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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





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, 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 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, 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 byproducts (DBPs), and diseasecausing 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 byproducts, 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., cystlike 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.

• 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 byproducts 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 antibiofoulers 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:

• 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 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).

K. PREVENTION, RECYCLING, TREATMENT AND DISPOSAL OF HAZARDOUS AND NON-HAZARDOUS 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.

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 cost-effective 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 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 statistically-determined 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 hand-held 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 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 remote-sensing 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 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 non-aqueous 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, non-invasive 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, non-environmental fields that can provide significant improvements in current environmental measurements. Specific areas of interest include, but are not limited to:

• 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 cystlike 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 by-products (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 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 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 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.

• 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.


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 information purposes

Endorsements


Authorized Negotiator

Person Authorized to Sign Proposal

____________________________________

____________________________________

Title:________________________________

Title:________________________________

Telephone:____________________________

Telephone:___________________________

Fax:________________________________

Fax:________________________________

Email:______________________________

Email:______________________________

Signature:___________________________
of Authorized Negotiator

Signature:____________________________
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.


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 (AR):

NAME AND TITLE OF PRINCIPAL INVESTIGATOR:

TECHNICAL ABSTRACT, RESULTS, AND POTENTIAL COMMERCIAL APPLICATIONS (Limit to 400 Words; Must be Publishable):


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.


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.


Appendix D: Scientific and Technical Information Sources

Stateoftheart 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) 5697562

EPA Headquarters Library (3404)

US Environmental Protection Agency

401 M Street, SW

Washington, DC 20460

(202) 2605922

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 PB87945000.

The Environmental Quality Instructional Resources Center

1200 Chambers Road, R.310

Columbus, OH 43212

(614) 2926717

[Especially related to Drinking Water and Waste Water Treatment]

National Small Flows Clearinghouse (SWICH)

P.O. Box 7219

Silver Spring, MD 20910

18006779424

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

ACCESS EPA (#055000005095) 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 152507954, or telephone (202)5121800, or from NTIS using order number PB147438.

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 developmentbench, 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 18002454505.

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.


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 metaengine and two search engines.

A metaengine 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 metaengines.

Two engines for more detailed searches at present are Hotbot's More Options page (http://www.hotbot.com/) and Alta Vista's Advanced Query Page (http://www.altavista.digital.com/). 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 online 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 online 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.


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 nonobvious. 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.

Nonobvious 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 skilllevel of that hypothetical ordinary person. Nonobvious is determined by examining prior patents, technical publications, and nonsecret work being conducted. Usually some aspect of an invention will be nonobvious 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 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 governmentproduced information products. The free access parts may be searched at http://www.ntis.gov/. For the feebased 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 realtime 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 R1 and R2 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.

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.

IMPORTANT!!


IF YOU WISH TO RECEIVE AN ACKNOWLEDGMENT CARD TO CONFIRM RECEIPT OF YOUR PROPOSAL, PLEASE COMPLETE A STANDARD SELFADDRESSED 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 69 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 (MD33)
RESEARCH TRIANGLE PARK, NC 27711

OFFICIAL BUSINESS
PENALTY FOR PRIVATE USE $300

YOUR FIRM NAME

ADDRESS


CLOSED - FOR REFERENCES PURPOSES ONLY

EPA Small Business Innovation Research Phase II

Solicitation No. PR-NC-99-13594
Fiscal Year 2000

ISSUE DATE: September 28, 1999
CLOSING DATE: October 28, 1999 *

*CAUTION - See Section VII., Paragraph 10(c)(3), Instructions to Offerors, concerning late proposals and modifications.

PHASE II SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH

I. PROGRAM DESCRIPTION

A. INTRODUCTION

THIS SOLICITATION IS OPEN TO FIRMS THAT SUBMITTED UNSUCCESSFUL PHASE II PROPOSALS IN FY 1999 UNDER SOLICITATION NO.

PR-NC-99-12730

The Environmental Protection Agency invites you to submit a Phase II proposal under the Small Business Innovation Research Program for the same technology funded under the EPA FY 1998 Phase I Solicitation (No. PR-NC-97-10774/Closing Date - November 18, 1997). Each firm invited to submit a proposal in this solicitation submitted an unsuccessful proposal in EPA's FY 1999 Phase II Solicitation (No. PR-NC-99-12730/closing Date - April 22, 1999). Phase II proposals under prior solicitations are NOT eligible. Firms who submit proposals that are unsuccessful under this solicitation, or firms who choose not to submit a revised proposal, will not be eligible to submit another revised proposal of the same technology in the future. This is your second and last opportunity to submit a revised Phase II proposal for your Phase I technology. Copies of the Phase II external peer review summaries have been provided to all firms eligible to receive this solicitation.

B. SBIR PROGRAM PHASES

The SBIR Program is a uniform process of soliciting proposals and awarding funding agreements for research (R) or research and development (R&D) for cutting-edge research on advanced concepts that address EPA priority needs. To stimulate and foster technological innovation, including increasing commercialization of federal R/R&D, the program must follow a uniform competitive process of three phases. The phases of the SBIR program and the Phase II Option are described below.

(1) PHASE I. Phase I involves a solicitation of proposals to conduct feasibility related experimental or theoretical research or R&D efforts on described agency requirements. The object of this phase is to determine the technical feasibility of the proposed effort and the quality of performance of the small firm with a relatively small agency investment before consideration of further Federal support in Phase II.

(2) PHASE II. Phase II is the principal research or R&D effort leading to commercialization. The object is to continue the research or R&D initiated under Phase I and work toward commercialization of the technology. Phase II awards are expected to result in technology prototypes, or the initial commercial technology application. However, Phase II may not necessarily complete the total research and development needed to fully commercialize the technology.

(3) PHASE II OPTION. This solicitation includes a Phase II Option under which Phase II offerors may submit a proposal for additional funding to expand Phase II R&D efforts to accelerate commercialization (see Section IV.D. Phase II Option). 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. The Government will evaluate Phase II proposals in accordance with the criteria specified in Section V. 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 Government is not obligated to fund any specific Phase II proposal.

C. ELIGIBILITY

Each offeror submitting a Phase II proposal must still qualify as a small business for research or R&D purposes at the time of a Phase II award. In addition, the primary employment of the principal investigator must be with the small business firm 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. 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. Also, 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. INQUIRIES

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

Kathryn Peele

U.S. Environmental Protection Agency

Contracts Management Division (MD-33)

Research Triangle Park, North Carolina 27711

Phone: (919) 541-5293

E-mail: peele.kathryn@epa.gov

II. Contract Awards

A. PHASE II BASIC CONTRACT

The Government anticipates the award of approximately $1.5 M in firm fixed price contracts at approximately $225,000 each including profit, but reserves the right to change either the number of awards or the amount of the individual awards depending on the outcome of the selection process. The period of performance will be negotiated but should not normally exceed two years. Award of any contract(s)resulting from this solicitation shall be to the responsible offeror(s) with the highest rankings after evaluation in accordance with Section V. 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.

B. PHASE II CONTRACT OPTION TO ACCELERATE COMMERCIALIZATION

Offerors that submit a proposal for the Phase II Option may be awarded contracts inclusive of an option to expand R&D efforts beyond the original Phase II requirements. Inclusion of this option does not obligate the Government to exercise this option. The maximum amount of the contract option is $70,000. The following conditions apply to the Phase II contract option:

(1) THIRD PARTY FUNDING. Prior to EPA's determination to exercise this option, the contractor must provide evidence of funding of at least $100,000 from a third party as defined in Section III. K and L, for support during the Phase II contract. (Note that third party investors include such entities as a venture capital firm, an individual "angel" investor, bank or financial institution, or another company under a partnership, licensing or joint venture arrangement. In-kind provision of equipment or services from a third party does not qualify as third party investment. Also, self financing does not qualify as third party investment and third party investors do not include owners of the small business, their family members, and/or "affiliates" of the small business.)

(2) DOCUMENTATION/DEADLINE. Before EPA exercises the option, the contractor must submit proof showing that the third party fulfilled its commitment. EPA may unilaterally exercise the option only upon receipt of a letter indicating that the entire amount of the funds from the third party investor have been transferred to the company. The letter must be accompanied by documentation of the deposit or credit transaction showing that the funds have been deposited. The letter must specifically state that $(commitment $) has been transferred to (SBIR Firm Name) from the following third-party investor(s): (List names and itemized amounts if more than one) in accord with the SBIR Phase II contract procedures, and for purposes related to work being performed under EPA SBIR Contract Number _____________."

The letter can be submitted to EPA with the Phase II proposal or anytime up to the deadline. The deadline for receipt of this letter by EPA is: 4:30 p.m. local time, March 31, 2001. Offerors are encouraged to submit the letter and funding documentation as early as possible in order to facilitate the Government's review of the documentation and determination on whether the option will be exercised. EPA will not consider any submissions regarding evidence of third party funding that are received after 4:30 p.m. on March 31, 2001. Receipt of the required documentation does not obligate the Government to fund the option.

(3) ADDITIONAL R/R&D. The additional technical work being performed in the Phase II Option must be an expansion of the technical work being performed in the basic Phase II project. While the EPA Phase II Option funds must be used for the proposed new R&D efforts, the third party funds can be used for R&D and/or commercialization efforts including market research, advertising and understanding or targeting your customer's needs, patent support, leveraging/pursuing strategic or financial investors, testing the market, or business planning. The EPA Phase II Option funds must be expended during the Phase II period of performance.

(4) THE EPA OPTION. EPA's Phase II Option is NOT the same as the SBIR "FAST TRACK" program of the Department of Defense or the National Science Foundation's "Follow-on Funding", or "Phase II-B". There are some similarities between the EPA Option and elements of these programs. However, there are also important differences. In this solicitation, neither self-financing nor in-kind services or equipment qualify as third party investment. Please read this solicitation carefully.

(5) EXERCISING THE OPTION. The Government may unilaterally exercise this option upon contract award or at any time during the first 15 months of the contract period of performance. If satisfactory documentation is provided in the Phase II proposal, the option may be exercised at the time of initial Phase II contract award.

III. DEFINITIONS

For purposes of this solicitation, the following definitions apply:

A. R/R&D. Research or Research and Development is any activity that is:

(1) A systematic, intensive study directed toward greater knowledge or understanding of the subject studies.

(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.

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

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

D. SOCIALLY AND ECONOMICALLY DISADVANTAGED SMALL BUSINESS. 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.

(2) Whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals.

E. SOCIALLY AND ECONOMICALLY DISADVANTAGED INDIVIDUAL. A socially and economically disadvantaged individual is defined as a member of any of the following groups:

(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).

F. SMALL BUSINESS. A small business concern is one that at the time of award of Phase I and Phase II is:

(1) Independently owned and operated, 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 the voting stock is owned by United States citizens or lawfully 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 121.3-2(a). The term "number of employees" is defined in 13 CFR 121.3-2(t). Business concerns include, but are not limited to, any individual, partnership, corporation, joint venture, association or cooperative.

G. 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.

H. PRIMARY EMPLOYMENT. At least one-half of the principal investigator's time is spent in the employ of the small business.

I. 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.

J. 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.

K. THIRD PARTY INVESTORS. Third party investors may include such entities as a venture capital firm, an individual "angel" investor, bank or financial institution, or another company under a partnership, licensing or joint venture arrangement or any combinations of the above. Self financing and in-kind services and equipment do not qualify. Bank or other loans must be associated with developing and commercializing the SBIR project technology. Third Party Investors do not include owners of the small business, their family members, and/or "affiliates" of the small business awardee, as defined in Title 13 of the Code of Federal Regulations (C.F.R.), Section 121.103. As discussed in that section, concerns are affiliates of each other when one concern controls or has the power to control the other, or a third party or parties controls or has the power to control both. Factors such as ownership, management, previous relationships with or ties to another concern, and contractual relationships, can be considered in determining whether affiliation exists. Individuals or firms that have identical or substantially identical business or economic interests, such as family members, persons with common investments, or firms that are economically dependent through contractual or other relationships, may be treated as one party with such interests aggregated.

L. THIRD PARTY INVESTMENT. The purpose of Third Party Investment is to accelerate Phase II commercialization. Third Party Investment can include proof of the bank transaction showing that the third party has exercised its commitment. EPA also allows bank and other loans where they are directly linked to the Phase II technology. The loan agreement linking the loan to the technology must be provided to EPA as documentation. Third Party Investment from partner companies must document dollar amounts and methods showing how these resources will be provided to the SBIR company. Self financing and in-kind equipment or in-kind services do NOT qualify as third party investment under this solicitation. Also, claims for lost production or expenses associated with trade shows do not qualify as third party investment.

Third Party Investment documentation should also include a plan or schedule showing how and when the $100,000 of third party resources will be expended. Offerors are encouraged to expend the third party resources during Phase II. The last commercialization plan required as part of the final report should indicate how the $100,000 of third party funding was expended during Phase II and how the third party funding commitment accelerated commercialization of the Phase II technology.

IV. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. PROPOSAL COVER SHEET

The offeror shall photocopy and complete the Proposal Cover Sheet (Appendix 1) as page 1 of each copy of each proposal. No other cover is permitted. All pages must be consecutively numbered. 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.

B. ABSTRACT OR SUMMARY

The offeror shall photocopy and complete the Project Summary form (Appendix 2) as page 2 of each proposal. The technical abstract should include a brief description of the problem or opportunity, the innovation, project objectives, description of the effort, and the results of Phase I (see Part C.2 below). In summarizing anticipated results, the implications of the approach and the potential commercial applications of the research shall be stated. The project summary of the successful proposals will be published by EPA and, therefore, must not contain proprietary information.

C. TECHNICAL CONTENT: BASIC PHASE II PROPOSAL

The basic Phase II technical proposal is described below. As mentioned earlier in this solicitation, EPA is offering a Phase II Commercialization Option where EPA will provide additional funding to expand R&D efforts to meet the product or process requirements of a third party investor. The purpose of the additional funding is to accelerate the project to the commercialization stage. In order to apply for EPA funding under the Phase II option, proposals must address the option. This section of the proposal should appear immediately after the standard Phase II technical proposal described below and before Attachment 1 (Phase I Final Report). The technical and financial proposals for the option are described below in Section D.

Begin the main body of the basic Phase II technical proposal on page 3. Note that there are five attachments required as part of the complete Phase II proposal as follows:

Attachment 1: Phase I Final Report (See Section F);

Attachment 2: Commercialization Plan (See Section G);

Attachment 3: Phase II Quality Assurance Plan (Section H);

Attachment 4: Cost Breakdown/Proposed Budget(See Section I); Attachment 5: Representations/Certifications(See Section J).

The main body of the technical proposal should contain sections that, at a minimum, respond to each of the following requirements:

(1) Identification and Significance of the Problem or Opportunity. A clear statement of the specific technical problem or opportunity addressed.

(2) Provide a summary/discussion of the Phase I objectives and Phase I results, including a comparison/discussion of these objectives/results with the Phase II specific objectives and expected results. NOTE: The Phase II proposal must include a copy of the Phase I Final Report. This section of the proposal should only be a brief summary of the key Phase I findings and results. (See Section E below)

(3) Phase II Work Plan. Provide a detailed description of the Phase II 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 or principal investigator or by the proposing firm. Describe how it relates to the proposed effort, and any planned coordination with outside sources. The proposer must persuade reviewers of his/her awareness of recent research or R&D conducted by others in the specific topic area.

(5) Key Personnel and Bibliography of Directly Related Work. Identify key personnel involved in Phase II 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.

(6) Consultants. Involvement of consultants in the planning and research stages of the project is permitted. Offerors are encouraged to allow up to $4,000 of SBIR funds per year for consultant services associated with commercialization. Monies proposed for commercialization assistance should be included in the offeror's proposed total price, which is not to exceed $225,000. The proposal should describe in detail how these services will be used.

(7) Commercialization Plan. Provide a brief summary of the important elements of the Commercialization Plan. Note: The Phase II Proposal must include a copy of the Commercialization Plan. This section is only a brief summary of the plan. (See Section F below)

(8) Similar or Closely related SBIR Awards. If the small business concern has received ANY prior Phase I or Phase II award(s) from EPA or any Federal agency for similar or closely related research 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. Describe the differences and relationships between the proposed new Phase II research and prior research activities.

(9) 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.

(10) Prior SBIR Phase II Awards. If the small business concern has received ANY 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.

D. PHASE II OPTION

EPA Phase II offerors are NOT required to submit a proposal for the Phase II Option. Offerors who are interested in the Phase II option must address the option as detailed below. The option proposal will be reviewed and evaluated at the same time as the Basic Phase II proposal. Each proposal in its entirety (basic plus option if option is proposed) will be evaluated in accordance with Section V.B and C. Offerors must address the following if they are seeking the optional funding:

(1) Technical proposal including a brief description of the expanded R&D activity to be performed, milestone time-line chart, and a new Phase II work plan which indicates the additional work which is planned.

(2) At least ONE of the following should be included with the option proposal:

(a) Documentation showing that $100,000 of funding has been received from the third party;

(b) A signed original third party commitment letter; or

(c) A brief description of the expected third party investment, including what activities are to be conducted and the form and total amount of the third party financial commitment (minimum $100,000).

(3) Attachment 3-A, Cost Breakdown/Proposed Budget Sheet for the option.

The additional work proposed under the Phase II Option must be an expansion of the technical work being performed in the basic Phase II project. While the EPA funds must be used for the proposed new R&D efforts, the third party funds can be used for R&D and/or commercialization efforts, including market research, advertising and understanding or targeting your customer's needs, patent support, leveraging/pursuing strategic or financial investors, testing the market and business planning. Contractors should plan to expand and accelerate the total Phase II R&D over the basic Phase II contract period (2 years maximum).

Prior to the Government's determination to exercise the option, the contractor must provide the required documentation to show that at least $100,000 of funding has been received from a third party as defined in Section III.K. of this solicitation, for support during the Phase II contract. (Note that third party investors can include such entities as a venture capital firm, an individual "angel" investor, bank or financial institution, or another company under a partnership, licensing or joint venture arrangement, or any combination of the above. Self-financing and in-kind equipment/services do not qualify as third party investment and third party investors do not include owners of the small business, their family members and/or "affiliates" of the small business.)

E. OPTION DOCUMENTATION AND DEADLINE.

EPA may unilaterally exercise the option only upon receipt of a letter indicating that the entire amount of the funds/resources from the third party investor have been transferred/committed to the company. The letter must be accompanied by documentation of the deposit or credit transaction showing that the funds have been deposited. The letter must specifically state that $(commitment ) has been transferred to (SBIR Firm Name) from the following third-party investor(s): (List names and itemized amounts if more than one) in accord with the SBIR Phase II contract procedures, and for purposes related to work being performed under EPA SBIR Contract Number ________."

The deadline for receipt of this letter and all documentation is March 31, 2001. Offerors should submit the documentation to the addressees designated in Section IX of this solicitation. Offerors are encouraged to submit the letter and funding documentation as early as possible in order to facilitate the Government's review of the documentation and determination on whether the option will be exercised. EPA will not consider any submissions regarding evidence of third party funding that are received after 4:30 p.m. on March 31, 2001. Receipt of the required documentation does not obligate the Government to fund the option.

F. ATTACHMENT 1: PHASE I FINAL REPORT

The SBIR Phase I Final Report is required to be submitted as Attachment 1 of the Phase II proposal. Key Phase I findings and results needed to understand the potential of the Phase II research should be summarized in Section C(2) of the technical proposal.

G. ATTACHMENT 2: COMMERCIALIZATION PLAN

Provide a commercialization 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. While the results of the Phase I commercialization technical assistance provided by EPA to each SBIR Phase I company are important to the commercialization plan, it is anticipated that the company will utilize this information for preparing the Commercialization Plan rather than simply submitting the technical assistance product as Attachment 2. Key elements of the commercialization plan needed to understand the potential of the Phase II research should be summarized in Section C(7) of the technical proposal. The Commercialization Plan should contain sections that, at a minimum, respond to each of the following requirements:

(1) Company: Brief description of the company, its principal field(s) of interest, size and current products and sales.

(2) SBIR Project: A concise description of the project and its key technical objectives.

(3) Commercial Applications: Potential commercial applications of the research results specifying customers and specific needs which will be satisfied.

(4) Patent Status: Do you have or intend to file for one or more patents as a result of the SBIR project?

(5) Innovation: What is particularly innovative about the anticipated technology or products? (Innovation may be expressed in terms of applications, performance, efficiencies or reduced cost.)

(6) Competitive Advantages: What significant advantages in application, performance, technique, efficiency, or costs, do you anticipate your new technology will have over existing technology?

(7) Markets: What are the anticipated specific markets for the resulting technology, their estimated size, classes of customers, and your estimated market share five years after the Phase II project is completed and/or first sales?

(8) Competition: Who are the major competitors in the markets, present and/or anticipated?

(9) Production Plan: 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.? When do you anticipate doing so?

(10) Marketing Plan: Briefly describe the approach and steps you plan to take to commercialize the research results from the end of Phase II to significant sales. Do you plan to market the product yourself, through dealers, contract sales, marketing agreements, joint venture, sales representatives, foreign companies, etc.?

(11) Financing Plan: Briefly describe your plan to raise money to support your commercialization plan. In describing any arrangements for non-Federal capital commitments, the proposal must include the following:

(a) The name and address of commercial firm

(b) Nature of arrangements

(c) Amount

(d) Degree of formality

(e) Conditions of arrangements

(f) Any available written evidence of third party agreement

(g) Funding Commitment(See Section VII for more information)

H. ATTACHMENT 3: PHASE II QUALITY ASSURANCE PLAN

In your proposal provide a summary paragraph describing expected key elements of the Phase II Quality Assurance Plan and steps that will be taken to prepare the plan. The Proposed Quality Assurance Plan is required with the first monthly report.

Phase II awardees must provide with their first monthly report information on whether or not their research involves technology-specific testing or environmentally related measurements. If it does, a quality system is required. This Phase II Quality Assurance Plan should, for each item listed below, either present 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 statistical analyses that were used to estimate the types and numbers of samples required for physical samples of similar information for studies using survey and interview techniques.

(3) The procedures for the handling and custody of samples, including sample 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.

I. ATTACHMENT 4: PHASE II COST BREAKDOWN/PROPOSED BUDGET

Complete the Budget form (see Appendix 3),and photocopy the form for the required 9 copy 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. If applying for the Phase II Option, also complete Attachment 4-A to reflect costs for the option.

J. ATTACHMENT 5: REPRESENTATIONS AND CERTIFICATIONS

Attachment 5 (see Appendices 4 and 5) is a Representations and Certifications Package. Please fill out completely, sign, and return with the proposal. Completion of this package is required before any award can be made. Failure to complete fully and sign this package could delay award.

K. ADDITIONAL PHASE II EPA PARTNERSHIP OPPORTUNITIES

The EPA Environmental Technology Verification (ETV) Program may help companies plan SBIR Phase II activities. The ETV Program is designed to facilitate the deployment of innovative environmental technologies through performance verification and information dissemination. ETV verifies the performance of new, commercially-ready environmental technologies through the evaluation of objective and quality assured data so that potential purchasers, users and permitters are provided with an independent and credible assessment of what they are buying. SBIR Phase II companies may be interested in ETV partnerships to help them commercialize new technologies.

For information on the ETV Program, visit the Website, http://www.epa.gov/etv. There are ETV partnership programs for drinking water systems, pollution prevention, indoor air products, climate change and site characteristics and monitoring technologies. One of the ETV partners, the Civil Engineering Research Foundation, operates the Environmental Technology Evaluation Center (http://www.cenet.org/evtec).

V. METHOD OF SELECTION AND EVALUATION CRITERIA

A. COMPETITION

All Phase II proposals will be evaluated and judged on a competitive basis. Each proposal will be judged on its own merit. No automatic preference shall be given to offers which address the option versus those that do not. However, offers will be evaluated in their entirety using the criteria specified in Section C below. The Agency is under no obligation to fund any proposal or any specific number of proposals in a given topic. It also may elect to fund 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. PEER REVIEW

Phase II proposals will be reviewed by external peer reviewers. All peer reviewers will be required to sign an agreement to protect the confidentiality of all proposal material. A copy of the confidentiality agreement is available upon request. The external peer review panel of technical experts will review all proposals using the technical evaluation criteria described in C. below. Based on this review, the panel will assign adjectival ratings of "Excellent", "Very Good", "Good", "Fair" or "Poor" to each proposal. EPA program managers will then rank all "Excellent" and "Very Good" proposals based on program priorities, balance and relevancy. Awards will be made in ranked order.

C. PHASE II EVALUATION CRITERIA

Phase II proposals will be evaluated in accordance with the following criteria to determine the results of Phase I and the scientific and technical merit and commercial potential of the proposal. The criteria are of equal importance.

PHASE II EVALUATION 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.

  • 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.
  • 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.

  • 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.

E. RELEASE OF PROPOSAL REVIEW INFORMATION

After the INTENDED award decisions have been announced, offerors may request the technical evaluations for their proposal(s). The identity of the reviewer(s) shall not be disclosed.

VI. CONTRACTUAL REQUIREMENTS

A. PHASE II CONTRACT REPORTING REQUIREMENTS

(1) During the duration of the contract, 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 Contract Specialist. 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 same period.

If the Phase II Option is executed by contract modification, the contractor will be required to report R/R&D and commercialization progress associated with the Option, including progress using EPA SBIR funds and progress from the third party investment. The monthly report must indicate expenditures of SBIR and third parties during the monthly reporting period.

(2) The first monthly report must also include a copy of the Phase II Proposed Quality Assurance Plan. Phase II awardee must provide information on whether or not their research involves technology-specific testing or environmentally related measurements. If it does, a quality system must be described that complies with applicable requirements. (See Part IV, Section H).

(3) Three copies of a comprehensive final report on the Phase II project must be submitted by the final completion date of the contract. Two copies must be provided to the Project Officer and one copy to the Contract Specialist. 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 commercial 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 latest commercialization plan developed during Phase II shall be included in the final report.

(4) Two hard copies (and one copy on a disk in WP 6.1 or ASCII format) of a publishable (cleared for the general public) 2-3 page executive summary of the final report for Phase II 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 innovation and potential commercialization. The executive summary will be placed on the EPA SBIR Website and therefore, it should include the specific results the company is willing to release to the public.

B. PAYMENT SCHEDULE

Monthly progress payments will be allowed for SBIR Phase II contractors at a maximum rate of 85% of total costs incurred for each reporting period. 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 for each reporting period. Appropriate provisions will be included in the contract.

C. INNOVATIONS, INVENTIONS AND PATENTS

(1) PROPRIETARY INFORMATION. Information contained in unsuccessful proposals will remain the property of the proposer. 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 a proposer 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 proposer with the term "confidential proprietary information" and provided the following legend, which appears on the cover page of the proposal is completed:

"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 extend 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/pages (Insert numbers or other identification of sheets)."

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. The Government will limit dissemination of such information to within official channels. Offerors shall limit proprietary information to only that absolutely essential to their proposal.

(2) RIGHTS TO DATA DEVELOPED UNDER SBIR FUNDING AGREEMENTS. The Contractor is authorized to affix the following "SBIR Rights Notice" to SBIR data delivered under this contract and the Government will thereafter treat the data within the provisions of FAR 52.227-20, Rights in Data--SBIR Program. If the Contractor does not affix the Notice to data delivered to the Government in performance of the contract, the Government shall have unlimited rights to all data delivered, except for copyright data approved by the Contracting Officer and registered under U.S.C. 401 or 402. If the claim to copyright data is made, the Contractor shall affix the applicable copyright notice. The SBIR RIGHTS NOTICE (MAR 1994)is as follows:

"These SBIR data are furnished with SBIR rights under Contract No. _______________. For a period of 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 following Notice shall be affixed to any reproductions of these data, in whole or in part."

(3) 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 royalty-free license for the Federal Government and requires that each publication contain an appropriate acknowledgment and disclaimer statement.

(4) PATENTS. Small business concerns normally may retain the principal worldwide patent rights to any invention developed with Government 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 four-year period to allow the awardee a reasonable time to pursue a patent.

D. 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.

E. 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.

F. 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.

G. RESEARCH AND ANALYTICAL WORK

For Phase II a minimum of one-half of the research and/or analytical effort must be performed by the proposing firm unless otherwise approved in writing by the Contracting Officer.

H. 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 II 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 II 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 American-made items whenever possible.

VII. ADDITIONAL CONTRACT 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) EVALUATION OF OPTIONS EXERCISED AT TIME OF CONTRACT AWARD (June 1988) FAR 52.217-4. Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interests, the Government will evaluate the total price for the basic requirement together with the basic option(s) exercised at the time of award.

(8) EVALUATION OF OPTIONS (July 1990) FAR 52.217-5. Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interests, the Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation of options will not obligate the Government to exercise the option(s).

(9) OPTION FOR INCREASED QUANTITY-SEPARATELY PRICED LINE ITEM (MARCH 1989) FAR 52.217-7. The Government may require the delivery of the numbered line item, identified in the Schedule as an option item, in the quantity and at the price stated in the Schedule. The Contracting Officer may exercise the option by written notice to the Contractor within the first 15 months of the period of performance. Delivery of added items shall continue at the same rate that like items are called for under the contract, unless the parties otherwise agree.

(10) 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 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

(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.

(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.

VIII. SUBMISSION OF PROPOSALS

Your proposal shall be submitted with an original and nine (9) copies (including all appendices) to the following address by 4:30 p.m. local time, on October 27, 1999.

U.S. MAIL:

Attention: Kathryn Peele, SBIR Phase II

U.S. Environmental Protection Agency

Contracts Management Division (MD-33)

Research Triangle Park, N.C. 27711

HAND-CARRIED/COURIER ADDRESS:

Attention: Kathryn Peele, SBIR Phase II

U.S. Environmental Protection Agency

Administration Building Lobby

Contracts Management Division

79 Alexander Drive

Research Triangle Park, N.C. 27709

*** IMPORTANT ***

Please note Section VII, Paragraph 10(c)(3), FAR 52.215-1(c)(3), "Instructions to Offerors - Competitive Acquisition" concerning Late Proposals, Modifications of Proposals and Withdrawal

of Proposals.

Please do not use special bindings or covers. Staple the pages in the upper left corner of the cover sheet of each proposal. All copies of a proposal shall be sent in the same package. The proposal should be self-contained with all appendices and written with the care and thoughtfulness accorded papers for publication.

IX. SUBMISSION OF OPTIONAL FUNDING LETTER/DOCUMENTATION:

All documentation required as evidence of third party funding in order to receive consideration for the option funding shall be submitted by 4:30 p.m. local time, on June 29, 2001.

One original set of the documentation shall be submitted to EPA Contracts Management Division at the appropriate address listed above in Section VIII (A).

One duplicate copy of the documentation shall be submitted to the SBIR Program Manager at the appropriate address listed below:

U.S. Mail:

Attention: Dr. Jim Gallup

U.S. Environmental Protection Agency

401 M Street, SW (MC-8722R)

Washington, DC 20460

Handcarried/Courier Address:

Attention: Dr. Jim Gallup

U.S. Environmental Protection Agency

1300 Pennsylvania Avenue, NW

ORD/NCERQA (8722-R), Rm. 51161

Washington, DC 20004

X. SUBMISSION FORMS AND CERTIFICATIONS

Forms are not attached for the first three proposal attachments: Attachment 1 (Phase I Final Report); Attachment 2 (Commercialization Plan); and Attachment 3 (Phase II Quality Assurance Plan). Attached to this solicitation are the following forms:

Appendix 1: Proposal Cover Sheet (Number as Page 1)

Appendix 2: Project Summary (Number as Page 2)

Appendix 3: SBIR Proposal Summary Budget

Appendix 3-A: SBIR Option Proposal Summary Budget

Appendix 4: Representations and Certifications Cover sheet

Appendix 5: Representations, Certifications and Other Statements of Offerors

Include Appendix 1 as the first page of your proposal and Appendix 2 as the second page of your proposal. If you are submitting an Option proposal, include Appendix 3-A immediately following Appendix 3. The purpose of these forms is to meet the mandate of law or regulation and simplify the submission of proposals.

Appendix 1: PROPOSAL COVER SHEET

U.S. Environmental Protection Agency,

SMALL BUSINESS INNOVATION RESEARCH PHASE II

SOLICITATION NO. PR-NC-99-13594

PHASE I TOPIC ________________

PROPOSAL TITLE _______________________________________________________________________________

________________________________________________________________________________________________

________________________________________________________________________________________________

FIRM NAME: _____________________________________________________________________________________

MAILING ADDRESS:________________________________________________________________________________

CITY:__________________________________________________ STATE:___________ ZIP:__________________

AMOUNT REQUESTED:$ ____________ PROPOSED DURATION (PHASE II): 2 YEARS

(Not to Exceed $225,000)

**********Proposals submitted in response to this solicitation will be valid for 240 days*******

ARE YOU APPLYING FOR THE PHASE II COMMERCIALIZATION OPTION? (Y) OR (N) ________

PHASE II OPTION AMOUNT: $_________

(Not to Exceed $70,000)

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 1/2 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 information purposes only.

___________________________________________________________________________________________________

The Offeror is in full agreement with the terms, conditions and provisions included in this solicitation, as evidenced by signatures below.

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.

Appendix 2

U.S. ENVIRONMENTAL PROTECTION AGENCY

SMALL BUSINESS INNOVATION RESEARCH PROGRAM

SOLICITATION NUMBER PR-NC-99-13594

PHASE II

PROJECT SUMMARY (Limit to One Page)

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

Firm Name:

Telephone:

Address:

Fax:

E-mail:

TITLE OF PROPOSAL:

TOPIC LETTER AND DESCRIPTION:

PRINT NAME OF PRINCIPAL INVESTIGATOR:______________________________________

_______________________________ ____________________________ _______

PRINCIPAL INVESTIGATOR SIGNATURE TITLE DATE

============================================================================

TECHNICAL ABSTRACT, RESULTS, AND POTENTIAL COMMERCIAL APPLICATION

(Limit to 400 Words; Must be Publishable):

Appendix 3

SBIR PROPOSAL SUMMARY BUDGET

(See Instructions on Reverse Side)

_____________________________________________________________________

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

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

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

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_______________________________________________________________________

B. OVERHEAD: $

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________________________________________________________________________

C. OTHER DIRECT COSTS: (list separately) $

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

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

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

_________________________________________________________________________

D. TRAVEL: List purpose and individuals and or title $

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

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

__________________________________________________________________________

E. CONSULTANTS: (List Est. Rate and Hours) $

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

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____________________________________________________________________________

F. GENERAL AND ADMINISTRATIVE: $

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____________________________________________________________________________

TOTAL COSTS (Total of A thru F above)

_____________________________________________________________________________

G. PROFIT ( ____%) Not to exceed 10% of total project costs $_________

===============================================================================

TOTAL PROJECT PRICE (Total costs + Profit) $__________

SIGNATURE: DATE SUBMITTED:

___________________________________ __________________

This proposal is submitted in response to EPA SBIR Program Solicitation No.

PR-NC-99-13594 and reflects our best estimate as of this date.

INSTRUCTIONS FOR APPENDIX 3

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.

Appendix 3-A

SBIR OPTION PROPOSAL SUMMARY BUDGET

(See Instructions on Reverse Side)

_____________________________________________________________________

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 Est. Rate and Hours) $

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

-------------------------------------------------------------------------------___________________________________________________________________________

F. GENERAL AND ADMINISTRATIVE: $

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

____________________________________________________________________________

TOTAL COSTS (Total of A thru F above)

_____________________________________________________________________________

G. PROFIT ( ____%) Not to exceed 10% of total project costs $_________

===============================================================================

TOTAL PROJECT PRICE (Total costs + Profit) $__________

SIGNATURE: DATE SUBMITTED:

_______________________________________ ________________________________

This proposal is submitted in response to EPA SBIR Program Solicitation No. PR-NC-99-13594 and reflects our best estimate as of this date.

INSTRUCTIONS FOR APPENDIX 3-A

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.

APPENDIX 4

COVER SHEET

REPRESENTATIONS AND CERTIFICATIONS

FIRM:____________________________________________

CONGRESSIONAL DISTRICT/DUN AND BRADSTREET NUMBER (RTP-K-1)

A. Congressional district for offeror's place of business:

______________

Congressional district for offeror's place(s) of performance:

______________

B. Dun and Bradstreet Number: _______________________________

C. Taxpayer ID or SSN#:_____________________________________

APPENDIX 5

REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS

K.1 CERTIFICATE OF INDEPENDENT PRICE DETERMINATION (FAR 52.203-2) (APR 1985)

(a) The offeror certifies that--

(1) The prices in this offer have been arrived at independently, without, for the purpose of restricting competition, any consultation, communication, or agreement with any other offeror or competitor relating to (i) those prices, (ii) the intention to submit an offer, or (iii) the methods or factors used to calculate the prices offered;

(2) The prices in this offer have not been and will not be knowingly disclosed by the offeror, directly or indirectly, to any other offeror or competitor before bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a negotiated solicitation) unless otherwise required by law; and

(3) No attempt has been made or will be made by the offeror to induce any other concern to submit or not to submit an offer for the purpose of restricting competition.

(b) Each signature on the offer is considered to be a certification by the signatory that the signatory--

(1) Is the person in the offeror's organization responsible for determining the prices being offered in this bid or proposal, and that the signatory has not participated and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above; or

(2)(i) Has been authorized, in writing, to act as agent for the following principals in certifying that those principals have not participated, and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above

____________________________________________

____________________________________________

____________________________________________

[Insert full name of person(s) in the offeror's organization responsible for determining the prices offered in the bid or proposal, and the title of his or her position in the offeror's organization];

(ii) As an authorized agent, does certify that the principals named in subdivision (b)(2)(i) above have not participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above; and

(iii) As an agent, has not personally participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above.

(c) If the offeror deletes or modifies subparagraph (a)(2) above, the offeror must furnish with its offer a signed statement setting forth in detail the circumstances of the disclosure.

K.2 CONTINGENT FEE REPRESENTATION AND AGREEMENT (FAR 52.203-4) (APR 1984)

(a) Representation. The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror--

[Note: The offeror must check the appropriate boxes. For interpretation of the representation, including the term "bona fide employee," see Subpart 3.4 of the Federal Acquisition Regulation.]

(1) [ ] has, [ ] has not employed or retained any person or company to solicit or obtain this contract; and

(2) [ ] has, [ ] has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract.

(b) Agreement. The offeror agrees to provide information relating to the above Representation as requested by the Contracting Officer and, when subparagraph (a)(1) or (a)(2) is answered affirmatively, to promptly submit to the Contracting Officer--

(1) A completed Standard Form 119, Statement of Contingent or Other Fees, (SF 119); or

(2) A signed statement indicating that the SF 119 was previously submitted to the same contracting office, including the date and applicable solicitation or contract number, and representing that the prior SF 119 applies to this offer or quotation.

K.3 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (FAR 52.203-11) (APR 1991)

(a) The definitions and prohibitions contained in the clause, at FAR 52.203-12, Limitation on Payments to Influence Certain Federal Transactions, included in this solicitation, are hereby incorporated by reference in paragraph (b) of this certification.

(b) The offeror, by signing its offer, hereby certifies to the best of his or her knowledge and belief that on or after December 23, 1989--

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit OMB standard form LLL, Disclosure of Lobbying Activities to the Contracting Officer; and

(3) He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly.

(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

K.4 TAXPAYER IDENTIFICATION (FAR 52.204-3) (OCT 1998)

(a) Definitions.

"Common parent," as used in this provision, means that corporate entity that owns or controls an affiliated group of corporations that files its Federal income tax returns on a consolidated basis, and of which the offeror is a member.

"Taxpayer Identification Number (TIN)," as used in this provision, means the number required by the Internal Revenue Service (IRS) to be used by the offeror in reporting income tax and other returns. The TIN may be either a Social Security Number or an Employer Identification Number.

(b) All offerors must submit the information required in paragraphs (d) through (f) of this provision to comply with debt collection requirements of 31 U.S.C. 7701(c) and 3325(d), reporting requirements of 26 U.S.C. 6041, 6041A, and 6050M, and implementing regulations issued by the IRS. If the resulting contract is subject to the payment reporting requirements described in Federal Acquisition Regulation (FAR) 4.904, the failure or refusal by the offeror to furnish the information may result in a 31 percent reduction of payments otherwise due under the contract.

(c) The TIN may be used by the Government to collect and report on any delinquent amounts arising out of the offeror's relationship with the Government (31 U.S.C. 7701(c)(3)). If the resulting contract is subject to the payment reporting requirements described in FAR 4.904, the TIN provided hereunder may be matched with IRS records to verify the accuracy of the offeror's TIN.

(d) Taxpayer Identification Number (TIN).

[ ] TIN:_________________________________

[ ] TIN has been applied for.

[ ] TIN is not required because:

[ ] Offeror is a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the United States and

does not have an office or place of business or a fiscal paying agent in the United States;

[ ] Offeror is an agency or instrumentality of a foreign government;

[ ] Offeror is an agency or instrumentality of the Federal Government.

(e) Type of organization.

[ ] Sole proprietorship;

[ ] Partnership;

[ ] Corporate entity (not tax-exempt);

[ ] Corporate entity (tax-exempt);

[ ] Government entity (Federal, State, or local);

[ ] Foreign government;

[ ] International organization per 26 CFR 1.6049-4;

[ ] Other_______________________________________________________.

(f) Common parent.

[ ] Offeror is not owned or controlled by a common parent as defined in paragraph (a) of this provision.

[ ] Name and TIN of common parent:

Name___________________________________________________________________

TIN____________________________________________________________________

K.5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (FAR 52.209-5) (MAR 1996)

(a)(1) The Offeror certifies, to the best of its knowledge and belief,

that -

(i) The Offeror and/or any of its Principals -

(A) Are ( ) are not ( ) presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency;

(B) Have ( ) have not ( ), within a 3-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and

(C) Are ( ) are not ( ) presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in subdivision (a)(1)(i)(B) of this provision.

(ii) The Offeror has ( ) has not ( ), within a 3-year period preceding this offer, had one or more contracts terminated for default by any Federal agency.

(2) "Principals," for the purposes of this certification, means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment, and similar positions).

THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PROSECUTION UNDER SECTION 1001, TITLE 18, UNITED STATES CODE.

(b) The Offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Offeror's responsibility. Failure of the Offeror to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Offeror nonresponsible.

(d) Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

(e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Government, the Contracting Officer may terminate the contract resulting from this solicitation for default.

K.6 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-4) (OCT 1997)

The offeror or respondent, by checking the applicable box, represents that--

(a) It operates as an individual, a partnership, a nonprofit organization, a joint venture, or a corporation incorporated under the laws of the State of __________________________.

(b) If the offeror or respondent is a foreign entity, it operates as an individual, a partnership, a nonprofit organization, a joint venture, or a corporation, registered for business in (country) ___________________________.

K.7 PLACE OF PERFORMANCE (FAR 52.215-6) (OCT 1997)

(a) The offeror or respondent, in the performance of any contract resulting from this solicitation, intends, does not intend [check applicable block] to use one or more plants or facilities located at a different address from the address of the offeror or respondent as indicated in this proposal or response to request for information.

(b) If the offeror or respondent checks "intends" in paragraph (a) of this provision, it shall insert in the following spaces the required information:

Place of Performance Name and Address of Owner

(Street Address, City, and Operator of the Plant

State, County, Zip Code) or Facility if Other than

Offeror or Respondent

____________________ _______________________

____________________ _______________________

K.8 SMALL BUSINESS PROGRAM REPRESENTATIONS (FAR 52.219-1) (MAY 1999) ALTERNATE II (JAN 1999)

(a)(1) The standard industrial classification (SIC) code for this acquisition is 8731 Commercial Physical and Biological Research.

(2) The small business size standard is (insert size standard).

(3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees.

(b) Representations. (1) The offeror represents as part of its offer that it [ ]is, [ ]is not a small business concern.

(2) [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents, for general statistical purposes, that it [ ]is, [ ]is not, a small disadvantaged business concern as defined in 13 CFR 124.1002.

(3) [Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents as part of its offer that it [ ]is, [ ]is not a women-owned small business concern.

(5) [Complete only if offeror represented itself as a small business concern in paragraph (b)(1) of this provision.] The offeror represents, as part of its offer, that--

(i) It { } is, { } is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material change in ownership and control, principal place of ownership, or HUBZone employee percentage has occurred since it was certified by the Small Business Administration in accordance with 13 CFR part 126; and

(ii) It { } is, { } is not a joint venture that complies with the requirements of 13 CFR part 126, and the representation in paragraph (b)(5)(i) of this provision is accurate for the HUBZone small business concern or concerns that are participating in the joint venture. [The offeror shall enter the name or names of the HUBZone small business concern or concerns that are participating in the joint venture: ____________.] Each HUBZone small business concern participating in the joint venture shall submit a separate signed copy of the HUBZone representation.

(c) Definitions.

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

"Women-owned small business concern," as used in this provision, means a small business concern--

(1) Which is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at east 51 percent of the stock of which is owned by one or more women; and

(2) Whose management and daily business operations are controlled by one or more women.

(d) Notice. (1) If this solicitation is for supplies and has been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be furnished.

(2) Under 15 U.S.C. 645(d), any person who misrepresents a firm's status as a small, small disadvantaged, or women-owned small business concern in order to obtain a contract to be awarded under the preference programs established pursuant to section 8(a), 8(d), 9, or 15 of the Small Business Act or any other provision of Federal law that specifically references section

8(d) for a definition of program eligibility, shall--

(i) Be punished by imposition of fine, imprisonment, or both;

(ii) Be subject to administrative remedies, including suspension

and debarment; and

(iii) Be ineligible for participation in programs conducted under

the authority of the Act.

K.9 PROHIBITION OF SEGREGATED FACILITIES (FAR 52.222-21) (FEB 1999)

(a) "Segregated facilities," as used in this clause, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, sex, or national origin because of written or oral policies or employee custom. The term does not include separate or single-user rest rooms or necessary dressing or sleeping areas provided to assure privacy

between the sexes.

(b) The Contractor agrees that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The Contractor agrees that a breach of this clause is a violation of the Equal

Opportunity clause in this contract.

(c) The Contractor shall include this clause in every subcontract and purchase order that is subject to the Equal Opportunity clause of this contract.

K.10 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FAR 52.222-22) (FEB 1999)

The offeror represents that--

(a) It [ ] has, [ ] has not participated in a previous contract or subcontract subject to the Equal Opportunity clause of this solicitation;

(b) It [ ] has, [ ] has not filed all required compliance reports; and

(c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards.

K.11 AFFIRMATIVE ACTION COMPLIANCE (FAR 52.222-25) (APR 1984)

The offeror represents that--

(a) It [ ] has developed and has on file, [ ] has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or (b) It [ ] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.

K.12 CLEAN AIR AND WATER CERTIFICATION (FAR 52.223-1) (APR 1984)

The Offeror certifies that--

(a) Any facility to be used in the performance of this proposed contract is [ ], is not [ ] listed on the Environmental Protection Agency (EPA) List of Violating Facilities;

(b) The Offeror will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the EPA, indicating that any facility that the Offeror proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating Facilities; and

(c) The Offeror will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract.

K.13 RECOVERED MATERIAL CERTIFICATION (FAR 52.223-4) (OCT 1997)

As required by the Resource Conservation and Recovery Act of 1976 (42 U.S.C. 6962(c)(3)(A)(i)), the offeror certifies, by signing this offer, that the percentage of recovered material to be used in the performance of the contract will be at least the amount required by the applicable contract specifications.

K.14 ESTIMATE OF PERCENTAGE OF RECOVERED MATERIAL FOR DESIGNATED ITEMS TO BE USED IN THE PERFORMANCE OF THE CONTRACT (FAR 52.223-8) (MAY 1995)

(a) By signing this offer, the offeror estimates that the total percentage(s) of recovered material for EPA Designated Items (see 40 CFR, Chapter 1, Subchapter I) to be used in the products and services to be provided under the terms and specifications set forth in this solicitation shall be as follows:

ITEM ESTIMATED PERCENTAGE

OF RECOVERED MATERIAL*

______________________ ______________________________

______________________ ______________________________

*In addition, for paper products, include the percentage of postconsumer material.

(b) Prospective offerors are cautioned that the Government will conclude that the percentages(s) of recovered materials to be used in products and services to be provided under any resulting contract shall be "0%" if the estimate(s) requested in this solicitation provision are left blank.

(c) Prospective offerors are further cautioned that estimated percentage(s) of recovered materials to be used in products and services to be provided under any resulting contract that are less than the requirements set forth in this solicitation may render a prospective offeror's offer nonresponsive.

K.15 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING (FAR 52.223-13) (OCT 1996)

(a) Submission of this certification is a prerequisite for making or entering into this contract imposed by Executive Order 12969, August 8, 1995.

(b) By signing this offer, the offeror certifies that--

(1) As the owner or operator of facilities that will be used in the performance of this contract that are subject to the filing and reporting requirements described in section 313 of the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA) (42 U.S.C. 11023)and section 6607 of the Pollution Prevention Act of 1990(PPA) (42 U.S.C. 13106), the offeror will file and continue to file for such facilities for the life of the contract the Toxic Chemical Release Inventory Form (Form R) as described in sections 313(a) and (g) of EPCRA and section 6607 of PPA; or

(2) None of its owned or operated facilities to be used in the performance of this contract is subject to the Form R filing and reporting requirements because each such facility is exempt for at least one of the following reasons: (Check each block that is applicable.)

[] (i)The facility does not manufacture, process, or otherwise use any toxic chemicals listed under section 313(c) of EPCRA, 42 U.S.C. 11023(c);

[] (ii)The facility does not have 10 or more full-time employees as specified in section 313(b)(1)(A) of EPCRA, 42 U.S.C. 11023(b)(1)(A);

[] (iii)The facility does not meet the reporting thresholds of toxic chemicals established under section 313(f) of EPCRA, 42 U.S.C. 11023(f)(including the alternate thresholds at 40 CFR 372.27, provided an appropriate certification form has been filed with EPA);

[] (iv)The facility does not fall within Standard Industrial Classification Code (SIC) designations 20 through 39 as set forth in section 19.102 of the Federal Acquisition Regulation; or

[] (v) The facility is not located within any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the United States Virgin Islands, the Northern Mariana Islands, or any other territory or possession over which the United States has jurisdiction.

K.16 ORGANIZATIONAL CONFLICT OF INTEREST CERTIFICATION (EPAAR 1552.209-72) (APR 1984)

The offeror [ ] is [ ] is not aware of any information bearing on the existence of any potential organizational conflict of interest. If the offeror is aware of information bearing on whether a potential conflict may exist, the offeror shall provide a disclosure statement describing this information. (See Section L of the solicitation for further information.)

K.17 GENERAL FINANCIAL AND ORGANIZATIONAL INFORMATION (EPAAR 1552.215-76) (APR 1984)

Offerors or quoters are requested to provide information regarding the following items in sufficient detail to allow a full and complete business evaluation. If the question indicated is not applicable or the answer is none, it should be annotated. If the offeror has previously submitted the information, it should certify the validity of that data currently on file at EPA or update all outdated information on file.

(a) Contractor's Name: ....................................

(b) Address (If financial records are maintained at some other

location, show the address of the place where the records

are kept): ............................................

.......................................................

(c) Telephone Number: .....................................

(d) Individual(s) to contact re this proposal: ............

.......................................................

(e) Cognizant Government:

Audit Agency: .........................................

Address: ..............................................

Auditor: ..............................................

(f) (1) Work Distribution for the Last Completed Fiscal Accounting Period:

Sales:

Government cost-reimbursement type prime

contracts and subcontracts: $......

Government fixed-price prime contracts

and subcontracts: $......

Commercial Sales: $......

Total Sales: $......

(2) Total Sales for first and second fiscal years immediately preceding last completed fiscal year.

Total Sales for First Preceding Fiscal Year $......

Total Sales for Second Preceding Fiscal Year $......

(g) Is company a separate rate entity or division?

.......................................................

If a division or subsidiary corporation, name parent company:

.......................................................

(h) Date Company Organized: ...............................

(i) Manpower:

Total Employees: ......................................

Direct: ...............................................

Indirect: .............................................

Standard Work Week (Hours): ...........................

(j) Commercial Products: ..................................

.......................................................

(k) Attach a current organizational chart of the company.

(l) Description of Contractor's system of estimating and accumulating costs under Government contracts. (Check appropriate blocks.)

Estimated/ Standard Actual Cost Cost

Estimating System

Job Order ....... ........

Process ....... ........

Accumulating System

Job Order ....... ........

Process ....... ........

Has your cost estimating system been approved by any Government agency?

Yes ....... No ..........

If yes, give name and location of agency: .............

.......................................................

Has your cost accumulation system been approved by any Government agency?

Yes ....... No ..........

If yes, give name and address of agency: ..............

.......................................................

(m) What is your fiscal year period? (Give month-to-month dates):

.......................................................

What were the indirect cost rates for your last completed fiscal year?

Fiscal Indirect Basis of

Year Cost Rate Allocation

Fringe Benefits ....... ..........

Overhead ....... ..........

G&A Expense ....... ..........

Other ....... ..........

(n) Have the proposed indirect cost rate(s) been evaluated and accepted by any Government agency? Yes ....... No ...........

If yes, name and location of the Government agency:

.........................................................

Date of last preaward audit review by a Government agency: .

(If the answer is no, data supporting the proposed rates must accompany the cost or price proposal. A breakdown of the items comprising overhead and G&A must be furnished.)

(o) Cost estimating is performed by:

Accounting Department ....................................

Contracting Department ...................................

Other ....................................................

(describe).

(p) Has system of control of Government property been approved by a Government agency?

Yes ....... No ..........

If yes, name and location of the Government agency:

..........................................................

(q) Purchasing System:

FAR 44.302 requires EPA, where it is the cognizant Government agency, to conduct a Contractor Purchasing System Review for each contractor whose sales to the Government, using other than sealed bid procedures, are expected to exceed $10 million (annual billings) during the next twelve months. The $10 million sales threshold is comprised of prime contracts, subcontractors under Government prime contracts, and modifications (except when the negotiated price is based on established catalog or market prices or is set by law or regulation). Has your purchasing system been approved by a Government agency?

Yes ..... No ..........

If yes, name and location of the Government agency:

.............................................................

Period of Approval: .......................................

If no, do you estimate that your negotiated sales to the Government during the next twelve months will meet the $10 million threshold?

Yes ..... No ..........

If you respond yes to the $10 million threshold question, is EPA the cognizant agency for your organization based on the preponderance of Government contract dollars?

Yes ..... No ..........

If EPA is not your cognizant Government agency, provide the name and location of the cognizant agency.....................

..............................................................

Are your purchasing policies and procedures written?

Yes ..... No ..........

(r) Does your firm have an established written incentive compensation or bonus plan?

Yes ..... No ..........

K.18 SOCIAL SECURITY NUMBERS OF CONSULTANTS AND CERTAIN SOLE PROPRIETORS AND PRIVACY ACT STATEMENT (EPAAR 1552.224-70) (APR 1984)

(a) Section 6041 of Title 26 of the U.S. Code requires EPA to file Internal Revenue Service (IRS) Form 1099 with respect to individuals who receive payments from EPA under purchase orders or contracts. Section 6109 of Title 26 of the U.S. Code authorizes collection by EPA of the social security numbers of such individuals for the purpose of filing IRS Form 1099. Social security numbers obtained for this purpose will be used by EPA for the sole purpose of filing IRS Form 1099 in compliance with Section 6041 of Title 26 of the U.S. Code.

(b) If the offeror or quoter is an individual, consultant, or sole proprietor and has no Employer Identification Number, insert the offeror's or quoter's social security number on the following line.

..................................

K.19 SIGNATURE BLOCK (EP 52.299-900) (APR 1984)

I hereby certify that the responses to the above Representations, Certifications and other statements are accurate and complete.

Signature:____________________________

Title :____________________________

Date :____________________________

K.20 COMPLIANCE WITH VETERANS EMPLOYMENT REPORTING REQUIREMENTS (EP-S 99-1) (FEB 1999) DEVIATION

(a) The Offeror represents that, if it is subject to the reporting requirements of 38 U.S.C. 4212(d) (i.e. the VETS-100 report required by the Federal Acquisition Regulation clause 52.222-37, Employment Reports on Disabled Veterans and Veterans of the Vietnam Era), it has[ ], has not [ ] submitted the most recent report required by 38 U.S.C. 4212(d).

(b) An Offeror who checks "has not" may not be awarded a contract until the required reports are filed. (31 U.S.C. 1354)

K.21 CONGRESSIONAL DISTRICT/DUN AND BRADSTREET NUMBER (RTP-K-1)

A. Congressional district for offeror's place of business (as noted on the SF1411):

______________

Congressional district for offeror's place(s) of performance:

______________

B. Dun and Bradstreet Number: _______________________________

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