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Funding Opportunities

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

CLOSED - FOR REFERENCES PURPOSES ONLY

EPA Small Business Innovation Research Phase I

Solicitation No. PR-NC-99-13350
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.

Table of Contents

Phase I

I. Program Description
II. Definitions
III. Proposal Preparation Instructions and Requirements
IV. Method of Selection and Evaluation Criteria
V. Considerations
VI. Submission of Proposals
VII. Scientific and Technical Information Sources
VIII. Research Topics

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 and 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 Pesticide Use

IX. Submission Forms and Certifications

APPENDIXES

APPENDIX A Proposal Cover Sheet
APPENDIX B Project Summary
APPENDIX C SBIR Proposal Summary Budget
APPENDIX D Scientific and Technical Information Sources
APPENDIX E - Commercialization Factsheet

Phase II

I. Program Description 1

II. Contract Awards 3

III. Definitions 5

IV. Proposal Preparation Instructions 9 and Requirements

V. Method of Selection and Evaluation Criteria 18

VI. Contractual Requirements 20

VII. Additional Contract Information 26

VIII. Submission of Proposals 35

IX. Submission of Optional Funding Letter/ 35 Documentation

X. Submission Forms and Certifications 36

APPENDICES:

Appendix 1 Proposal Cover Sheet

Appendix 2 Project Summary

Appendix 3 SBIR Proposal Summary Budget

Appendix 3-A SBIR Option Proposal Summary Budget

Appendix 4 Cover Sheet (Representations and

Certifications)

Appendix 5 Representations, Certifications and

Other Statements of Offerors

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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 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. Nonfederal sources of capital for commercial applications of SBIR funded research or research and development.

b. Federal government with nonSBIR federal funds for SBIR derived products and processes that will be used by the federal government.

c. NonSBIR 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 lessthanhalftime 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 lessthanhalftime 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" 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 (MD33)
Research Triangle Park, NC 27711
(919) 5415293

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 employeremployee 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:

(1) Black Americans;

(2) Hispanic Americans;

(3) Native Americans;

(4) AsianPacific 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 onehalf 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 penandink 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.

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 costeffectiveness is paramount, especially comparing the stateoftheart 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 federally-funded 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 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, followon 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, followon 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 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 25page 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 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 firmfixedprice 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 singlepage 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 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 4year period the Government has a royaltyfree license to use, and to authorize others to use on its behalf, these data for Government purposes, but is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these data by third parties. This Notice shall be affixed to any reproductions of these data, in whole or in part.

d. Copyrights

With prior written permission of the Contracting Officer, the Awardee normally may copyright and publish (consistent with appropriate national security considerations, if any) material developed with EPA support. EPA receives a royaltyfree 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 royaltyfree 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 Governmentsupported invention for a 4year 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 twothirds 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 onehalf 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.

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 Americanmade 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, stateof theart 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.

Proposal modification is a change made to a proposal before the solicitation's closing date and time, or made in response to an amendment, or made to correct a mistake at any time before award.

Proposal revision is a change to a proposal made after the solicitation closing date, at the request of or as allowed by a Contracting Officer as the result of negotiations.

Time, if stated as a number of days, is calculated using calendar days, unless otherwise specified, and will include Saturdays, Sundays, and legal holidays. However, if the last day falls on a Saturday, Sunday, or legal holiday, then the period shall include the next working day.

(b) Amendments to solicitations. If this solicitation is amended, all terms and conditions that are not amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendment(s).

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

(1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals shall be submitted in paper media in sealed envelopes or packages (I) addressed to the office specified in the solicitation, and (ii) showing the time and date specified for receipt, the solicitation number, and the name and address of the offeror. Offerors using commercial carriers should ensure that the proposal is marked on the outermost wrapper with the information in paragraphs (c)(1)(I) and (c)(1)(ii) of this provision.

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

(i) The solicitation number;

(ii) The name, address, and telephone and facsimile numbers of the offeror (and electronic address if available);

(iii) A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which prices are offered at the price set opposite each item;

(iv) Names, titles, and telephone and facsimile numbers (and electronic addresses if available) of persons authorized to negotiate on the offeror's behalf with the Government in connection with this solicitation; and

(v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to the issuing office.

(3) 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 handcarried (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 ServicePost 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

(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 ServicePost Office to Addressee is the date entered by the post office receiving clerk on the "Express Mail Next Day ServicePost 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.

(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 part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of-or in connection with-the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend: Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

(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 counter-offer by the Government.

(8) The Government may determine that a proposal is unacceptable if the prices proposed are materially unbalanced between line items or sub-line items. Unbalanced pricing exists when, despite an acceptable total evaluated price, the price of one or more contract line items is significantly overstated or understated as indicated by the application of cost or price analysis techniques. A proposal may be rejected if the Contracting Officer determines that the lack of balance poses an unacceptable risk to the Government.

(9) If a cost realism analysis is performed, cost realism may be considered by the source selection authority in evaluating performance or schedule risk.

(10) A written award or acceptance of proposal mailed or otherwise furnished to the successful offeror within the time specified in the proposal shall result in a binding contract without further action by either party.

(11) The Government may disclose the following information in 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 (MD33)
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 selfcontained 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 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 straightforward description of the process and/or apparatus to be tested, there can be no determination of the scientific and technical quality of the work plan. Proposals only offering such design activities are unacceptable.

Program Topics: The proposed research must directly pertain to EPA's environmental mission and must be responsive to EPA program interests included in the topic descriptions of this solicitation. The research should be the basis for technological innovation resulting in new commercial products, processes, or services which benefit the public and promote the growth of the small business. 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 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). 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 gasoline-fueled 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 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 high- pressure 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 laboratory-grade 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 diesel-fueled 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), 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, cost-effective, 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 diesel-fueled 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, CO_2, 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 air-conditioning (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:

• 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, su