ENVIRONMENTAL PROTECTION AGENCY

 Program Solicitation

RFP# No. PR-NC-99-13350

SMALL BUSINESS INNOVATION RESEARCH

PHASE I

FISCAL YEAR 2000

ISSUE DATE: August 13, 1999

CLOSING DATE: October 13, 1999 *

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

and Modifications.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Table of Contents

Page

I. Program Description ...................................................................................................................................3

II. Definitions .....................................................................................................................................................5

III. Proposal Preparation Instructions and Requirements ..........................................................................6

IV. Method of Selection and Evaluation Criteria .........................................................................................9

V. Considerations........................................................................................................................................... 10

VI. Submission of Proposals .......................................................................................................................... 17

VII. Scientific and Technical Information Sources ...................................................................................... 17

VIII. Research Topics ........................................................................................................................................ 17

A. Pollution Prevention and Clean Technologies .................................................................................. 18

B. Prevention, Control and Monitoring of Mobile Source Emissions ................................................. 20

C. Prevention and Control of Indoor Air Pollution ............................................................................... 22

D. Prevention/Control of NOx, VOC’s, SO2

, Particulates, Toxic Air Emissions ................................. 22

E. Drinking Water Treatment................................................................................................................... 23

F. Municipal Wastewater Treatment, Septage and Biosolids Management ........................................ 24

G. Industrial Wastewater Treatment, Mining and Feedlots ................................................................... 24

H. Stormwater Management and Wet Weather Control ........................................................................ 25

I. Rehabilitation of Urban Infrastructure ............................................................................................... 26

J. Recycling of Municipal Solid Waste .................................................................................................. 26

K. Prevention, Recycling, Treatment, and Disposal of Hazardous and Non-Hazardous

Solid Wastes and Sediments ............................................................................................................... 27

L. Remediation of Organically Contaminated Soil, Sediments and Ground Water ........................... 28

M. Treatment or Removal of Heavy Metals at Contaminated Sites ...................................................... 28

N. Monitoring and Measurement Technologies for Hazardous Waste Sites ....................................... 29

O. Advanced Monitoring and Analytical Technologies........................................................................ 31

P. New Technologies and Alternatives for Ozone Depleting Compounds......................................... 33

Q. Global Climate Change: Prevention/Control of Greenhouse Gas Emissions ................................ 34

R. Reduction of Environmental and Human Health Risks from Pesticides Use ................................ 34

IX. Submission Forms and Certifications .................................................................................................... 36

APPENDIXES

APPENDIX A - Proposal Cover Sheet ............................................................................................................ 37

APPENDIX B - Project Summary ................................................................................................................... 38

APPENDIX C - SBIR Proposal Summary Budget ........................................................................................ 39

APPENDIX D - Scientific and Technical Information Sources ................................................................... 41

APPENDIX E - Commercialization Factsheet ............................................................................................... 43
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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EPA Small Business

Innovation Research

Phase I

Solicitation No. PR-NC-99-13350

ISSUE DATE: August 13, 1999

CLOSING DATE: October 13, 1999 *

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

Modifications.

I. PROGRAM DESCRIPTION

A. The Environmental Protection Agency (EPA)

invites small business firms to submit research proposals

under this program solicitation entitled “Small Business

Innovation Research (SBIR) Program.” The SBIR program

is a phased process uniform throughout the Federal Government of soliciting proposals and awarding funding

agreements for research (R) or research and development

(R&D) to meet stated agency needs or missions.

B. EPA is interested in research on advanced concepts in scientific and engineering areas, particularly where

the research may serve as a base for technological innovation. The proposed research must address a single research

topic of the solicitation or an important segment of a research topic. Only proposals addressing a single research

topic, and so indicated on the cover sheet, will be reviewed. Multiple proposals from the same offeror addressing different topics are acceptable if they are not duplicates

of the same research principle modified to fit the topics. If

such duplicates are submitted, only one will be reviewed.

Refer to Sections III, IV, and VIII for additional requirements.

The proposed research must directly pertain to EPA’s

environmental mission and must be responsive to EPA

program interests included in the topic descriptions of this

solicitation. The Agency’s SBIR program is concerned with

pollution prevention, air and water pollution control, solid

and hazardous waste management, environmental monitoring and analytical technologies. In order to facilitate proposal reviews by external peer reviewers with specialized

expertise and by EPA technical personnel with focused

program needs and priorities, offerors must designate a

research topic, and only one topic, for their proposal. The

same proposal may not be submitted under more than one

topic, but an organization may submit separate proposals

on different topics or different proposals on the same topic.

Where similar research is discussed under more than one

topic, the offeror should choose the topic most relevant to

the proposed research. It is the complete responsibility of

the offeror to select and identify the best topic for their

proposal.

To reiterate, any proposal addressing more than one

research topic, failing to identify the research topic by

letter symbol (see Section VIII) on the cover page, or is a

duplicate of the same research principle modified to fit a

topic, will not be reviewed at all.

This solicitation is for Phase I only.

To stimulate and foster technological innovation,

including increasing private sector applications of Federal

research or R&D, the EPA’s program will follow the SBIR

program’s uniform process of three phases:

PHASE I. Phase I involves a solicitation of proposals to

conduct feasibility related experimental research or R&D

related to described agency requirements. The objective of

this phase is to determine the technical feasibility and preliminary commercialization potential of the proposed effort and the quality of performance of the small concern

with a relatively small agency investment before consideration of further Federal support in Phase II.

PHASE II. Phase II proposals may only be submitted by

Phase I award winners within the same agency. The Phase II

solicitation will automatically be sent to all eligible Phase

I firms. Phase II is the principal research or R&D effort and

should not normally exceed 24 months. Funding shall be

based upon the results of Phase I and the scientific and

technical merit and commercial potential of the Phase II

proposal. The objective is to continue the research or R&D

initiated under Phase I and work toward commercialization

of the technology. Phase II proposals can only be submitted to the Federal agency that awarded Phase I of the effort.

Phase II awards may not necessarily complete the total

research and development that may be required to satisfy

commercial or federal needs beyond the SBIR program.

Completion of the research and development may be

through Phase III. The Agency is under no obligation to

fund any proposal or any specific number of proposals in a
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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given topic. It also may elect to fund several or none of the

proposed approaches to the same topic or subtopic.

It is anticipated that approximately 10-20 Phase II

awards with a dollar amount of $225,000 each will be

made. For Phase II, the Agency is planning to offer a Phase

II Option under which Phase II offerors may submit a proposal for $70,000 additional funding to expand R&D efforts to accelerate commercialization. The purpose of the

additional funding is to accelerate the project to the commercialization stage. EPA federal funds must be designated

strictly for advancing the research related elements of the

project. No automatic preference shall be given to offers

which address the option; however, in the case where an

offeror addresses the option in its proposal, the entire proposal including the option shall be evaluated. The Agency

would have a unilateral right to exercise the option after

EPA’s acceptance of the company’s detailed commercialization plan, including information on any commercialization funding from third party investors, such as another

company, venture capital firm or “angel” investor. The

Government is not obligated to fund any specific Phase II

proposal.

It is anticipated that the follow-on Phase II Solicitation will be issued on/about March 2, 2000, and that proposals will be due on/about April 20, 2000. EPA expects to

allow companies submitting unsuccessful FY 2000 Phase II

proposals to submit a revised proposal of the same technology in the next Phase II (FY 2001) Solicitation. It is expected that each Phase II proposal will be evaluated in

accordance with the following criteria:

CRITERIA

1. The scientific and technical quality and significance of the proposed technology as applied R/R&D.

Credibility and overall soundness of the research

plan to establish the technical and commercial feasibility of the proposed concept as evidenced through

technology prototypes or initial commercial demonstrations.

2. The originality, uniqueness, and ingenuity of the

proposed concept as a technologically innovative

and commercially viable application as evidenced

through technology prototypes or initial commercial

demonstrations.

3. Results of Phase I and degree to which research

objectives and identified customer needs were met.

Demonstration of performance/cost effectiveness and

environmental benefits associated with the proposed

research, including risk reduction potential.

4. Qualifications of the principal/key investigator,

supporting staff and consultants. Time commitment

of principal/key investigator and adequacy of equipment and facilities to accomplish the proposed research. Adequacy of Phase II Quality Assurance Summary.

5. Potential of the proposed concept for significant

commercialization applications. The quality and

adequacy of the commercialization plan to produce

an innovative product, process or device and getting

technology prototypes or initial Phase II applications

into commercial production and sales. Expected market and competition and other financial/business

indicators of commercialization potential and the

offeror’s SBIR or other research commercialization

record.

PHASE III. Where appropriate and needed in order to

complete the research and development, there may be a

third phase which is funded by:

a. Non-federal sources of capital for commercial applications of SBIR funded research or research and

development.

b. Federal government with non-SBIR federal funds

for SBIR derived products and processes that will be

used by the federal government.

c. Non-SBIR federal funds for the continuation of

research or research and development that has been

competitively selected using peer review or scientific

review criteria.

C. ELIGIBILITY.

Each concern submitting a proposal must qualify as a

small business for research or R&D purposes at the time of

award. In addition, the primary employment of the principal investigator must be with the small business concern at

the time of award and during the conduct of the proposed

research. Principal investigators who appear to be employed by a university must submit a letter from the university stating that the principal investigator, if awarded an

SBIR contract, will become a less-than-half-time employee

of the university. Also, a principal investigator who appears

to be a staff member of both the applicant and another employer must submit a letter from the second employer stating that, if awarded an SBIR contract, he/she will become a

less-than-half-time employee of such organization. Also,

for both Phase I and Phase II, the research or R&D work

must be performed in the United States. “United States”
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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means the 50 states, the Territories and possessions of the

United States, the Commonwealth of Puerto Rico, the Trust

Territory of the Pacific Islands, and the District of Columbia.

D. All inquiries concerning this solicitation shall be

submitted to the following E-mail address:

peele.kathryn@epa.gov

If E-mail is not available to you, written or telephone

inquiries may be directed to:

Kathryn Peele/SBIR-I

U.S. Environmental Protection Agency

Contracts Management Division (MD-33)

Research Triangle Park, NC 27711

(919) 541-5293

Potential offerors are encouraged to communicate via

E-mail.

II. DEFINITIONS

For purposes of this solicitation, the following definitions apply:

Research or Research and Development: Any activity that is:

(1) A systematic, intensive study directed toward greater

knowledge or understanding of the subject studied.

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

(3) A systematic application of knowledge toward the

production of useful materials, devices, and systems

or methods, including design, development, and improvement of prototypes and new processes to meet

specific requirements.

Funding Agreement: Any contract, grant, or cooperative agreement entered into between any Federal Agency

and any small business concern for the performance of

experimental, developmental or research work funded in

whole or in part by the Federal Government.

Subcontract: Any agreement, other than one involving an employer-employee relationship, entered into by a

Federal Government funding agreement awardee calling

for supplies or services required solely for the performance

of the original funding agreement.

Small Business Concern: A small business concern is

one that, at the time of award of Phase I and Phase II funding agreements, meets the following criteria:

(1) Is independently owned and operated, is not dominant in the field of operation in which it is proposing,

has its principal place of business located in the

United States and is organized for profit;

(2) Is at least 51 percent owned, or in the case of a publicly owned business, at least 51 percent of its voting

stock is owned by United States citizens or lawfully

fully admitted permanent resident aliens; (if this applies, appropriate documentation must be submitted).

(3) Has, including its affiliates, a number of employees

not exceeding 500, and meets the other regulatory

requirements found in 13 CFR Part 121. Business

concerns, other than investment companies licensed,

or state development companies qualifying under the

Small Business Investment Act of 1958, 15 U.S.C.

661, et. seq., are affiliates of one another when either

directly or indirectly:

(A) one concern controls or has the power to control

the other; or

(B) a third party or parties controls or has the power

to control both.

Control can be exercised through common ownership, common management, and contractual relationships.

The term “affiliates” is defined in greater detail in 13 CFR

121. The term “number of employees” is defined in 13

CFR 121. Business concerns include, but are not limited

to, any individual, partnership, corporation, joint venture,

association or cooperative.

Socially and Economically Disadvantaged Small

Business Concern: A socially and economically disadvantaged small Business concern is one that is:

(1) At least 51 percent owned by (i) an Indian tribe or a

native Hawaiian organization, or (ii) one or more

socially and economically disadvantaged individuals, and

(2) Whose management and daily business operations

are controlled by one or more socially and economically disadvantaged individuals.

Socially and Economically Disadvantaged Individual: A member of any of the following groups:
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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(1) Black Americans;

(2) Hispanic Americans;

(3) Native Americans;

(4) Asian-Pacific Americans;

(5) Subcontinent Asian Americans;

(6) Other groups designated from time to time by SBA to

be socially disadvantaged; or

(7) Any other individual found to be socially and economically disadvantaged by SBA pursuant to section

8(a) of the Small Business Act, 15 U.S.C. 637(a).

Women-Owned Small Business Concern: A small

business concern that is at least 51 percent owned by a

woman or women who also control and operate it. “Control” in this context means exercising the power to make

policy decisions. “Operate” in this context means being

actively involved in the day-to-day management.

Primary Employment: More than one-half of the

principal investigator’s time is spent in the employ of the

small business.

United States: The 50 States, the Territories and

possessions of the United States, the Commonwealth of

Puerto Rico, the Trust Territory of the Pacific Islands, and

the District of Columbia.

Commercialization: The process of developing

markets and producing and delivering products for sale

(whether by the originating party or by others); as used

here, commercialization includes both government and

commercial markets.

III. PROPOSAL PREPARATION

INSTRUCTIONS AND

REQUIREMENTS

A. PROPOSAL PAGE LIMIT

Proposals submitted in response to this Phase I solicitation shall not exceed a total of 25 pages, one side only,

except for the requirements set forth in Section III.D.11

“Prior SBIR Awards”. Pages should be of standard size (8 1/

2" x 11"; 21.6 cm x 27.9 cm) with 2.5 cm margins and type

no smaller than 10 point font size. All pages must be consecutively numbered. Proposals in excess of the 25 page

limitation shall not be considered for review or award. A

letter of transmittal is not necessary. If one is furnished, it

must not be attached to every copy of the proposal. If a

letter of transmittal is attached to every copy of the proposal, it will be counted as page 1 of the proposal. No

binders are necessary. If binders are provided, they will be

counted as pages even if no printing or writing is thereon.

B. PROPOSAL COVER SHEET

The offeror shall photocopy (or download from the

Internet) and complete Appendix A as page 1 of each copy

of each proposal. No other cover is permitted. When

downloading the solicitation from the Internet, Appendix A

may print on two pages, but will count as one page.

Offerors may reformat the form to correct spacing and pagination errors, however, identical information must be provided.

The original of the cover sheet must contain the

pen-and-ink signatures of the authorized negotiator and

the person authorized to sign the proposal.

C. ABSTRACT OR SUMMARY

The offeror shall complete Appendix B as page 2 of

each proposal. Appendix B is limited to 1 page. The technical abstract should include a brief description of the

problem or opportunity, the innovation, project objectives,

and description of the effort. In summarizing anticipated

results, the implications of the approach (for both Phases I

and II) and the potential commercial applications of the

research shall be stated. The project summary of successful

proposals will be published by EPA and, therefore, must

not contain proprietary information.

D. TECHNICAL CONTENT

Begin the main body of the proposal on page 3. As a

minimum, the following shall be included:

1. IDENTIFICATION AND SIGNIFICANCE OF

THE PROBLEM OR OPPORTUNITY. A clear statement of the specific technical problem or opportunity

addressed.

2. PHASE I TECHNICAL OBJECTIVES. State the

specific objectives of the Phase I research and development effort, including the technical questions it

will try to answer to determine the feasibility of the

proposed approach.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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3. PHASE I WORK PLAN. A detailed description of

the Phase I R/R&D plan. The plan should indicate

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 objective or task should be discussed in

detail, to enable a complete scientific and technical

evaluation of the work plan. A work schedule should

also be provided.

4. RELATED RESEARCH OR R&D. Describe significant research or R&D that is directly related to the

proposal including any conducted by the project

manager/principal investigator or by the proposing

firm. Describe how it relates to the proposed effort,

and any planned coordination with outside sources.

Offerors must demonstrate their awareness of key

recent research or R&D conducted by others in the

specific topic area by providing appropriate references from the literature and other published documents.

5. KEY PERSONNEL AND BIBLIOGRAPHY OF

DIRECTLY RELATED WORK. Identify key personnel involved in Phase I including their directly

related education, experience and bibliographic information. Where vitae are extensive, summaries that

focus on the most relevant experience or publications

are desired and may be necessary to meet proposal

size limitations.

6. RELATIONSHIP WITH FUTURE RESEARCH

OR RESEARCH AND DEVELOPMENT.

a. 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.

b. Discuss the significance of the Phase I effort in

providing a foundation for Phase II R/R&D effort.

7. FACILITIES. A detailed description, availability

and location of instrumentation and physical facilities proposed for Phase I should be provided.

8. CONSULTANTS. Involvement of consultants in

the planning and research stages of the project is

permitted. If such involvement is intended, it should

be described in detail and vitae should be provided.

9. COMMERCIALIZATION PLAN. Provide an

abbreviated 2-3 page plan related directly to producing an innovative product, process or device and

getting it into commercial production and sales.

Comprehensive business plans (that are company

rather than project oriented) are not desired. The

Phase I plan is a roadmap toward producing a detailed Phase II Commercialization Plan which will be

required as part of the Phase II Application.

NOTE: The small Business Research and Development Enhancement Act of 1992 allows discretionary technical assistance to SBIR awardees. The Agency may provide up to $4,000 of SBIR funds for technical assistance

per award. EPA intends to provide Phase I awardees with

technical assistance through a separate EPA arrangement.

For Phase I, this assistance will be in addition to the award

amount. For Phase II, the law allows each awardee to expend up to $4,000 per year of the award amount for technical assistance services.

The Phase I plan should provide limited information

on the subjects described below. Explain what will be done

during Phase I to decide on applications, markets, production and financing. The Commercialization Plan should

address:

a. SBIR Project: Brief description of the company,

its principal field(s) of interest, size and current

products and sales. A concise description of the

SBIR project and its key technical objectives.

b. Commercial Applications: Potential commercial

applications of the research results specifying

customers and specific needs that will be satisfied.

Do you have or intend to file for one or more patents as a result of the SBIR project?

c. Competitive Advantages: What is particularly

innovative about the anticipated technology or

products? (Innovation may be expressed in terms

of applications, performance, efficiencies or reduced cost. To determine if your innovation is

likely to result in intellectual property that may

be legally protected, it helps to conduct a patent

search and look for related work being funded by

EPA or another Federal agency. A factsheet on

how to search for patents and related federallyfunded work is provided in Appendix F.) 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
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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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. A factsheet on how to

identify potentially substitutable products and to

locate relevant regulations, standards, certification requirements and expressions of end-user

need is in Appendix E.)

d. Markets: What are the anticipated specific markets for the resulting technology, their estimated

size, classes of customers, and your estimated

market share 5 years after the project is completed

and/or first sales? Who are the major competitors

in the markets, present and/or anticipated?

e. Commercialization: Briefly describe how you

plan to produce your product. Do you intend to

manufacture it yourself, subcontract the manufacturing, enter into a joint venture or manufacturing

agreement, license the product, etc.? Briefly describe the approach and steps you plan to take to

commercialize the research results to significant

sales. Do you plan to market the product yourself,

through dealers, contract sales, marketing agreements, joint venture, sales representatives, foreign

companies, etc.? How do you plan to raise money

to support your commercialization plan?

10. SIMILAR PROPOSALS OR AWARDS. If the

small business concern has received ANY prior Phase

I or Phase II award(s) from EPA or any Federal agency

for similar or closely related research, submit name of

awarding agency, date of award, funding agreement

number, amount, topic or subtopic title, follow-on

agreement amount, source and date of commitment

and current commercialization status. Briefly describe the differences and relationships between the

proposed new Phase I research and prior research

activities. (This required proposal information shall

be counted toward proposal pages count limitation.)

11. PRIOR SBIR AWARDS. If the small business

concern has received ANY prior Phase II award from

any Federal agency in the prior 5 fiscal years, submit

name of awarding agency, date of award, funding

agreement number, amount, topic or subtopic title,

follow-on agreement amount, source and date of commitment and current commercialization status for

each Phase II. (This required proposal information

shall not be counted toward proposal pages count

limitation.)

12. DUPLICATE OR EQUIVALENT SBIR PROPOSALS. A firm may elect to submit essentially

equivalent work under other Federal Program Solicitations. In these cases, a statement must be included

in each such proposal indicating: the name and address of the agencies to which proposals were submitted or from which awards were received; date of proposal submission or date of award; title, number, and

date of solicitations under which proposals were submitted or awards received; specific applicable research topics for each proposal submitted or award

received; titles of research projects; name and title of

project manager or principal investigator for each

proposal submitted or award received. (This information shall count toward proposal pages count limitation.)

E. COST BREAKDOWN/PROPOSED

BUDGET

Complete the budget form in Appendix C. Photocopy

the form for the required submission. Incorporate the copy

of the budget form bearing the original signature into the

copy of the proposal bearing the original signature on the

cover page. The budget form will count as 1 page in the 25

page limit. If budget explanation pages are included, they

will count toward the 25 page limit.

F. PHASE I QUALITY ASSURANCE

NARRATIVE STATEMENT

Offerors must state whether or not their proposal involves technology-specific testing or environmentally

related measurements. This quality assurance narrative

statement should not exceed two pages and will be included in the 25 page limitation for the proposal. This

statement should, for each item below, either address the

required information or explain why the item does not

apply to the proposed research.

1. The activities to be performed or hypothesis to be

tested (reference may be made to the specific page

and paragraph number in the application where this

information may be found); criteria for determining

the acceptability of data quality in terms of precision,

accuracy, representativeness, completeness, comparability. (Note: these criteria must also be applied to

determine the acceptability of existing or secondary

data to be used in the project.)

2. The study design, including sample type and location requirements and any statistical analyses that
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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were used to estimate the types and numbers of

samples required for physical samples or similar information for studies using survey and interview

techniques.

3. The procedures for the handling and custody of

samples, including sample collection, identification,

preservation, transportation, and storage.

4. The procedures that will be used in the calibration

and performance evaluation of the sampling and analytical methods used or equipment developed during

the project.

5. The procedures for data reduction and reporting, including a description of statistical analyses to be

used and of any computer models to be designed or

utilized with associated verification and validation

techniques.

6. The quantitative and/or qualitative procedures that

will be used to evaluate the success of the project,

including any plans for peer or other reviews of the

study design or analytical methods prior to data collection.

A more detailed Proposal Quality Assurance Plan will

be required in Phase II. The plan will be required as part of

the first monthly report under the Phase II contract.

IV. METHOD OF SELECTION AND

EVALUATION CRITERIA

A. All Phase I proposals will be evaluated and

judged on a competitive basis by external peer reviewers.

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.B., any proposal addressing more than one research topic, or failing to identify the

research topic by letter symbol on the cover page, will not

be considered for review or award. Proposals passing this

initial screening will be reviewed for technical merit by

external peer panels of technical experts, using the technical evaluation criteria described in B.1 below. Each of the

criteria are equal in value. These panels will assign each

proposal an adjectival rating of “excellent”, “very good”,

“good”, “fair” or “poor”, using the specified criteria. The

proposals assigned “excellent” and “very good” ratings,

will then be subjected to a programmatic review within

EPA, to further evaluate these applications in relation to

program priorities and balance using the criteria specified

in B.2 below. Each proposal will be judged on its own

merit. The Agency is under no obligation to fund any proposal or any specific number of proposals in a given topic.

It also may elect to fund several or none of the proposed

approaches to the same topic or subtopic.

B. TECHNICAL EVALUATION

CRITERIA

1. EXTERNAL PEER REVIEW. The external peer

review panels will utilize the following evaluation criteria

to rate each proposal. The criteria are of equal importance.

CRITERIA

a. The scientific and technical significance of the

proposed technology and its relevance to the

Agency research topic. Quality and soundness of

the research plan to establish the technical and

commercial feasibility of the concept.

b. The uniqueness/ingenuity of the proposed concept or application as technological innovation.

Originality and innovativeness of the proposed

research toward meeting customer needs and

achieving commercialization of the technology.

c. Potential demonstration of performance/cost effectiveness and environmental benefits associated

with the proposed research, including risk reduction potential.

d. Qualifications of the principal/key investigator,

supporting staff and consultants. Time commitment of principal/key investigator and adequacy

of equipment and facilities to accomplish the

proposed research. Adequacy and quality of the

Quality Assurance Narrative Statement.

e. Potential of the proposed concept for significant

commercial applications. Potential for the commercialization plan to produce an innovative

product, process or device and getting it into commercial production and sales. Potential market

and competition and other financial/business

indicators of commercialization potential and the

offeror’s SBIR or other research commercialization

record.

All peer reviewers will be required to sign an agreement to protect the confidentiality of all proposal material,

and to certify that no conflict of interest exists between the
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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reviewer and the offeror. A copy of both forms is available

upon request.

2. INTERNAL EPA REVIEW. The proposals that

received ratings of “Excellent” or “Very Good” by the External Peer Review Panel, will be subject to an internal

relevancy review by EPA program managers using the criteria to select which of the “Excellent” and “Very good”

proposals will be funded. Projects will not be funded where

EPA determines the proposed research is already being

supported by EPA or another known source. The evaluation criteria “a” through “d” are of equal value and will be

used to evaluate the applications in relation to program

priorities, balance and relevancy.

CRITERIA

a. How the proposed technology fits into EPA’s overall research strategy or program within the Phase I

research topic.

b. Whether the technology has the potential for significant environmental benefits and for strengthening the scientific basis for risk assessment/risk

management in the Agency research topic area.

c. How the proposed study meets Agency program

priorities and strengthens the overall program

balance.

d. Whether the results of the study will have broad

application or impact large segments of the population.

C. RELEASE OF PROPOSAL

REVIEW INFORMATION.

After final award decisions have been announced, the

technical evaluations will be provided to the proposer. The

identity of the reviewer shall not be disclosed.

V. CONSIDERATIONS

A. AWARDS

The Government anticipates award of approximately

40 firm-fixed-price contracts of up to $70,000 each including profit. The period of performance for the contracts

should not normally exceed six (6) months except where

agency needs or research plans require otherwise. Exceptions should be minimized. The primary consideration in

selecting proposals for award will be the technical merit of

the proposal. Proposals shall be evaluated in accordance

with the Technical Evaluation Criteria stated in IV. B.

above. Source selection will not be based on a comparison

of cost or price. However, cost or price will be evaluated to

determine whether the price, including any proposed

profit, is fair and reasonable and whether the offeror understands the work and is capable of performing the contract.

This current solicitation is for Phase I only, and the

Government is not obligated to fund any specific Phase II

proposal.

Funds are not presently available for this contract.

The Government’s obligation under this contract is contingent upon the availability of appropriated funds from

which payment for contract purposes can be made. No legal liability on the part of the Government for any payment

may arise until funds are made available to the Contracting

Officer for this contract and until the Contractor receives

notice of such availability, to be confirmed in writing by

the Contracting Officer.

B. REPORTS

1. The Contractor shall furnish two (2) copies of a

monthly letter report stating progress made. One (1) copy

of the report shall be submitted to the Project Officer with

one (1) copy to the Contracting Officer. The reports shall

be submitted within 7 calendar days after the end of the

reporting period. Specific areas of interest shall include

progress made and difficulties encountered during the reporting period, and a statement of activities anticipated

during the subsequent reporting period. The report shall

include any changes in personnel associated with the

project. Also, the first month’s report shall contain a work

plan and schedule of accomplishments for the subsequent

months of the project. The Monthly Report shall include,

as an attachment, a copy of the monthly voucher for the

same period.

2. Two copies of a comprehensive final report on the

Phase I project must be submitted to the Project Officer by

the completion date of the contract. The Contracting Officer shall receive one copy. This final report shall include

a single-page project summary as the first page, identifying

the purpose of the research, a brief description of the research carried out, the research findings or results, and potential applications of the research in a final paragraph.

The balance of the report should indicate in detail the research objectives, research work carried out, results obtained, and estimates of technical feasibility. A copy of the

detailed commercialization plan developed during Phase I
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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should be included in the final report. The final report will

be required as part of the Phase II proposal submitted in

response to the Phase II solicitation.

3. Two hard copies (and one copy on a disk in WP6.1

or ASCII format) of a publishable (cleared for the general

public) 2-3 page executive summary of the final report for

Phase I must be submitted to the Project Officer by the

completion date of the contract. This special report should

be a true summary of the report, including the purpose of

the project, work carried out and results. The summary

should stress innovativeness and potential commercialization. The executive summary will be placed on the EPA

SBIR Web site and therefore, it should include the specific

results the company is willing to release to the public.

C. PAYMENT SCHEDULE

Phase I payments will be made as follows:

Eighteen percent (18%) of the total contract price

upon receipt and acceptance of a proper invoice with each

of the first five monthly reports. The remainder shall be

paid upon receipt and acceptance of the final report. Pursuant to the provisions of FAR 52.232-25, “Prompt Payment”, payment will be rendered within thirty (30) days

after receipt of a proper invoice.

D. INNOVATIONS, INVENTIONS AND

PATENTS

1. LIMITED RIGHTS INFORMATION AND DATA

a. Proprietary Information

Information contained in unsuccessful proposals will

remain the property of the offeror. The Government may,

however, retain copies of all proposals. Public release of

information in any proposal submitted will be subject to

existing statutory and regulatory requirements.

If proprietary information is provided by an offeror in

a proposal which constitutes a trade secret, proprietary

commercial or financial information, confidential personal

information or data affecting the national security, it will

be treated in confidence to the extent permitted by law,

provided this information is clearly marked by the offeror

with the term “confidential proprietary information” and

provided the following legend appears on the title page of

the proposal:

“For any purpose other than to evaluate the proposal,

this data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed

in whole or in part, provided that if a funding agreement is awarded to this offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use, or disclose

the data to the extent provided in the funding agreement. This restriction does not limit the

Government’s right to use information contained in

the data if it is obtained from another source without

restriction. The data subject to this restriction is contained in pages ________ of this proposal.”

Any other legend may be unacceptable to the Government and may constitute grounds for removing the proposal from further consideration and without assuming any

liability for inadvertent disclosure.

b. Alternative to Minimize Proprietary Information

Offerors shall limit proprietary information to only

that absolutely essential to their proposal.

c. Rights in Data Developed Under SBIR Funding

Agreements

The Contract will contain a data clause which will

provide the following:

SBIR RIGHTS NOTICE (MAR 1994)

These SBIR data are furnished with SBIR rights under

Contract No.___________ (and subcontract _________ if

appropriate). For a period of four (4) years after acceptance

of all items to be delivered under this contract, the Government agrees to use these data for Government purposes

only, and they shall not be disclosed outside the Government (including disclosure for procurement purposes) during such period without permission of the Contractor, except that, subject to the foregoing use and disclosure

prohibitions, such data may be disclosed for use by support

Contractors. After the aforesaid 4-year period the Government has a royalty-free license to use, and to authorize

others to use on its behalf, these data for Government purposes, but is relieved of all disclosure prohibitions and

assumes no liability for unauthorized use of these data by

third parties. This Notice shall be affixed to any reproductions of these data, in whole or in part.

d. Copyrights

With prior written permission of the Contracting Officer, the Awardee normally may copyright and publish

(consistent with appropriate national security considerations, if any) material developed with EPA support. EPA
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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receives a royalty-free license for the Federal Government

and requires that each publication contain an appropriate

acknowledgment and disclaimer statement.

e. Patents

Small business concerns normally may retain the

principal worldwide patent rights to any invention developed with Governmental support. The Government receives a royalty-free license for Federal Government use,

reserves the right to require the patent holder to license

others in certain circumstances, and requires that anyone

exclusively licensed to sell the invention in the United

States must normally manufacture it domestically. To the

extent authorized by 35 U.S.C. 205, the Government will

not make public any information disclosing a

Government-supported invention for a 4-year period to

allow the Awardee a reasonable time to pursue a patent.

E. COST SHARING

Cost sharing is permitted for proposals under this

Program Solicitation; however, cost sharing is not required

nor will it be an evaluation factor in consideration of your

proposal.

F. FEE OR PROFIT

Reasonable fee (estimated profit) will be considered

under this solicitation. For guidance purposes, the amount

of profit normally should not exceed 10% of total project

costs.

G. JOINT VENTURES OR LIMITED

PARTNERSHIPS

Joint ventures and limited partnerships are eligible

provided the entity created qualifies as a small business as

defined in this Program Solicitation.

H. RESEARCH AND ANALYTICAL

WORK

For Phase I, a minimum of two-thirds of the research

and/or analytical effort must be performed by the proposing small business concern unless otherwise approved in

writing by the Contracting Officer.

For Phase II, a minimum of one-half of the research

and/or analytical effort must be performed by the proposing small business concern unless otherwise approved in

writing by the Contracting Officer.

I. CONTRACTOR COMMITMENTS

Upon award of a funding agreement, the Awardee will

be required to make certain legal commitments through

acceptance of numerous clauses in Phase I funding agreements. The outline that follows is illustrative of the types

of clauses to which the Contractor would be committed.

This list should not be understood to represent a complete

list of clauses to be included in Phase I funding agreements, nor to be specific wording of such clauses. Copies

of complete terms and conditions are available upon request.

1. STANDARDS OF WORK. Work performed under

the contract must conform to high professional standards.

2. INSPECTION. Work performed under the contract

is subject to Government inspection and evaluation

at all times.

3. 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.

4. DEFAULT. The Government may terminate the

contract if the Contractor fails to perform the work

contracted.

5. 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.

6. DISPUTES. Any dispute concerning the funding

agreement that cannot be resolved by agreement shall

be decided by the Contracting Officer with right of

appeal.

7. CONTRACT WORK HOURS. The awardee may

not require an employee to work more than 8 hours a

day or 40 hours a week unless the employee is compensated accordingly (e.g., overtime pay).

8. EQUAL OPPORTUNITY. The awardee will not

discriminate against any employee or applicant for

employment because of race, color, religion, sex, or

national origin.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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9. AFFIRMATIVE ACTION FOR VETERANS. The

awardee will not discriminate against any employee

or application for employment because he or she is a

disabled veteran or veteran of the Vietnam era.

10. AFFIRMATIVE ACTION FOR HANDICAPPED. The awardee will not discriminate against

any employee or applicant for employment because

he or she is physically or mentally handicapped.

11. OFFICIALS NOT TO BENEFIT. No Government official shall benefit personally from the contract.

12. 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.

13. 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.

14. PATENT AND COPYRIGHT INFRINGEMENT.

The Contractor shall report each notice or claim of

patent or copyright infringement based on the performance of the contract.

15. AMERICAN MADE EQUIPMENT AND PRODUCTS. When purchasing equipment or a product

under the SBIR funding agreement, purchase only

American-made items whenever possible.

J. ADDITIONAL INFORMATION

1. The Program Solicitation is intended for informational purposes and reflects current planning. If there

is any inconsistency between the information contained herein and the terms of any resulting SBIR

funding agreement, the terms of the funding agreement are controlling.

2. Before award of an SBIR funding agreement, the

Government may request the offeror to submit certain

organizational, management, personnel, and financial

information to assure responsibility of the offeror.

3. The Government is not responsible for any monies

expended by the offeror before award of any funding

agreement.

4. This Program Solicitation is not an offer by the

Government and does not obligate the Government

to make any specific number of awards. Also, awards

under the SBIR program are contingent upon the

availability of funds.

5. The SBIR program is not a substitute for existing

unsolicited proposal mechanisms. Unsolicited proposals shall not be accepted under the SBIR program

in either Phase I or Phase II.

6. If an award is made pursuant to a proposal submitted under this Program Solicitation, the Contractor

will be required to certify that he or she has not previously been, nor is currently being, paid for essentially

equivalent work by any agency of the Federal Government.

7. Notwithstanding the relatively broad definition of

R/R&D in Section II, Definitions, hereof, awards under this solicitation are limited to APPLIED forms of

research. Proposals that are surveys, including market, state-of the-art and/or literature surveys, which

should have been performed by the offeror prior to

the preparation of the proposal, or the preparation of

allied questionnaires and instruction manuals, shall

not be accepted. If such proposals are submitted, they

shall be considered as not in compliance with the

solicitation intent, and therefore, technically unacceptable.

8. The requirement that the offeror designate a topic,

and only one topic, (see page 1, item I.B. above) is

also necessary. EPA receives hundreds of proposals

each year and has special teams of reviewers for review of each research topic. In order to assure that

proposals are evaluated by the correct team, it is the

complete responsibility of the offeror to select and

identify the best topic.

9. Instructions to Offerors - Competitive Acquisition

(Oct 1997) FAR 52.215-1

(a) Definitions. As used in this provision- Discussions

are negotiations that occur after establishment of the

competitive range that may, at the Contracting

Officer's discretion, result in the offeror being allowed

to revise its proposal.

In writing or written means any worded or numbered

expression which can be read, reproduced, and later

communicated, and includes electronically transmitted and stored information.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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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

thesolicitation closing date, at the request of or as

allowed by a Contracting Officer as the result of negotiations.

Time, if stated as a number of days, is calculated using calendar days, unless otherwise specified, and

will include Saturdays, Sundays, and legal holidays.

However, if the last day falls on a Saturday, Sunday,

or legal holiday, then the period shall include the

next working day.

(b) Amendments to solicitations. If this solicitation is

amended, all terms and conditions that are not

amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by

the date and time specified in the amendment(s).

(c) Submission, modification, revision, and withdrawal of proposals.

(1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals

shall be submitted in paper media in sealed envelopes or packages (I) addressed to the office

specified in the solicitation, and (ii) showing the

time and date specified for receipt, the solicitation number, and the name and address of the

offeror. Offerors using commercial carriers should

ensure that the proposal is marked on the outermost wrapper with the information in paragraphs

(c)(1)(I) and (c)(1)(ii) of this provision.

(2) The first page of the proposal must show-

(i) The solicitation number;

(ii) The name, address, and telephone and

facsimile numbers of the offeror (and electronic address if available);

(iii) A statement specifying the extent of

agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which

prices are offered at the price set opposite each

item;

(iv) Names, titles, and telephone and facsimile

numbers (and electronic addresses if available) of persons authorized to negotiate on the

offeror's behalf with the Government in connection with this solicitation; and

(v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by

an agent shall be accompanied by evidence of

that agent’s authority, unless that evidence has

been previously furnished to the issuing office.

(3) Late proposals and revisions.

(i) Any proposal received at the office designated in the solicitation after the exact time

specified for receipt of offers will not be considered unless it is received before award is

made and-

(A) It was sent by registered or certified

mail not later than the fifth calendar day

before the date specified for receipt of offers (e.g., an offer submitted in response to a

solicitation requiring receipt of offers by

the 20th of the month must have been

mailed by the 15th);

(B) It was sent by mail (or telegram or facsimile, if authorized) or hand-carried (including delivery by a commercial carrier) if

it is determined by the Government that the

late receipt was due primarily to Government mishandling after receipt at the Government installation;

(C) It was sent by U.S. Postal Service Express Mail Next Day Service-Post Office to

Addressee, not later than 5:00 p.m. at the

place of mailing two working days prior to

the date specified for receipt of proposals.

The term “working days” excludes weekends and U.S. Federal holidays;

(D) It was transmitted through an electronic

commerce method authorized by the solicitation and 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
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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(E) There is acceptable evidence to establish that it was received at the activity designated for receipt of offers and was under

the Government’s control prior to the time

set for receipt of offers, and the Contracting

Officer determines that accepting the late

offer would not unduly delay the procurement; or

(F) It is the only proposal received.

(ii) Any modification or revision of a proposal

or response to request for information, including any final proposal revision, is subject to

the same conditions as in subparagraphs

(c)(3)(I)(A) through (c)(3)(I)(E) of this provision.

(iii) The only acceptable evidence to establish

the date of mailing of a late proposal or modification or revision sent either by registered or

certified mail is the U.S. or Canadian Postal

Service postmark both on the envelope or

wrapper and on the original receipt from the

U.S. or Canadian Postal Service. Both postmarks must show a legible date or the proposal, response to a request for information, or

modification or revision shall be processed as

if mailed late. “Postmark” means a printed,

stamped, or otherwise placed impression (exclusive of a postage meter machine impression) that is readily identifiable without further action as having been supplied and

affixed by employees of the U.S. or Canadian

Postal Service on the date of mailing. Therefore, offerors or respondents should request

the postal clerk to place a legible hand cancellation bull’s eye postmark on both the receipt

and the envelope or wrapper.

(iv) 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.

(v) The only acceptable evidence to establish

the date of mailing of a late offer, modification

or revision, or withdrawal sent by Express

Mail Next Day Service-Post Office to Addressee is the date entered by the post office

receiving clerk on the “Express Mail Next

Day Service-Post Office to Addressee” label

and the postmark on both the envelope or

wrapper and on the original receipt from the

U.S. Postal Service. “Postmark” has the same

meaning as defined in paragraph (c)(3)(iii) of

this provision, excluding postmarks of the

Canadian Postal Service. Therefore, offerors or

respondents should request the postal clerk to

place a legible hand cancellation bull’s eye

postmark on both the receipt and the envelope

or wrapper.

(vi) Notwithstanding paragraph (c)(3)(I) of this

provision, a late modification or revision 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.

(vii) Proposals may be withdrawn by written

notice or telegram (including mailgram) received at any time before award. 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 entitled “Facsimile Proposals.” Proposals may be withdrawn in person by an offeror or an authorized

representative, if the representative’s identity

is made known and the representative signs a

receipt for the proposal before award.

(viii) 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 or other notice

of an extension of the closing date, 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. If no time is specified in the

solicitation, the time for receipt is 4:30 p.m.,

local time, for the designated Government

office.

(4) Unless otherwise specified in the solicitation,

the offeror may propose to provide any item or

combination of items.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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(5) Proposals submitted in response to this solicitation shall be in English and in U.S. dollars,

unless otherwise permitted by the solicitation.

(6) Offerors may submit modifications to their

proposals at any time before the solicitation closing date and time, and may submit modifications

in response to an amendment, or to correct a mistake at any time before award.

(7) Offerors may submit revised proposals only if

requested or allowed by the Contracting Officer.

(8) Proposals may be withdrawn at any time before award. Withdrawals are effective upon receipt

of notice by the Contracting Officer.

(d) Offer expiration date. Proposals in response to this

solicitation will be valid for the number of days

specified on the solicitation cover sheet (unless a

different period is proposed by the offeror).

(e) Restriction on disclosure and use of data. Offerors

that include in their proposals data that they do not

want disclosed to the public for any purpose, or used

by the Government except for evaluation purposes,

shall:

(1) Mark the title page with the following legend:

This proposal includes data that shall not be disclosed outside the Government and shall not be

duplicated, used, or disclosed-in whole or in partfor 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.

(f) Contract award.

(1) The Government intends to award a contract

or contracts resulting from this solicitation to the

responsible offeror(s) whose proposal(s) represents the best value after evaluation in accordance with the factors and subfactors in the solicitation.

(2) The Government may reject any or all proposals if such action is in the Government's interest.

(3) The Government may waive informalities and

minor irregularities in proposals received.

(4) The Government intends to evaluate proposals and award a contract without discussions with

offerors (except clarifications as described in FAR

15.306(a)). Therefore, the offeror’s initial proposal should contain the offeror’s best terms from

a cost or price and technical standpoint. The Government reserves the right to conduct discussions

if the Contracting Officer later determines them to

be necessary. If the Contracting Officer determines that the number of proposals that would

otherwise be in the competitive range exceeds the

number at which an efficient competition can be

conducted, the Contracting Officer may limit the

number of proposals in the competitive range to

the greatest number that will permit an efficient

competition among the most highly rated proposals.

(5) The Government reserves the right to make an

award on any item for a quantity less than the

quantity offered, at the unit cost or prices offered,

unless the offeror specifies otherwise in the proposal.

(6) The Government reserves the right to make

multiple awards if, after considering the additional administrative costs, it is in the

Government’s best interest to do so.

(7) Exchanges with offerors after receipt of a proposal do not constitute a rejection or counteroffer by the Government.

(8) The Government may determine that a proposal is unacceptable if the prices proposed are

materially unbalanced between line items or subline items. Unbalanced pricing exists when, despite an acceptable total evaluated price, the

price of one or more contract line items is significantly overstated or understated as indicated by

the application of cost or price analysis techniques. A proposal may be rejected if the Contracting Officer determines that the lack of bal-
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

17

ance poses an unacceptable risk to the Government.

(9) If a cost realism analysis is performed, cost

realism may be considered by the source selection authority in evaluating performance or

schedule risk.

(10) A written award or acceptance of proposal

mailed or otherwise furnished to the successful

offeror within the time specified in the proposal

shall result in a binding contract without further

action by either party.

(11) The Government may disclose the following

information in post-award debriefings to other

offerors:

(i) The overall evaluated cost or price and

technical rating of the successful offeror;

(ii) The overall ranking of all offerors, when

any ranking was developed by the agency

during source selection;

(iii) A summary of the rationale for award; and

(iv) For acquisitions of commercial items, the

make and model of the item to be delivered by

the successful offeror.

VI. SUBMISSION OF PROPOSALS

A. Your proposal shall be submitted with an original

and nine (9) copies to one of the following addresses by

4:30 p.m., local time, on October 13, 1999.

U.S. MAIL ADDRESS:

U.S. Environmental Protection Agency

Solicitation No. PR-NC-99-13350; SBIR Phase I

Closing Date: October 13, 1999 at 4:30 p.m.

Contracts Management Division (MD-33)

Attn: Kathryn Peele

Research Triangle Park, NC 27711

HAND CARRIED/COURIER ADDRESS:

U.S. Environmental Protection Agency

Receptionist, EPA Administration Building

Solicitation No. PR-NC-99-13350; SBIR Phase I

Closing Date: October 13, 1999 at 4:30 p.m.

Attn: Kathryn Peele/Contracts Mgmt. Division

79 T.W. Alexander Drive

Research Triangle Park, NC 27709

IMPORTANT!!! Please note Section V, Paragraph

J.9(c) concerning Late Proposals, Modifications of Proposals and Withdrawal of Proposals.

Telegraphic, telecopied or facsimile proposals will

NOT be considered for award.

B. Please do not use special bindings or covers.

Staple the pages in the upper left corner of the cover sheet

of each proposal.

C. All copies of a proposal shall be sent in the same

package.

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

publication.

VII. SCIENTIFIC AND TECHNICAL

INFORMATION SOURCES

(See Appendix D)

VIII. FY2000 SBIR PHASE I RESEARCH

TOPICS

Program Scope: The objective of this solicitation is

to increase the incentive and opportunity for small firms to

undertake cutting edge, high-risk, or long-term research

that has a high potential payoff if the research is successful.

Federal support of the front-end research on new ideas,

often the highest risk part of the innovation process, may

provide small businesses sufficient incentive to pursue

such research.

EPA’s SBIR program does not fund basic research or

literature searches. It is recognized that any research and

development project starts out as a concept of the inventor.

Basic theoretic research studies and preliminary laboratory

testing of the concept are often needed to develop an idea.

Literature and other surveys and questionnaires are also

needed to rule out duplication and inappropriate research

study and process detail, finally leading to the process

design of a prototype apparatus or process that could be
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

18

tested to show the feasibility of the innovation. These basic research activities and preliminary studies should be

completed before preparing an SBIR proposal.

Proposals only offering computer expert systems,

computer models, and computer aided design activities are

unacceptable. Computer activities may be helpful tools in

the early identification of pollution problems and possible

solutions, but they do not directly reduce pollution. They

cannot be used in lieu of applied laboratory research to

determine the feasibility of a pollution control process.

Also, proposals which only offer the performance of a design activity cannot be judged as it is impossible to guess

what sort of apparatus or process will result. Without a

straight-forward description of the process and/or apparatus

to be tested, there can be no determination of the scientific

and technical quality of the work plan. Proposals only

offering such design activities are unacceptable.

Program Topics: The proposed research must directly

pertain to EPA’s environmental mission and must be responsive to EPA program interests included in the topic

descriptions of this solicitation. The research should be the

basis for technological innovation resulting in new commercial products, processes, or services which benefit the

public and promote the growth of the small business. The

Agency’s SBIR program is concerned with air and water

pollution control, solid and hazardous waste management,

pollution prevention, environmental monitoring and analytical technologies. Mercury contamination continues to

be a serious environmental problem and is addressed in

several research topics. In order to facilitate proposal reviews by external peer reviewers with specialized expertise

and by EPA technical personnel with focused program

needs and priorities, offerors must designate a research

topic, and only one topic, for their proposal. It is the complete responsibility of the offeror to select and identify the

best topic for the proposal.

Technologies featuring conservation, reuse, recycling, increased efficiencies, and waste minimization are of

special interest. Processes involving anthropogenic radioactive materials or the application of fertilizers are addressed by other Agencies and are not included in this solicitation. Technologies that only involve energy

efficiency, where the pollution reduction benefit is indirect

reduction of power plant emissions, are also addressed by

other Agencies and are not included in this solicitation.

Specific focus areas of this solicitation include:

A. POLLUTION PREVENTION AND

CLEAN TECHNOLOGIES

Pollution prevention means “source reduction” including any practice which: (1) reduces the amount of any

hazardous substance, pollutant, contaminant entering any

waste stream or otherwise released into the environment

(including fugitive emissions) prior to recycling, treatment,

or disposal; and (2) reduces the hazards to public health

and the environment associated with the release of such

substances, pollutants, or contaminants. The term includes:

equipment or technology modifications, process or procedure modifications, reformulation or redesign of products,

and substitution of raw materials. Practices that reduce

large amounts of non-hazardous wastes will also be considered under this category. While improvements in housekeeping, maintenance, training or inventory control may

result in pollution prevention, these activities are outside

the scope of EPA’s SBIR program.

Recycling, energy recovery, treatment and disposal

are not included within the definition of pollution prevention. Some practices commonly described as “in-process

recycling” may qualify as pollution prevention. However,

recycling is not considered waste reduction if waste exits a

process, exists as a separate entity, undergoes significant

handling, and is transported from the waste generation

location to another production site (perhaps another part of

a large plant) for reuse, or to an offsite commercial recycling facility or waste exchange.

Green Chemistry, a fundamental approach to preventing pollution at the source, is also of interest. Green chemistry involves reducing or eliminating the use or generation

of hazardous substances—including feedstocks, reagents,

solvents, products, and byproducts—during the design,

manufacture, and use of chemical products and processes.

Green Chemistry includes all types of chemical activity

that reduce negative impacts on human health and the

environment relative to the current state of the art. Appropriate areas of investigation include chemical synthesis,

catalysis, detection, analysis, monitoring, separation processes, and reaction conditions. We are also interested in

developing innovative products that are consistent with

the guiding principles of EPA’s Environmentally-Preferable Purchasing Program. See the EPA Web site (http://

www.epa.gov/opptintr/epp) for more information.

Of particular interest are green chemistry projects that

reduce the generation of pollutants that contain persistent,

bioaccumulative and toxic (PBT) chemicals. EPA published a draft list of PBT chemicals found in industrial
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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hazardous waste in November, 1998 (see http://www.epa.gov/

epaoswer/hazwaste/minimize/chemlist/index.htm)to help

government and industry managers focus on reducing the

most harmful long term threats to the environment. Green

chemistry projects that have an impact on achieving the

Agency's national goal of reducing PBT chemicals in hazardous waste by 50% by 2005 will be on particular interest.

Examples of Pollution Prevention and Green Chemistry areas of interest include, but are not limited to:

• In-Process Recycling: Potential wastes or their

components can be reused within existing

operations.

• Novel cost-effective separation methods that

result in highly effective separation of useful

material from other components in a process

stream.

• Development of new bulk materials and

coatings with long life that have reduced

environmental impact in manufacture or use.

• Improved sensor and multivariate control of

manufacturing equipment and systems to

reduce waste or emissions. Advancements in

intelligent controls.

• Changes in the composition of end products

that allow fundamental changes in the

manufacturing process or in the use of raw

materials or that reduce the relative

environmental impact resulting from the use

and/or disposal of such end products. Of

particular interest are low cost, mercury-free

products for hospitals and medical applications,

including cleaning agents, fixatives and

hospital-specific products. More information is

available at the following web site: http://

www.uml.edu/centers/LCSP/hospitals

• Alternative Synthetic Pathways: The use of: (1)

catalysis/biocatalysts; (2) natural processes

such as photochemistry and biomimetic

synthesis; (3) alternate feedstocks that are more

innocuous and renewable (e.g., biomass, solar

energy).

• Alternative Reaction Conditions: The use of

solvents which have a reduced impact on

human health and the environment. The use of

solvents with increased selectivity that reduce

waste and emissions are a priority.

• New, cost-competitive technologies that reclaim

and reuse foundry sand.

• New and non-toxic anti-bacterial cleaning

products that sanitize food processing

equipment with minimal use of water.

Clean Technologies are of special interest in this

solicitation. Many industrial processes and treatment technologies still release large amounts of toxic chemicals into

the environment. Some technologies release small amounts

of persistent, bioaccumulative and toxic (PBT) chemicals,

including amounts allowed in environmental permits, that

can cause long term health or ecological problems. Persistent pollution problems, regulation costs and international

attention to reducing the release of PBT chemicals to the

environment have stimulated demand for research and development into cleaner processes and materials technologies that prevent pollution, reduce regulatory burden and

improve worker health and safety. An additional perceived

benefit of these “beyond compliance” technologies is the

reduced costs realized by lowering the amount of materials

used in production processes and the amount of waste

streams that must be treated and disposed. To continue to

achieve environmental improvements, we are interested in

bringing to the market a broader range of cleaner production technologies that result in reducing the environmental

impact of the entire manufacturing process.

We are interested in Clean Technology proposals that

address the industry sectors under EPA’s Sector-Based,

Environmental Protection Program (formerly, the Common

Sense Initiative) and the Design for the Environment/Small

Business Partnership, including metal finishing, printing,

electronics, garment and fabric care and adhesives manufacturing. Additional areas of interest include safer chemicals or processes for automotive repair facilities and automobile and appliance assembly plants. Examples of areas

of interest include, but are not limited to:

• Metal Finishing: EPA is interested in cleaner

technologies that result in closed loop or low/

no emission techniques for hard chrome plating,

use of trivalent chromium and other metallic

and non-metallic coating techniques that can

replace hard chrome plating, and simple,

inexpensive detectors that can monitor the

amount of chromium in the air—especially in

the presence of other pollutants (e.g., other

heavy metals and fine particulate matter).
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Technologies that reduce the use of cadmium,

lead and other heavy metals that have low or no

economic recycling value are of interest. New

low/no emission chlorinated solvent vapor

degreasing systems and technologies that

eliminate the need for cyanide are of particular

interest.

• Printing: EPA’s Design for the Environment

Program (DfE) has partnered with four sectors of

the printing industry—screen printing

reclamation products, lithography press

cleaning solvents (blanket washes), flexography

ink, and gravure technologies. Additional

cleaner technologies are needed for these

industry sectors so that printers have a cleaner,

safer, and more efficient way of doing business.

• Electronics and Printed Wiring Boards: The DfE

Printed Wiring Board (PWB) Project has

evaluated alternative technologies for the

making holes conductive step of PWB

manufacturing and is now evaluating lead-free

alternatives to the standard hot air solder

leveling surface finishing process. Additional

cleaner technologies are needed to reduce the

number and amount of toxic chemicals used

and the amount of hazardous waste generated,

and to reduce water and energy use.

• Garment and Fabric Care: Dry cleaners are small

businesses that are dependent on solvents

technologies, including chlorinated and

aliphatic hydrocarbon solvents. Emerging and

innovative technologies include liquid carbon

dioxide and commercial wet cleaning. More

innovation in this small business sector is

needed. A related area of interest is commercial

laundries. Partnerships in commercial laundries

are looking for alternatives to toxic and

persistent surfactants, chlorine bleaches, and

ecological undesirable builders.

• Adhesives: Development of low VOC adhesives,

caulks and sealers for automotive body

assembly operations and/or for the building

construction industry are needed.

We also welcome Clean Technology proposals that

reduce emissions and risks in other industries, most notably those for which there are EPA programmatic efforts that

are likely to highlight the need for and extend the potential use of these technologies. Such proposals include, but

are not limited to:

• Process Technology and Equipment:

Significant changes in the basic technology and

equipment of production, including

modernization, modification, or better control

of process equipment.

• Process Inputs: Changes in raw materials, either

to different materials (e.g., water instead of

organic solvents) or materials with different

specifications (e.g., lower levels of

contaminants).

B. PREVENTION, CONTROL AND

MONITORING OF MOBILE

SOURCE EMISSIONS

Research is needed on new, innovative and cost effective technologies that prevent and control mobile source

emissions, fuel modifications that reduce emissions and

monitoring technologies for particulates, hydrocarbons,

carbon monoxide, oxides of nitrogen and toxic air pollutants (TAP). Areas of interest include, but are not limited to:

• Technologies for improved evaporative

emission control systems in the areas of low

leak/no leak fittings and connectors and lines

and hoses with reduced or eliminated fuel

seepage and permeation.

• Innovative and cost effective techniques for the

control of particulate emissions from diesel

engines including on-road engines used in

passenger vehicles and trucks, and non-road

engines used in farm, construction, industrial,

lawn care and other non-road applications.

• New control technologies for controlling NOx

emissions from both diesel-fueled and gasolinefueled engines of all types.

• Innovative and cost effective measurement

technologies to characterize activity patterns

and ways in which mobile sources are used,

such as specialized urban operations such as

truck terminals, delivery truck terminal patterns,

and weekend traffic patterns for all road vehicle

types by time of day. For trucks, coupling the

above data with roadway grade and truck

loaded vehicle weight are also of interest. In

addition, activity patterns for non-road mobile

sources such as those used in construction,

industrial, and lawn care applications are
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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needed with a good degree of geographical

resolution.

• Innovative technologies to control a method of

combustion in engines known as Homogeneous

Charge Compression Ignition (HCCI). The

HCCI combustion method can result in low

NOx emissions and low particulate emissions at

the same time and this combustion method has

been demonstrated with a variety of fuels. The

Agency is interested in innovative ways to

control this combustion type in a practical and

cost-effective manner. It is expected that actual

engine testing will be needed to demonstrate

the effectiveness of any control approach.

• High pressure fuel pumps for direct injection

(DI) engines can utilize alternate fuels with low

lubricity and a more corrosive nature than

diesel fuel. Many clean fuels that could be used

in direct injection (DI) engines (e.g., dimethyl

ether, methanol, and ethanol) present serious

challenges for the design and operation of highpressure fuel pumps due to their low lubricity.

Such pumps should be able to demonstrate

durable performance or low lubricity fuels and

be of a practical manufacturable nature for

potential cost-effective implementation.

• Innovative and cost effective technologies to

control directly emitted submicron size

particles, secondary particles and organic

compounds from internal combustion and

diesel engines. Innovative NOx controls for

mobile sources and systems for reducing or

eliminating mobile source cold start emissions.

• Fuel sulfur removal: Sulfur-containing parts of

fuels can produce undesirable effects when the

fuel is burned. The sulfur oxides that are

emitted are undesirable and can be converted

into ambient particulate material. Also, sulfur

compounds in the fuel can interfere with the

effective operation of exhaust emission control

equipment that might otherwise be used on

diesels or gasoline-fueled vehicles. What is

needed is a novel cost-effective way to remove

sulfur from fuels used in mobile sources.

Technologies that represent ways that are not

now being explored are of most interest to the

Agency. Approaches with the capability to

control sulfur to less than 100 ppm will receive

the greatest interest.

• Novel, cost-effective ways to remove benzene,

1-3 butadiene, and other toxics from gasoline

and diesel fuel. Reducing or eliminating these

fuel elements would reduce the exposure to

people during the distribution and refueling

process.

• Real-time particle sizer: As the interest grows in

understanding the size distribution of

particulate emissions below 2.5 microns,

analytical instruments have become available

that can measure the size of distribution of the

particulates emitted from mobile sources. Most

current instruments are best used during a

steady state measuring point, that is, when the

particle-producing engine is operating at a

constant speed and torque. Unfortunately, in

actual use, the engines used in mobile sources

rarely operate at constant speed and load

conditions, and the Agency has expended a

good deal of effort to develop test procedures

which reflect the transient nature of actual

engine and vehicle use. What is needed is a

particle sizer that could operate in real time to

measure particle size distributions as a function

of time during a transient test. Both laboratorygrade and in-use grade instruments are needed.

• Cost-effective, rapid, broadly inclusive

measurement of emissions from in-use vehicles

and engines: In order to assess the effectiveness

of the controls used on mobile sources,

measurement technologies are needed that can

measure emissions from engines and vehicles in

use. Measurement approaches fall into two

broad classes: 1) for the measurement of

emissions that would permit recall or other

enforcement actions and 2) for the measurement

of emissions that would allow gross emitters to

be identified for necessary corrective action.

Instrumentation which could be temporarily

attached to a vehicle and instrumentation which

can be operated remotely from the vehicle are

both of interest. Instrumentation is needed that

will measure HC, CO, NOx, particulates, and

smoke for both gasoline-fueled and dieselfueled vehicles and engines, including those

engines and vehicles used for over-the-road cars

and trucks and those used for construction

equipment, lawn and garden equipment, and

other small engines.

• Nitrous oxide instruments: In addition to

carbon dioxide (CO2

) and methane (CH4),
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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nitrous oxide (N2O) is a greenhouse gas which is

emitted from mobile sources and which may be

a concern. The Agency already has analytical

capability to measure CO2 and CH4 using

acceptable laboratory methods. What is needed

is an instrument that can measure N2O that

would be more cost-effective than the current

FTIR method.

• Source apportionment for particulates: When

samples are taken of the particulate material in

the atmosphere, it is of great interest to the

Agency to know which sources contributed to

the overall particulate material measurements.

To the extent that the Agency’s ability to

apportion the overall result to the sources that

caused it improves then control strategies can

be refined to be more cost effective. What is

needed is a source apportionment methodology

(including instrumentation) that is rapid, costeffective, and unambiguous. It would be

desirable to be able to determine what percent

of the ambient particulate came from mobile

sources and of that how much came from dieselfueled vehicles and how much came from

gasoline-fueled vehicles. Further apportionment

within the mobile source fraction would also be

desirable. To the extent that the methodology

and instrumentation can also be applied to

source apportionment for stationary sources of

emissions, the Agency’s interest would, of

course, increase.

• Development of a small, portable analytical

instrument that can be transferred between

mobile emissions sources, such as construction

equipment or lawn and garden equipment

engines during their actual use to measure CO,

CO2, NO, and hydrocarbons.

• Development of a small, portable analytical

instrument and procedures for measuring fine

particulate matter less than or equal to 2.5

microns aerodynamic diameter from mobile

emission sources, such as construction

equipment or lawn and garden equipment

engines.

C. PREVENTION AND CONTROL

OF INDOOR AIR POLLUTION

This topic focuses on indoor environmental quality

engineering research directed at: (1) determining the nature

of indoor air emissions and surfaces and how they contribute to human exposure, and (2) developing cost-effective

tools, techniques, and technologies necessary to prevent or

reduce individual exposure to indoor environmental pollutants. Areas of interest include, but are not limited to,

development of:

• Methods to prevent biocontaminant growth in

the indoor environment.

• Techniques to prevent/avoid dermal and/or

ingestive exposure to hazardous chemicals on

surfaces found in the indoor environment.

Avoiding exposure by children and infants is of

special interest.

• Air cleaners with improved ability to remove

volatile organic compounds and small

particulates from indoor air.

• Improved particulate air filters for residential

and commercial heating, ventilating, and airconditioning (HVAC) systems.

• Innovative, cost-effective techniques for

conditioning outdoor ventilation air.

• New consumer/commercial products, building

materials, or equipment that reduce the

availability of harmful contaminants within the

indoor environment. This could include

reformulation or redesign of products, materials,

equipment or substitution with lower-emitting

raw materials. For example, a consumer interior

paint or household cleaning product might be

reformulated with lower-emitting raw materials

so that it emits less into the indoor environment.

D. PREVENTION AND CONTROL

OF NOx, VOC’S, SO2

,

PARTICULATES AND TOXIC AIR

EMISSIONS

Research is needed on new, innovative and cost-effective approaches that prevent or control emissions of

nitrogen oxides (NOx), fine particles, volatile organic compounds (VOC), or toxic air pollutants (TAP) from stationary

sources. Systems that can be used to control combinations

of these pollutants are of particular interest. Areas of interest include, but are not limited to:
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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• Innovative and cost-effective techniques to

control directly emitted submicron size

particles, secondary particles and organic

compounds from stationary sources. Sources of

particular interest include boilers, smelters and

animal waste operations.

• Innovative NOx controls for stationary sources

and cost effective techniques to control

emission streams with low concentrations of

TAPs. VOC and TAP emission controls and

prevention technologies for area sources, such

as gasoline marketing operations, surface

coating operations and solvent usage related to

consumer and commercial products.

• New, cost-effective sulfur oxides control

techniques for the large number of smaller SO2

emitters targeted for regulation by States as

impacting short-term air quality standards from

their relatively high concentration of SO2 in

stack gases.

• Advanced systems to capture gaseous

contaminants such as acid gases, dioxins, and

volatile metals simultaneously with SO2.

Techniques that control multiple pollutants,

such as SO2 and NOx, or SO2 and toxic metals,

with one process step are of special interest.

• Cost-effective techniques to control and/or

remove toxic air emissions, such as heavy

metals, nitroaromatics, and other extraordinarily

active mutagens in vent and flue gases from

combustion and/or industrial sources. Mercury

from coal-fired combustors is of special interest.

Also included are isocyanates from auto refinish

spray painting and brominated flame retardant

dust from plastics manufacturing operations.

• Innovative clay-based or other inexpensive

sorbents for selective removal of toxic and other

air pollutants from coal-fired power plant

emissions. Control of mercury is of special

interest.

• Technologies that allow leaking valves to be

safely repaired on-line.

E. DRINKING WATER TREATMENT

The Safe Drinking Water Act requires that public

water supplies be disinfected and that EPA set standards

and establish processes for treatment and distribution of

disinfected water to ensure that no significant risks to human health occur. The EPA Science Advisory Board has

ranked pollutants in drinking water as one of the highest

health risks meriting EPA’s attention due to the exposure of

large populations to contaminants such as arsenic, lead,

disinfectant by-products (DBPs), and disease-causing organisms. Disinfectants are used by virtually all surface

water systems in the U.S. and many systems that rely on

ground water. Chlorine has been the most widely used and

most cost effective disinfectant. However, disinfection

treatments can produce a wide variety of by-products,

many of which have been shown to cause cancer and other

toxic effects. Recently, there has been concern that water

quality can deteriorate dramatically during distribution

unless systems are properly designed and operated. While

disinfection is an integral part of water treatment, filtration

is necessary in surface water systems to reduce pathogen

levels and make disinfection more reliable by removing

turbidity and other interfering constituents.

Innovation is needed to upgrade existing techniques

as well as to develop new approaches to address these

problems. Areas of interest include, but are not limited to:

• Alternatives to chlorine disinfection for

removing pathogenic microorganisms,

including innovative applications of ultraviolet

radiation and processes that improve overall

effectiveness while using reduced amounts of

disinfectant.

• Development of innovative unit processes,

particularly for small systems, for removal of

organic, inorganic and radionuclide

contaminants (such as perchlorate, aluminum,

pesticides, arsenic, nitrate, radium, etc.),

particulates, and pathogens (e.g., cyst-like

organisms (Cryptosporidium) and emerging

pathogens like caliciviruses, microsporidia,

echoviruses, coxsackieviruses, adenoviruses,

and others on the Drinking Water Contaminant

Candidate List).

• Development of efficient, cost-effective

treatment processes for removing disinfection

by-product precursors and innovative methods

that minimize their formation.

• Improved methods for controlling pathogens

through coagulation/settling, filtration or other

cost effective means.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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• Drinking water contamination control between the

treatment plant and the user; especially

considering potential chemical leaching (copper

and lead) from distribution system materials and

surfaces and biological regrowth in the

distribution system. In particular, development of

innovative unit processes for the control of copper

leaching in waters with neutral pH and high

dissolved inorganic carbon.

• Implementation of centrally-managed Point-of-Use

drinking water control methods, especially for

control of arsenic.

• New methods to manage residuals from drinking

water treatment, including coagulant recovery and

beneficial reuses. Membrane brines and treatment

of backwash are a concern. Reuse of regenerant

brines and their ultimate disposal is also a concern.

F. MUNICIPAL WASTEWATER

TREATMENT, SEPTAGE AND

BIOSOLIDS MANAGEMENT

Research is needed to improve existing municipal

wastewater treatment processes and treatment and management of septage and sewage sludge (biosolids). Existing treatment and management systems often fail to perform as intended due to unforeseen factors not considered in the plant

design, usually related to upsets in the process itself or inefficiencies in ancillary treatment and control processes. Specific

areas of interest include, but are not limited to:

• Process technologies and cost effective

modifications to enhance reliability of achieving

secondary and reuse quality effluent from facilities

with design flows less than 5 million gallons per

day (mgd).

• Process concepts and cost effective modifications

to enhance reliability of achieving high

efficiencies for municipal wastewater treatment

systems from facilities with design flows less than

50,000 gallons per day.

• Cost-effective alternatives to the chlorination of

outfalls from municipal wastewater treatment

plants, emphasizing the identity and

characteristics of by-products associated with the

alternative treatments.

• More-cost effective techniques for removing

phosphorus and nitrogen nutrients from

municipal wastewater, particularly in small

(<10,000 population) or decentralized systems.

• Nontoxic anti-biofoulers are needed for exotic

biological species such as the zebra mussel.

Development of nontoxic methods to control

such species would be a major contributor to

the protection of the Great Lakes and many

inland waterways.

• Innovative methods to manage and treat

septage.

• New treatment techniques for unsewered

residential and commercial wastewaters to

permit onsite reuse, thus reducing the demand

for larger centralized sewage systems.

• Process concepts and modifications to enhance

reliability of achieving Class A biosolids

quality and biosolids vector attraction

requirements of 40 CFR Part 503. Methods to

control pathogenic bacteria, enteric viruses and

viable helminth ova to below analytical

detection levels.

• Process concepts and modifications to create or

enhance the use of natural systems (e.g.,

aquaculture, land treatment), especially for use

with small flows.

• Cost effective treatment technologies for

removal of pesticides from discharges to surface

waters.

G. INDUSTRIAL WASTEWATER

TREATMENT INCLUDING

MINING AND FEEDLOTS

Research is needed to address environmental and

public health problems associated with animal feeding

operations, including management of animal manure and

by-products. Innovative methods are needed to improve

existing industrial wastewater treatment processes which

often fail to perform as intended due to unforeseen factors

not considered in the plant design, usually related to upsets or inefficiencies in the treatment processes. Mercury

contaminated surface waters and ground waters are of special interest. Areas of interest include, but are not limited

to:
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• Technologies to contain and treat uncontrolled

air and unsewered wastewater from animal waste

from large animal husbandry operations

including pig, chicken, and turkey farms.

Development of methods that complement or

replace existing lagoon and field spraying

operations that release ammonia to the

atmosphere, saturate and contaminate ground

water and overflow into waterways during

periods of heavy rainfall.

• Technologies that minimize adverse

environmental impacts associated with cooling

water intake structures that direct water into a

facility to the first intake pump(s). The primary

concern is the impingement and entrainment of

fish and other aquatic organisms in the facility’s

intake structure. Impingement refers to the

trapping of fish and other aquatic life against

cooling water intake screens. Entrainment

occurs when aquatic organisms, eggs and larvae

are sucked into the cooling system, through the

heat exchanger and then are pumped back out.

New and cost effective technologies should

focus on the location, design, construction and

capacity of the cooling water intake structure to

minimize adverse environmental impacts.

• Process concepts and modifications to enhance

reliability of achieving high efficiencies for

industrial wastewater treatment systems from

facilities with design flows less than 50,000

gallons per day.

• Economical processes for treating drainage from

abandoned factories, coal mines, etc., including

low-cost methods of augmenting coal mine

spoils, treating drainage and spoil.

• Innovative techniques and technologies for

management of runoff from mine wastes (i.e.,

overburden, leachate and solids from tailings).

• Low cost processes for controlling wastewater

discharges containing volatile or toxic organic

pollutants or pesticides.

• Innovative technologies are needed to monitor

and treat bilge/ballast water within vessels,

especially important for the Great Lakes,

Houston Ship Channel, Baltimore Harbor, etc.

• Cost-effective alternatives for treating and

recycling animal manure, including use of these

organic residues as a source for methane-rich

fuel gas for combustion and/or protein or fiber

as feedstocks for construction materials and

other specialized products.

• Mercury contaminated surface water and

groundwater is of special interest. Technologies

are needed to remove mercury in its various

forms including methylmercury. Also needed

are innovative technologies and robust

extractants (i.e., cross-linked polystyrene

polymers, selective ion-exchange resins, special

membranes) that selectively remove mercury

even in the presence of competing metal ions

(e.g., Hg(II), Cd).

H. STORMWATER MANAGEMENT

AND WET WEATHER

POLLUTION CONTROL

Research is needed to improve the treatment and

control of storm water runoff before it is discharged to surface and ground waters in urban areas. Urban runoff from

transportation corridors carries trash, sediment, oil and

grease, nutrients, metals, and petroleum hydrocarbons that

may be characterized as “ultra urban” pollutants. Many

densely urbanized areas are not suitable for the application

of land-intensive storm water control measures such as wet

ponds, vegetated swales, and infiltration trenches. Alternative technologies, including manufactured devices, will

provide public officials with a wider array of options to

effectively address storm water treatment issues in urbanized areas. These control measures fall into a number of

categories, including catchment inlet traps or inserts, oil/

grease and debris separators, sedimentation chambers, filtration chambers, and detention/exfiltration systems. The

development of innovative technologies to treat urban

runoff from roads, bridges, and other impervious surfaces

will enhance the ability of States and municipalities to

effectively address the EPA Phase II Storm Water Regulations and improve the quality of storm water discharges.

Areas of needed research and interest include, but are not

limited to:

• Development of cost-effective technologies for

preventing toxic substances and pollutants from

entering storm or combined sewer/drainage

systems.

• Development of monitoring technologies and

equipment to measure the characteristics and
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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impacts of wet weather flows (WWF), including

pathogenicity.

• Development of high-rate and high-efficiency

WWF treatment technologies suitable for

retrofitting existing wastewater treatment plants

as well as for new installations.

I. REHABILITATION OF URBAN

INFRASTRUCTURE SYSTEMS

The aging condition of our cities and deterioration of

infrastructure includes water distribution and sewerage

systems. This provides an important research area addressing how to repair and maintain this infrastructure. The

costs are staggering; the national investment in sewers

alone approaches $1.8 trillion. Excessive flow to the sewer

system from infiltration and inflow (I/I) robs the capacity of

the sewer system and negatively affects proper operation of

the entire sewerage system. I/I has caused surcharging of

sewers, wastewater treatment plants and pumping stations.

Building connections to the street sewers or laterals can

contribute as much as 70 - 80% of the infiltration load.

With current technology, building connection rehabilitation may not be economically feasible because of the sheer

number of connections. Less expensive technologies other

than acoustic approaches are needed to detect leaks, forecast structural failures, and repair/ rehabilitate sewers and

other utility pipelines such as municipal pressurized water

distribution and possibly heat distribution systems. Areas

of needed research and interest include, but are not limited

to:

• New sewer materials and construction/

maintenance techniques and new technologies

to repair existing sewer infrastructure at an

acceptable cost.

• New technologies to construct, maintain, and

repair new and existing urban utility/steam and

water distribution systems infrastructure at an

acceptable cost.

• New pipe materials, relining techniques and

innovative materials for water distribution

systems.

J. RECYCLING OF MUNICIPAL SOLID

WASTE

The nation’s growing recycling infrastructure includes more than 12,000 drop-off sites and some 9,000

curbside programs that collect recyclable materials from

municipal solid waste (MSW). In 1996, over 27% of MSW

was recycled. This means that in 1996 alone more than 57

million tons of recyclable materials from MSW re-entered

manufacturing processes to make new products and packaging. MSW recycling is a complex and growing industry

ripe for innovation both in the collection of recyclable

materials and in the processing of those materials into usable goods. Areas of interest for innovation include, but are

not limited to:

• Storage, collection, and transport of recyclables

from multi-family and single family residences,

including high-rises, and from commercial

establishments such as stores, restaurants,

construction sites, etc.

• Processes to separate recyclables (e.g., various

plastic resins) and to remove contaminants (e.g.,

adhesives not soluble in water) from recyclable

materials.

• On-site or en route processing of recyclables

(e.g., bottle crushing at bars or restaurants, paper

processing at offices or print shops, plastics

shredding on collection trucks).

• Technologies for improving quality control for

recyclable materials or to identify the extent to

which contaminants are present.

• Alternative or new uses and products for

recyclable materials (e.g., using recycled glass

bottles to produce something other than glass

bottles, using recycled newspaper to produce

something other than newsprint, using plastic

bottles to produce something other than

bottles).

• Innovative recycling of organics (e.g., using the

compost process to treat manures, composting

of restaurant wastes, using compost for

bioremediation).

• Re-designing products to enhance their

recyclability (e.g., recycling-friendly adhesives,

bottle coatings to substitute for colored glass).
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K. PREVENTION, RECYCLING,

TREATMENT AND DISPOSAL OF

HAZARDOUS AND NONHAZARDOUS SOLID WASTES

AND SEDIMENTS

Solid wastes appear in various forms and may be hazardous or non-hazardous in character. In practice, numerous

approaches are used to manage these wastes, including

recycling, incineration or other treatment, and disposal in

conventional or special landfills. Contaminated sediments

now appear to be the main source of toxic contaminants in

many bays, lakes, and rivers. Innovative approaches to

address these problems are needed in areas including, but

not limited to:

• Improved treatment and disposal of solid and/or

liquid wastes or sediments, including

detoxification, solidification, chemical

treatment, neutralization, or otherwise fixing

organic waste prior to disposal in landfills. New

methods are also needed for cost-effective

treatment and removal of PCBs from

contaminated sediments.

• Multiple recovery and recycling of different

plastic materials in automobile salvage

operations.

• Innovative methods for the operation and control of high temperature waste combustion incinerators that lead to reduced contaminant

release through air, water, or residual ash

streams. Of special interest is mercury, one of

the worst emission problems for waste incinerators. The current technology for capturing mercury is injection of sorbents/reactants into the

flue which results in the capture of mercury

along with fly ash in electrostatic precipitators

or baghouses. This creates a problem with disposal of the mercury-contaminated fly ash or

scrubber solution. Improved technologies are

needed to retrofit incinerators for optimum capture of the mercury and minimization of mercury-contaminated waste by-products.

• Advanced hazardous constituent destruction

technologies using cost-effective thermal,

chemical and biological detoxification

methods.

• Advanced physical separation techniques that

make wastes easier to treat or destroy by

moving the metal/organic constituents from one

medium to another.

• Recovery processes which may enable the

economic recovery of valuable components

from solid waste that may then be sold and/or

recycled off site.

• Innovative new uses for waste materials from

industrial sources, particularly for materials of

which large amounts are not being recycled

presently, to reduce landfill and disposal costs.

• Innovative ways of preventing or treating/

detoxifying wastes prior to land disposal,

particularly those containing highly persistent,

bioaccumulative and toxic constituents (e.g.,

improved means of leaching toxic constituents

from wastes in a landfill environment to render

the wastes innocuous within the period of

operation and post-closure care). Of particular

interest are immobilization technologies

suitable for mercury-bearing wastes. More

information on the Agency’s strategy for “PBT

Chemicals” is available at the following web

site: http://www.epa.gov/pbt

• An improved technique for the rapid removal of

the paint from a variety of architectural surfaces.

The system should soften and/or loosen the

paint film and physically strip it from the

surface to comply with the Housing and Urban

Development (HUD) cleanliness standards. The

method should minimize the generation of

small dust or fume particles while capturing the

paint film as it is removed. It should be four or

five times faster than existing techniques and

avoid the use of toxic and/or hazardous

chemicals, especially volatile organic

compounds. The system must produce a surface

that can be repainted or include an inexpensive

refinishing step to permit refinishing.
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L. REMEDIATION OF

ORGANICALLY

CONTAMINATED SOIL,

SEDIMENTS AND GROUND

WATER

Certain locations within the United States have become contaminated with hazardous and toxic organic substances or agents. These contaminants have permeated and

adsorbed onto soils, diffused to interstitial saturated zones,

dissolved into ground waters and migrated to subsurface

aquifers. In many instances, these contaminants have exhibited physical and chemical properties that make them

difficult to remove from the environment. They may exist

in subsurface deposits as immobile gums or sludges difficult to access. They may be resistant to normal subsurface

chemical and biological degradation processes. They may

strongly adsorb on soil structures and be only slightly

soluble in aqueous concentrations.

Proposals are solicited that will result in the development of innovative, cost-effective methods for the in-situ

or ex-situ treatment or extraction of hazardous organic

waste contaminants using physical, chemical, and biological techniques. Also needed are in-situ technologies that

mobilize contaminants to make them more amenable to

subsequent ex-situ or in-situ treatment or extraction. Biological techniques that utilize genetically engineered microorganisms can be included in this solicitation, but will

require the proposer to provide any special clearances

needed for such projects. Clearance information on genetically engineered bioremediation microorganism use can be

obtained from EPA’s Office of Pollution Prevention and

Toxics (contact Jim Alwood at (202) 260-1857). Information on the EPA biotechnology program is available at the

following web site: http://www.epa.gov/opptintr/biotech/

Of special interest are innovative ex-situ and in-situ

treatment technologies for mercury-contaminated soil,

sediments and groundwater. Also, mercury is a contaminant

under buildings and in buildings, sumps and drains. Innovative and cost effective technologies are needed in areas

including, but not limited to:

• Mercury exists as organo-mercury complexes,

phenyl mercury, methyl mercury and mixed

mercury wastes. Cost effective, innovative

technologies are needed to treat, remove, or

immobilize these forms of mercury.

• Chemical detoxification, such as neutralization

and dehalogenation or electrochemical

decomposition.

• Physical methods for subsurface mixing to

enhance mobilization and mass transfer.

• Biotreatment methods in the saturated and

unsaturated zone.

• Approaches for detecting, degrading and

removing dense non-aqueous phase liquids

(DNAPL) from ground water. DNAPLs are usually

highly concentrated, small pockets or strands of

semi-pure VOCs. Special needs include better

methods for locating DNAPL pockets and costeffective in-situ destruction technologies.

• Improvement in nutrient and chemical reagent

delivery systems for biological or chemical

methods.

M. TREATMENT OR REMOVAL OF

HEAVY METALS AT

CONTAMINATED SITES

Environmental contamination at various sites often

includes both toxic and hazardous organics and heavy

metals. Topic L specifically deals with the organics and

this topic addresses the heavy metal components. The goal

is to treat or remove heavy metals from the soil, vadose

zone or ground water. Research and development efforts

that employ physical, chemical and biological techniques

for the mobilization of the heavy metals must describe the

subsequent heavy metal removal methods. Treatment of

complex mixed wastes, especially containing heavy metals, are of interest. Mercury is a special problem. Improved

technologies are needed for mercury-contaminated wastes.

Physical separation, thermal processing involving volatilization and condensation, hydrometallurgical processing

and solidification and stabilization (S/S) are applied to

control mercury. Technologies that are capable of separating and recovering mercury from the waste matrix are preferred over S/S technologies.

Opportunities for innovation in the themes listed

below are provided as examples only and are not meant to

be all inclusive.

• Ex-situ/in-situ cost effective and innovative

treatment processes for the removal of mercury

and heavy metals including: physical
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separation, thermal processing (i.e., in-situ or

high vacuum thermal desorption),

electrokinetics or S/S technologies.

• Ex-situ/in-situ remediation of mercury in

ground water or surface water including low

cost ion exchange resins, polymers, ligands or

ceramic media.

• Physical methods for subsurface mixing to

enhance mobilization and mass transfer of

heavy metals.

• In-situ treatment of soils, sediments, and

sludges.

• Improved methods for treatment of heavy

metals by reduction of their bioavailability in

soils.

• Improvement in nutrient and chemical reagent

delivery systems for biological or chemical

methods for heavy metals removal.

• Improvement in heavy metal reaction product

recovery and separation systems that enhance

the commercial value of these products.

N. MONITORING AND

MEASUREMENT

TECHNOLOGIES FOR

HAZARDOUS WASTE SITES

EPA’s Office of Solid Waste and Emergency Response

(OSWER) is undertaking an initiative to advance new systems for monitoring hazardous waste sites. OSWER believes that there have been significant technological advances in recent years in the areas of chemical constituent

identification and quantification, geophysical analysis,

and information management. These advances could dramatically improve capabilities to characterize sites, monitor remedial activities and provide long term monitoring

for closed sites. OSWER’s Monitoring and Measurement

Technologies for the 21st Century or 21M2 initiative will

identify and support promising measurement and monitoring technologies in response to waste management and site

cleanup program needs. OSWER will aggressively pursue

the transfer of information and lessons learned to professionals in the hazardous waste management and site

remediation communities.

EPA has identified areas where significant technology needs or gaps exist and, thus, require research to help

address these needs. For the current fiscal year EPA waste

programs are seeking research proposals for in-situ sensors

for monitoring groundwater contamination and treatment

system performance. Technologies are needed as follows:

• As more and more pump-and-treat (and other

water treatment) systems enter the operations

and monitoring phase of implementation,

techniques which either effectively monitor the

behavior of the contamination plume or the

performance features of the system are essential.

In-situ sensor technologies or techniques are

needed which either improve the capacity to

monitor the presence and concentration of

contaminants, particularly chlorinated solvents,

in the saturated zone or significantly decrease

the cost of existing techniques for monitoring

these contaminants. Techniques which allow for

remote operations through telemetry are also of

interest as are techniques, which in conjunction

with modeling processes, allow for optimization

of monitoring and/or operating treatment

systems.

• Federal and state underground storage tank

(UST) cleanup programs need remote-telemetry

compatible sensors that measure reductions in

BTEX or MTBE levels in soil and groundwater

at several hundred thousand ongoing and new

UST cleanup sites. These sensors should

produce either continuous or statisticallydetermined periodic signals indicating BTEX or

MTBE levels or both. Each sensor should have

a self-contained power source with a life of 3 to

5 years and be capable of interfacing with either

remote-telemetry data-capture systems or handheld data-capturing devices applied on-site.

EPA has also identified significant technology needs

for research proposals for continuous emissions monitors

for use with thermal hazardous waste treatment systems,

remote sensing for fugitive emissions, new monitoring

methods for cyanides and cyanide speciation, leak detection technologies for small landfills, monitoring for mining

waste sites, technologies for locating and monitoring

DNAPL contamination, UST internal inspection methods

and non-invasive monitoring technologies for mercury and

heavy metals in soil. Technologies are needed as follows:

• Compliance with air emission standards or

limitations has traditionally been determined

by initial and periodic “stack tests”, and
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establishment of operating parameters with the

goal of ensuring day-to-day compliance. This

approach involves long time intervals,

uncertainties that day-to-day emissions are

meeting acceptable limits and questions about

measuring all of the potential “products of

incomplete combustion” (PICs). Technologies

or techniques are needed which allow real-time/

near real-time ability to measure stack emissions

for toxic organic and heavy metal air emissions.

The current standard for dioxins and furans is 30

ng TEQ/dscm. According to EPA’s combustion

strategy (November 1994), the proposed new

performance standard for Municipal Waste

Combustors is 0.2 ng TEQ/dscm. Technologies

and techniques for dioxin and furan monitoring

are needed which address the problem that these

contaminants can occur in both gaseous form

and attached to particulate matter.

• Remote optical sensing is needed for fence-line

monitoring for fugitive emissions and

enforcement activities. Emergency response/

removal operations, compliance/enforcement

functions, and operation of treatment

technologies in both the Superfund and

corrective action programs require systems that

effectively monitor for fugitive emissions of

hazardous air pollutants along the “fence-line”

of a site. The effectiveness of a fence-line

monitoring technique is a function of the length

of the fence line, number of monitoring points,

the receptors’ locations, the source size and

strength, and the compounds of concern. Real

time/near real-time monitoring of toxic organic

pollutants is needed at all points downwind at

the fence-line of a facility using remote optical

sensing technology.

• New monitoring methods are needed for total

cyanides and cyanide speciation. To prevent

adverse effects from acute exposure from

cyanide, EPA must monitor for release of toxic

levels of cyanide. This capability is essential to

protect human health, prevent deaths, enhance

credibility of regulation. EPA needs more

accurate, reliable, and enforceable technologies,

techniques and tests to monitoring for total

cyanides and to speciate cyanides. The Agency

is particularly interested in techniques based on

alkaline digestion and ion chromatograph.

• Leak detection technologies are needed for

small municipal landfills. There are

approximately 3,000 municipal solid waste

landfills in the U.S. Over 2,000 are owned by

local governments with populations under

10,000 where ground water monitoring is a

relatively large cost. At the same time, ground

water monitoring is essential to guard against

leachate contamination which is the greatest

environmental threat from landfills.

Development of cost-effective monitoring

would help to solve this dilemma between

insurmountable financial burden and

environmental threat. Cost effective

technologies are needed which allow for

protective methods to verify the integrity of

and/or detect leaks from municipal landfills,

focusing on the special needs of smaller

capacity facilities. Examples may include (but

are not limited to) remote platforms that provide

cost-effective monitoring of the integrity of

engineered covers. In addition, sensors are

needed to monitor the integrity and

effectiveness of slurry walls and liners. This

need includes systems designed for

containment purposes and systems designed for

containment and passive treatment (e.g.,

permeable reactive barrier systems). Such

platforms/sensors, with appropriate telemetry,

should allow timely remedial action that

minimizes the frequency and extent of

contaminant releases from the containment

system and reduces the potential for human and

environmental exposure.

• Monitoring technologies are needed for mining

waste sites. The presence of very large mining

waste sites, particularly in the western states,

presents a significant health and environmental

threat with no cost-effective solution.

Superfund mining sites pose a unique and

significant challenge because they often cover a

large geographic area and include a very large

volume of contaminated media resulting from

mining operations (e.g., waste materials from

mine excavation or mineral separation activities

or contaminant releases from such activities).

The ability to characterize and monitor releases

from these sites is vital to understanding the

risks, and developing appropriate remedial

approaches. The Agency needs low-cost, low

maintenance monitors and advanced remotesensing based tools (i.e., air and space-borne)

for characterizing the extent of contamination

at very large mining waste sites, monitoring

releases, assessing risks, and planning and
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implementing remediation measures. These

tools should provide information on the

location and areal extent of mining activities

and related waste piles; on the nature and extent

of releases from active and inactive mines; and

on contaminants, particularly metals, and their

concentrations.

• Technologies are needed for locating and

monitoring DNAPL contamination. Monitoring

for the presence and persistence of non-aqueous

phase liquids (NAPLs), particularly dense nonaqueous phase liquids (DNAPLs), presents a

continuing challenge to the operation and

effectiveness of remedial systems for treating

contaminated ground water. Accurately locating

and addressing DNAPL contamination is

essential to designing and implementing

effective systems. EPA needs non-invasive or

minimally invasive technologies or techniques

which can locate, identify, and characterize

DNAPL contamination in the subsurface.

Technologies should be capable of locating

small volumes of DNAPL, assisting with the

characterization of the contamination, assisting

with the visualization of the DNAPL relative to

the feature of the subsurface hydrogeology, and

supporting the optimization of treatment

systems.

• Internal Inspection Methods are needed for

Internally-Lined Underground Storage Tanks

(USTs). EPA estimates that 50,000 to 100,000

USTs are internally-lined and will need to be

periodically inspected in order to continue to

meet State and Federal UST requirements. States

have expressed a concern over how these

inspections will be conducted as tank linings

become 10 years old. Currently the

Environmental Protection Agency (EPA) is

aware of only one code of practice for

conducting the internal inspection, National

Leak Prevention Association (NLPA) Standard

631, Chapter B. NLPA 631 requires human

entry into the UST to measure thickness,

hardness, conduct a holiday (spark) test, and

perform ultrasonic measurements on the steel

tank shell. State inspectors and owners/

operators of lined USTs would benefit from

having multiple technologies available for

internally inspecting internally-lined USTs.

EPA is seeking technologies/methods for

conducting the inspection that can meet the

regulatory language at 40 CFR part 280.21

which requires the following be done (for

petroleum and hazardous substance tanks) in

accordance with a code of practice developed

by a nationally recognized association or

independent testing laboratory: Within 10 years

of lining and every 5 years thereafter, the lined

tank is internally inspected, the lined tank is

found to be structurally sound, and 3/4 the

lining is still performing in accordance with

original design specifications.

• New, leak detection technologies are needed for

detecting releases from underground storage

tanks (UST) and pipes that are more sensitive,

less prone to human error and cost effective.

Over 800,000 UST systems must conduct leak

detection. However, even at UST sites where

leak detection is performed, releases are usually

discovered by other means. While there are

multiple leak detection technologies in use,

most only detect a release once it exceeds a

certain threshold (e.g., flow rate). In addition,

the regulated community, which includes many

small businesses and governments, is frequently

stymied by the complexity of current

technologies. The Agency is concerned that

current technologies and thresholds may not be

effective, given the prevalence of substances,

such as MTBE, that are more mobile and

persistent in the subsurface than BTEX.

• EPA needs field instrumentation to enhance

characterization of soil at sites in the U.S. that

have become contaminated with mercury and

heavy metals. Of special interest are new, noninvasive technologies such as electromagnetic

radiography that eliminate core sampling, save

time and reduce monitoring costs.

O. ADVANCED MONITORING AND

ANALYTICAL TECHNOLOGIES

The purpose of this program is to advance measurement science by stimulating research on new approaches to

solving environmental monitoring and measurement problems. EPA is interested in both remote and in-situ measurements approaches. EPA is also interested in the adaption or

extension of existing techniques from other, nonenvironmental fields that can provide significant improvements in current environmental measurements. Specific

areas of interest include, but are not limited to:
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• Portable measurement technologies that can be

used in the field to eliminate packaging and

shipping samples to distant laboratories, and

yield real time information at a lower cost. Such

technologies need to be rugged, sensitive, and

suitable for the wide variety of samples that are

commonly analyzed, including industrial

wastes, incinerator stack emissions, industrial

waste waters, and drinking water (source water

assessment and for use in the distribution

system). Ability to measure multiple pollutants

simultaneously would be a plus factor. Rapid

field tests are also needed by personnel

responding to crisis situations such as spills and

accidents.

• Improved measurement of microbial pathogens

in drinking water systems is of special interest.

Improved methods for Cryptosporidium are a

priority. Better methods are also needed for

measuring other cyst-like organisms and

emerging pathogens like caliciviruses,

microsporidia, echoviruses, coxsackieviruses,

adenoviruses, and others on the Drinking Water

Contaminant Candidate List. Inaccurate and

highly variable methods contribute to

uncertainty of the extent of health risks from

exposure to drinking water containing these

pathogens including the viability of cysts,

oocysts and viruses found in drinking water

systems. Research is needed to develop

practical, low cost, accurate, and specific

methods to identify and quantify viable

pathogens in raw and finished drinking water

systems.

• Improved measurement of disinfection byproducts (e.g., for ozonation: bromate,

aldehydes; for chlorination: chloropicrin,

haloacetonitriles; for chloramination: organic

chloramines, cyanogen chloride). Innovative

approaches for disinfectants (in particular

ozone) and precursors are needed, as well as

portable measurement technologies and rapid

field test kits.

Major improvements in process control, compliance

monitoring, and environmental decision making could be

made if more accurate, less costly, more rugged techniques

were available, including remote sensing devices, that

would yield continuous data on pollutant concentrations

in environmental media. Examples of situations where

advances are needed include, but are not limited to:

• Continuous monitors of toxic metal

(particularly mercury) and/or organic

compound emissions from high temperature ,

complex matrix sources such as incinerators,

fossil fuel based power plants, cement kilns, and

smelters.

• On-line, in-situ monitors for drinking water,

including source water monitoring and

protection, treatment and distribution system

monitoring.

• Continuous monitors of release of volatile

compounds from complex point sources or area

sources such as tanks, pipes, valves, landfills,

and contaminated soils under ambient

conditions.

• Measurement of physical, chemical, and

biological water quality parameters. Instream

water monitoring devices that economically

record physical parameters and specific

chemicals in situ and send information in real

time to receiving stations.

• Continuous monitors of organic and inorganic

toxicants in municipal and industrial waste

water and their impact (toxic effects) on

receiving waters.

• New on-line measurement techniques for

continuous monitoring and process control of

metal or trace organic air pollution emissions.

Instruments to measure air quality from

nonpoint sources such as pesticide drift and

construction-related dust.

• Alternative monitors that provide similar data

to expensive monitoring wells of ground water

resources, including refinements of CPT/

hydropunch techniques.

• Development of a portable, integrated system

that can capture and measure in real time large

leaks from refineries and other oil and gas or

chemical process equipment flanges, valves,

and pump seals.

• Technologies that detect leaks of organic and

inorganic chemicals from the perimeter of the

process unit. Technologies with the ability to

detect leaks of a variety of chemicals, at least as

sensitive as the current Method 21, the ability

to operate from the perimeter of a chemical
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process unit, and technologies with a sufficient

resolution to identify the specific component

that is leaking.

• Cost effective monitoring technologies which

are capable of monitoring multiple toxic air

pollutants (TAP), ambient monitoring

techniques for TAP and technologies that can

be used for compliance monitoring purposes.

• Measurement of the size distribution and dry

mass of inhalable particulate matter (PM 2.5

and PM 10), including semi-volatile organic

toxicants and ammonium nitrate in air.

• Mass measurements of particle-bound water in

airborne inhalable particulate matter (PM 2.5

and PM 10).

• Analytical monitors for hazardous air pollutant

emissions from curing coatings based on the

resin and hardener chemical properties,

including the analytical procedures for their

measurement.

• Cost effective continuous emission monitoring

system that can be installed on industrial

process emissions vents and stacks to measure

continuously concentrations of organic

hazardous air pollutant compounds. Devices

must be rugged, sensitive, and yield real-time

data for multiple or single pollutants.

• Hazardous metal pollutant monitoring

technology for measuring concentrations of

specific metals species (e.g., Hg) in combustion

process gaseous emissions vents or stacks.

Technology must be rugged, sensitive, provide

continuous data, and may be designed for

measuring multiple or single metal species.

• Cost-effective technology for the measurement

of particulate emissions concentrations in

industrial process and combustion stack or vent

exhaust gases on a continuous basis.

• Technology for measuring opacity of emissions

from combustion and other industrial processes

at levels less than 10 percent opacity.

Technology will include development of

calibration standards and techniques for

opacities down to zero percent and data quality

criteria suitable for operating continuous

opacity monitoring systems.

• Infrared absorption spectra for use in calibrating

FTIR devices for measurements of

concentrations of hazardous air pollutants from

combustion and industrial processes.

• Cost-effective technology for the measurement

of mercury emissions concentrations in

industrial process and combustion stack or vent

exhaust gases on a continuous basis.

• Technology for collecting and assuring

representative sampling and loss minimization

for particulate air toxics emissions from

combustion and industrial process emissions

stacks and vents.

• Technology for determining the species

composition of particulate matter samples from

combustion and industrial process emissions

stacks or vents.

• Technology transfer from ambient monitoring

to continuous monitoring of combustion or

industrial process stack or vent emissions for

criteria or hazardous air pollutants.

P. NEW TECHNOLOGIES AND

ALTERNATIVES FOR OZONE

DEPLETING COMPOUNDS

Under Title VI Section 612 of the Clean Air Act

(CAA) of 1990, the EPA is required, to the maximum extent

practicable, to enable the replacement of substances that

harm the stratospheric ozone layer (such as chlorofluorocarbons (CFCs) and halon fire suppressants) with safer alternatives and technologies that reduce overall risks to

human health and the environment.

Research is needed to continue the process of finding

non-ozone depleting substances to replace CFCs and other

ozone depleting substances (ODS). Many commercial sectors are affected by the phaseout of ODS, including the

refrigeration, air conditioning, fire extinguishing systems

and foams industries. Examples of areas where research is

needed include, but are not limited to:

• Development of systems to reduce the amount

of hydrogen fluoride generated during the use

of hydrofluorocarbon (HFC) fire-suppressants.

• Development of better and more efficient fire

suppressants and systems, including
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compounds that meet weight restrictions, use

available substitutes in a more efficient manner,

technologies more efficient for putting out fires,

delivery enhancement, and optimizing the

amount of agent delivered.

• Development of cheaper, more reliable fire

detection methods and systems.

• Development of alternative adhesives for

ozone-depleting foam to foam and wood to

wood applications.

• Development of low-ozone depleting coating

removers.

• Alternatives to methyl bromide, particularly

non-chemical alternatives like steam

sterilization and solarization for soil fumigation

or irradiation and CO2/heat treatment.

• Development of very-low-temperature (e.g., -

50° C) refrigerants or alternative technologies.

• Development of alternatives to control the

emissions of blowing agents used in insulating

foams (i.e., non-emissive foam or capture/

recycle of the blowing agents).

• Development of air-conditioning and

refrigerant technologies that reduce system

leaks, (e.g., using hermetic systems instead of

open systems for end uses where leaks are

significant, or by incorporating self-sealing

additives into air-conditioning components

which would minimize leaks).

• Development of systems that would enable use

of smaller refrigerant charge or appropriate use

of flammable refrigerants, (e.g., the use of

hydrocarbons or ammonia with secondary

loops).

Q. GLOBAL CLIMATE CHANGE:

PREVENTION AND CONTROL

OF GREENHOUSE GAS (GHG)

EMISSIONS

This topic focuses on GHGs as they relate to global

climate change. Gases of concern are methane, carbon dioxide, nitrous oxide, hydrofluorocarbons, perfluorocarbons, and sulfur hexafloride. EPA is interested in prevention and control technologies for GHGs where there are

multiple pollution reduction benefits for GHGs and other

pollutants such as toxic metals, mercury and hazardous air

pollutants. Technologies that only involve energy efficiency, where the pollution reduction benefit is indirect

reduction of power plant emission, are addressed by other

agencies and are technically unacceptable. Of high interest

are areas for which little success has been achieved, for

which little is being done, or where a significant improvement can be made over an existing or developing way to

reduce GHG and other pollutant emissions. Some of these

areas include, but are not limited to:

• New, environmentally safe chemicals (e.g.,

blends of chemicals to reduce flammability of

potential refrigerants) and intelligent controls

(e.g., fuzzy logic and neural networks) to reduce

GHG emissions.

• Ways to reduce, detect, collect, and utilize

waste methane from various sources including

animal husbandry.

• Improved instruments and methods to measure

GHG emissions (e.g., from area sources such as

rice patties and urban transportation).

• New ways to improve control of aluminum

production to reduce perfluorocarbon

emissions.

• Improved processes or process modules for

utilizing biomass or other renewable energy

sources (e.g., better conversion efficiency of

biomass to liquid fuels for transportation to

provide co-control of environmental burdens).

• New insulation materials or processes to replace

uses of sulfur hexafluoride.

R. REDUCTION OF

ENVIRONMENTAL AND HUMAN

HEALTH RISKS FROM

PESTICIDE USE

Under the authority of The Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), The Federal Food,

Drug, and Cosmetic Act (FFDCA), and The Food Quality

Protection Act of 1996 (FQPA) the EPA Office of Pesticide

Programs (OPP) is charged with protecting public health

and the environment from risks posed by pesticides, and

with promoting safer means of pest control. To carry out
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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this mission OPP must be able to evaluate and reduce exposure and effects of pesticides and their degradation products. This topic relates to that mission by requesting research aimed at increasing OPP’s ability to measure,

evaluate and reduce environmental and human exposure

and effects associated with the use of chemical and biological pesticides. It also relates to preserving clean water

as a valuable natural resource. Technologies are needed to

determine the amount of exposure that results from pesticide use and to determine what effect such exposure may

have on ecosystems and individual organisms. Methods,

equipment and alternatives for reducing use of and exposure to toxic chemicals is needed. This is not aimed at protecting pesticide workers specifically but at protecting the

public from unintentional exposure to pesticides. Examples of research needed includes, but is not limited to:

• Environmentally benign alternatives to toxic

chemicals are needed for pest control. These

may include physical or nontoxic chemical

means for controlling undesirable plants,

invertebrates or vertebrate pests.

• Techniques to prevent the drift of pesticide

aerosols during aerial spraying or field tractor

application of pesticides to plants. Techniques

may include changes to the process (e.g., direct

application of a systemic pesticide replacement

below the soil surface), or improvements in

pesticide materials and application hardware

(e.g., an alternative pesticide formulation with

improved wetting properties that will have

higher transfer efficiency to the plant leaf

surface coupled with an adjustable height spray

drift cover).

• Small, effective, inexpensive water purification

devices are needed for home use. Recent

research indicates that most groundwater and

surface water in the U.S. contains one or more

pesticide related compounds. Current water

treatment technology may not remove these

compounds. In addition, a large percentage of

the U.S. population receives their drinking

water from small sources or private wells that

are not regulated under the Safe Drinking Water

Act. Home water purification capable of

removing polar and non polar pesticides are

needed to ensure that safe drinking water is

available.

The Agency also needs innovative and cost effective

methods for monitoring occurrence and movement of pesticides and their degradation products in the environment.

Examples of research needed include, but are not limited to:

• Equipment and methods are needed for in-situ

monitoring of non-persistent pesticides and

pesticide degradation products in soil, water

and air. It is difficult and expensive to monitor

environmental concentration of compounds

whose concentration change with time. Point

concentration values are very limited in

describing the distribution of chemicals that

may be short lived. Alternatives to the standard

procedures for collecting a sample in the field

and transporting it to the lab for analysis can

greatly enhance our ability to track the

occurrence and movement of pesticide

compounds in the environment.

• Simple, accurate pesticide and pesticide

degradation product detection methods are

needed for individual homeowner use.

• Technologies and methods are needed for

detecting pesticides and pesticide residues on

food and plant surfaces in the field.

• Technologies and methods are needed that

allow consumers to check produce for the

presence of pesticides and pesticide residues on

fruit and vegetables at the point of purchase.

This would allow consumers to make an

informed decision before buying agricultural

products that may contain pesticide chemicals.

EPA is also interested in equipment and methods for

determining the effects of exposure to pesticides and pesticide degradation products. Examples of research needed

include, but are not limited to the following:

• Technologies and methods are needed for

evaluating the effects of chemical mixtures. For

example, alachlor, atrazine and aldicarb show

little individual toxicity in concentrations

currently observed in the environment. When

multiple pesticides are present, the toxicity of

the mixture is significantly greater. Currently,

regulatory decisions are made based on single

compounds and additive or synergistic effects

are not considered. New technologies and

methods are needed for mixtures. Toxicity of

the mixtures may be significantly greater.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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• New test systems are needed for evaluating

hormonal disruption potential for new and

existing pesticides and pesticide degradation

products in non-mammalian species. Under

FQPA, EPA is required to establish an endocrine

disruption screening and testing program for

pesticides. New technologies and better tests are

needed for non-mammalian species (i.e., fish,

amphibians and reptiles).

• Technologies and in-situ methods are needed

for monitoring lethal and sub-lethal effects of

pesticides and pesticide residues on birds, fish

and other organisms. For example, it is difficult

to determine if a pesticide application has had

an effect on local bird populations. A method

for detecting bird kills would allow better

evaluation of environmental risks of a pesticide.

IX. SUBMISSION FORMS AND

CERTIFICATIONS

The attached forms, Appendix A - Proposal Cover

Sheet, Appendix B - Project Summary, and Appendix C -

SBIR Proposal Summary Budget, should be downloaded

and printed from the Internet or photocopied, and completed as indicated under Section III, Proposal Preparation

Instructions and Requirements. The purpose of these forms

is to meet the mandate of law or regulation and simplify

the submission of proposals.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Appendix A: SBIR Proposal Cover Sheet

 SOLICITATION NO. PR-NC-99-13350

PROPOSAL TITLE:

FIRM NAME:

MAILING ADDRESS:

CITY: STATE: ZIP:

PHONE: FAX: E-MAIL:

AMOUNT REQUESTED:$ PROPOSED DURATION (PHASE I): 6 MOS

(Not to Exceed $70,000)

TOPIC (check one)

____ A. Pollution Prevention and Clean Technologies

____ B. Prevention, Control and Monitoring of Mobile Source Emissions

____ C. Prevention and Control of Indoor Air Pollution

____ D. Prevention/Control of NOx, VOC’s, SO2, Particulates, Toxic Air Emissions

____ E. Drinking Water Treatment

____ F. Municipal Wastewater Treatment, Septage and Biosolids Management

____ G. Industrial Wastewater Treatment, Mining and Feedlots

____ H. Stormwater Management and Wet Weather Control

____ I. Rehabilitation of Urban Infrastructure

____ J. Recycling of Municipal Solid Waste

____ K. Prevention, Recycling, Treatment, and Disposal of Hazardous and Non-Hazardous Solid Wastes/Sediments

____ L. Remediation of Organically Contaminated Soil, Sediments and Ground Water

____ M. Treatment or Removal of Heavy Metals at Contaminated Sites

____ N. Monitoring and Measurement Technologies for Hazardous Waste Sites

____ O. Advanced Monitoring and Analytical Technologies

____ P. New Technologies and Alternatives for Ozone Depleting Compounds

____ Q. Global Climate Change: Prevention/Control of Greenhouse Gas Emissions

____ R. Reduction of Environmental and Human Health Risks from Pesticides Use

CERTIFICATIONS AND AUTHORIZATIONS: Answer Y(Yes) or N(No)

____1. The above concern certifies that it is a small business concern and meets the definition as stated in the program solicitation.

____2. The above concern certifies that a minimum of 2/3 of the research and/or analytical effort will be performed by the proposing firm.

____3. If the proposal does not result in an award, is the Government permitted to disclose the title and technical abstract page of your proposed project, and the name,

address, and telephone number of the official of the proposing firm to any inquiring parties?

____4. The above concern certifies that it is a woman owned small business concern and meets the definition as stated in the program solicitation. *

____5. The above concern certifies that it is a socially and economically disadvantaged small business concern and meets the definition as stated in the program

solicitation.*

____6. Do you plan to send, or have you sent, this proposal or a similar one to any other federal agency? If yes, which? Use acronym(s) for each agency, (e.g., DOD, NIH,

DOE, NASA, etc.) _________________________________________________________________________________________

 7. Choose one of the following to describe your Organization Type: _____ Individual _____Partnership _____Corporation

 8. Provide the following information: Tax Identification No:____________________

Dun & Bradstreet Number:_______________________ Common Parent Name:____________________________

* for informat ion purposes

Endorsements

Authorized Negotiator Person Authorized to Sign Proposal

____________________________________ ____________________________________

Title:________________________________ Title:________________________________

Telephone:___________________________ Telephone:___________________________

Fax:________________________________ Fax:________________________________

Email:______________________________ Email:______________________________

Signature:___________________________ Signature:____________________________

of Authorized Negotiator of Person Authorized to Sign Proposal

Date:_______________________________ Date:________________________________

PROPRIETARY NOTICE: For any other purpose than to evaluate the proposal, this data shall not be disclosed outside the Government and shall not be duplicated,

used or disclosed in whole or in part, provided that if a funding agreement is awarded to this offeror as a result of or in connection with the submission of this data the

Government shall have the right to duplicate, use or disclose the data to the extent provided in the funding agreement. This restriction does not limit the

Government’s right to use information contained in the data if it is obtained from another source without restriction. The data in this proposal subject to this

restriction is contained on pages ___________ of this proposal.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Appendix B: SBIR Project Summary (Limit to 1 Page)

FIRM NAME, ADDRESS, TELEPHONE AND FAX NUMBER, AND E-MAIL ADDRESS:

Firm name:

Address:

TITLE OF PROPOSAL:

TOPIC LETTER (A-R):

NAME AND TITLE OF PRINCIPAL INVESTIGATOR:

 TECHNICAL ABSTRACT, RESULTS, AND POTENTIAL COMMERCIAL APPLICATIONS (Limit to 400 Words;

Must be Publishable):

Telephone:

Fax:

E-mail:
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Appendix C: SBIR Proposal Summary Budget

(Instructions on Reverse Side)

_________________________________________________________________________________________

Organization and Address

__________________________________________________________________________________________

A. DIRECT LABOR (PI and other staff, list separately) Hours/Est. Rate: $

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

B. OVERHEAD: $

__________________________________________________________________________________________

__________________________________________________________________________________________

C. OTHER DIRECT COSTS (List separately): $

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

D. TRAVEL (List purpose and individuals and/or title): $

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

E. CONSULTANTS (List estimated 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 Cost + Profit) $ __________

SIGNATURE: Date Submitted:

___________________________ _________________________

This proposal is submitted in response to EPA SBIR Program Solicitation No. PR-NC-99-13350 and reflects our best

estimate as of this date.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Instructions for Appendix C

The purpose of this form is to provide a vehicle whereby the offeror submits to the Government a pricing proposal of

estimated costs with detailed information for each cost element, consistent with the offeror’s cost accounting system.

If the completed summary is not self-explanatory and/or does not fully document and justify the amounts requested

in each category, such documentation should be contained, as appropriate, on a budget explanation page immediately following the budget in the proposal. The form Appendix C will count as one page in the 25 page limit, and

any budget explanation pages included will count separately toward the 25 page limit. (See below for discussion on

various categories.)

A. Direct Labor - List individually all personnel included, the estimated hours to be expended and the rates of pay

(salary, wages, and fringe benefits).

B. Overhead - Specify current rate(s) and base(s). Use current rate(s) negotiated with the cognizant federal negotiating agency, if available. If no rate(s) has (have) been negotiated, a reasonable rate(s) may be requested for Phase I

which will be subject to approval by EPA. Offerors may use whatever number and types of overhead rates that are

in accordance with their accounting systems and approved by the cognizant federal negotiating agency, if available.

C. Other Direct Costs - List all other direct costs which are not otherwise included in the categories described

above, i.e., computer services, publication costs, subcontracts, etc. List each item of permanent equipment to be

purchased, its price, and explain its relation to the project.

D. Travel - Address the type and extent of travel and its relation to the project.

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

F. General and Administrative (G&A) - Same as B. Above.

G. Profit - Reasonable fee (estimated profit) will be considered under this solicitation. For guidance purposes, the

amount of profit normally should not exceed 10% of total project costs.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Appendix D: Scientific and Technical Information Sources

State-of-the-art information, including service and cost details, useful in preparing SBIR proposals or in guiding

research efforts may be obtained from the following sources:

National Technical Information Service (NTIS)

5288 Port Royal Road

Springfield, VA 22161

(513) 569-7562

EPA Headquarters Library (3404)

US Environmental Protection Agency

401 M Street, SW

Washington, DC 20460

(202) 260-5922

The Hazardous Waste Collection and Database are available for use in the EPA Headquarters Library, the 10 EPA

Regional libraries, EPA laboratories in ADA, OK; Edison, NJ; Las Vegas, NV; Research Triangle Park, NC and the National Enforcement Investigations Center in Denver, CO. The Database runs on an IBM AT/XT or compatible equipment and may be purchased from NTIS using the NTIS order number PB87-945000.

The Environmental Quality Instructional Resources Center

1200 Chambers Road, R.310

Columbus, OH 43212

(614) 292-6717

[Especially related to Drinking Water and Waste Water Treatment]

National Small Flows Clearinghouse (SWICH)

P.O. Box 7219

Silver Spring, MD 20910

1-800-677-9424

[Topic themes include source reduction, recycling, composting, waste combustion, collection, transfer, disposal, landfill gas, and special wastes]

ACCESS EPA (#055-000-00509-5) 1995 Edition—A consolidated guide to EPA information resources, services,

and products. It provides access to:

Public information tools

Major EPA dockets

Clearing houses and hot lines

Records management programs

Major EPA environmental database

Library and information services

State environmental libraries

“ACCESS EPA” may be ordered at a cost of $16.00 each from the U.S. Government Printing Office, New Orders,

Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954, or telephone (202)512-1800, or from

NTIS using order number PB-147438.
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Vendor Information System for Innovative Treatment Technologies (VISITT) Profiles 325 innovative technologies

available from 204 vendors to treat ground water in situ, soil, sludges, and sediments. Includes technologies in all

stages of development-bench, pilot, or full. VISITT is available at no charge on diskettes compatible with personal

computers using DOS operating systems. To order VISITT diskettes and user manual, and to become a registered user,

call the VISITT Hotline at 1-800-245-4505.

ENVIROSENSE

Internet: http://www.epa.gov/envirosense

ES includes numerous databases and addresses industry and small business needs by establishing specific compliance assistance, P2, regulatory and specific industry sector (SIC) data sets.
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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Appendix E: Commercialization Factsheet

(Finding Commercial Products; Conducting a Patent Search; Searching for

Federal Research; Standards/Certifying Bodies)

FINDING COMMERCIAL PRODUCTS

The technology you are proposing may already be being sold in the market. There are five web searches recommended as the minimum for determining if the technology is commercially available. In each case, when having trouble

look for the FAQs (Frequently Asked Questions) or other advice on searching.

Web Search using General Search Engines

There are around 320 million indexed web pages and the web continues to grow exponentially. One problem with

this rate of growth is that no single web search engine is capable of indexing the whole of cyberspace. We recommend

using at least one meta-engine and two search engines.

A meta-engine is a search engine which searches other engines that actually catalog or index sites. Examples are

Metacrawler ,http://www.metacrawler.com/, and Dogpile, http://www.dogple.com. We use that search to identify which

search engines seem to be producing the best results and then use those engines for more complicated queries which

cannot be supported by metacrawler and other meta-engines.

Two engines for more detailed searches at present are Hotbot’s More Options page (http://www.hotbot.com/

default.asp?MT=&SM=MC&DV=7&RG=.com&act.super=+More+Options+&DC=10&DE=2&_v=2&OPs=MDRTP) and

Alta Vista’s Advanced Query Page (http://www.altavista.digital.com/cgi-bin/query?pg=aq). Both engines allow you to

search newgroups (Usenet) as well as the Web. Hotbot has the largest number of pages indexed by any web browser as

this is written. Alta Vista has the next most extensive coverage. Unfortunately, queries are constrained to the options presented. Alta Vista supports any Boolean query you can design. Both sites have a search by subject feature that provides

another path to sites of interest. Because Digital Equipment Corporation, who maintains Alta Vista, is a high tech company, this engine has traditionally been strong on indexing science and technology sites.

When searching, expand or narrow your keywords over time. For example, when searching for “sapphire liquid

crystal displays,” you may want to broaden to liquid crystal displays or just displays. Also remember to use abbreviations

such as LCD.

Thomas Register of American Manufacturers: Long a staple of corporate buyers and market researchers, you can

access Thomas Register on-line for free at http://www.thomasregister.com/ . Once you obtain your free membership, you

can search the 155,000 companies by product. You may have to try a few different keywords to get hits.

Hoovers : Hoovers on-line at http://www.hoovers.com provides access to profiles on over 12,000 companies. These

are the major firms in America, including subsidiaries of foreign operations. By using the keyword search, you can look

for companies making products in areas related to your technology. Hoovers provides hypertext links to go to the

company’s web page. Phone, fax, and street address are also provided. If you cannot find the information on the web, ask

for relevant product literature from their marketing departments.

Press Releases: PR Newswire (http://www.prnewswire.com/) redistributes corporate press releases. It provides coverage of newly released products that might not otherwise be found on the web.

Patents: We discuss patent searches in the next section of this FactSheet. Look for patents related to your technology, then examine the assignee field. Companies licensing or patenting technology in areas related to your technology

are competitors that may be introducing products similar to the one you are considering proposing. Search for their web

pages using one of the resources above.
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CONDUCTING A PATENT SEARCH

What is a patent? A patent is a right to an invention that is granted by the U.S. Government or a foreign government.

It gives the holder an exclusive right to use an invention during a period of time. In the United States, before a patent can

be issued, the inventor must demonstrate his or her invention is new and non-obvious. To be new, an invention must not

have been known nor made by others in the U.S. The invention also can not have been previously patented or presented in

a publication prior to the claimed date on which the invention was made. Patents are handled by the U.S. Patent Office.

Non-obvious is established with reference to what would be obvious to a person of ordinary skill in the relevant technology (or technologies) at the time of the invention. A general rule is that the more complicated the technology and the

greater the rate at which it is developing, the higher the skill-level of that hypothetical ordinary person. Non-obvious is

determined by examining prior patents, technical publications, and non-secret work being conducted. Usually some aspect

of an invention will be non-obvious and thus capable of being patented.

It is important to recognize that different rules apply in different countries. In the U.S., you have one year from the

time of first disclosure, use, publication, or sale of an invention to patent the invention. Where more than one person or

group makes a claim to be the inventor, the patent goes to the person or group that can demonstrate priority in time. Overseas, the rules are different. Usually the invention must be patented before any public disclosure, use, publication, or sale.

In case of a dispute, priority goes to the first person or group to apply for a patent, regardless of who may actually be the

inventor. You can, however, get the same overseas priority rights you would get from simultaneously filing overseas and in

the U.S. if you file in each relevant country within 12 months of a U.S. patent application.

How to search for U.S. patents: There are two free web sites useful for searching for U.S. patents: the U.S. Patent Office

and IBM’s Patent Server. To search the Patent Office go to http://patents.uspto.gov/index.html . The IBM server is at http://

www.patents.ibm.com/ibm.html.

The Boolean search capability of the Patent Office enables constructing complicated searches to narrow in on patents

of interest. It allows two terms Booleans in the first search, with more complicated queries when refining a search. You can

search specific sets of years or the entire database. The advanced search gives you the ability to look in any or all of the

fields in the patent -- a very nice feature. Coverage includes all patents issued no later than one week earlier. It includes all

utility, design, and plant patents since 1976. Claims and pictures are not included. (See below, Reading Patents.)

The IBM Patent server contains over 2 million patents. Where drawings are part of the patent, they have been scanned

in and can be viewed. Off the home page, you have the option of searching from 1995 to present or 1971 to present.

Hypertext links on the home page let you search by patent number, use Boolean Logic, or do a text search in various sections of the patent. Try to be as targeted as possible in your search terms. For example, “environmental monitor” will return

42 patents issued in 1995 or later on IBM’s server. “Mercury monitor,” by comparison, returns only three.

 Reading Patents: Once you have found a patent that looks relevant for your interests, examine the abstract and the

claims. The abstract provides an overview of what is covered. The claims give you the specific scope of the patent.

There are three paths for finding other patents of interest, once you have found the first one. The first method is to

look at the class (or classes) of the patent. You can find patents addressing similar problems by looking in those classes. To

fine tune the classes to use, look at a number of relevant patents. Examine the classes that are listed on the patent. Select

those classes that most frequently appear across your sample of patents for further examination.

The second method is to look at the patents cited as references. The final method is to look at patents that reference

the one you are examining. By searching text, relevant classes, and patents referred to or referencing relevant patents you

can quickly determine if a U.S. patent has issued on a technology of interest. CAUTION: Examining U.S. patents does not
EPA Small Business Innovation Research Phase 1 FY00 Program Solicitation No. PR-NC-99-13350

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assure you the technology has not been patented elsewhere. Further, if the patent is only applied for and has not yet been

issued, you will not find it.

SEARCHING FOR FEDERAL RESEARCH

There are two sets of publicly available data on Federal Research. FEDRIP, or Federal Research in Progress, provides

access to current civilian agency research. FEDRIP includes:

• Department of Agriculture

• Department of Energy

• Department of Veterans Affairs

• Environmental Protection Agency

• Federal Highway Administration

• National Institutes of Health

• NASA

• National Science Foundation

• US Geological Survey

• National Institute of Standards and Technology

• Nuclear Regulatory Commission

• Small Business Innovation Research

Parts of FEDRIP may be searched for free at The Community of Science, http://fundedresearch.cos.com/. Separate

databases exist for the National Institutes of Health, NSF, USDA, and the SBIR program -- which means you must do multiple searches. You can also search projects of the Medical Research Council of the United Kingdom. To search all of

FEDRIP, go to http://grc.ntis.gov/fedrip.htm. There is a $350 fee.

In addition, by going to an agency’s web site, you can find information on their current and/or past awards. The National Technical Information Service (NTIS) is the designated repository of research reports. It contains technical reports

and other government-produced information products. The free access parts may be searched at http://www.ntis.gov/. For

the fee-based access, see http://dtic.mil/stinet/.

DoD material can be search through the Defense Technical Information Center (DTIC). Public access searching is at

http://www.dtic.mil/stinet/.

Perhaps the best comprehensive resource for searching is the RAND’s RaDiUS at http://www.rand.org/radius/.

RaDiUS, stands for “Research and Development in the United States.” It is the first comprehensive database that tracks in

real-time the research and development activities and resources of the U.S. Government. Among its sources are the following: the Catalog of Federal Domestic Assistance (CFDA); USDA’s Current Research Information System (CRIS); HHS’s

Computer Retrieval of Information on Scientific Projects (CRISP) and Information for Management, Planning, Analysis,

and Coordination (IMPAC) system; DoD’s R-1 and R-2 Budget Exhibits and Work Unit Information Summaries (WUIS);

DOE’s laboratory information system; the Federal Assistance Awards Data System (FAADS); the Federal Procurement Data

System (FPDS); OMB’s MAX system; DVA’s R&D Information System (RDIS); NSF’s Science and Technology System

(STIS); and NASA’s 507 System.

You must be a Government Contractor to subscribe to RaDiUS. The small business fee is $1,000 per year per password.

STANDARDS AND CERTIFYING BODIES

If you are going to introduce a commercial product, it most likely will have to meet certain standards and be certified

as meeting those standards. For example, we all are familiar with the Underwriter Laboratories seal found on household

electrical products—a certification of safety under normal use.
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A wide range of bodies creates standards or certifies products. To find relevant standards, we recommend beginning at

the American National Standards Institute’s “Internet Resources for Standards Developers”, located at: http://web.ansi.org/

public/library/internet/resources.html. The site provides links to U.S. bodies developing standards.

If you are anticipating overseas sales, be aware that you will need to identify relevant foreign and international standards. The place to begin is the International Organization for Standardization. Their list of links to standards bodies is at

http://www.iso.ch/VL/Standards.html.

In the U.S., private sector laboratories, like UL commonly do certification. These organizations rely on standards developed by consensus bodies such as the American Society for Testing and Materials (http://www.astm.org/) or federal

agencies such as EPA. ASTM maintains an International Directory of Testing Laboratories at: http://www.astm.org/labs/

index.html. The Directory can be searched by geographic location, lab name, subject area, or keywords.
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IMPORTANT!!

IF YOU WISH TO RECEIVE AN ACKNOWLEDGMENT CARD TO CONFIRM RECEIPT OF YOUR PROPOSAL,

PLEASE COMPLETE A STANDARD SELF-ADDRESSED POSTCARD CONTAINING THE FOLLOWING INFORMATION AND ATTACH TO THE ORIGINAL OF EACH PROPOSAL:

SIDE ONE: Please type the following and fill in the blanks as appropriate.

This will acknowledge the receipt of your proposal titled:

________________________________________________________

________________________________________________________

Topic Letter _____. The evaluation of proposals and the award of SBIR Contracts will require approximately

6-9 months, and no information on proposal status will be available until final selection(s) is made. Your proposal

has been assigned EPA No. _________. (To be filled in by EPA)

Date:___________________________

REVERSE SIDE: Please type the following in the upper left-hand corner (return address) and self-address the card to

your corporate official: (Post cards that do not meet postal service standrads will not be returned).

U.S. EPA

CONTRACTS MANAGEMENT DIVISION (MD-33)

RESEARCH TRIANGLE PARK, NC 27711

-------------------------------------------------------------------------------------------------------------

OFFICIAL BUSINESS

PENALTY FOR PRIVATE USE $300

YOUR FIRM NAME

ADDRESS