SPECIAL SBIR PHASE I SOLICITATION – TECHNOLOGY SOLUTIONS FOR PACIFIC
SOUTHWEST ENVIRONMENTAL PROBLEMS
Special Phase I Solicitation No. PR-NC-04-10310
Air Pollution in Arid Climates
Drinking Water in Arid Climates
Wastewater in Arid Climates
Solid Waste in Arid Climates
Stormwater From Construction and Industry
Dairies and CAFOs
Chronic Wasting Disease
Green Buildings
ISSUE DATE: March 25, 2004
CLOSING DATE: May 25, 2004 *
* CAUTION - See Section V, Paragraph J.9(c), Instructions to Offerors,
Concerning Late Proposals and Modifications.
Your proposal with an original and nine (9) copies (including
all appendices) shall be received at one of the following addresses by 12:00
p.m. (Noon) local time on May 25, 2004.
U.S. MAIL:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-04-10310 – Pacific Southwest
Closing Date: May 25, 2004, at 12:00 p.m. (Noon)
Attention: Rebecca Clausen, Special SBIR Phase I
RTP Procurement Operations Division (D143-01)
Research Triangle Park, NC 27711
HAND-CARRIED/COURIER ADDRESS:
U.S. Environmental Protection Agency
Solicitation No. PR-NC-04-10310 – Pacific Southwest
Closing Date: May 25, 2004, at 12:00 p.m. (Noon)
Attention: Rebecca Clausen, Special SBIR Phase I
RTP Procurement Operations Division (D143-01)
4930 Page Road
Durham, NC 27703
APPENDICES 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 Fact Sheet/Patent Search
SPECIAL SBIR PHASE I SOLICITATION
TECHNOLOGY SOLUTIONS FOR PACIFIC SOUTHWEST ENVIRONMENTAL PROBLEMS
Solicitation No. PR-NC-04-10310
ISSUE DATE: March 25, 2004
CLOSING DATE: May 25, 2004 *
* CAUTION - See Section V, Paragraph J.9(c), Instructions
to Offerors, Concerning Late Proposals and Modifications
I. PROGRAM DESCRIPTION
A. The Environmental Protection Agency (EPA) invites small business firms
to submit research proposals under this special Small Business Innovation
Research (SBIR) Solicitation entitled “Technology Solutions for Pacific
Southwest Environmental Problems.” 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.
While
this Special SBIR Solicitation only covers technologies for Pacific Southwest
environmental problems, EPA also is issuing Special SBIR Solicitations
for Pollution Prevention and Hazardous Waste Minimization, as well as the
Regular SBIR Solicitation covering Nanomaterials, Control and Monitoring
of Air Pollution, Drinking Water Treatment and Monitoring, Water and Wastewater
Management, Hazardous Waste Management and Site Remediation, Hazardous
Waste Monitoring, Solid Waste Recycling, Safe Buildings, and Drinking Water
and Wastewater Security. (See summary list of research topics and
subtopics in each EPA SBIR Phase I Solicitation.) The proposed research
must directly pertain to EPA’s environmental mission and must be
responsive to EPA program interests included in the topic descriptions
in this solicitation. (See Table 1 on the next page for a summary
listing of all research topics included in the SBIR Regular and three Special
Solicitations.)
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 for their proposal. The same
proposal may not be submitted under more than one topic and the same proposal
cannot be submitted under more than one EPA SBIR solicitation issued in 2004. An
organization may submit separate proposals on different topics or different
proposals on the same topic as long as the proposals are not duplicates of
the same research principle modified to fit the topic. If such duplicates
are submitted, only one will be reviewed. Refer to Sections IV, V,
and VI for additional requirements. 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 offerors
to select and identify the best topic for their proposals.
B. Offerors are responsible for submitting proposals,
and any modifications or revisions, so as to reach the Government office
designated in this solicitation by the time specified in this solicitation. See
Section V, Paragraph J.9(c), Instructions to Offerors, concerning Late Proposals
and Modifications.
THIS
SOLICITATION IS FOR PHASE I PROPOSALS ONLY.
To stimulate
and foster technological innovation, including increasing private sector applications
of Federal
research or R&D, EPA’s program follows the SBIR program’s uniform
process:
(1) 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. The Government is not obligated
to fund any specific Phase I proposal. The maximum dollar amount of
this special Phase I solicitation is $70,000 and the term of performance
should not exceed six (6) months.
(2) PHASE II.Phase II proposals may only be submitted by Phase I awardees invited
to submit proposals. Phase II is the principal research or R&D
effort and Phase II projects should normally be completed in 15 months. The
objective 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 include full scale testing of the technology, but 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.
It is anticipated that approximately 5 - 10 Phase II awards will be made,
each with a dollar amount of $225,000 and 15-month term of performance. For
Phase II, the Agency is planning to offer two Phase II Options: (1)
Phase II Commercialization Option under which Phase II offerors may submit
a proposal for $70,000 additional funding to expand R&D efforts to accelerate
the project from full scale testing and demonstration to full commercialization;
and (2) Phase II Environmental Technology Verification (ETV) Option under
which Phase II offerors may submit a proposal for up to $25,000 additional
funding to facilitate third party R/R&D verification testing that will
improve the quality assurance and quality control (QA/QC) of the technology
and accelerate the acceptance and use of improved and more cost-effective
technologies. EPA Federal funds must be designated strictly for advancing
the research related elements of the project. No automatic preference
shall be given to offers that address the options; however, in the case where
an offeror addresses the option(s) in its proposal, the entire proposal including
the option(s) shall be evaluated. The Agency would have a unilateral
right to exercise the option after EPA’s acceptance of the company’s
option documentation. Documentation for the Phase II Commercialization
Option are receipts showing that at least $100,000 was transferred to the
contractor from one or more third party investors, such as a venture capital
firm; an “angel” investor; local, state or Federal non-SBIR funding
source; another company under a partnership, licensing, or joint venture
arrangement; or any combination of third parties. Documentation for
the ETV Option is the signed ETV Technology Verification Testing Commitment
Letter. (For more information on ETV, visit http://www.epa.gov/etv.) The
Government is not obligated to fund any specific Phase II proposal.
For technologies
awarded Phase I contracts under this solicitation, the follow-on Phase II
Solicitation will be issued on/about July 28, 2005, and proposals will be
due on/about September 15, 2005. It is expected that each Phase II
proposal will be evaluated on the results of Phase I, the Phase II program
plan, and the commercial potential of the Phase II proposal. The evaluation
criteria will be as follows:
PHASE
II CRITERIA
1. 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.
2. Quality
and soundness of the Phase II research plan to establish the technical and
commercial viability of the proposed concept as evidenced through technology
prototypes or initial commercial demonstrations.
3. Qualifications
of the principal/key investigator, supporting staff and consultants. Time
commitment of principal/key investigator, adequacy of equipment and facilities
and proposed budget to accomplish the proposed research. Adequacy of
Phase II Quality Assurance Summary.
4. 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.
5. The offeror’s
SBIR or other research commercialization record. Existence of second
phase funding commitments from private sector or non-SBIR funding sources. Existence
of third phase follow-on commitments and presence of other indicators of
commercial potential of the idea.
(3) PHASE III. Where
appropriate and needed in order to complete the research and development,
there may be a third phase which is funded by:
1. Non-Federal sources of capital for commercial
applications of SBIR funded research or research and development.
2. Federal Government with non-SBIR Federal funds
for SBIR derived products and processes that will be used by the Federal
Government.
3. Non-SBIR Federal funds for the continuation
of research or research and development that has been competitively selected
using peer review or scientific review criteria.
C. Each
offeror submitting a proposal must qualify as a small business for research
or R&D purposes at the time of award of the Phase I and Phase II funding
agreements. In addition, the primary employment of the principal investigator
must be with the small business firm 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 a SBIR contract, will become
a less-than-half-time employee of the university. Also, a principal
investigator who appears to be a staff member of both the applicant and another
employer must submit a letter from the second employer stating that, if awarded
a SBIR contract, he/she will become a less than half-time employee of such
organization. Letters demonstrating that these requirements have been
fulfilled shall be submitted prior to contract award to the addressee stated
in Section VI of this solicitation. Failure to do so may jeopardize
award. Also, for both Phase I and Phase II, the research or R&D
work must be performed in the United States. (For definition of the
United States, see Section II.J.)
D. For
Phase I the Government anticipates the award of approximately $0.7 M
in firm-fixed-price contracts at approximately $70,000 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 contractor’s period of performance
is expected to be six months. 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 IV. 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.
E. All
inquiries concerning this solicitation shall be submitted to the following
E-mail address:
If E-mail
is not available to you, written or telephone inquiries may be directed to:
U.S. Environmental
Protection Agency Attention: Rebecca
Clausen, Western USA SBIR RTP Procurement
Operations Division (D143-01) Research
Triangle Park, NC 27711 Telephone: (919)
541-3002 Fax: (919)
541-1075
Potential
offerors are encouraged to communicate via E-mail.
II. DEFINITIONS
For purposes of this solicitation, the following definitions
apply:
A. Research
or Research and Development (R/R&D): Any activity that is:
(1) A systematic, intensive study directed toward greater
knowledge or understanding of the subject studied.
(2) A systematic study directed specifically toward
applying new knowledge to meet a recognized need; or
(3) A systematic application of knowledge toward the
production of useful materials, devices, and systems or methods, including
design, development, and improvement of prototypes and new processes to meet
specific requirements.
B. Funding Agreement: Any contract,
grant, or cooperative agreement entered into between any Federal Agency and
any small business concern for the performance of experimental, developmental,
or research work, including products or services, funded in whole or in part
by the Federal Government.
C. Subcontract: Any agreement, other
than one involving an employer-employee relationship, entered into by an
awardee of a funding agreement calling for supplies or services for the performance
of the original funding agreement.
D. Small Business Concern: A concern
that, on the date of award for both Phase I and Phase II funding agreements,
meets the following criteria:
(1) Is organized for profit, with a place of business
located in the United States, which operates primarily within the United
States or which makes a significant contribution to the United States economy
through payment of taxes or use of American products, materials or labor;
(2) Is in the legal from of an individual proprietorship,
partnership, limited liability company, corporation, joint venture, association,
trust or cooperative, except that where the form is a joint venture, there
can be no more than 49 percent participation by foreign business entities
in the joint venture;
(3) Is at least 51 percent owned and controlled by one
or more individuals who are citizens of, or permanent resident aliens in
the United States, except in the case of a joint venture, where each entity
to the venture must be 51 percent owned and controlled by one or more individuals
who are citizens of, or permanent resident aliens in the United States; and
(4) Has, including its affiliates, not more than 500
employees.
E. 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 one or more minority
and disadvantaged; or in the case of a publicly owned business, at least
51 percent of the voting stock of which is owned by minority and disadvantaged
individuals; and
(2) Whose management and daily business operations are
controlled by one or more socially and economically disadvantaged individuals.
F. Socially
and Economically Disadvantaged Individual: A member of any of
the following groups:
(1) Black Americans;
(2) Hispanic Americans;
(3) Native Americans (American Indians, Eskimos, Aleuts,
or Native Hawaiians);
(4) Asian-Pacific Americans (persons with origins from
Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China (including
Hong Kong), Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines,
U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic
of the Marshall Islands, Federated States of Micronesia, the Commonwealth
of the Northern Mariana Islands, Guam, Samoa, Macao, Fiji, Tonga, Kiribati,
Tuvalu, or Nauru);
(5) Subcontinent Asian Americans (persons with origins
from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands,
or Nepal); and
(6) Other groups designated
from time to time by SBA pursuant to Section 124.103 (d) of 13 CFR Ch.1 (1-1-02
Edition).
G. Women-Owned Small Business Concern: A
small business concern that is at least 51 percent owned by one or more women,
or in the case of a publicly owned business, at least 51 percent of the stock
is owned by women, and women control the management and daily business operations.
H. Historically
Underutilized Business Zone (HUBZone): A small business concern
meeting the following requirements:
(1) Located in a HUBZone area located in one or more
of the following:
a) A qualified census tract (as defined in Section 42(d)(5)(C)(i)(1)
of the Internal Revenue Code of 1986;
b) A qualified “non-metropolitan county” (as
defined in Section 143 (k)(2)(B) of the Internal Revenue Code of 1986) with
a median household income of less than 80 percent of the State median
household income or with an unemployment rate of not less than 140 percent
of the Statewide average, based on U.S. Department of Labor recent data;
or,
c) Lands within the boundaries of Federally recognized
Indian reservations.
(2) Owned and controlled by one or more U.S. Citizens;
and,
(3) At least 35 percent of its employees must reside
in a HUBZone.
I. Primary Employment: More than
one-half of the principal investigator's time is spent in the employ of the
small business concern.
J. United States: The 50 States,
the Territories and possessions of the Federal Government, the Commonwealth
of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands,
the Federated States of Micronesia, and the Republic of Palau.
K. Commercialization: The process
of developing marketable products or services and producing and delivering
products or services for sale (whether by the originating party or by others)
to Government or commercial markets.
L. SBIR Technical Data: All data
generated during the performance of an SBIR award.
M. SBIR Technical Data Rights: The
rights a small business concern obtains in data generated during the performance
of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers
to the Government during or upon completion of a Federally-funded project,
and to which the Government receives a license.
III. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS
A. PROPOSAL
PAGE LIMIT
Proposals
submitted in response to this Phase I of the SBIR program shall not exceed
a total of 25 pages, one side only. The only exception
would be regarding the requirements set forth in Section III.D.12, “Prior
SBIR Awards.” The 25 pages shall include the cover
page, budget, and all enclosures or attachments. Pages (including enclosures
or attachments such as letters of recommendation) should be of standard size
(8 ½" x 11"; 21.6 cm x 27.9 cm) with 2.5 cm margins and
type no smaller than 10 point font size. All pages shall be consecutively
numbered. Proposals in excess of the 25 page limitation shall not
be considered for review or award. Any additional attachments,
appendices or references beyond the 25-page limitation shall result in the
proposal not being considered for review or award. A letter of transmittal
is not necessary. If one is furnished, it shall 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 of this
solicitation which has the relevant solicitation number as page 1 of each
copy of each proposal. No other cover shall be permitted. When
downloading the solicitation from the Internet, Appendix A may print on two
pages, but will only count as one page per Appendix. Offerors may reformat
the forms to correct spacing and pagination errors; however, identical information
shall be provided.
The original
of the cover sheet shall contain the pen-and-ink signatures of the principal
investigator and the corporate/business official authorized to sign the proposal.
C. PROJECT SUMMARY
The offeror shall
complete Appendix B as page 2 of each proposal. Appendix B is limited
to 1 page. The Project Summary shall include a technical abstract with
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
ABSTRACT IS USED EXTENSIVELY DURING THE EXTERNAL PEER REVIEW AND EPA
INTERNAL PROGRAMMATIC REVIEW. 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 and the environmental benefits. INFORMATION
ON THE ENVIRONMENTAL BENEFITS ASSOCIATED WITH THE TECHNOLOGY IS A
VERY IMPORTANT PART OF THE EXTERNAL PEER REVIEW AND EPA INTERNAL PROGRAMMATIC
REVIEW. Where appropriate, proposals should describe the positive
and negative environmental benefits based on an assessment of the full
life cycle of the new product or technology. Life Cycle Assessment
(LCA) refers to the analysis of impacts throughout all stages of a product
or process from production to use to disposal. Integration of a life
cycle perspective into the environmental analysis typically considers impacts
from raw materials extraction, manufacture, packaging, distribution and
disposal.
2. PHASE I OBJECTIVES. State
the specific objectives of 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. This section provides a detailed description
of the work plan. The work plan should describe what will be done,
where it will be done and how the R/R&D will be carried out. The
work planned to achieve each task 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. State
the anticipated results of the proposed approach if the project is successful
(Phase I and II). A discussion of cost-effectiveness is paramount,
especially comparing the state-of-the-art approaches with the proposed
approach. Discuss the significance of the Phase I effort in providing
a foundation for Phase II R/R&D effort.
7. FACILITIES. A detailed description, 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 shall 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 shall provide limited information on the subjects described below. Explain
what will be done during Phase I to decide on applications, markets, production
and financing. The Commercialization Plan shall address:
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. Have you or do you 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
fact sheet on how to search for patents and related Federally-funded work
is provided in Appendix E.) 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.)
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 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, submit name of awarding agency, date of award,
funding agreement number, amount and topic or
subtopic title. DESCRIBE THE TECHNICAL DIFFERENCES AND REASONS
WHY THE PROPOSED NEW PHASE I RESEARCH IS DIFFERENT FROM RESEARCH
CONDUCTED UNDER PRIOR SBIR AWARDS. (This required proposal information shall be
counted toward proposal pages count limitation.)
11. DUPLICATE OR EQUIVALENT SBIR PROPOSALS. A
firm may elect to submit essentially equivalent work under other Federal
Program Solicitations. In these cases, a statement shall be included
in each such proposal indicating: the name and address of the agencies to
which proposals were submitted or from which awards were received; 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; and 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.)
12. PRIOR SBIR AWARDS. If
the small business concern has received ANY prior Phase II award from any
Federal agency in the prior 5 fiscal years, submit name of awarding agency,
date of award, funding agreement number, amount, topic or subtopic title,
follow-on agreement amount, source and date of commitment and current commercialization
status for each Phase II. (This required proposal information shall
be included as an attachment to the proposals and shall not be
counted toward proposal pages count limitation.)
E. COST
BREAKDOWN/PROPOSED BUDGET
Complete the budget
form in Appendix C and include the form immediately after proposal Section
D.11. Photocopy the form for the required copies for 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
shall state whether or not their proposal involves data collection or processing,
environmental measurements, modeling, or the development of environmental
technology (whether hardware-based or via new techniques). The Quality
Assurance Narrative provides a statement on processes that will be used to
assure that results of the research satisfy the intended project objectives. EPA
is particularly interested in the quality controls for data generation and
acquisition, and how data validation and usability will be verified. This
quality assurance narrative statement shall not exceed 2 pages and will be
included in the 25 page limitation for the proposal. For each item
below, either present the required information, reference the specific location
of the information in the proposal, or provide a justification of why the
item does not apply to the proposed research.
1. Identify the individual who will be responsible
for the quality assurance and quality control aspects of the research. (Quality
assurance (QA) is an integrated system of management activities involving
planning, implementation, documentation, assessment, and improvement to ensure
that a process, or item is of the type and quality needed for the project. Quality
control (QC) is the system of technical activities that measures the attributes
and performance of a process or item against defined standards, to verify
that they meet the stated requirements.)
2. Discuss the activities to be performed or the
hypothesis to be tested and criteria for determining acceptable data quality. (Note: Such
criteria may be expressed in terms of precision, accuracy, representativeness,
completeness, and comparability or in terms of data quality objectives or
acceptance and evaluation criteria.) Also, these criteria must be applied
to determine the acceptability of existing or secondary data to be used in
the project. (In this context, secondary data may be defined as data
previously collected for other purposes or from other sources.)
3. Describe the study design. Include sample
type(s) and location requirements, all statistical analyses that were or
will be used to estimate the types and numbers of physical samples required, or equivalent
information for studies using survey and interview techniques, or describe
how new technology will be benchmarked to improve existing processes, such
as those used by industry.
4. Describe the procedures that will be used in
the calibration and performance evaluation of all analytical instrumentation
and all methods of analysis to be used during the project. Explain
how the effectiveness of any new technology will be measured.
5. Describe the procedures for the handling and
custody of samples, including sample collection, identification, preservation,
transportation, and storage, or how the accuracy of test measurements will
be verified.
6. Discuss the procedures for data reduction and
reporting, including a description of all statistical methods to make inferences
and conclusions, with identification of any statistical software to be used;
discuss any computer models to be designed or utilized and describe the associated
verification and validation techniques.
7. Describe 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.
8. The name and title of the company person responsible
for tracking compliance of the SBIR contract activities with the requirements
of the QA Plan.
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
All Phase I proposals will be evaluated and judged on
a competitive basis by peer reviewers from outside EPA. Proposals will
be initially screened to determine responsiveness. As noted in Section
III, proposals exceeding the 25-page limitation will not be considered for
review or award. Also, as noted in Section I, any proposal addressing
more than one research topic, failing to identify the research topic by letter
symbol on the cover page, and submitting the same proposal under more than
one solicitation issued in 2004 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 A.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, then will be subjected to the programmatic review within
EPA, to further evaluate these applications in relation to program priorities
and balance using the criteria specified in A.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.
A. 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 appropriateness to the 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, adequacy of equipment and facilities and proposed budget 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 to put 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; however, the identity of the reviewer will not be released.
2. EPA PROGRAMMATIC REVIEW. The proposals that received ratings of “excellent” or “very
good” by the External Peer Review Panel will be subject to the programmatic
review by EPA program managers using the criteria set forth below to select
which of the “excellent” and “very good” proposals
will be funded. Projects will not be funded where EPA determines the
proposed research already is being supported by EPA or another known source. The
evaluation criteria “a” through “c” are of equal
value and will be used to evaluate the applications in relation to program
priorities, balance and programmatic relevancy.
CRITERIA
a. The potential of the technology to meet Agency
program priorities and to strengthen the overall balance of the SBIR program. How
well the technology fits into EPA’s overall research strategy or program
within the Phase I research topic.
b. The potential of the technology for significant
environmental benefits and for strengthening the scientific basis for risk
assessment/risk management in the Agency research topic area.
c. The potential of the technology to have broad
application or to impact large segments of the population.
B. RELEASE OF PROPOSAL
REVIEW INFORMATION
After final award decisions have been announced, the
technical evaluations of the offeror’s proposal will be provided to
the offeror. The identity of the reviewer shall not be disclosed.
V. CONSIDERATIONS
A. AWARDS
The Government
anticipates award of approximately 10
firm-fixed-price contracts of up to $70,000 each, including
profit. It is expected that these contracts will be awarded with a
contract start date of March 1, 2005. The period of performance for
the contracts should not exceed six (6) months. The primary consideration
in selecting proposals for award will be the technical merit of the proposal. Proposals
shall be evaluated in accordance with the Technical Evaluation Criteria stated
in IV.A. above. Source selection will not be based on a comparison
of cost or price. However, cost or price will be evaluated to determine
whether the price, including any proposed profit, is fair and reasonable
and whether the offeror understands the work and is capable of performing
the contract.
This current
solicitation is for Phase I only, and the Government is not obligated to
fund any specific Phase I 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 Contract-level Contracting 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 the same period.
2. Two (2) copies of a comprehensive final report
on the Phase I project shall be submitted to the Contract-level Contracting
Officer by the completion date of the contract. The Contract Specialist
shall receive one (1) copy. This final report shall include a single-page
project summary as the first page, identifying the purpose of the research,
a brief description of the research carried out, the research findings or
results, and potential applications of the research in a final paragraph. The
balance of the report shall indicate in detail the research objectives, research
work carried out, results obtained, and estimates of technical feasibility. The
report shall include a discussion of any commercialization activity carried
out during Phase I as well as future commercialization plans.
3. Two (2) hard copies (and one copy on a disk
in Word Perfect or ASCII format) of a publishable (cleared for the general
public) 2-3 page Executive Summary of the final report for Phase I shall
be submitted to the Contract-level Contracting Officer by the completion
date of the contract. This special report shall be a true summary of
the report, including the purpose of the project, work carried out and results. The
summary shall stress innovativeness and potential commercialization. The
Executive Summary will be placed on the EPA SBIR Web Site, and therefore,
it shall 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 shall be paid 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. This information must be
clearly marked by the offeror with the term “confidential proprietary
information” and the following legend must appear on the cover page
of the proposal:
“These
data shall not be not be disclosed outside the Government and shall not be
duplicated, used, or disclosed in whole or in part for any other purpose
other than evaluation of this proposal. If a funding agreement is awarded
to this offeror as a result of or in connection with the submission of these
data, the Government shall have the right to duplicate, use, or disclose
the data to the extent provided in the funding agreement and pursuant to
applicable law. 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 are
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, without assuming any liability
for inadvertent disclosure. The Government will limit dissemination
of such information to within official channels.
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 that will provide
the following:
SBIR RIGHTS
NOTICE (MAR 1994)
These SBIR data
are furnished with SBIR rights under Contract No.___________ (and subcontract
_________ if appropriate). For a period of four (4) years after acceptance
of all items to be delivered under this contract, the Government agrees to
use these data for Government purposes only, and they shall not be disclosed
outside the Government (including disclosure for procurement purposes) during
such period without permission of the Contractor, except that, subject to
the foregoing use and disclosure prohibitions, such data may be disclosed
for use by support Contractors. After the aforesaid 4-year period the
Government has a royalty-free license to use, and to authorize others to
use on its behalf, these data for Government purposes, but is relieved of
all disclosure prohibitions and assumes no liability for unauthorized use
of these data by third parties. This Notice shall be affixed to any
reproductions of these data, in whole or in part.
d. Copyrights
With prior written
permission of the Contracting Officer, the Awardee normally may copyright
and publish (consistent with appropriate national security considerations,
if any) material developed with EPA support. EPA receives a royalty-free
license for the Federal Government and requires that each publication contain
an appropriate acknowledgment and disclaimer statement.
e. Patents
Small business
concerns normally may retain the principal worldwide patent rights to any
invention developed with Governmental support. The Government receives
a royalty-free license for Federal Government use, reserves the right to
require the patent holder to license others in certain circumstances, and
requires that anyone exclusively licensed to sell the invention in the United
States must normally manufacture it domestically. To the extent authorized
by 35 U.S.C. 205, the Government will not make public any information disclosing
a Government-supported invention for a 4-year period to allow the Awardee
a reasonable time to pursue a patent.
E. COST SHARING
Cost sharing
is permitted for proposals under this Program Solicitation; however, cost
sharing is not required nor will it be an evaluation factor in consideration
of your proposal.
F. PROFIT OR FEE
Reasonable fee
(estimated profit) will be considered under this solicitation. For
guidance purposes, the amount of profit normally should not exceed 10 percent
(10%) of total project costs.
G. JOINT VENTURES OR LIMITED PARTNERSHIPS
Joint ventures
and limited partnerships are eligible provided the entity created qualifies
as a small business as defined in this Program Solicitation.
H. RESEARCH AND ANALYTICAL WORK
1. For
Phase I, a minimum of two-thirds of the research and/or analytical effort
must be performed by the proposing small business concern unless otherwise
approved in writing by the Contracting Officer.
2. For
Phase II, a minimum of one-half of the research and/or analytical effort
must be performed by the proposing small business concern unless otherwise
approved in writing by the Contracting Officer.
I. CONTRACTOR
COMMITMENTS
Upon award of
a funding agreement, the Awardee will be required to make certain legal commitments
through acceptance of numerous clauses in Phase I funding agreements. The
outline that follows is illustrative of the types of clauses to which the
Contractor would be committed. This list should not be understood to
represent a complete list of clauses to be included in Phase I funding agreements,
nor to be specific wording of such clauses. Copies of complete terms and
conditions are available upon request.
1. INSPECTION. Work performed under the contract is subject
to Government inspection and evaluation at all times.
2. EXAMINATION OF RECORDS. The
Comptroller General (or a duly authorized representative) shall have the
right to examine any directly pertinent records of the awardee involving
transactions related to this contract.
3. DEFAULT. The Government may terminate the contract if the Contractor fails
to perform the work contracted.
4. TERMINATION FOR CONVENIENCE. The contract may be terminated at any time by
the Government if it deems termination to be in its best interest, in which
case the Contractor will be compensated for work performed and for reasonable
termination costs.
5. DISPUTES. Any dispute concerning the funding agreement that cannot be resolved
by agreement shall be decided by the Contracting Officer with right of appeal.
6. EQUAL OPPORTUNITY. The awardee will not discriminate against any
employee or applicant for employment because of race, color, religion, sex,
or national origin.
7. AFFIRMATIVE ACTION FOR VETERANS. The awardee will not discriminate against any
employee or application for employment because he or she is a disabled veteran
or veteran of the Vietnam era.
8. AFFIRMATIVE ACTION FOR HANDICAPPED. The awardee will not discriminate against any
employee or applicant for employment because he or she is physically or mentally
handicapped.
9. OFFICIALS NOT TO BENEFIT. No
Government official shall benefit personally from the contract.
10. COVENANT AGAINST CONTINGENT FEES. No
person or agency has been employed to solicit or secure the contract upon
an understanding for compensation except bonafide employees or commercial
agencies maintained by the Contractor for the purpose of securing business.
11. GRATUITIES. The contract may be terminated by the Government
if any gratuities have been offered to any representative of the Government
to secure the contract.
12. PATENT
AND COPYRIGHT INFRINGEMENT. The Contractor shall report
each notice or claim of patent or copyright infringement based on the performance
of the contract.
13. AMERICAN
MADE EQUIPMENT AND PRODUCTS. When purchasing equipment or a product under the SBIR funding
agreement, purchase only American-made items whenever possible.
J. ADDITIONAL
INFORMATION
1. The Program Solicitation is intended for informational
purposes and reflects current planning. If there is any inconsistency
between the information contained herein and the terms of any resulting SBIR
funding agreement, the terms of the funding agreement are controlling.
2. Before award of an SBIR funding agreement,
the Government may request the offeror to submit certain organizational,
management, personnel, and financial information to assure responsibility
of the offeror.
3. The Government is not responsible for any monies
expended by the offeror before award of any funding agreement.
4. This Program Solicitation is not an offer by
the Government and does not obligate the Government to make any specific
number of awards. Also, awards under the SBIR program are contingent
upon the availability of funds.
5. The SBIR program is not a substitute for existing
unsolicited proposal mechanisms. Unsolicited proposals shall not be
accepted under the SBIR program in either Phase I or Phase II.
6. If an award is made pursuant to a proposal
submitted under this Program Solicitation, the Contractor will be required
to certify that he or she has not previously been, nor currently is being,
paid for essentially equivalent work by any agency of the Federal Government.
7. Notwithstanding the relatively broad definition
of R/R&D in Section II, Definitions hereof, awards under this solicitation
are limited to APPLIED forms of research. Proposals that are surveys,
including market, state-of the-art and/or literature surveys, which should
have been performed by the offeror prior to the preparation of the proposal,
or the preparation of allied questionnaires and instruction manuals, shall
not be accepted. If such proposals are submitted, they shall be considered
as not in compliance with the solicitation intent, and therefore, technically
unacceptable.
8. The requirement that the offeror designate
a topic, and only one topic, (see page 1, Section I above) also is 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
(May 2001) 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,” “writing,” or “written” means
any worded or numbered expression that can be read, reproduced, and later
communicated, and includes electronically transmitted and stored information.
“Proposal modification” is a change made
to a proposal before the solicitation’s closing date and time, or made
in response to an amendment, or made to correct a mistake at any time before
award.
“Proposal revision” is a change to a proposal
made after the solicitation closing date, at the request of or as allowed
by a Contracting Officer as the result of negotiations.
“Time,” if stated as a number of days, is
calculated using calendar days, unless otherwise specified, and will include
Saturdays, Sundays, and legal holidays. However, if the last day falls on
a Saturday, Sunday, or legal holiday, then the period shall include the next
working day.
(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) Submission, modification, revision, and withdrawal
of proposals.
(i) Offerors are responsible for submitting proposals,
and any modifications or revisions, so as to reach the Government office
designated in the solicitation by the time specified in the solicitation. If
no time is specified in the solicitation, the time for receipt is 4:30 p.m.,
local time, for the designated Government office on the date that proposal
or revision is due.
(ii)(A) Any proposal, modification, or revision received
at the Government office designated in the solicitation after the exact time
specified for receipt of offers is “late” and will not be considered
unless it is received before award is made, the Contracting Officer determines
that accepting the late offer would not unduly delay the acquisition; and—
(1) If it was transmitted through an electronic commerce
method authorized by the solicitation, it was received at the initial point
of entry to the Government infrastructure not later than 5:00 p.m. one (1)
working day prior to the date specified for receipt of proposals; or
(2) There is acceptable evidence to establish that it
was received at the Government installation designated for receipt of offers
and was under the Government’s control prior to the time set for receipt
of offers; or
(3) It is the only proposal received.
(ii)(B) However, a late modification of an otherwise
successful proposal that makes its terms more favorable to the Government,
will be considered at any time it is received and may be accepted.
(iii) 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.
(iv) If an emergency or unanticipated event interrupts
normal Government processes so that proposals cannot be received at the office
designated for receipt of proposals by the exact time specified in the solicitation,
and urgent Government requirements preclude amendment of the solicitation,
the time specified for receipt of proposals will be deemed to be extended
to the same time of day specified in the solicitation on the first work day
on which normal Government processes resume.
(v) Proposals may be withdrawn by written notice received
at any time before award. Oral proposals in response to oral solicitations
may be withdrawn orally. If the solicitation authorizes facsimile proposals,
proposals may be withdrawn via facsimile received at any time before award,
subject to the conditions specified in the provision at 52.215-5, Facsimile
Proposals. Proposals may be withdrawn in person by an offeror or an
authorized representative, if the identity of the person requesting withdrawal
is established and the person signs a receipt for the proposal before award.
(4) Unless otherwise specified in the solicitation,
the offeror may propose to provide any item or combination of items.
(5) Offerors shall submit proposals in response to this
solicitation in English, unless otherwise permitted by the solicitation,
and in U.S. dollars, unless the provision at FAR 52.225-17, Evaluation of
Foreign Currency Offers, is included in the solicitation.
(6) Offerors may submit modifications to their proposals
at any time before the solicitation closing date and time, and may submit
modifications in response to an amendment, or to correct a mistake at any
time before award.
(7) Offerors may submit revised proposals only if requested
or allowed by the Contracting Officer.
(8) Proposals may be withdrawn at any time before award. Withdrawals
are effective upon receipt of notice by the Contracting Officer.
(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 these 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 these 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 they
wish to restrict with the following legend: Use or disclosure of data
contained on this sheet is subject to the restriction on the title page of
this proposal.
(f) Contract
award
(1) The Government intends to award a contract or contracts
resulting from this solicitation to the responsible offeror(s) whose proposal(s)
represents the best value after evaluation in accordance with the factors
and subfactors in the solicitation.
(2) The Government
may reject any or all proposals if such action is in the Government's interest.
(3) The Government
may waive informalities and minor irregularities in proposals received.
(4)
The Government intends to evaluate proposals and award a contract without
discussions with offerors (except clarifications as described in FAR 15.306(a)). Therefore,
the offeror’s initial proposal should contain the offeror’s best
terms from a cost or price and technical standpoint. The Government
reserves the right to conduct discussions if the Contracting Officer later
determines them to be necessary. If the Contracting Officer determines
that the number of proposals that would otherwise be in the competitive range
exceeds the number at which an efficient competition can be conducted, the
Contracting Officer may limit the number of proposals in the competitive
range to the greatest number that will permit an efficient competition among
the most highly rated proposals.
(5) The Government
reserves the right to make an award on any item for a quantity less than
the quantity offered, at the unit cost or prices offered, unless the offeror
specifies otherwise in the proposal.
(6) The Government
reserves the right to make multiple awards if, after considering the additional
administrative costs, it is in the Government's best interest to do so.
(7) Exchanges
with offerors after receipt of a proposal do not constitute a rejection or
counteroffer by the Government.
(8) The Government
may determine that a proposal is unacceptable if the prices proposed are materially
unbalanced between line items or subline items. Unbalanced pricing exists
when, despite an acceptable total evaluated price, the price of one or more
contract line items is significantly overstated or understated as indicated
by the application of cost or price analysis techniques. A proposal may be
rejected if the Contracting Officer determines that the lack of 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 postaward 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.
(12) Organizational
Conflicts of Interest (EPAAR 1552.209-71) (May 1994) Alternate I (May 1994)
(a) The Contractor warrants that, to the best of the
Contractor's knowledge and belief, there are no relevant facts or circumstances
that could give rise to an organizational conflict of interest, as defined
in FAR Subpart 9.5, or that the Contractor has disclosed all such relevant
information.
(b) Prior to commencement of any work, the Contractor
agrees to notify the Contracting Officer immediately that, to the best of
its knowledge and belief, no actual or potential conflict of interest exists
or to identify to the Contracting Officer any actual or potential conflict
of interest the firm may have. In emergency situations, however, work
may begin but notification shall be made within five (5) working days.
(c) The Contractor agrees that if an actual or potential
organizational conflict of interest is identified during performance, the
Contractor will immediately make a full disclosure in writing to the Contracting
Officer. This disclosure shall include a description of actions that
the Contractor has taken or proposes to take, after consultation with the
Contracting Officer, to avoid, mitigate, or neutralize the actual or potential
conflict of interest. The Contractor shall continue performance until
notified by the Contracting Officer of any contrary action to be taken.
(d) Remedies – The EPA may terminate this contract
for convenience, in whole or in part, if it deems such termination necessary
to avoid an organizational conflict of interest. If the Contractor
was aware of a potential organizational conflict of interest prior to award
or discovered an actual or potential conflict after award and did not disclose
it or misrepresented relevant information to the Contracting Officer, the
Government may terminate the contract for default, debar the Contractor from
Government contracting, or pursue such other remedies as may be permitted
by law or this contract.
(e) The Contractor agrees to insert in each subcontract
or consultant agreement placed hereunder provisions that shall conform substantially
to the language of this clause, including this paragraph, unless otherwise
authorized by the Contracting Officer.
(13) Central
Contractor Registration (Oct 2003), FAR 52.204-7
(a)
Definitions. As used in this clause—
“Central Contractor Registration (CCR) database” means
the primary Government repository for Contractor information required for
the conduct of business with the Government.
“Data Universal Numbering System (DUNS) number” means
the 9-digit number assigned by Dun and Bradstreet, Inc. (D&B) to identify
unique business entities.
“Data Universal Numbering System +4 (DUNS+4) number” means
the DUNS number assigned by D&B plus a 4-character suffix that may be
assigned by a business concern. (D&B has no affiliation with this
4-character suffix.) This 4-character suffix may be assigned at the
discretion of the business concern to establish additional CCR records for
identifying alternative Electronic Funds Transfer (EFT) accounts (see the
FAR at Subpart 32.11) for the same parent concern.
“Registered
in the CCR database” means that—
(1) The Contractor has entered all mandatory information,
including the DUNS number or the DUNS+4 number, into the CCR database; and
(2) The Government has validated all mandatory data
fields and has marked the record “Active.”
(b)(1) By submission of an offer, the offeror acknowledges
the requirement that a prospective awardee shall be registered in the CCR
database prior to award, during performance, and through final payment of
any contract, basic agreement, basic ordering agreement, or blanket purchasing
agreement resulting from this solicitation.
(2) The offeror shall enter, in the block with its name
and address on the cover page of its offer, the annotation “DUNS” or “DUNS+4” followed
by the DUNS or DUNS+4 number that identifies the offeror’s name and
address exactly as stated in the offer. The DUNS number will be used
by the Contracting Officer to verify that the offeror is registered in the
CCR database.
(c) If the offeror does not have a DUNS number, it should
contact Dun and Bradstreet directly to obtain one.
(1)
An offeror may obtain a DUNS number—
(i) If located within the United States, by calling
Dun and Bradstreet at 1-800-333-0505 or via the Internet at http://www.dnb.com;
or
(ii) If located outside the United States, by contacting
the local Dun and Bradstreet office.
(2) The offeror
should be prepared to provide the following information:
(i) Company legal business.
(ii) Tradestyle, doing business, or other name by which
your entity is commonly recognized.
(iii) Company Physical Street Address, City, State,
and Zip Code.
(iv) Company Mailing Address, City, State, and Zip Code
(if separate from physical).
(v) Company Telephone Number.
(vi) Date the company was started.
(vii) Number of employees at your location.
(viii) Chief executive officer/key manager.
(ix) Line of business (industry).
(x) Company Headquarters name and address (reporting
relationship within your entity).
(d) If the Offeror does not become registered in the
CCR database in the time prescribed by the Contracting Officer, the Contracting
Officer will proceed to award to the next otherwise successful registered
Offeror.
(e) Processing time, which normally takes 48 hours,
should be taken into consideration when registering. Offerors who are not
registered should consider applying for registration immediately upon receipt
of this solicitation.
(f) The Contractor is responsible for the accuracy and
completeness of the data within the CCR database, and for any liability resulting
from the Government’s reliance on inaccurate or incomplete data. To
remain registered in the CCR database after the initial registration, the
Contractor is required to review and update on an annual basis from the date
of initial registration or subsequent updates its information in the CCR
database to ensure it is current, accurate and complete. Updating information
in the CCR does not alter the terms and conditions of this contract and is
not a substitute for a properly executed contractual document.
(g)(1)(i) If a Contractor has legally changed its business
name, “doing business as” name, or division name (whichever is
shown on the contract), or has transferred the assets used in performing
the contract, but has not completed the necessary requirements regarding
novation and change-of-name agreements in Subpart 42.12, the Contractor shall
provide the responsible Contracting Officer a minimum of one (1) business
day’s written notification of its intention to (A) change the name
in the CCR database; (B) comply with the requirements of Subpart 42.12 of
the FAR; and (C) agree in writing to the timeline and procedures specified
by the responsible Contracting Officer. The Contractor must provide
with the notification sufficient documentation to support the legally changed
name.
(ii) If the Contractor fails to comply with the requirements
of paragraph (g)(1)(i) of this clause, or fails to perform the agreement
at paragraph (g)(1)(i)(C) of this clause, and, in the absence of a properly
executed novation or change-of-name agreement, the CCR information that shows
the Contractor to be other than the Contractor indicated in the contract
will be considered to be incorrect information within the meaning of the “Suspension
of Payment” paragraph of the electronic funds transfer (EFT) clause
of this contract.
(2) The Contractor
shall not change the name or address for EFT payments or manual payments,
as appropriate, in the CCR record to reflect an assignee for the purpose
of assignment of claims (see FAR Subpart 32.8, Assignment of Claims). Assignees
shall be separately registered in the CCR database. Information provided
to the Contractor’s CCR record that indicates payments, including those
made by EFT, to an ultimate recipient other than that Contractor will be
considered to be incorrect information within the meaning of the “Suspension
of payment” paragraph of the EFT clause of this contract.
(h) Offerors and Contractors may obtain information
on registration and annual confirmation requirements via the internet at
http://www.ccr.gov or
by calling 1-888-227-2423, or 269-961-5757.
(14) Data
Universal Numbering System (DUNS) Number, (Oct 2003), FAR 52.204-6
(a) The offeror shall enter, in the block with its name
and address on the cover page of its offer, the annotation ‘‘DUNS’’ followed
by the DUNS number that identifies the offeror’s name and address exactly
as stated in the offer. The DUNS number is a nine-digit number assigned
by Dun and Bradstreet Information Services.
(b) If the Offeror does not have a DUNS number, it should
contact Dun and Bradstreet directly to obtain one. A DUNS number will
be provided immediately by telephone at no charge to the offeror. For
information on obtaining a DUNS number, the offeror, if located within the
United States, should call Dun and Bradstreet at 1-800-333-0505. The
offeror should be prepared to provide the following information:
(1) Company name.
(2) Company address.
(3) Company telephone number.
(4) Line of business.
(5) Chief executive officer/key manager.
(6) Date the company was started.
(7) Number of people employed by the company.
(8)
Company affiliation.
(c) Offerors located outside the United States may obtain
the location and phone number of the local Dun and Bradstreet Information
Services office from the Internet home page at http://www.dnb.com/US/customer_service/index.html. If
an offeror is unable to locate a local service center, it may send an E-mail
to Dun and Bradstreet at globalinfo@mail.dnb.com.
VI. SUBMISSION OF PROPOSALS
A. Your proposal
with an original and nine (9) copies shall be received at one of the following
addresses by 12:00 p.m. (Noon), local time, on May 25, 2004.
U.S. MAIL
ADDRESS:
U.S. Environmental
Protection Agency Solicitation
No. PR-NC-04-10310 - Pacific Southwest Closing
Date: May 25, 2004, at 12:00 p.m. (Noon) Attention: Rebecca
Clausen, Special SBIR Phase I RTP Procurement
Operations Division (D143-01) Research
Triangle Park, NC 27711
HAND
CARRIED/COURIER ADDRESS:
U.S. Environmental
Protection Agency Solicitation
No. PR-NC-04-10310 - Pacific Southwest Closing Date: May
25, 2004, at 12:00 p.m. (Noon) Attention: Rebecca
Clausen, Special SBIR Phase I RTP Procurement
Operations Division (D143-01) 4930 Page
Road Durham, NC
27703
IMPORTANT!!! Please
note Section V, Paragraph J.9(c) concerning Late Proposals, Modifications
of Proposals and Withdrawal of Proposals.
Telegraphic,
telecopied or facsimile proposals will NOT be considered for award.
B. Please
do not use special bindings or covers. Staple the pages in the upper
left corner of the cover sheet of each proposal.
C. All
copies of a proposal shall be sent in the same package.
D. The proposal should be self-contained and written
with the care and thoughtfulness accorded papers for publication.
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. Topics in this solicitation are focused
on problems in the Pacific and Southwest parts of the United States. However,
the topics ALSO include similar problems and technology applications in other
parts of the United States. Small businesses anywhere in the United
States are eligible for this solicitation.
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 also are 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 a SBIR proposal.
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 that benefit the public
and promote the growth of the small business. This Special SBIR Solicitation
is focused on Pacific Southwest environmental problems.
Please note that EPA is issuing this solicitation and
three others with the same opening and closing dates. All solicitations
are available from March 25 to May 25, 2004, on the EPA SBIR Web Site (http://www.epa.gov/ncer/sbir)
or by calling the EPA SBIR helpline (800-490-9194). EPA’s Special
SBIR Solicitations include this solicitation and two others: (1) Hazardous
Waste Minimization, and (2) Pollution Prevention. The Regular SBIR
Solicitation includes topics on Nanomaterials, Control and Monitoring of
Air Pollution, Drinking Water Treatment and Monitoring, Water and Wastewater
Management, Hazardous Waste Management and Site Remediation, Hazardous Waste
Monitoring, Solid Waste Recycling, Safe Buildings and Drinking Water and
Wastewater Security. The opening and closing dates are the same for
all solicitations.
The Technology
Solutions for Pacific Southwest Environmental Problems Special Solicitation
addresses the complex interaction of climate, geography and the environment. The
climatological conditions in arid portions of the Southwest include annual
rainfalls of 12 inches or less, a wet season/dry season motif resulting in
so-called “flashy” stormwater events, and temperatures routinely
above 100o F for 3-6 months per year. There are disparate population
distributions including fast-growing metropolitan areas, the shared border
with Mexico, and large expanses of Federal and Tribal lands and Pacific Island
communities with low populations.
There are
special stormwater problems with construction and industrial sites. Buildings
and construction activities consume raw materials and energy, and often cause
indoor air pollution and waste disposal problems. Dairies and Concentrated
Animal Feeding Operations (CAFOs) cause water pollution problems throughout
the Region. Chronic Wasting Disease (CWD) is a neurological disease
of animals often referred to as “mad cow” disease. New
CWD diagnostic and monitoring instruments are needed. Air quality,
waste management, and water quality are interrelated and recognized as critical
environmental priorities. The arid climate in the region and special
problems like the limited drinking water and waste management infrastructure
outside of the population centers pose unique challenges in need of technological
solutions. Specific topics in this solicitation include: (A4)
Air Pollution in Arid Climates, (B4) Drinking Water in Arid Climates, (C4)
Wastewater in Arid Climates, (D4) Solid Waste in Arid Climates, (E4) Stormwater
From Construction and Industry, (F4) Dairies and CAFOs, (G4) Chronic Wasting
Disease, and (H4) Green Buildings.
A4. AIR POLLUTION IN ARID
CLIMATES
Under the
climatic conditions in arid portions of the Southwest, cities and states
struggle with the difficulty of meeting environmental quality standards. Meeting
long-term (annual) and short-term (24-hour) particulate matter (PM) air quality
standards is a problem. PM includes windblown dust from construction
sites, agricultural fields, unpaved parking lots and roads, disturbed vacant
lots, and paved road dust. Many materials used to reduce windblown
dust cause toxicity in aquatic environments. An example of new products
needed to address air pollution problems in arid climates include, but are
not limited to:
·Products
and control technologies that can be used for dust and PM control without
causing aquatic toxicity or other water quality problems.
B4. DRINKING WATER IN ARID CLIMATES
Areas with
low population densities in the arid Southwest (e.g., rural and Tribal lands
and desert areas along the U.S.-Mexico border) have a number of special drinking
water problems. Some of these problems are associated with the climatic
conditions of limited and sporadic rainfall events, and the lack of competent
infrastructure and access to an electric power grid. In 2002, an EPA-funded
assessment of drinking water infrastructure showed that 40 percent of Navajo
homes still lack running water. Rural and desert communities and settlements
along the U.S.-Mexico border have many environmental management needs because
they lack competent drinking water. An example of new drinking water
products and technologies needed for arid conditions include, but are not
limited to:
·Low-cost
and energy-efficient point-of-use and point-of-entry technologies for treating
drinking water from suboptimal sources. These technologies could be
used in homes, settlements and very small communities. Ideally, systems
should be easy to maintain, simple to operate and have a long life.
C4. WASTEWATER IN ARID CLIMATES
Many areas
of the Southwest do not have adequate wastewater collection systems or treatment
plants. Rural and desert communities and settlements along the U.S.-Mexico
border have special wastewater management needs because they lack competent
wastewater systems. An example of wastewater products and technologies
needed for arid conditions include, but are not limited to:
·Cost-effective
and energy-efficient onsite and decentralized wastewater treatment technologies
for small urban sources not serviced by existing wastewater infrastructure
systems. Ideally, systems should be reliable, have low capital and
operating costs, and have low maintenance requirements.
D4. SOLID WASTE IN ARID CLIMATES
There are
special solid waste management needs in the Southwest. In 2002, 80
of more than 200 open dumps were closed, of which 70 were on Navajo Nation
lands. Rural and desert communities and settlements along the U.S.-Mexico
border have many waste management needs because they lack a competent solid
waste management infrastructure. Needs include, but are not limited
to:
·Self-sustaining,
low-cost and energy-efficient solid waste reduction or treatment technologies
for small public or private sources that do not require significant infrastructure
to build, operate, and maintain. Ideally, systems should be simple, require
minimal maintenance, and have low capital and operating costs.
E4. STORMWATER FROM CONSTRUCTION
AND INDUSTRY
Technologies
are needed to monitor and control stormwater runoff from industrial and construction
sites. Under the Clean Water Act, EPA issued final Phase II regulations
on December 8, 1999 (64 Fed. Reg. 68722). These
regulations went into effect March 10, 2003, and require stormwater permits
for numerous small municipal separate storm sewer systems (MS4s), construction
sites disturbing in excess of one acre of land, and several categories of industrial
facilities. The unique climatology of significant portions of the Pacific
Southwest Region, characterized by a wet winter season and dry summer season,
results in so-called “flashy” winter storm water flow events. Since
stormwater typically is not treated, these events can result in significant
amounts of particulates and pollutants being transported to surface waters
from industrial and construction sites. Examples of needs for monitoring
and controlling stormwater runoff include, but are not limited to:
·Real-time
stormwater monitoring technologies that measure pathogens, metals, oil and
grease, and petroleum hydrocarbons during stormwater runoff events. Technologies
that require little supervision and maintenance are a priority;
·Products
and technologies that promote rapid settling of fine suspended particles
at construction sites. Products should not cause aquatic toxicity or
other adverse effects;
·Products
and technologies that extract embedded oil or oil products from surfaces
(soil, concrete, asphalt) without causing aquatic toxicity or other adverse
effects.
F4. DAIRIES AND CAFOs
Preventing
and controlling water pollution from dairies and CAFOs is a major priority
for the Pacific Southwest Region. California produces a greater amount
of dairy products than any other state, including more than 25 billion pounds
of milk. There are approximately 2,400 dairies in California with a
total of about 1.3 million cows and, in Arizona, 200 dairies have 140,000
cows. A single cow produces 120 pounds of wet manure per day or 22
tons of waste per year—a total of more than 30 million tons of waste. Other
animal feeding operations have similar environmental problems. In addition
to dairies, CAFOs include cattle feedlots and hog and poultry operations
that confine large numbers of animals and store wastewater and manure in
a contained area for extended periods of time. Animal feeding operations
typically are conducted on a small amount of land where feed is brought to
the animals. (For more information on CAFOs, see http://www.epa.gov/npdes/afo.)
Animal waste,
wastewater, and manure need to be treated effectively, and systems need to
be managed to avoid accidents, spills, or excessive runoff into receiving
waters. Surface water can be polluted by rainy season stormwater sweeping
manure into the nearest ditch or stream, or by leaching of waste material
(e.g., nitrates and salts, pathogens—bacterial and viral, veterinary
pharmaceuticals) into groundwater. Air emissions of ammonia and/or
methane by animals add to air pollution from particulate emissions associated
with agricultural practice. These problems are a priority in the Pacific
Southwest as well as in many other parts of the United States. Examples
of technology needs for dairies and CAFOs include, but are not limited to:
·Cost-effective,
green dairy, and CAFO technologies that reduce water pollution, including
development of alternative uses for dairy and CAFO residuals;
·New,
cost-effective and efficient technologies to manage dairy CAFO wastes, wastewaters
and manure, especially those that reduce releases of nutrients and pathogens;
·Improvements
in land application technologies and practices for dairies and CAFOs to prevent
or reduce surface water and groundwater contamination from animal wastes
including nutrients, nitrogen, phosphorus, pathogens and veterinary pharmaceuticals;
·Products
and technologies to prevent or reduce air emissions of ammonia, methane,
and other air pollutants such as dust and particulates.
G4. CHRONIC WASTING DISEASE
CWD is a
neurological disease of farmed and wild deer and elk. CWD belongs to
a family of animal and human diseases called transmissible spongiform encephalopathies
(TSEs), which include variants such as bovine spongiform encephalopathy or “mad
cow” disease. CWD is associated with a transmissible agent that
may be virus-like or a self-replicating protein referred to as a prion. The
agent attacks the brain and spinal cord and is highly stable, resisting freezing,
drying and high temperatures including those used for sterilization. These
diseases are rare but always fatal and there is no known treatment. Examples
of EPA research needs include, but are not limited to:
·Diagnostic
instruments that can detect CWD in live animals. Such a test would
help isolate infected animals and prevent contamination of landfills, streams,
and drinking water sources.
·Monitoring instruments for detecting CWD
agents in manure runoff, groundwater, streams, and drinking water sources.
H4. GREEN BUILDINGS
Identifying
ways to reduce the multimedia impacts of buildings and construction on human
health and the environment is one of the priorities for the Pacific Southwest
Region. Building and construction activities worldwide consume three
billion tons of raw materials each year or 40 percent of total global material
use. Buildings use one-third of all energy, two-thirds of all electricity,
and their construction consumes one-fourth of all harvested wood. Health
and productivity losses associated with indoor air pollution are estimated
to cost tens of billions of dollars annually. Technologies that only
involve energy efficiency with no other direct environmental benefit (such
as solar energy technologies) are addressed by other agencies and will not
be considered. Examples of Green Building research needs include, but
are not limited to:
·New
green building materials that cause fewer multimedia environmental problems
and have reduced life cycle costs (e.g., recycled content, low toxicity,
energy efficiency, biodegradability, and/or durability);
·Environmentally
preferable technologies that reduce the consumption of water and energy in
buildings;
·Real-time
measurement of energy and water consumption in buildings.
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
U.S.
ENVIRONMENTAL PROTECTION AGENCY
SMALL
BUSINESS INNOVATION RESEARCH PROGRAM
SOLICITATION
NUMBER PR-NC-04-10310
TECHNOLOGY
SOLUTIONS FOR PACIFIC SOUTHWEST ENVIRONMENTAL PROBLEMS SBIR PHASE I
AMOUNT REQUESTED: $________________ PROPOSED
DURATION (PHASE I): 6 MOS
(Not to Exceed $70,000)
*******Proposals submitted in response to this solicitation
will be valid for 300 days*******
RESEARCH TOPIC (check one)
____ A4. Air Pollution in Arid Climates
____ B4. Drinking Water in
Arid Climates
____ C4. Wastewater in Arid
Climates
____ D4. Solid Waste in Arid
Climates
____ E4. Stormwater From Construction
and Industry
____ F4. Dairies and CAFOs
____ G4. Chronic Wasting Disease
____ H4. Green Buildings
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. Please note: Firms that are a wholly owned subsidiary
of another entity do not meet the eligibility requirements
of an SBIR award.
____2. The above concern certifies that a minimum
of 2/3 of the research and/or analytical effort will be performed by the
proposing firm.
____3. If the proposal does not result in an award,
is the Government permitted to disclose the title and technical abstract
page of your proposed project, and the name, address, and telephone number
of the official of the proposing firm to any inquiring parties?
____4. The above concern certifies that it is a
woman-owned small business concern and meets the definition as stated in
the program solicitation.*
____5. The above concern certifies that it is a
socially and economically disadvantaged small business concern and meets
the definition as stated in the program solicitation.*
____6. The above concern certifies it is a HUBZone
small business concern and meets the definition as stated in the program
solicitation.*
____7. Do you plan to send, or have you sent, this
proposal or a similar one to any other Federal agency? If yes, which
one(s)? Use acronym(s) for each agency, (e.g., DOD, NIH, DOE, NASA,
etc.)_______________
8. Choose one of the following to describe your
Organization Type:
PROPRIETARY NOTICE: These data 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 evaluation of this proposal. If
a funding agreement is awarded to this offeror as a result of or in connection
with the submission of these data, the Government shall have the right to
duplicate, use, or disclose the data to the extent provided in the funding
agreement and pursuant to applicable law. 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 are contained on pages________of this proposal.
Appendix
B
U.S.
ENVIRONMENTAL PROTECTION AGENCY
SMALL
BUSINESS INNOVATION RESEARCH PROGRAM
SOLICITATION
NUMBER PR-NC-04-10310
TECHNOLOGY
SOLUTIONS FOR PACIFIC SOUTHWEST ENVIRONMENTAL PROBLEMS SBIR PHASE I
PROJECT
SUMMARY (Limit to One Page)
FIRM
NAME, ADDRESS, TELEPHONE AND FAX NUMBER, AND E-MAIL ADDRESS:
SIGNATURE: _______________________________ DATE
SUBMITTED: ___________________________
This proposal is submitted in response to
EPA SBIR Program Solicitation No. PR-NC-04-10310 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 that 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.
SCIENTIFIC
AND TECHNICAL INFORMATION SOURCES
State-of-the-art information, including service and
cost details, useful in preparing SBIR proposals or in guiding research efforts
may be obtained from the following sources:
National Technical Information Service (NTIS)
5288 Port Royal Road
Springfield, VA 22161
(513) 569-7562
EPA Headquarters Library
US Environmental Protection Agency
1200 Pennsylvania Avenue, NW (3404T)
Washington, DC 20460
(202) 566-0556
The Hazardous Waste Collection and Database are available
for use in the EPA Headquarters Library, the 10 EPA Regional libraries, EPA
laboratories in Ada, OK; Edison, NJ; Las Vegas, NV; Research Triangle Park,
NC; and the National Enforcement Investigations Center in Denver, CO. The
Database runs on an IBM AT/XT or compatible equipment and may be purchased
from NTIS using the NTIS order number PB87-945000.
The Environmental Quality Instructional Resources Center
1200 Chambers Road, R.310
Columbus, OH 43212
(614) 422-6717
[Especially related to Drinking Water and Waste Water
Treatment]
[Topic themes include source reduction, recycling,
composting, waste combustion, collection, transfer, disposal, landfill gas,
and special wastes]
ACCESS EPA (#055-000-00509-5) 1995 Edition
A consolidated guide to EPA information resources,
services, and products. It provides access to:
Public information
tools
Major EPA
dockets
Clearing
houses and hot lines
Records
management programs
Major EPA
environmental databases
Library
and information services
State environmental
libraries
“ACCESS EPA” may be ordered at a cost of
$16.00 each from the U.S. Government Printing Office, New Orders, Superintendent
of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954, or telephone (202)
512-1800, or from NTIS using order number PB-147438.
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. It includes
technologies in all stages of development—bench, pilot, or full. VISITT
is available at no charge on diskettes compatible with personal computers using
DOS operating systems. To order VISITT diskettes and user manual, and
to become a registered user, call the VISITT Hotline at 1-800-245-4505.
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.
COMMERCIALIZATION
FACT SHEET/PATENT SEARCH
(Finding Commercial Products; Conducting a Patent Search;
Searching for Federal Research;
Standards/Certifying Bodies)
FINDING COMMERCIAL PRODUCTS
The technology
you are proposing already may be being sold in the market. There are
five Web searches recommended as the minimum for determining if
the technology is commercially available. In each case, when having
trouble look for the FAQs (Frequently Asked Questions) or other advice on
searching.
Web
Search Using General Search Engines
There are
around 320 million indexed Web pages
and the Web continues to grow exponentially. One problem with this
rate of growth is that no single Web search engine is capable of indexing
the whole of cyberspace. We recommend using at least one meta-engine
and two search engines.
A meta-engine is a search
engine that searches other engines that actually catalog or index sites. Examples
are Metacrawler, http://www.metacrawler.com/, and
Dogpile, http://www.dogpile.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 that
cannot be supported by metacrawler and other meta-engines.
Two engines for more detailed
searches at present are Hotbot’s More Options page (http://www.hotbot.com/default.asp?
MT=&SM=MC&DV=7&RG=.com&act.super=+More+Options+&DC=10&DE=2&_v=2&OPs=MDRTP)
and
Alta Vista’s Advanced Query Page (http://www.altavista.digital.com/cgi-bin/query?pg=aq)
. Both
engines allow you to search new groups (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 also are 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 non-obvious. To be new, an invention must not have been
known nor made by others in the U.S. The invention also cannot have
been previously patented or presented in a publication prior to the
claimed date on which the invention was made. Patents
are handled by the U.S. Patent Office.
Non-obvious is established with reference to what would be obvious to
a person of ordinary skill in the relevant technology (or technologies) at
the time of the invention. A general rule is that the more complicated
the technology and the greater the rate at which it is developing, the higher
the skill-level of that hypothetical ordinary person. Non-obvious is
determined by examining prior patents, technical publications, and non-secret
work being conducted. Usually some aspect of an invention will be non-obvious
and thus capable of being patented.
It is important to recognize that different rules apply
in different countries. In the U.S., you have one (1) 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.
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
1 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
·National
Aeronautics and Space Administration
·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
also can search projects of the Medical Research Council of the United Kingdom. To
search all of FEDRIP, go to http://grc.ntis.gov/fedrip.htm. There
is a $350 fee.
In
addition, by going to an agency’s Web site, you can find information
on their current and/or past awards. The National Technical Information
Service (NTIS) is the designated repository of research reports. It
contains technical reports and other Government-produced information products. The
free access parts may be searched at http://www.ntis.gov/.
Perhaps
the best comprehensive resource for searching is the RAND’s RaDiUS
at http://www.rand.org/radius/. RaDiUS
stands for “Research and
Development in the United States.” It is the first comprehensive
database that tracks in real time the research and development activities
and resources of the U.S. Government. Among its sources are the following: the
Catalog of Federal Domestic Assistance (CFDA); USDA’s Current Research
Information System (CRIS); HHS’s Computer Retrieval of Information
on Scientific Projects (CRISP) and Information for Management, Planning,
Analysis, and Coordination (IMPAC) system; DoD’s R-1 and R-2 Budget
Exhibits and Work Unit Information Summaries (WUIS); DOE’s laboratory
information system; the Federal Assistance Awards Data System (FAADS); the
Federal Procurement Data System (FPDS); OMB’s MAX system; DVA’s
R&D Information System (RDIS); NSF’s Science and Technology
System (STIS); and NASA’s 507 System.
You must
be a Government Contractor to subscribe to RaDiUS. The small business
fee is $1,000 per year per password.
STANDARDS
AND CERTIFYING BODIES
If you are
going to introduce a commercial product, it most likely will have to meet
certain standards and be certified as meeting those standards. For
example, we all are familiar with the Underwriter Laboratories seal found
on household electrical products—a certification of safety under
normal use.
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://www.ansi.org/standards_activities/overview/overview.aspx?menuid=3. The
site provides links to U.S. bodies developing standards.
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://astm.365media.com/astm/labs/. 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 SELF-ADDRESSED STAMPED POSTCARD CONTAINING THE
FOLLOWING INFORMATION AND ATTACH TO THE ORIGINAL OF EACH PROPOSAL:
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 10 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).
REVERSE
SIDE: Please type the following in the upper left-hand corner (return
address) and self-address the card to your corporate official. (Postcards
that do not meet postal service standards will not be returned.)