665 or email at support@fedconnect.net.

IMPORTANT:

Please note Section VI., Paragraph J. j, Federal Acquisition Regulation Clause 52.215-1(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

  1. SBIR Program Description 8

    1. Purpose of EPA’s SBIR Program 8

      1. Importance of Commercialization 8

      2. Importance of Considering Life Cycle Impacts 8

      3. Two-Step Evaluation Process 8


    2. Phase I 8

    3. Performance Benchmark Requirements for Phase I Eligibility 9

    4. 2018 SBIR Phase I Research Topics 9

      1. CLEAN AND SAFE WATER 9

      2. AIR QUALITY 11

      3. LAND REVITALIZATION 11

      4. HOMELAND SECURITY 12

      5. MANUFACTURING 13

      6. SUSTAINABLE MATERIALS MANAGEMENT 13

      7. SAFER CHEMICALS 14


    5. Phase II 15
      1. Process 15
      2. Evaluation 15
      3. Phase II Technical Criteria 16
      4. Phase II Commercialization Criteria 16
      5. Phase II Internal Programmatic Relevancy Review Criteria 16

    6. Phase III 16

    7. Guidelines 16

    8. Inquiries 17

    9. Fraud, Waste, and Abuse 11


  2. Definitions 17

    1. Research or Research and Development (R/R&D) 17

    2. Funding Agreement 17

    3. Subcontract 17

    4. Small Business Concern 17

    5. Socially and Economically Disadvantaged Small Business Concern 18

    6. Socially and Economically Disadvantaged Individual 18

    7. Woman-Owned Small Business Concern 18

    8. Historically Underutilized Business Zone (HUBZone)18

    9. Primary Employment 19

    10. United States 19

    11. Commercialization 19

    12. SBIR Technical Data 19

    13. SBIR Technical Data Rights 19


  3. Certifications19

  4. Proposal Preparation Instructions and Requirements 19

    1. Proposal Page Limit and Cover Sheet 19

    2. Project Summar 20

    3. Technical and Commercial Content: Phase I Proposal 20

      1. Technical Requirements 20
      2. Commercialization Requirements 21
      3. Other Requirements 22
    4. Attachment 1: Phase I Quality Assurance (QAS) 23
    5. Attachment 2: Phase I Cost Breakdown/Proposed Budget 24
    6. Attachment 3: Representations and Certifications 24
       
  5. Method of Selection and Evaluation Criteria 24
      1. External Peer Review 25
      2. Phase I Evaluation Criteria 25
        1. Phase I Technical Criteria 25
      3. EPA Programmatic Relevancy Review 26
        1. Phase I Internal Programmatic Relevancy Review Criteria 26
      4. Release of Proposal Review Information 29
      5. Company Registry Requirements 29
  6. Considerations 26
      1. Awards 26
      2. Phase I Contract Reporting Requirements 27
      3. Payment Schedule 27
      4. Innovations, Inventions, and Patents 27
      5. Cost Sharing 29
      6. Profit or Fee 29
      7. Joint Ventures or Limited Partnership 29
      8. Research and Analytical Work 29
      9. Contractor Commitments 30
      10. Additional Information 30
  7. Submission of Proposals 44
  8. Scientific and Technical Information Sources 44
  9. Submission Forms and Certifications 45

Appendix 1 – Proposal Cover Sheet 46

Appendix 2 – Project Summary 48

Appendix 3 – SBIR Proposal Summary Budget 50

Appendix 5 – Frequently Asked Questions (FAQs) 62

Appendix 6 – Commercialization History 64

PHASE I SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH

  1. SBIR PROGRAM DESCRIPTION

    Phase II Commercialization Criteria

    Phase II Internal Programmatic Relevancy Review Criteria

    1. 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 one way it can directly award R&D funding to small businesses. The goal of EPA’s SBIR Program is to
      support commercialization of innovative technologies the help support EPA’s mission of protecting human health and the
      environment. 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. The objective of Phase
      III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D
      activities. The SBIR program does not fund Phase III.

      1. Importance of Commercialization

        For EPA, success of its SBIR program 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, EPA will consider commercialization
        potential to be as important as technical potential, and it will evaluate proposals accordingly (see evaluation criteria in
        section V).

        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. An offeror is encouraged to conduct market research before submitting their proposal to this
        solicitation to demonstrate that there is a viable market opportunity.

        EPA also requires the offeror to provide commercialization history information if they have received one or more SBIR
        Phase II awards from any agency. A template is provided for the history in Appendix 6. This information is incorporated
        into the solicitation as part of the evaluation criteria in section V.B.

      2. Importance of Considering Life Cycle Impacts

        In order to support the Agency’s mission of protecting human health and the environment, the lifecycle environmental
        impacts of the technology, including (if applicable) minimizing resource use, minimizing toxicity of materials, efficient use
        of water and energy, minimizing pollution, and minimizing the impacts of disposal should be considered. A formal Life
        Cycle Analysis (LCA) is not required.

      3. Two-Step Evaluation Process

        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 and the evaluation criteria that will be used in each
        stage are described later in the solicitation.


    2. Phase I

      The EPA anticipates making approximately seventeen (17) Phase I awards, each in the amount up to $100,000 and not to
      exceed a six (6) month term of performance. It is anticipated that these contracts will be awarded with a contract start date
      of May 01, 2019 The Phase I effort is for “proof of concept” of the proposed technology. All companies that successfully
      complete Phase I are eligible to compete for Phase II which is to further develop and commercialize the technology.

    3. Performance Benchmark Requirements for Phase I Eligibility

      Companies with multiple SBIR/STTR awards must meet minimum performance requirements to be eligible to apply for a
      new Phase I or Direct-to-Phase II award. The purpose of these requirements is to ensure that Phase I applicants that have
      won multiple prior SBIR/STTR awards are making progress towards commercializing the work done under those
      awards. The Phase I to Phase II Transition Rate addresses the extent to which an awardee progresses a project from Phase
      I to Phase II. The Commercialization Benchmark addresses the extent to which an awardee has moved past Phase II work
      towards commercialization. All offerors for an SBIR or STTR award must be registered on www.SBIR.gov. Offerors should
      be sure to update their information on the Company Registry at least once per year. To open or update an SBIR/STTR
      Company Registry account, go to www.sbir.gov/user and register as a Small Business User. After the registration is
      complete, the SBA will issue your company a unique SBC Control ID and .pdf file to be attached to this application.

      All offerors for an SBIR or STTR award must be registered on www.SBIR.gov. Offerors should be sure to update their information on the Company Registry at least once per year. To open or update an SBIR/STTR Company Registry account, go to www.sbir.gov/user and register as a Small Business User. After the registration is complete, the SBA will issue your company a unique Small Business Concern (SBC) Control ID and .pdf file to be attached to this application.

      Descriptions of these rates, and consequences of failure to meet this rates can be found on SBA’s website at:
      https://www.sbir.gov/performance-benchmarks.

    4. 2016 SBIR Phase I Research Topics

      Given EPA’s broad mission of protecting human health and the environment, it faces a broad range of problems that need
      solution and for which innovative technologies could help provide solutions. Each year EPA’s SBIR program selects from
      this broad range of problems a number of specific topics to include in its Phase I solicitation. The highest priority needs are
      identified and then the topics are written to address those needs. Many of the topics address more than one need – e.g., water
      and homeland security. Agency strategy documents, multi-year plans, peer-reviewed research needs assessment and other
      materials are used in identifying the highest needs and in crafting the topics.

      For this solicitation, the EPA’s needs are being expressed through a variety of very specific topics. Offerors must directly
      address and select just one of the specific topics described below.

      The topics for this solicitation are:

      Chemicals can be found in many of the products we use in our everyday lives. Some chemicals pose risks to humans and
      the environment. Under the Toxic Substances Control Act (TSCA) and the Pollution Prevention Act, EPA evaluates
      potential risks from new and existing chemicals and finds ways to prevent or reduce pollution before it gets into the
      environment. https://www.epa.gov/environmental-topics/chemicals-and-toxics-topics

      Commercial and Consumer Paint and Coating Removal Products

      Paint and coating removal products that contain methylene chloride and N-methylpyrrolidone (NMP) are widely available
      in retail stores for consumers and workers. There are health risks to workers and consumers who use methylene chloride and N-methylpyrrolidone-containing products, and to bystanders in workplaces and residences where methylene chloride
      and NMP are used. For methylene chloride, effects of short-term (acute) exposures to workers and consumers, including
      bystanders, can result in harm to the central nervous system, or neurotoxicity, which can lead to sensory impairment,
      dizziness, incapacitation, loss of consciousness, heart failure, and death. Effects of longer periods of exposure (chronic)
      for workers includes liver toxicity, liver cancer, and lung cancer. For NMP, EPA identified risks to pregnant women and
      women of childbearing age, who have high exposure to NMP through paint or coating removal. For these reasons, EPA
      is interested in the following topic:

      Topic 7A: Novel, safer paint and coating removal products. New products that work quickly (ASTM Designation
      D6189-97 (Reapproved 2014) Standard) on a variety of coatings including latex, epoxy and lacquer, without causing
      damage to wood, metal, and synthetic substrates. The lifecycle of these removal products should be considered so that
      they do not introduce new environmental issues.

      1. CLEAN AND SAFE 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” (EPA 820-R-14-006). These papers identify 10 market opportunities for technology innovation. The following
        topics are in the general areas of wastewater treatment, water and wastewater monitoring, and water infrastructure and
        address these opportunities.

        Contaminants of emerging concern present a challenge to the protection of water resources because their impacts are not
        fully understood. EPA is looking for innovative technology to address emerging concerns such as antibiotic resistant
        bacteria as well as contaminants such as per- and polyfluoroalkyl substances and microplastics.

        Antibiotic Resistan Bacteria

        Antibiotic resistant bacteria (ARB) are microbes that can resist the effects of an antibiotic to which they were once
        sensitive. Each year in the United States, at least 2 million people become infected with bacteria that are resistant to
        antibiotics and at least 23,000 people die each year as a direct result of these infections. The occurrence of ABR in
        wastewater is a potential concern because the conditions in a wastewater plant may increase the risk of ABR being
        released into the environment and then back to humans. EPA is looking for innovative technologies to both detect and
        reduce antibiotic resistance in wastewater to protect human health.

        Topic 1A: Innovative technologies for the rapid detection and treatment of antibiotic resistant bacteria in
        wastewater        . Technologies should be low cost and able to be employed onsite at a wastewater treatment plant. Detection
        technologies should be rapid (ideally real time, but no more than 24 hours) and identify the antibiotic being resisted and
        type of bacteria that exhibit resistance.

        PFAS

        Per- and polyfluoroalkyl substances (PFAS) are a large family of man-made, globally-distributed chemicals. They include
        perfluorooctanoic acid (PFOA) and perfluorooctane sulfonate (PFOS). PFAS have been widely used in consumer products
        such as non-stick cookware, carpets and carpet treatment products, food packaging, aqueous firefighting foams, metal
        plating operations and in the defense, aerospace, automotive, construction, and electronics industries.

        Once released into the environment, some PFAS are not easily broken down when exposed to air, water, or sunlight.
        Thus, people can be exposed to PFAS that were manufactured months or years in the past. PFAS can travel long distances
        in the air and water with the result that people may be exposed to PFAS many miles from their point of release. Human
        exposure can also occur through contact with products containing PFAS.

        Water resources (i.e., surface water and groundwater) are susceptible to contamination by PFAS release from
        manufacturing sites, industrial use, aircraft fire and emergency response training areas, and industrial or municipal waste
        sites where products are disposed of or applied.

        To provide Americans with a margin of protection from a lifetime of exposure to PFOA and PFOS from drinking water,
        EPA has established the health advisory levels at 70 parts per trillion (ppt) for combined
        PFOA/PFOS. https://www.epa.gov/ground-water-and-drinking-water/drinking-water-health-advisories-pfoa-and-pfos.
        For these reasons, EPA is looking for both detection and treatment technologies for PFAS as described here.

        Topic 1B: Novel technologies for the rapid detection of total PFAS in water. Technologies should be field ready and
        should be able to detect PFAS in drinking water, groundwater, surface water and/or wastewater. Ideally, sensor
        technologies could detect PFAS at the health advisory level of 70 ppt or less.

        PFAS may be used by industry in manufacturing processes and/or manufactured directly and therefore may be present in
        wastewater. In addition, PFAS chemicals may also be present in landfill leachate. In order to protect water quality, new,
        cost effective technologies are needed that can pretreat industrial wastewaters or landfill leachate prior to discharge to a
        wastewater treatment plant.

        Topic 1C: Innovative pretreatment technologies for PFAS in industrial wastewater. Technologies should be able to
        be used at industry or landfill sites prior to itbeing sent for municipal treatment, disposal or discharge. Wastewater could
        be collected over time onsite and treated prior to release to a wastewater treatment plant. The technology should
        consistently reduce the combined PFAS concentration to below 70 ppt and be compatible with other treatment processes,
        be affordable, and be easily used and maintained.

        Microplastics

        Microplastics or plastic fragments (broadly defined as plastic particles less than 5mm in diameter) originate from a variety
        of sources either from degradation and fragmentation of larger plastics or by direct release into the environment.
        https://www.epa.gov/trash-free-waters/epa-reports. Microplastics pose a significant risk to human health as they may be
        directly consumed from drinking water or ingested in fish and other marine life which accumulate these fragments. As
        the production of plastics continues to grow, EPA is looking for innovative technologies to efficiently detect and quantify
        microplastics in multiple media.

        Topic 1D: Novel sampling devices for microplastics. Novel devices to collect and quantify microplastics in surface,
        drinking water, sludges/biosolids and discharges from wastewater treatment systems. Parameters that need characterizing
        include microplastics’ size, shape and chemical composition. This could include devices that measure microplastics
        produced from consumer product use and wear, agricultural practices, and waste management processes.

        Water Infrastructure

        According to ASCE, there are an estimated 240,000 water main breaks in the U.S. each year. Water delivery systems
        need to be both expanded and maintained to meet existing demand. (https://www.infrastructurereportcard.org/catitem/
        drinking-water/). Replacement of aging water infrastructure is costly, time intensive and disruptive to public water
        use. Renewal of pipes can be accomplished not only through replacement but also through repair and rehabilitation.
        Rehabilitation methods include internal coatings, sealants and linings which extend the operational life and restore much
        or all of the pipes hydraulic capacity and improve water quality. Other rehabilitation methods restore structural
        functionality. As a result, EPA is interested in the following topic.

        Topic 1E: Novel technologies for the rehabilitation of water infrastructure. Innovative technologies that can be used
        to repair and rehabilitate aging infrastructure as an alternative to traditional pipe replacement. Technologies should be
        non-toxic, easy to apply as retro-fits, applicable to any size pipe, long-lasting, and cost efficient.

      2. AIR QUALITY

        Wildland fires

        Wildland fires produce a significant amount of air pollution which is an immediate concern for the health of residents and
        emergency managers. Contaminants of concern include particulate matter, carbon monoxide, nitrogen dioxide, and carbon
        dioxide. Transportable, easy-to-use, new technologies, including miniaturized direct-reading sensors, compact/powerful
        microprocessors, and wireless data communications offer opportunities to develop new systems to quickly gather and
        communicate air pollution data to help public health officials make rapid decisions. (https://www.epa.gov/airresearch/
        wildland-fire-research-protect-health-and-environment).

        Federal, state, local, and tribal agencies are interested in new ways to monitor air quality during fire events to better
        protect public health. Air quality managers and public health officials have limited access to accurate information on
        ground-level air pollution levels in the vicinity of wildland fires, making it difficult to provide appropriate strategies to
        minimize smoke exposure. In addition, most air pollution monitoring equipment is large, not easily transportable, and
        complex to operate.

        Wild fires produce significant air pollution, posing health risks to first responders, residents in nearby areas, and
        downwind communities. Also, wild fires are increasing in size and intensity, and the fire season is growing
        longer. Prescribed fires, which are used to manage ecosystems or reduce risk of wild fires, are typically managed to
        minimize downwind impacts on populated areas; however, people in close proximity may still be exposed to smoke. The
        description “wildland fires” refers to both wild and prescribed fires.

        As a result, EPA is interested in the following topic:

        Topic 2A: Innovative measurement tools for ground level air pollution levels from wildland fires. Technologies
        should be capable of measuring air pollutants, including particulates, carbon monoxide, nitrogen dioxide, and carbon
        dioxide, over the wide range of levels expected in areas downwind of wildland fires. The system should be accurate, lightweight,
        easy to operate, and capable of on-device data storage with an interface for data viewing. Also, the system should
        include a wireless data transmission process that is robust for a variety of environments, including remote areas that may
        lack in cellular service.

      3. LAND REVITALIZATION

        EPA administers Superfund, the federal government's program to clean up the nation's uncontrolled contaminated waste
        sites.

        Remediation of PFAS-Contaminated Soil, Sediment, Water and Groundwater

        Per- and polyfluoroalkyl substances (together, PFAS) are a class of man-made chemicals not found naturally in the
        environment. Perfluorooctanoate (PFOA) and perfluorooctane sulfonate (PFOS) have been the most extensively produced
        and studied of these chemicals. Both chemicals are very persistent in the environment and in the human body. To provide
        Americans, including the most sensitive populations, with a margin of protection from a lifetime of exposure to PFOA
        and PFOS from drinking water, EPA has established the health advisory levels at 70 parts per trillion.
        (https://www.epa.gov/pfas/basic-information-about-and-polyfluoroalkyl-substances-pfass#tab-1)

        PFAS have been used to provide water, oil and stain repellency to textiles, carpets and leather; to create greaseproof and
        water-proof coatings for paper plates and food packaging; and to aid processing in fluoropolymer manufacturing among
        many other commercial and consumer applications. They also have been used in chrome plating, firefighting foams, liquid
        carpet and textile care treatments, and floor waxes and sealants.

        The immediate focus has been to protect public health from PFAS contamination entering public water systems or
        underground sources of drinking water. However, the long-term source of groundwater contamination is thought to be
        from PFAS contaminated soils and possibly sediments. To date, drinking water methods have been used to analyze
        samples. Drinking water and contaminated groundwater have been treated principally using granular activated carbon, and
        soil contamination has been removed via excavation. EPA would like to improve and advance processes, technologies,
        and treatment systems for the sampling, analysis and cleanup of PFAS in soil, sediment and groundwater.

        Topic 3A: Innovative technologies that can sample, detect, analyze, remove or destroy PFAS in and from soil,
        sediment, water and groundwater        . The technologies should be widely applicable—i.e., able to address various
        combinations of PFAS present; various soil types and other matrices to be remediated; and other types of contaminants
        present. The technology should be effective, easy to use and maintain, and affordable. Applications can be either ex situ
        (analyzing or treating excavated or extracted media or waste above ground) or in situ (analyzing or treating in place). For
        sampling and analysis, technologies can either detect contamination for the purpose of identifying the presence of and
        delineating the extent of PFAS, or produce data to support various decisions at sites where PFAS is present. For cleanup,
        the technologies can address contamination by reducing its toxicity, mobility, or volume by removing, destroying, or
        immobilizing PFASs and co-occurring contaminants from the target media. Procedures to measure remediation
        performance are also a critical element. The overall life cycle should be addressed for any proposed treatment technology
        to ensure removal of contamination from one location or media does not merely transfer the contamination to a different
        location or media where it may still present a risk to human health or the environment.

      4. HOMELAND SECURITY

        EPA has been designated as the lead homeland security agency for water and is responsible for protecting water systems
        (https://www.epa.gov/waterresilience). Monitoring technologies are essential for the security and resiliency of drinking
        water and stormwater systems.

        To achieve this goal EPA is interested in:

        Topic 4A: Novel water distribution and stormwater system sensors. Small, inexpensive, on line or real time sensors
        that could be widely deployed in water distribution and stormwater systems via water meters, hydrants, water fountains,
        faucets, etc, and that can provide real time water quality and hydraulic data for such parameters as chlorine residual, total
        organic carbon (TOC), flow and pressure as well as pH, conductivity, and/or turbidity. Data from the sensors could be
        used with existing event detection algorithms to detect changes or trends in water quality that might indicate an issue
        within a water system. In stormwater systems, they could be used to detect street level flooding and predict contaminant
        transport. Ideally sensors would be reagentless and would be capable of wireless data transmission for use by the
        municipality or other end user.

      5. MANUFACTURING

        Reduction of Toxic Chemicals in Food Processing
        Pollution prevention (P2) is any practice that reduc        es, eliminates, or prevents pollution at its source. P2, also known as
        "source reduction," is the ounce-of-prevention approach to waste management. Reducing the amount of pollution produced
        means less waste to control, treat, or dispose of. Less pollution means less hazards posed to public health and the
        environment. EPA’s P2 program has three National Emphasis Areas (NEA), and one of the three is an emphasis on P2 in
        Food and Beverage Manufacturing and Processing. (https://www.epa.gov/p2/p2-national-emphasis-areas-neas).

        The U.S. food manufacturing industry is an important economic sector and includes such subsectors as Grain/Oilseed
        Milling, Dairy Products and Meats Processing. According to the EPA’s Toxics Release Inventory (TRI), food
        manufacturing facilities released 124 million pounds of toxic chemicals to the environment during 2015. Release of
        chemicals such as nitric acid, acetaldehyde and chromium present potential human health risks.
        (https://www.epa.gov/toxics-release-inventory-tri-program/tri-p2-industry-profile).

        For these reasons, EPA is interested in:

        Topic 5A: Technologies for the reduction of toxic chemicals in food processing. Innovative technologies to support a
        more sustainable food and beverage industry and minimize release of toxic chemicals to the environment. Technologies
        may include safer substitutes to TRI-listed chemicals and/or process optimization for steps like clean-in-place. Proposed
        technologies should also consider the other environmental impacts of food processing including water and energy use.

      6. SUSTAINABLE MATERIALS MANAGEMENT

        Sustainable materials management (SMM) is a systemic approach to using and reusing materials more productively over
        their entire life cycles. (https://www.epa.gov/smm) It represents a change in how our society thinks about the use of
        natural resources and environmental protection. By looking at a product's entire life cycle, new opportunities exist to
        reduce environmental impacts, conserve resources and reduce costs.

        Construction and demolition (C&D) materials are generated when new building and civil-engineering structures are built
        and when existing buildings and civil-engineering structures are renovated or demolished. Because C&D materials
        constitute a significant waste stream – 534 million tons of C&D debris were generated in the United States, in 2014 -
        increasing the diversion of C&D materials, through recycling and reuse, is identified as an area of need in EPA’s SMM
        Program Strategic Plan. EPA’s role in increasing the diversion of C&D materials is to help address the barriers that
        prevent greater recycling and reuse of C&D materials.

        EPA SMM Program Strategic Plan https://www.epa.gov/smm/epa-sustainable-materials-management-program-strategic-plan-fiscal-years-2017-2022:

        EPA Sustainable Management of C&D Materials https://www.epa.gov/smm/sustainable-management-construction-anddemolition-materials

        Detecting harmful constituents in C&D materials

        Due to lack of technologies to quickly identify occasionally-present, harmful constituents (e.g. hazardous or toxic) in
        C&D materials, C&D-materials recyclers often dispose of potentially usable materials as a matter of precaution. Some
        visual identification methods for select harmful materials exist; for example, wood treated with chromated copper arsenate
        (CCA) is green, but, color cannot be used for quick identification in case of many other wood preservatives or other harmful constituents. Moreover, the viability of a recycling business is contingent on the material throughput, and
        methods of identification must be quick and efficient to prevent limitations on the quantities of materials recycled.

        Therefore, EPA is looking for:

        Topic 6A: Novel technologies to identify harmful materials in C&D materials. Technologies to quickly identify
        potentially harmful constituents that can efficiently be operated prior to deconstruction or in C&D recycling facilities to
        increase C&D materials recycling. Technologies should be inexpensive and operate quickly so as not to slow down the
        recycling process and negatively impact material throughput.

        Building Deconstruction

        Deconstruction is a systematic disassembly process that facilitates material separation and maximizes the market value of
        recovered materials. This disassembly process minimizes damage to the generated materials and increases their potential
        for salvage and reuse. Deconstruction can conserve resources, including finite, old-growth forest resources, divert
        demolition debris from disposal, advance the highest and best end-of-life uses of building materials and create job training
        and green job opportunities. For more information, see: http://www.lifecyclebuilding.org/index.php

        Further, buildings are not typically designed to be deconstructed and can be difficult to take apart without destroying
        building components and decreasing their resale value. There are two points in a building’s life cycle where the use of
        new technologies could increase the adoption of deconstruction 1) at the design/construction stage or 2) at end-of-life. For
        these reasons, EPA is looking for:

        Topic 6B: Novel technologies to aid building deconstruction. New design or construction technologies early in the
        building project to make it easier to deconstruct the building at a later time; or new disassembly technologies applied at
        end-of-life to concurrently facilitate deconstruction or improve the deconstruction process.

        Improved Recyclability of Composite Materials

        The limited recyclability of some building materials constrains the overall end-of-life recycling rate of the C&D-materials
        stream. Buildings use numerous types of composite materials in their construction (e.g. polyurethane-based composite
        panels and lumber products). Capabilities to process these types of materials for recycling markets are limited. Increasing
        the recyclability of composites for use in viable end-use markets has the potential to decrease the overall disposal rate for
        C&D materials.

        Topic 6C: Recyclable Composite Building Materials. Novel composite materials that have similar applications and
        advantages as current composite building materials, such as durability, light weight, corrosion resistance, high strength,
        low maintenance and recycled-content, but are easier to recycle. In addition, the toxicity characteristics of these novel
        materials, including the concentrations of constituents of potential concern and the potential for the release of these
        constituents during use, should be the same or improved over the toxicity characteristics of analogous consumer products
        made of virgin materials. (Analogous products are the consumer materials commonly used in the same applications in
        which these novel, recycled-content materials would be used.)

      7. SAFER CHEMICALS

    5. Phase II

      (THIS SOLICITATION IS FOR PHASE I PROPOSALS ONLY)

      Process

      Upon completion of their Phase I project, Phase I awardees are eligible to submit for follow-on Phase II funding. Phase II offerors should have made significant progress in their commercialization planning and implementation during their Phase I project.

      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 commercialize 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; therefore, Phase II projects should work to establish strategic partners necessary to commercialize their technology.

      The EPA anticipates making approximately five (5) 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 of $100,000 or more for the commercialization of their technology. To implement this, the Agency requires a “Commercialization Option” under which Phase II offerors shall submit a proposal for up to $100,000 of additional EPA funding.

      The small business concern shall document the receipt of these latter funds from one or more third-party investors, such as a venture capital firm, an individual “angel” investor1, 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 commercialization option, will be evaluated together.

      The EPA anticipates issuing the follow-on Phase II Solicitation on or about October 2019, with proposals due on/about November 2019..

      Evaluation

      For Phase II, the EPA will 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.

      Phase II Technical Criteria

      1. Innovation – Degree to which the proposed technology is innovative and solves the environmental issue stated in the topic.
      2. Technical Approach – Degree to which proposal presents a sound approach to proving the technical feasibility
        of the proposed concept and how to assess success; and adequacy of Quality Assurance Statement.
      3. Technical Challenges – Degree to which proposal addresses technical challenges, including cost, competition,
        competitive advantage, and a lifecycle approach to solving the problem.
      1. Market Opportunity - Degree to which proposed technology addresses a significant market opportunity.
      2. Company/Team – Degree to which proposing company/team (including Principle Investigator (PI)) have the essential elements, including expertise and experience that would lead to successful commercialization.
      3. Commercialization Approach – Degree to which proposal presents a convincing commercialization approach/business model that can successfully take the technology to market.

      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.

        Stage two is the programmatic or relevancy review which will be conducted by EPA representatives using the criteria below.
      4.  
      5. Phase II Internal Programmatic Relevancy 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.

        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.

    The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR program does not fund Phase III.

    1. Guidelines

      Each offeror submitting a Phase I 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 offeror and a second 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 Contracting Officer via the FedConnect web portal (www.fedconnect.net). Failure to do so may jeopardize
      award. Also, for Phase I, the research or R&D work must be performed in the United States. (For the definition of the
      “United States”, see Section II. J.)

    2. Inquiries

      All inquiries concerning this solicitation shall be referred to the EPA Contracting Officer:

      Adrianne Wells, via the FedConnect web portal (www.fedconnect.net).

    3. 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

  2. DEFINITIONS

    For purposes of this solicitation, the following definitions apply:

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

      Any Activity that is:

      1. A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

      2. A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

      3. A systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.


    2. Funding Agreement

      Any contract, grant, or cooperative agreement entered into between any Federal Agency and any small business concern for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

    3. Subcontract

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

    4. Small Business Concern

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

      1. Is registered in System for Award (SAM) under North American Industry Classification System (NAICS) code
        541715.
      2. Is organized for profit, with a place of business located in the United States;
      3. 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
      4. Has no more than 500 employees, including affiliates;
      5. 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. Socially and Economically Disadvantaged Small Business Concern

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

    6. Socially and Economically Disadvantaged Individual

      A member of any of the following groups:

      1. Black Americans;

      2. Hispanic Americans;

      3. Native Americans (American Indians, Eskimos, Aleuts, or Native Hawaiians);

      4. Asian-Pacific Americans (persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China (including Hong Kong), Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Fiji, Tonga, Kiribati, Tuvalu, or Nauru);

      5. Subcontinent Asian Americans (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal); and

      6. Other groups designated from time to time by SBA pursuant to Section 124.103(d) of the 13 CFR Ch.1 (1- 1-02 Edition).


    7. Woman-Owned Small Business Concern

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

    8. Historically Underutilized Business Zone (HUBZone)

      A small business concern meeting the following requirements:

      1. 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.


    9. Primary Employment

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

    10. United States

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

    11. Commercialization

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

    12. SBIR Technical Data

      All data generated during the performance of a SBIR award.

    13. SBIR Technical Data Rights

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

  3. CERTIFICATIONS

    The Section K Representations and Certifications are located in Appendix 4. Refer to IV., Proposal Preparation Instructions
    and Requirements, Section F. Attachment 3: Representations and Certifications for instructions on proposal preparation.

    Please Note: Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity Firms. For this EPA SBIR FY 2018 solicitation, the EPA’s SBIR Program will not accept proposals from or make awards to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms. Small business concerns with such ownership will not be considered for award under this solicitation.

  4. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

    1. Proposal Page Limit and Cover Sheet

      Proposals shall be submitted in Portable Document Form (PDF) in response to this Phase I solicitation. Proposals shall not
      exceed a total of 25 pages, one side only. Exceptions being the requirements set forth in Section IV. C.“Company SBIR
      Commercialization History” by submitting Appendix 6 and the one-page print out showing the company has registered in
      the SBA company registry (described in Section V. E). 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 in x 11 in; 21.6 cm x 27.9 cm) with 2.5 cm margins and type no smaller than 10-point font size. All pages shall be
      consecutively numbered. Any additional attachments, appendices, or references beyond the 25-page limitation (unless
      specifically requested in this solicitation) 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.

      Proposals in excess of the 25 page limitation shall not be considered for review or award. Your entire proposal (including appendices) shall be submitted through FedConnect as ONE document in PDF. Only proposals received via FedConnect as ONE PDF by the deadline identified above will be considered for award.

      The offeror shall complete the Proposal Cover Sheet (Appendix 1) of this solicitation which has the relevant solicitation number and applicable research topic code and corresponding topic title and use it 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 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 1 may print on no more than two pages, but Appendix 1 will only count as one page. If Appendix 1 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 signatures of the principal investigator and the corporate/business official authorized to sign the proposal. The total costs requested on Appendix 1 (Proposal Cover Sheet) must match the total costs proposed on Appendix 3 (SBIR Proposal Summary Budget). The amount must not exceed $100,000 on Appendix 1 and 3. If your firm intends to incur any additional costs beyond the budget limit of $100,000, please provide a statement indicating that your firm will be responsible for any additional cost beyond the budget limits.

      Offerors should prepare their technical proposal as succinctly as possible. Quality of information is more important than quantity. Elaborate brochures or other presentations beyond those which are sufficient to present a complete and effective proposal are neither necessary nor desired and will not be read. Clarity, brevity and logical organization should be emphasized during proposal preparation.

    2. Project Summary

      Each proposal must include a Project Summary which will be an important document for all stages of the review process. The offeror shall complete the Project Summary form (Appendix 2) and use it as page 2 of their proposal.

      Offerors shall properly enter their Phase I Research Topic Code and Topic Title on both their Proposal Cover Sheet (Appendix 1) and Project Summary (Appendix 2).

      The Project Summary shall be limited to one page and not to exceed 200 words. The Project Summary shall include the following information (must be publishable, i.e., not proprietary): The specific need for the technology, what the technology would do to meet that need, technical feasibility, application(s), end users, evidence of willing buyers, size of the potential market, performance compared to current technologies and potential for environmental benefits.

      In summarizing anticipated results, the implications of the approach and the potential commercial applications of the research shall be stated. THE PROJECT SUMMARY IS USED EXTENSIVELY DURING THE EXTERNAL PEER REVIEW AND INTERNAL PROGRAMMATIC REVIEW. The project summary and

      proposal title from Appendix 2 of the successful proposals will be published by EPA and, therefore, shall not contain proprietary information. No changes shall be allowed.

      When downloading the solicitation from the Internet, Appendix 2 may print on no more than two pages, but Appendix 2 will only count as one page. Offerors may reformat the forms to correct spacing and pagination errors; however, identical information shall be provided. If Appendix 2 exceeds two pages, any additional pages will count toward the 25-page limitation.

    3. Technical and Commercial Content: Phase I Proposal

      The Phase I technical proposal requirement is described in this section. Begin the main body of the Phase I technical proposal on page 3, after the proposal cover sheet and project summary. Note that there are FOUR attachments required as part of the complete Phase I proposal as follows:

      Attachment 1: Commercialization Plan (See Section D);

      Attachment 2: Phase I Quality Assurance Statement (See Section E);

      Attachment 3: Cost Breakdown/Proposed Budget (See Section F);

      Attachment 4: Representations and Certifications (See Section G).

      The main body of the technical proposal shall contain sections that, at a minimum, respond to each of the following nine (9) requirements:

      (a) Describe the innovation in sufficient technical depth for a knowledgeable reviewer to understand why it is innovative and how it could benefit the target customers 21

      (b) Describe the technology’s current stage of development—bench/pilot/field—and what must be done to reach the next stage

      (c) Describe the demonstrations you will carry out to help move the technology to the next stage—including scale, facilities, partners, other resource needs and availability, etc.

      (d) Describe the key technical challenges for bringing the technology to market and how you will overcome them

      (e) Describe the current and planned intellectual property associated with this project and how you plan to protect it

      1. The Innovation

      2. Technical Approach

        (a) What questions must be answered to determine the technical feasibility of the proposed concept?

        (b) What are the key objectives you plan to accomplish during Phase I to answer those questions?

        (c) Describe the technical milestones you plan to meet to achieve each objective

        (d) Provide a visual timeline projecting the planned achievement of these objectives and milestones during the project

      3. Technical Challenges

      (a) Describe the key performance characte

Top of Page

The perspectives, information and conclusions conveyed in research project abstracts, progress reports, final reports, journal abstracts and journal publications convey the viewpoints of the principal investigator and may not represent the views and policies of ORD and EPA. Conclusions drawn by the principal investigators have not been reviewed by the Agency.

Site Navigation

Related Information

Contact Us to ask a question, provide feedback, or report a problem.
Last updated April 28, 2023