EPA SBIR Proposal Guide: Phase I & II

Introduction

Submitting a proposal to the Environmental Protection Agency (EPA) under the SBIR program means navigating one of the most detail-oriented and format-specific application processes in the federal funding landscape. While the opportunities for innovation funding are significant, even minor errors—such as exceeding page limits or mislabeling a file—can result in administrative rejection without review.

This guide provides a detailed, phase-by-phase walkthrough of the EPA’s SBIR proposal submission requirements. Whether you’re applying for Phase I feasibility funding or preparing a comprehensive Phase II commercialization plan, following these instructions closely will help ensure your application is compliant, complete, and competitive.

EPA SBIR Proposal Structure and Page Limits

General Document Requirements

All proposal materials must be submitted as a single PDF. This includes your cover sheet, project summary, technical narrative, resumes, budget forms, and any required attachments. Do not upload multiple files or use formats like Word or Excel—only PDFs are accepted.

Keep your file under 100 MB to avoid upload issues on FedConnect, the official submission portal. Compress images if necessary, but ensure all content remains legible.

Page Limits and Formatting Standards

For Phase I proposals, the total page limit is 35 pages; for Phase II, it’s 60 pages. These limits include every element of your application, from the cover sheet to the last attachment. It’s advisable to stay just under the maximum—e.g., 34 pages for Phase I—to leave room for conversion or pagination discrepancies.

Use standard 8.5" x 11" pages with 0.5-inch margins on all sides. Text must be in a readable font (Arial, Times New Roman, or Calibri) at 10-point size or larger. Single or 1.15 spacing is acceptable, but use paragraph breaks to improve readability.

Include page numbers and a footer or header with your company name and proposal title for identification.

Differences in Page Structure Between Phases

Cover Sheet and Project Summary

Cover Sheet (Appendix 1)

The EPA requires that applicants use its official Cover Sheet form, which captures key proposal metadata: solicitation number, topic code, company and PI information, funding amount requested, and your SBA Company Registry ID. This sheet must be fully completed and signed electronically by both the Principal Investigator and an authorized company official.

For Phase I, select a single topic and request no more than $100,000. For Phase II, include your Phase I contract number and specify the funding amount requested (up to $400,000, excluding any Commercialization Option). Ensure that the total amount listed here matches the figure in your budget form—discrepancies can lead to administrative rejection.

This cover sheet is the first page of your proposal and counts toward the overall page limit.

Project Summary (Abstract) (Appendix 2)

Immediately following the cover sheet, insert the Project Summary form. This one-page, 400-word abstract serves a dual role: it helps reviewers quickly grasp your proposal’s aims and is used in public award announcements if selected for funding. Keep it concise, accurate, and free of proprietary or confidential information.

Your abstract should summarize:

• What your innovation is and how it works
• The technical approach you’ll use
• The environmental relevance
• The intended market and end users

If you exceed the word limit, even by a sentence, your proposal will be rejected as non-responsive.

Abstracts must not exceed 400 words and must omit proprietary information.
This summary is published if your project is funded.

Technical Proposal Requirements

Required Sections and Format

EPA requires that each proposal include clearly labeled sections using the exact titles specified in the solicitation. These typically include:

• Technical Approach
• Company/Team (Technical)
• Impact/Relevance to Topic
• Innovation/Intellectual Property
• Market Opportunity
• Company/Team (Commercial)
• Commercialization Approach
• Similar or Closely Related SBIR Awards
• Duplicate or Equivalent SBIR Proposals

Each section should begin with a header using the specified title. Failure to follow this structure—or omitting a required section—may result in your proposal being deemed non-responsive.

Use bullet points, graphics, and short paragraphs to improve readability. Visuals such as timelines, milestones, or workflow diagrams are encouraged, provided they adhere to margin and font-size rules (minimum 10-point text).

Phase I vs. Phase II Narrative Expectations

The technical narrative for Phase I focuses on proving feasibility. Your job is to show how your innovation works and that it can realistically achieve its goals within a 6-month timeframe. Market relevance should be discussed, but the bulk of the narrative centers on technical tasks, milestones, and expected outcomes.

In Phase II, the narrative must demonstrate both technical progress and a viable path to commercialization. You’ll need to provide a detailed commercialization plan that includes:

• Market analysis
• Go-to-market strategy
• Revenue model
• Commercialization partners (if any)
• Letters of interest (if allowed within the page limit)

Budget Forms and Justification

Budget Summary (Appendix 3)

You must use the EPA’s fillable Summary Budget form, which captures costs across standard categories such as:

• Direct labor
• Fringe benefits
• Overhead
• Equipment and supplies
• Travel
• Subcontracts/consultants
• General & administrative (G&A) expenses
• Profit (fee)

The form automatically calculates your total project cost. For Phase I, that total must not exceed $100,000; for Phase II, $400,000. These figures must match exactly with the “Total Cost” listed on your Cover Sheet.

Include a brief budget justification either at the end of your technical narrative or directly within the form’s notes section. Explain how you arrived at each major cost—for example, hours and rates for personnel, quantities of materials, and travel assumptions.

Profit and TABA Allowances

EPA allows applicants to include a profit line item of up to 10% of total project costs. This is capped at $10,000 for Phase I and $40,000 for Phase II. Submitting a proposal with a profit amount over these caps will result in rejection or forced budget correction.

In Phase II, you may also include up to $10,000 in Technical and Business Assistance (TABA) costs. These funds can be used for third-party commercialization support, such as business consultants or market research services. TABA must be clearly itemized and counts toward the $400,000 total unless the solicitation states otherwise.

Do not exceed the 10% profit cap or TABA maximums.
Overshooting these amounts will disqualify your proposal.

Commercialization Option (Phase II Only)

Some Phase II solicitations include a $100,000 Commercialization Option, which funds additional work to prepare your innovation for market (e.g., pilot testing, regulatory validation). If offered, this must be proposed as a separate section in your narrative and budgeted using the Option Budget form (Appendix 3A).

Label this clearly in your submission and make sure the combined base + option budgets don’t exceed the permitted total. Omitting the Option Budget when it’s available means forfeiting that funding opportunity.

Electronic Submission Best Practices

Using FedConnect

Before uploading, make sure your entire proposal—including all required forms and attachments—is merged into a single PDF file. Avoid special characters in the filename, which can trigger errors. Use the following naming format:

[Topic Code] – [Company Name].pdf
Example: 1A – GreenTech Solutions.pdf

Double-check that your file is under 100 MB to avoid technical issues. Optimize any embedded images or graphics to reduce file size without sacrificing legibility.

After uploading, you should receive a confirmation from FedConnect. If you don’t receive this, your submission may not have gone through. Always allow time to re-upload if something goes wrong.

Final Checklist Before You Submit

Conclusion

When it comes to EPA SBIR proposals, compliance is not optional. Reviewers won’t consider submissions that miss technical requirements, exceed page limits, or mismatch budget totals. By following this guide, your application will meet the structural standards necessary to get through the door—and let your innovation speak for itself.