ATP PROPOSAL PREPARATION KIT
`November 2000
`
`TABLE OF CONTENTS
`
`Foreword
`Chapter 1. QUESTIONS & ANSWERS ABOUT THE ATP
`A. GENERAL INFORMATION
`/atp/kit-00/chapt1.htm - A.1What is the Advanced Technology Program (ATP)
`/atp/kit-00/chapt1.htm - A.2Who may apply?
`/atp/kit-00/chapt1.htm - A.3How can I receive funding?
`/atp/kit-00/chapt1.htm - A.4What are the guidelines for preparing an ATP proposal?
`/atp/kit-00/chapt1.htm - A.5How many gates are there in this new proposal submission
`process?
`/atp/kit-00/chapt1.htm - A.6Will confidential/proprietary information in my proposal be
`protected?
`/atp/kit-00/chapt1.htm - A.7Where can I seek help with preparing my proposal?
`/atp/kit-00/chapt1.htm - A.8Does ATP hold any public meetings or conferences to assist
`in proposal preparation?
`/atp/kit-00/chapt1.htm - A.9Is there a deadline for submitting an ATP proposal?
`/atp/kit-00/chapt1.htm - A.10Where do I submit proposals?
`/atp/kit-00/chapt1.htm - A.11Who should I contact if I have questions?
`B. ELIGIBILITY
`/atp/kit-00/chapt1.htm - B.1Who is eligible to apply?
`/atp/kit-00/chapt1.htm - B.2Can universities, governmental laboratories, and
`independent research organizations participate?
`/atp/kit-00/chapt1.htm - B.3Can a foreign-owned company apply for ATP funding?
`C. FUNDING AND COST SHARING
`/atp/kit-00/chapt1.htm - C.1How much funding can I receive and do I have to provide cost
`sharing?
`/atp/kit-00/chapt1.htm - C.2How does ATP define cost sharing?
`/atp/kit-00/chapt1.htm - C.3Can independent research and development (IR&D) funds
`be used as cost sharing?
`/atp/kit-00/chapt1.htm - C.4Are there any projects ATP will not fund?
`/atp/kit-00/chapt1.htm - C.5What types of costs are unallowable?
`/atp/kit-00/chapt1.htm - C.6Will ATP fund research performed outside the United
`States?
`D. SELECTION CRITERIA AND SELECTION PROCESS
`/atp/kit-00/chapt1.htm - D.1What selection/evaluation criteria are used to select ATP
`proposals for funding?
`/atp/kit-00/chapt1.htm - D.2How are proposals selected for funding?
`/atp/kit-00/chapt1.htm - D.3What are the most common reasons for failure of an ATP
`proposal?
`E. PATENT INFORMATION
`/atp/kit-00/chapt1.htm - E.1Who retains title to patentable inventions arising from an ATP-
`funded project?
`/atp/kit-00/chapt1.htm - E.2Does the Federal government have any rights to patentable
`inventions arising from an ATP-funded project?
`F. HUMAN AND ANIMAL SUBJECTS
`/atp/kit-00/chapt1.htm - F.1Will ATP fund projects involving human subjects?
`
`0001
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`Rosetta-2002
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`

`
`/atp/kit-00/chapt1.htm - F.2We are not a biotech company; does our research involve
`human subjects?
`/atp/kit-00/chapt1.htm - F.3Will ATP fund projects involving animal subjects?
`Chapter 2. GUIDELINES FOR PREPARING ATP PROPOSALS
`A. PROPOSAL FORMAT
`/atp/kit-00/chapt2.htm - A.1Bindings
`/atp/kit-00/chapt2.htm - A.2Double-Sided Copy
`/atp/kit-00/chapt2.htm - A.3Electronic Proposal Submission
`/atp/kit-00/chapt2.htm - A.4Facsimile (FAX) Submissions
`/atp/kit-00/chapt2.htm - A.5Figures and Diagrams
`/atp/kit-00/chapt2.htm - A.6Font
`/atp/kit-00/chapt2.htm - A.7Line Spacing
`/atp/kit-00/chapt2.htm - A.8Margins
`/atp/kit-00/chapt2.htm - A.9Number of Copies
`/atp/kit-00/chapt2.htm - A.10Page Limit
`/atp/kit-00/chapt2.htm - A.11Page Numbering
`/atp/kit-00/chapt2.htm - A.12Paper Size
`/atp/kit-00/chapt2.htm - A.13Proposal Language
`/atp/kit-00/chapt2.htm - A.14Table of Abbreviations
`/atp/kit-00/chapt2.htm - A.15Table of Contents
`/atp/kit-00/chapt2.htm - A.16Typed Document
`/atp/kit-00/chapt2.htm - A.17Usage of Metric/System International (SI) Units
`B. PROPOSAL FORMS AND OTHER DOCUMENTS
`/atp/kit-00/chapt2.htm - B.1Single Company Only
`/atp/kit-00/chapt2.htm - B.2Joint Venture Only
`/atp/kit-00/chapt2.htm - B.3Single Company and Joint Venture
`C. EXECUTIVE SUMMARY
`D. PROJECT NARRATIVE
`/atp/kit-00/chapt2.htm - D.1Scientific and Technological Merit
`/atp/kit-00/chapt2.htm - D.2Potential for Broad-Based Economic Benefits
`E. BUDGET NARRATIVE (BUDGET DATA)
`APPENDICES
`Appendix A: ATP Technology Area Code
`Appendix B: Required Detailed Information to Address ATP Selection Criterion on
`Potential for Broad-Based Economic Benefits
`EXHIBITS - TEAR-OUT DOCUMENTS
`1. ATP Proposers' Conference Registration Form (http://www.atp.nist.gov/atp/kit-
`00/exhibit1.htm)
`2. ATP Proposal Checklist (http://www.atp.nist.gov/atp/kit-00/exhibit2.htm)
`3. Form NIST-1262 (Pages 1 & 2), Single Company Advanced Technology Program
`Proposal Cover Sheet (http://www.atp.nist.gov/atp/kit-00/exhibit3.htm)
`4. Form NIST-1262 (Page 3), Estimated Multi-Year Budget - Single Company
`(http://www.atp.nist.gov/atp/kit-00/exhibit4.htm)
`5. Form NIST-1262 (Page 4), Subcontracts (http://www.atp.nist.gov/atp/kit-
`00/exhibit5.htm)
`6. Form NIST-1263 (Pages 1 & 2), Joint Venture Advanced Technology Program
`Proposal Cover Sheet (http://www.atp.nist.gov/atp/kit-00/exhibit6.htm)
`7. Form NIST-1263 (Page 3), Estimated Multi-Year Budget - Joint Venture
`(http://www.atp.nist.gov/atp/kit-00/exhibit7.htm)
`8. Form NIST-1263 (Page 4), Other Joint Venture Participants
`(http://www.atp.nist.gov/atp/kit-00/exhibit8.htm)
`9. Form NIST-1263 (Page 5), Subcontracts (http://www.atp.nist.gov/atp/kit-
`00/exhibit9.htm)
`
`0002
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`

`
`10. Standard Form 424B, Assurances - Non-Construction Programs
`(http://www.whitehouse.gov/media/pdf/sf424b.pdf)
`11. Form CD-511, Certifications Regarding Debarment, Suspension and Other
`Responsibility Matters; Drug-Free Workplace Requirements and Lobbying
`(http://www.doc.gov/forms/pdf/cd511fll.pdf)
`12. Standard Form-LLL, Disclosure of Lobbying Activities
`(http://www.whitehouse.gov/OMB/grants/sflllin.pdf)
`13. Form CD-346, Applicant For Funding Assistance
`(http://www.doc.gov/forms/pdf/cd346fll.pdf)
`14. Budget Data (http://ww.atp.nist.gov/www/forms/dn-233.pdf)
`
`
`
`FOREWORD
`
`As the recently appointed Director of the Advanced Technology Program (ATP), it is my
`pleasure to provide you with this new version of the ATP Proposal Preparation Kit (Kit). This
`Kit provides you with all the necessary guidelines for developing an ATP proposal during
`fiscal year 2001. All individuals who are currently on the ATP mailing list will receive a copy
`of this Kit as well as other announcements. If you are not on our mailing list and wish to be
`added, please contact our ATP toll-free "hotline" number 1-800-ATP FUND or 1-800-
`287-3863.
`All around us, innovation is affecting the way we live. It's spurring economic growth,
`creating jobs, improving our quality of life and putting American companies in the
`lead in many markets. But innovation takes time, resources and a commitment. The ATP
`strives to bridge the gap between the research lab and the marketplace. It accelerates the
`development of innovative technologies that promise significant commercial payoffs and
`widespread benefits for the U.S. economy and society. Through the ATP, government and
`industry share a common commitment to the future -- leveraging public sector funds with
`those of the private sector to support projects that impact and transform businesses,
`industries, and lives.
`This revised Kit has been streamlined and reduced by more than 50 percent to ease the
`burden on potential proposers. One major change is in the ATP proposal submission
`requirements which provides for a multiple stage and sequential review process. This
`multiple stage process has been instituted to reduce the amount of information required at
`one time. Required information may be submitted at different stages as determinations are
`made that a proposal has high merit based on the established selection criteria.
`If this is your introduction to the ATP, I encourage you to visit our Web home page located
`at http://www.atp.nist.gov. The home page provides general information about the ATP,
`resources that can help you develop a proposal, a searchable database of previously funded
`ATP projects, and much more.
`New opportunities bring us new challenges. I look forward to receiving many creative and
`innovative proposals.
`Alan P. Balutis, Director
`Advanced Technology Program
`National Institute of Standards and Technology
`
`
`CHAPTER 1: QUESTIONS & ANSWERS
`ABOUT THE ATP
`
`
`
`A. GENERAL INFORMATION
`
`
`
`0003
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`

`
`
`
`1. What is the Advanced Technology Program (ATP)?
`
`
`
`
`
`The Advanced Technology Program (ATP) began in 1990 to provide cost shared funding to industry to
`accelerate the development and broad dissemination of challenging, high-risk technologies that promise
`significant commercial payoffs and widespread benefits for the nation. This unique government-industry
`partnership accelerates the development of emerging or enabling technologies, leading to revolutionary new
`products, industrial processes and services that can compete in rapidly changing world markets. The program
`challenges industry to take on higher risk projects with commensurately higher potential payoff to the nation
`than they would otherwise. The ATP statutory authority is 15 U.S.C. Sec. 278n
`(http://www4.law.cornell.edu/uscode/15/278n.text.html). The ATP implementing regulations may be found in
`15 CFR Part 295 (http://www.access.gpo.gov/nara/cfr/cfrhtml_00/Title_15/15cfr295_00.html).
`
`2. Who may apply?
`
`
`
`
`
`A single for-profit company and/or industry-led joint venture. See section B. of this chapter for more details.
`
`3. How can I receive funding?
`
`
`
`
`
`You must submit a proposal to ATP in response to a solicitation/request for proposals published by ATP.
`Annual notices are published in the Federal Register announcing the availability of ATP funds. Additionally, a
`specific solicitation/request for proposals is published in the Commerce Business Daily (CBD).
`
`4. What are the guidelines for preparing an ATP proposal?
`
`
`
`
`
`Detailed instructions for preparing an ATP proposal are provided in Chapter 2 of this Kit. Proposal submission
`requirements have been modified to a multiple stage and sequential review process to reduce the amount of
`information required at one time. Required information may be submitted at different stages as determinations
`are made by ATP that a proposal has high merit based on the selection criteria. We call these stages in the
`review process "gates." A proposal must pass through each gate in order to receive funding.
`
`5. How many gates are there in this new proposal submission process?
`
`
`
`
`
`There are four "gates" as follows:
`Gate 1: The proposer submits detailed information to address the scientific and technological merit
`selection criterion. Additionally, the proposer submits preliminary information to address the selection
`criterion on the potential for broad-based economic benefits. If the information submitted is
`determined to have high merit, ATP notifies the proposer and requests that the required additional
`information be submitted for consideration in Gate 2.
`Gate 2: The proposer submits more detailed information to address the potential for broad-based
`economic benefits selection criterion and detailed budget data. If the information submitted is
`determined to have high merit, ATP notifies the proposer of its selection as a semi-finalist and the
`proposal proceeds to Gate 3.
`Gate 3: The proposer is requested to submit required forms and additional documentation, as
`necessary, and may be invited to NIST for an oral review. If ATP determines, based on all the
`information received, that the proposal has sufficiently high merit to be funded, the proposal is
`considered a finalist and proceeds to Gate 4.
`Gate 4: Final award processing and issuance, if selected.
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`6. Will confidential/proprietary information in my proposal be protected?
`
`
`
`
`
`Yes. Information obtained by ATP or other Department of Commerce offices on a confidential basis on
`business operations and trade secrets possessed by any company or joint venture will be protected by the
`government to the full extent of the law. Such information will be withheld from disclosure under the Freedom
`of Information Act.
`
`7. Where can I seek help with preparing my proposal?
`
`
`
`
`
` Visit ATP's website at ht http://www.atp.nist.gov/atp/resources.htm which provides links to State agencies
`and to other resources, both public and private, that can help proposers develop ATP proposals.
` Visit the ATP ALLIANCE NETWORK website at http://www.atp.nist.gov/alliance which provides useful
`tools for creating and managing R&D partnerships. The website offers interactive forums such as the
`Collaboration Bulletin Board, through which potential proposers can anonymously post their interest in
`finding a partner, and the R&D Alliances Forum, where individuals can exchange their ideas and questions
`about high-risk R&D alliances.
` The NIST Manufacturing Extension Partnership (MEP) is a nationwide network of locally managed
`extension centers whose sole purpose is to provide small and medium-sized manufacturers with the help
`they need to succeed. The centers provide guidance to high technology companies seeking resources and
`teaming relationships that help with commercialization efforts. To contact an MEP Center, call 1-800-MEP
`4 MFG (1-800-637-4634) or visit MEP's website at http://www.mep.nist.gov.
`
`8. Does ATP hold any public meetings or conferences to assist in proposal preparation?
`
`
`
`
`
`Yes. ATP holds one or more proposers' conferences. These meetings provide general information regarding the
`ATP, tips on preparing good proposals, and an opportunity for questions and answers. Proprietary technical
`discussions of specific proposals should not take place at this public meeting. Attendance is not required, and
`many successful ATP recipients have not attended a proposers' conference. However, those who have attended
`have said they found the session helpful. Each ATP competition announcement will include information
`regarding the time and place of proposers' conferences. If you plan to attend a conference, please complete and
`return the ATP Proposers' Conference Registration Form (see Exhibit 1). Receipt of your advance registration
`form will assist us in making adequate provisions for attendees.
`NIST staff will not critique individual proprietary project ideas during the time they are being developed by a
`proposer. However, we will at any time answer questions you may have about such things as our project
`selection criteria, selection process, eligibility requirements, cost sharing requirements, and the general
`characteristics of a good ATP project.
`
`9. Is there a deadline for submitting an ATP proposal?
`
`
`
`
`
`Yes. Once an ATP solicitation/request for proposals is published in the Commerce Business Daily (CBD), you
`may submit your proposal until the date specified in the CBD.
`
`10. Where do I submit proposals?
`
`
`
`
`
`National Institute of Standards and Technology
`Advanced Technology Program
`100 Bureau Drive, Stop 4701
`Administration Building 101, Room A413
`Gaithersburg, MD 20899-4701
`
`0005
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`

`
`11. Who should I contact if I have questions?
`
`
`
`
`
`Barbara Lambis by phone 301-975-4447, fax 301-869-1150, or e-mail barbara.lambis@nist.gov.
`
`B. ELIGIBILITY
`
`
`
`1. Who is eligible to apply?
`
`
`
`
`
`Single for-profit companies and industry-led joint ventures may apply for ATP funding as described below:
` Single Company. A single small, medium, or large for-profit company. (Note: A legal entity such
`as an LLC is considered a single company.) The single company must be substantially involved in
`the R&D, with a leadership role in programmatically steering the project, and facilitate definition
`of the research agenda.
`Joint Venture. At least two separately owned for-profit companies, both of which are
`substantially involved in the R&D and both contributing towards the cost sharing requirement.
`Most ATP joint ventures consist of companies who formally agree to collaborate on the R&D and
`establish an effective plan to commercialize the technology if successful. In addition to two
`separately owned for-profit companies, the joint venture may include additional for-profit
`companies and other organizations which may or may not contribute funds (other than Federal
`funds) to the project and may perform research.
`
`
`
`2. Can universities, governmental laboratories, and independent research organizations
`participate?
`
`
`
`
`
`Universities, governmental laboratories (excluding NIST laboratories), and/or independent research
`organizations may participate in an ATP project in the following two ways:
` As subcontractors to a single company or to a joint venture. (Note that if a subcontractor(s)
`performs the bulk of the R&D tasks, the proposal stands little chance of being selected.)
` As additional partners in a joint venture. Any one of these three types of organizations can serve as
`the catalyst to organize a joint venture. However, of these three organizations, only an independent
`research organization may (i.e., a university or governmental laboratory may not) submit a
`proposal on behalf of a joint venture and administer the project provided that the following two
`conditions are met:
`(1) As stipulated above, the joint venture includes at least two separately owned for-profit
`companies, both of which are substantially involved in the R&D and both contributing
`towards the cost sharing requirement, and
`(2) The joint venture is industry-led, i.e., the industrial partners must be substantially involved
`in the R&D, with a leadership role in programmatically steering the project, facilitate
`definition of the research agenda, and commit to the commercialization plans if the
`technology is successfully developed.
`
`3. Can a foreign-owned company apply for ATP funding?
`
`
`
`A U.S.-incorporated company (subsidiary) of a foreign-owned parent company which is incorporated in another
`country may apply if the company meets the conditions in the ATP legislation (15 U.S.C. Sec. 278n.(d)(9) and
`regulations (15 CFR 295.3). Prior to final award, a foreign eligibility finding will be made by NIST which
`involves the collection of evidence that the (1) company's participation in the ATP is in the economic interest of
`the United States; and the country of incorporation of the participant's parent company: (2) affords U.S.-owned
`companies opportunities comparable to those afforded to any other company to participate in government-
`
`0006
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`
`funded programs similar to ATP; (3) affords U.S.-owned companies local investment opportunities comparable
`to those afforded to any other company; and (4) affords adequate and effective protection for the intellectual
`property rights of U.S.-owned companies. NIST accepts responsibility for making this finding. Information
`relating to this finding need not be provided in your proposal other than details of the role of the foreign-owned
`company in the project.
`If your company is neither U.S.-owned nor a U.S.-incorporated company that has a parent company
`incorporated in another country, your company is NOT eligible for ATP funding. A company owned by one or
`more non-U.S. citizen green card holders, which is not a U.S.-incorporated company with a parent company
`incorporated in another country, may apply for an ATP award but NO funding can be received by the company
`unless the ownership issue is resolved consistent with the ATP legislation prior to final award selections. If a
`proposal submitted by a non-U.S. citizen is selected as a semi-finalist, this issue will be raised at an oral review
`or earlier to determine whether this issue has been resolved, e.g., the owner has since become a U.S. citizen or
`ownership has been transferred to a U.S. citizen or citizens. More detailed information on the rules for foreign
`participation can be found on ATP's website at http://www.atp.nist.gov/eao/ir-6099/contents.htm.
`
`
`
`C. FUNDING AND COST SHARING
`
`
`
`1. How much funding can I receive and do I have to provide cost sharing?
`
`
`
` A single company can receive up to $2 million for R&D activities for up to 3 years. 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 size companies applying as single company
`proposers are not required to provide cost sharing of direct costs; however, they may pay a portion of the
`direct costs if they wish, in addition to all indirect costs. Large companies applying as single company
`proposers, however, must cost share at least 60 percent of the yearly total project costs (direct plus all of the
`indirect costs). A large company is defined as any business, including any parent company plus related
`subsidiaries, having annual revenues in excess of $3.037 billion. (Note that this number will likely be
`updated annually and will be noted in future annual announcements of availability of funds and ATP
`Proposal Preparation Kits.)
`Now and then a start-up company applying to ATP claims that they have no indirect costs and that the ATP
`project, if funded, would be the only project the company would have; therefore, all costs would be direct.
`When this assertion is made, it raises two concerns for ATP:
`(1) If the company's accounting system has been designed by a Certified Public Accounting (CPA)
`firm consistent with generally accepted accounting principles, then certain expense items should fall
`into indirect cost categories, even for a new start up company with only one project. To do otherwise
`suggests to ATP that either the company is inexperienced about its fiscal affairs or the company has no
`intent of carrying on any business other than the ATP project -- either of which is of concern to ATP.
`(For example, at some point the company will begin to engage in commercialization activities which
`cannot be paid for by ATP.)
`(2) ATP projects are supposed to be industry/government cost shared projects. A company proposing
`to recover 100 percent of the project costs from ATP is violating the spirit of the ATP statute because
`the company has no funds of its own at risk. In addition, if the company is not sharing in the risk of the
`investment with ATP, it gives the appearance that it is not very committed to moving the technology
`into the marketplace. A proposal claiming no indirect costs, therefore, is unlikely to receive an ATP
`award.
` A joint venture can receive funds for R&D activities for up to 5 years with no funding limitation other than
`the announced availability of funds. Joint ventures must cost share more than 50 percent of the yearly total
`project costs (direct plus indirect costs).
`If a proposal is selected for funding, the cost sharing amount will be made a part of the award; must meet
`the criteria stipulated in the administrative requirements of 15 CFR Part 14, Uniform Administrative
`Requirements for Grants and Cooperative Agreements with Institutions of Higher Education, Hospitals,
`
`0007
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`

`
`other Non-Profit and Commercial Organizations ( http://www.doc.gov/oebam/cfr14.htm); must be
`allowable under the applicable Federal cost principles; and is subject to audit.
`
`
`
`2. How does ATP define cost sharing?
`
`
`
`
`
`Cost sharing means that portion of project costs not borne by the federal government. Sources of revenue to
`satisfy the required cost share include cash and in-kind contributions. Cash contributions can be from recipient,
`state, county, city, or other non-federal sources. In-kind contributions can be made by recipients or non-federal
`third parties (except subcontractors working on any ATP project) and include but are not limited to equipment,
`research tools, software, and supplies. Except as specified in CFR 295.25, the value of in-kind contributions
`shall be determined in accordance with 15 CFR 14.23. The value of in-kind contributions will be prorated
`according to the share of total use dedicated to the ATP project. ATP restricts the total value of in-kind
`contributions that can be used to satisfy the cost share by requiring that such contributions not exceed 30
`percent of the non-federal share of the total project costs. The allowability of cost sharing costs are determined
`in accordance with applicable federal cost principles.
`
`3. Can independent research and development (IR&D) funds be used as cost sharing?
`
`
`
`
`
`The fundamental expectation for cost sharing is that the proposer's share of the ATP project costs be funded
`from non-federal sources, such as retained earnings or profit, not funds included as an indirect expense which is
`subsequently allocated for reimbursement under federally-funded procurement contracts, grants, and other
`agreements. Recovering the proposer's cost share as part of its IR&D/General & Administrative (G&A)
`allocation to other federally-funded projects would be contrary to the level of financial commitment expected of
`proposers by the ATP statute.
`Proposers MAY NOT classify the non-federal share of the ATP project costs as an IR&D expense that is
`subsequently allocated, either as a separate cost or as an element of a G&A cost pool, to federally-funded
`procurement contracts, grants, or other agreements.
`Proposers MAY allocate IR&D or G&A costs, which include IR&D as an element, to an ATP project, provided
`that the IR&D/G&A rate applied to the ATP project is a Federally-approved indirect cost rate.
`
`4. Are there any projects ATP will not fund?
`
`
`
`
`
` Straightforward improvements of existing products or product development.
` Projects that are predominately basic research.
` Pre-commercial scale demonstration projects where the emphasis is on demonstration that some technology
`works on a large scale or is economically sound rather than on R&D.
` Projects involving military weapons R&D or R&D that is of interest only to some mission agency rather
`than to the commercial marketplace.
` Projects that ATP believes would likely be completed with or without ATP funds in the same time frame or
`nearly the same time frame.
`
`5. What types of costs are unallowable?
`
`
`Regardless of whether they are allowable under the Federal cost principles, the following are unallowable under
`ATP:
` Construction of new buildings or extensive renovations of existing laboratory buildings. However,
`construction of experimental research and development facilities to be located within a new or existing
`building are allowable provided that the equipment or facilities are essential for carrying out the proposed
`scientific and technical project and are approved by the NIST Grants Officer.
`
`0008
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`

`
`
`
`Indirect costs for single company recipients are unallowable for reimbursement with Federal funds and
`must be absorbed by the company. Note that with large businesses submitting proposals as single company
`proposers, indirect costs absorbed by the large business may be used to meet the cost sharing requirement.
` Profit, management fees, interest on borrowed funds, or facilities capital cost of money.
` Bid and proposal (B&P) costs, tuition costs, marketing surveys or commercialization studies, and general
`business planning unless they are incorporated into a Federally approved indirect cost rate. (However, a
`university participating in an ATP project as a subcontractor or as a joint venture partner may charge ATP
`for tuition remission or other forms of compensation in lieu of wages paid to university students working
`on ATP projects only as provided in OMB Circular A-21, section J.41. In such cases, tuition remission
`would be considered a cash contribution rather than an in-kind contribution.)
` Single company and joint venture participants may not subcontract to another part of the same company or
`to another company with identical or nearly identical ownership. Work proposed by another part of the
`same company or by another company with identical or nearly identical ownership should be shown as
`funded through interorganizational transfers that do not contain profit. Interorganizational transfers should
`be broken down in the appropriate budget categories.
`
`
`
`6. Will ATP fund research performed outside the United States?
`
`
`
`
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`While the ATP is not precluded from funding research performed outside the U.S. by either U.S.-owned or
`foreign-owned companies/entities (including foreign subcontractors outside the U.S.), the ATP selection
`criterion used to evaluate how economic benefits must accrue to the U.S. would normally result in proposals
`involving significant research performed outside the U.S. to be scored low. Additionally, the proposed use of a
`foreign subcontractor must be justified. This justification must include why the work or services cannot be
`equivalently performed or obtained in the United States.
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`D. SELECTION CRITERIA AND SELECTION PROCESS
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`1. What selection/evaluation criteria are used to select ATP proposals for funding?
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`As stipulated in 15 CFR 295.6, the evaluation criteria used to select a proposal for funding and their respective
`weights are listed below. No proposal will be funded unless ATP determines that it has scientific and
`technological merit and that the proposed technology has strong potential for broad-based economic benefits to
`the nation. Additionally, no proposal will be funded that does not require Federal support, that is product
`development rather than high risk R&D, that does not display an appropriate level of commitment from the
`proposer, or does not have an adequate technical and commercialization plan. Scoring the full weight of the
`selection criterion under the Scientific and Technological Merit will not make up for major flaws within the
`Potential for Broad-Based Economic Benefits selection criterion and vice versa. Detailed guidance on how to
`address the selection criteria in your proposal is provided in Chapter 2.
` Scientific and Technological Merit (50%). [This selection criterion has two critical components: 1)
`Scientific/Technical Rationale and (2) R&D Plan.] The proposed technology must be highly innovative.
`The research must be challenging, with high technical risk. It must be aimed at overcoming an important
`problem(s) or exploiting a promising opportunity. The technical leverage of the technology must be
`adequately explained. The research must have a strong potential for advancing the state of the art and
`contributing significantly to the U.S. scientific and technical knowledge base. The technical plan must be
`clear and concise, and must clearly identify the core innovation, the technical approach, major technical
`hurdles, the attendant risks, and clearly establish feasibility through adequately detailed plans linked to
`major technical barriers. The plan must address the questions of "what, how, where, when, why, and by
`whom" in substantial detail. The Program will assess the proposing team's relevant experience for pursuing
`the technical plan. The team carrying out the work must demonstrate a high level of scientific/technical
`expertise to conduct the R&D and have access to the necessary research facilities.
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`0009
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` Potential for Broad-Based Economic Benefits (50%). [This selection criterion has three critical
`components: 1) National Economic Benefits; 2) Need for ATP Funding; and 3) Pathway to Economic
`Benefits.] The proposed technology must have a strong potential to generate substantial benefits to the
`nation that extend significantly beyond the direct returns to the proposing organization(s). The proposal
`must explain why ATP support is needed and what difference ATP funding is expected to make in terms of
`what will be accomplished with the ATP funding versus without it. The pathways to economic benefit must
`be described, including the proposer's plan for getting the technology into commercial use, as well as
`additional routes that might be taken to achieve broader diffusion of the technology. The proposal should
`identify the expected returns that the proposer expects to gain, as well as returns that are expected to accrue
`to others, i.e., spillover effects. The Program will assess the proposer's relevant experience and level of
`commitment to the project and project's organizational structure and management plan, including the extent
`to which participation by small businesses is encouraged and is a key component in a joint venture
`proposal, and for large company single proposers, the extent to which subcontractor/subrecipient teaming
`arrangements are featured and are a key component of the proposal.
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`2. How are proposals selected for funding?
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`All proposals are selected based on a peer-review process, as described in 15 CF