NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY, DEPARTMENT OF COMMERCE

AUTHORIZATION:

Omnibus Trade and Competitiveness Act of 1988, Public Law 100-418, Section 5131(a); American Technology Preeminence Act of 1992, Public Law 102-245, Section 201(c), 15 U.S.C. 278n.

OBJECTIVES:

To work in partnership with industry to foster the development and broad dissemination of challenging, high-risk technologies that offer the potential for significant, broad-based economic benefits for the nation.

TYPES OF ASSISTANCE:

Project Grants.

USES AND USE RESTRICTIONS:

Single for-profit company recipients can receive ATP funds for R&D activities for up to 3 years, with ATP funding not to exceed $2 million for direct costs. ATP funds may only be used to pay for direct costs for single company recipients. Single company recipients are responsible for funding all of their overhead/ indirect costs. Small and medium sized companies applying as single company proposers are not required to provide cost-sharing of direct costs. Large companies applying as single company proposers, however, must cost-share at least 60 percent of the total project costs (direct plus indirect costs). A large company is defined as any business, including any parent company plus related subsidiaries, having annual revenues in excess of $2.896 billion. (Note that this number will likely change for future competitions and, if so, will be noted in future annual announcements of availability of funds and ATP Proposal Preparation Kits.) Joint ventures can receive ATP funds for R&D activities for up to 5 years, with ATP funding a minority share of the total project costs. Joint ventures must cost-share (matching funds) more than 50 percent of the total project costs (direct plus indirect costs). Joint ventures must consist of at least two separately-owned for-profit companies, both of which are substantially involved in the R&D and both contributing towards the matching fund requirement. The joint venture may include additional companies, independent research organizations, universities, and/or governmental laboratories (other than NIST) which may or may not contribute funds (other than Federal funds) to the project and perform research and development activities. The joint venture need not be a legally constituted entity but can consist of companies who simply agree to collaborate on the R&D and divide tasks. ATP funding may not be used to fund product development or be used to fund existing or planned research programs that would otherwise be conducted in the same period.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:   U.S. businesses and U.S. joint research and development ventures. Foreign-owned businesses are eligible for funding, provided they meet the requirements of Public Law 102-245, Sec. 201(c)(6-7). A university, governmental entity, or non-profit independent research organization can participate as a member of a joint venture that includes at least two separately owned for-profit companies, both of which are substantially involved in the R&D and both contributing towards the matching-fund requirement.

Beneficiary Eligibility:   U.S. businesses and U.S. joint research and development ventures; and foreign-owned businesses that meet requirements of Public Law 102-245, Sec. 201(c)(6-7).

Credentials/Documentation:   Proposals with statement of work and budget. Costs will be determined in accordance with applicable cost principles found in OMB Circular Nos. A-21 for educational institutions, A-122 for nonprofit organizations, 48 CFR 31 for commercial organizations, and 45 CFR 74, Appendix E for hospitals.

APPLICATION AND AWARD PROCESS:

Preapplication Coordination:   None. This program is excluded from coverage under E.O. 12372.

Application Procedure:   Proposals should be submitted only in response to formal competition announcements and requests for proposals periodically published in the Commerce Business Daily. This program is subject to the provisions of 15 CFR 14.

Award Procedure:   Competitive award process.

Deadlines:   Deadlines for proposal submissions are contained in the formal competition announcements and requests for proposals published in the Commerce Business Daily.

Range of Approval/Disapproval Time:   120 to 180 days.

Appeals:   None.

Renewals:   ATP awards may be renewed within the statutory time limitation based on satisfactory performance and availability of funds from Congress.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:   ATP funds may only be used to pay for direct costs for single company recipients. Single company recipients are responsible for funding all of their overhead/indirect costs. Small and medium sized companies applying as single company proposers are not required to provide cost-sharing of direct costs. Large companies applying as single company proposers, however, must cost-share at least 60 percent of the total project costs (direct plus indirect costs). A large company is defined as any business, including any parent company plus related subsidiaries, having annual revenues in excess of $2.896 billion. (Note that this number will likely change for future competitions and, if so, will be noted in future annual announcements of availability of funds and ATP Proposal Preparation Kits.) Joint ventures must cost-share (matching funds) more than 50 percent of the total project costs (direct plus indirect costs).

Length and Time Phasing of Assistance:   Funding for joint research and development ventures may be provided for no more than five years. Funds for single company awards may not exceed three years. The funds are released on a monthly advance payment basis. Continued funding is contingent on satisfactory performance and availability of appropriated funding from Congress.

POST ASSISTANCE REQUIREMENTS:

Reports:   Quarterly and annual technical progress and business reports are required.

Audits:   Audits of all recipients shall be conducted in accordance with Government Auditing Standards (GAS), issued by the Comptroller General of the United States (the Yellow Book). Other requirements are as follows: 1) For single companies, the NIST Program-Specific Audit Guidelines for Advanced Technology Program (ATP) Cooperative Agreements with Single Companies, issued by the DoC/OIG; 2) for joint venture recipients, the NIST Program-Specific Audit Guidelines for Advanced Technology Program (ATP) Cooperative Agreements with Joint Ventures, issued by the DoC/OIG; and 3) ATP recipients covered under OMB Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations," should have an audit performed in accordance with the requirements of the OMB Circular. The program-specific audit guidelines may be useful in identifying the allowability of specific cost elements and other programmatic compliance.

Records:   Documents, papers, and financial records are required to remain available to the Federal government for 3 years from the date of submission of the final financial status report. All financial and programmatic records, supporting documents, statistical reports, and other records of recipients are required to be maintained in accordance with the terms of the agreement.

FINANCIAL INFORMATION:

Account Identification:   13-0500-0-1-376; 13-0525-0-1-376.

Obligations:   (Cooperative Agreements) FY 99 $149,834,000; FY 00 est $169,792,000; and FY 01 est $156,346,000.

Range and Average of Financial Assistance:   Range: $441,000 to $31,478,000; Average $3,185,229.

PROGAM ACCOMPLISHMENTS:

The ATP has made 468 awards since its first competition in 1990 - 157 to joint ventures and 311 to single companies. In fiscal year 1999, the ATP held a single competition open to all technology areas. In fiscal year 2000, the ATP is holding a single competition open to all technology areas. Approximately ten percent of the proposals received are selected for funding. ATP funds are being used to develop a wide range of technologies in areas such as x-ray lithography, data storage, machine tool control, electro-optics, superconductivity, printed wiring boards, flat panel displays, handwriting recognition, semiconductors, biotechnology, ceramics, composites, computer-aided design and manufacturing, and DNA diagnostics.

REGULATIONS, GUIDELINES, AND LITERATURE:

Implementing regulations are published at 15 CFR Part 295. The ATP Proposal Preparation Kit may be obtained by contacting the ATP toll-free "hotline" number 1-800-ATP- FUND or 1-800-287-3863. The Kit is also available on the Internet through the World Wide Web under the heading Publications on the ATP home page: www.atp.nist.gov.

INFORMATION CONTACTS:

Regional or Local Office:   Advanced Technology Program, National Institute of Standards and Technology, 100 Bureau Drive Stop 4701 Gaithersburg, MD 20899-4701. Telephone: 1-800-ATP-FUND. FAX: (301) 926- 9524. E-mail: atp@nist.gov.

Headquarters Office:   Cita Furlani, Director, Advanced Technology Program, National Institute of Standards and Technology, 100 Bureau Drive Stop 4700, Gaithersburg, MD 20899-4700. Telephone: (301) 975-5187. Use the same number for FTS. FAX: (301) 869-1150. E-mail: cita.furlani@nist.gov. To receive application kits, contact ATP customer service staff, at 1-800-ATP-FUND.

Web Site Address:   http://www.nist.gov.

RELATED PROGRAMS:

None.

EXAMPLES OF FUNDED PROJECTS:

Printed wiring board manufacturing technology, flat panel display manufacturing, handwriting recognition, magnetoresistive random access memories, deep ultraviolet lasers, high temperature superconducting material processes, superconducting motors, stem cell expansion, viral inactivation, scalable high-density electronics, polymeric switches, nanocrystalline ceramics, polymer compatibilization, net-shaped ceramic processing, neural network controls, thermoplastic liquid composite molding, autonomous robots, digital image compression, software for managing complex healthcare data, and biochips for DNA diagnostics.

CRITERIA FOR SELECTING PROPOSALS: