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Phase II

Phase II awards will be made to Phase I awardees on the basis of the results of their Phase I efforts and the scientific merit, technical merit, and commercialization potential of their initial Phase II proposals. Phase II is the principal research or research and development effort and is expected to produce a well-defined deliverable prototype. Phase II awards vary in size and duration, depending on the Systems Command (SYSCOM).

The Navy follows a two-step competitive process for Phase II:

Step One - Initial Phase II Proposal
All Phase I awardees may submit initial Phase II proposals for evaluation and selection. Details on the due date and submission requirements for the initial Phase II proposals are provided by the awarding SYSCOM either in the Phase I award or by subsequent notification. Instructions and a template for the initial Phase II proposal can be found Here.

Step Two - Full Phase II Proposal
Selected initial Phase II offerors will be notified to submit a full Phase II proposal for evaluation and selection. If selected, SYSCOM-specific full Phase II proposal instructions and templates will be provided by the SYSCOM. Submission of a full Phase II proposal does not guarantee that a Phase II contract will be awarded. All SYSCOMs reserve the right to make no award, one award, or more than one award under any topic.

The Navy will evaluate initial and full Phase II proposals using the evaluation criteria in the relevant DoD Program Broad Agency Announcement. Technical merit is the most important evaluation criteria, followed by personnel qualifications and commercialization potential - both of equal importance.

Additional Phase II awards (both Second (Sequential) or Subsequent) are initiated at the request of the Government.

Second (Sequential) Phase II: A Phase II awardee may receive only one Second (Sequential) Phase II award to continue work on the initial Phase II project, as authorized by 15 USC 638 (ff)(1) without additional competition. The resulting Second (Sequential) Phase II award must be within the scope of the original topic, continue the work of that initial Phase II effort, and have the same guideline amounts and limits as the first Phase II award.

Subsequent Phase II: A small business that received a Phase I award from one agency may receive a Subsequent Phase II award from a different agency if both agencies make written determinations that the topic of the relevant award is the same. The Phase II award may be an initial or Second (Sequential) Phase II award (see Navy-Subsequent-Phase-II-Guidance-Nov-2022.pdf)

Note: Awardees may receive a total of two Phase II awards per topic from either the original awarding agency or another awarding agency. Current statute and regulations (i.e., SBIR/STTR Policy Directives) govern SBIR/STTR funds, which must be utilized in compliance with current law. DoN awards for ALL topics and ALL fiscal years comply with current law, including on awards on topics prior to the 2012 reauthorization..

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