ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

•  Federal Agency Name: Advanced Technology Program (ATP), National Institute of Standards and Technology (NIST), Technology Administration, Department of Commerce

•  Funding Opportunity Title: Advanced Technology Program

•  Announcement Type: Initial Announcement

•  Funding Opportunity Competition Number: 2004

•  Catalog of Federal Domestic Assistance (CFDA) Number: 11.612, Advanced Technology Program

•  Dates: The due date for submission of proposals is Wednesday, April 14, 2004.

Proposal Submission Address:
- Paper submission:
National Institute of Standards and Technology
Advanced Technology Program
100 Bureau Drive, Stop 4701
Gaithersburg, MD 20899-4701 -Electronic submission: Electronic Submission System (ESS) – Use the downloadable forms and the Forms Viewer at no cost at http://ess.atp.nist.gov

•  Funding Opportunity Description: ATP provides cost-shared multi-year funding to single companies and to industry-led joint ventures to accelerate the development of challenging, high risk technologies that promise significant commercial payoffs and widespread benefits for the nation. This unique government-industry partnership aids companies in accelerating the development of emerging or enabling technologies that lead to revolutionary new products and industrial processes and services that can compete in rapidly changing world markets. ATP challenges the research and development (R&D) community to take on higher technical risk with commensurately higher potential payoffs for the nation than they would otherwise pursue.

•  Total Amount to be Awarded: F iscal year 2004 appropriations include funds in the amount of $60.7 million for new ATP awards. ATP funds proposals on a rolling basis, therefore, some portion of this amount may be used for new awards for proposals submitted pursuant to the procedures established for the fiscal year 2002 competition and, similarly, a portion may be used for proposals submitted under this fiscal year 2004 competition. As a result, approximately $30 million of the fiscal year 2004 appropriations may be used to fund selected proposals submitted under the fiscal year 2002 competition and approximately $30 million is available for new awards under this fiscal year 2004 competition.

•  Anticipated Amounts: A single company can receive up to a total of $2 million for R&D activities for up to 3 years. ATP funds may only be used to pay direct costs for single-company recipients. Single company recipients are responsible for funding all of their indirect/overhead costs. 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.

•  Funding Instrument: Cooperative Agreement

•  Who Is Eligible: U.S.-owned, single, for-profit companies and industry-led joint ventures may apply for ATP funding. In addition, companies incorporated in the United States that have parent companies incorporated in another country may apply.

•  Cost Sharing Requirements: Small and medium sized 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 propose to do so, in addition to the mandatory payment of all indirect costs throughout the project. Large companies applying as single-company proposers must cost share at least 60 percent of the yearly total project costs (direct plus all of the indirect costs). Joint ventures must cost share more than 50 percent of the yearly total project costs (direct plus indirect costs).

•  Where to obtain the ATP Proposal Preparation Kit: Call ATP at 1-800-ATP-FUND (1-800-287-3863) . The Kit is also available on the Internet on the ATP web site http://www.atp.nist.gov or through the electronic submission web site at http://ess.atp.nist.gov . Note that ATP is mailing the Kit to all individuals whose names are currently on the ATP mailing list. Those individuals need not contact ATP to request a copy.

•  Public Meetings (Proposers' Conferences): ATP is holding several p ublic meetings (Proposers' Conferences) at several locations around the country. These meetings provide general information regarding the program, tips on preparing proposals, and the opportunity for questions and answers. ATP Proposers' Conferences are being held on the following dates and locations : March 1, 2004 in Atlanta, GA and in Dallas, TX; March 3, 2004 in Boston, MA and in Seattle, WA; March 5, 2004 in Chicago (Rosemont), IL and in Los Angeles, CA; and March 9, 2004 in Gaithersburg, MD. No registration fee will be charged. Detailed information on the specific locations of the Proposers' Conferences is available on the ATP web site http://www.atp.nist.gov . To register for the public meeting or for further information, contact ATP at 1-800-ATP-FUND (1-800-287-3863), or register via the NIST website: www.atp.nist.gov/atp/reg_form.htm .

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

In 1990, ATP began to provide cost-shared multi-year funding to single companies and to industry-led joint ventures to accelerate the development of challenging, high risk technologies that promise significant commercial payoffs and widespread benefits for the nation. This unique government-industry partnership aids companies in accelerating the development of emerging or enabling technologies that lead to revolutionary new products and industrial processes and services that can compete in rapidly changing world markets. ATP challenges the research and development (R&D) community to take on higher technical risk with commensurately higher potential payoffs for the nation than they would otherwise pursue.

ATP funds high-risk, high payoff projects from all technology areas. A complete listing of the general categories of projects ATP has funded is available on the ATP web site at http://www.atp.nist.gov/atp/category.htm .

The ATP statute originated in the Omnibus Trade and Competitiveness Act of 1988 (Pub. L. 100-418, 15 U.S.C. 278n) and was amended by the American Technology Preeminence Act of 1991 (Pub. L. 102-245). This law has been codified at 15 U.S.C. 278n. The ATP implementing regulations are published at 15 C.F.R. Part 295, as amended.

II. Award Information

Fiscal year 2004 appropriations include funds in the amount of $60.7 million for new ATP awards. ATP funds proposals on a rolling basis, therefore, some portion of this amount may be used for new awards for proposals submitted pursuant to the procedures established for the fiscal year 2002 competition and, similarly, a portion may be used for proposals submitted under this fiscal year 2004 competition. As a result, approximately $30 million of the fiscal year 2004 appropriations may be used to fund selected proposals submitted under the fiscal year 2002 competition and approximately $30 million is available for new awards under this fiscal year 2004 competition.

A single company can receive up to a total of $2 million for R&D activities for up to 3 years. 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. The range of funding is $434,176 to $31,478,000. The average is $2,971,402. The anticipated start date is October 1, 2004. The period of performance depends on the R&D activity proposed.

Companies currently receiving ATP funding for existing ATP projects do not have to compete annually to receive continued funding of their projects. Continuation funding is based on satisfactory performance and availability of funds. Existing funded companies, however, may submit new proposals for ATP funding under this competition.

The funding instrument used in ATP awards is a "cooperative agreement." Through the use of the cooperative agreement, ATP fosters a government-industry partnership to accomplish a public purpose of support or stimulation. ATP plays a substantial role by providing technical assistance and monitoring the technical work, business progress, and expenditure of Federal funds.

III. Eligibility Information

•  Eligible Applicants/Proposers

U.S.-owned, single, for-profit companies and industry-led joint ventures may apply for ATP funding. In addition, companies incorporated in the United States that have parent companies incorporated in another country may apply. The term company means a for-profit organization, including sole proprietorships, partnerships, limited-liability companies (LLCs), and corporations.

•  Single Company – a single small, medium, or large for-profit company, including an LLC. The single company must be substantially involved in the R&D, with a leadership role in programmatically steering the project and facilitating definition of the research agenda. A single company can receive up to a total of $2 million for R&D activities for up to 3 years. ATP funds may only be used to pay direct costs for single-company recipients. Single company recipients are responsible for funding all of their indirect/overhead costs.

•  Joint Venture – at least two separately owned for-profit companies, both of which are substantially involved in the R&D and both of which are contributing to the cost-sharing requirement. ATP joint ventures consist of companies that formally agree (i.e., sign a Joint Venture Agreement) to collaborate on the R&D and establish an effective plan to commercialize the technology if successful. In addition to comprising at least two separately owned for-profit companies, a joint venture may include additional for-profit companies and other organizations, e.g., universities, government laboratories (except NIST), independent research organizations, and non-profit organizations, that perform research and that may or may not contribute nonfederal funds to the project. 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.

A company incorporated in the United States that has parent companies incorporated in another country is eligible to apply for and receive an ATP award if it meets the conditions in the ATP legislation (15 U.S.C. § 278n(d)(9)) and regulations (15 C.F.R. § 295.3). Before making the final award, ATP will make a foreign-eligibility finding based on these conditions regarding the company's participation in the ATP project. The foreign eligibility finding involves the collection of evidence of whether the following conditions are met:

• the company's participation in the ATP project is in the economic interest of the United States, and
• the home country of the parent company provides all of the following:
• comparable opportunities for U.S.-owned companies to participate in government funded programs similar to ATP,
• comparable local investment opportunities for U.S.-owned companies, and
• adequate and effective protection of U.S.- owned companies' intellectual property rights.

ATP takes responsibility for gathering information related to the above requirements. The submitting organization must provide information in the Gate 2 submission related to the role of the foreign-owned company in the project to help address the foreign eligibility requirement. Evidence that the company's participation is in the economic interest of the United States includes the following:

• a sound justification that the involvement by the company is necessary to achieve the technical or commercial objectives of the project;
• documentation that the company makes investments in research, development, and manufacturing in the United States;
• documentation that the company makes significant contributions to employment in the United States;
• documentation that the company agrees to promote the manufacture of products within the United States resulting from ATP-supported technology and to procure supplies from competitive U.S. suppliers; and
• other aspects relevant to the project's potential to produce broad-based economic benefits for the United States.

2. Cost Sharing or Matching Requirement

Small and medium sized 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 propose to do so, in addition to the mandatory payment of all indirect costs throughout the project. Large companies applying as single-company proposers 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 $3.043 billion. (Note that this number will likely be updated annually and will be noted in future annual announcements of availability of funds and revised editions of the ATP Proposal Preparation Kit.)

Joint ventures must cost share more than 50 percent of the yearly total project costs (direct plus indirect costs). If an award is issued to a joint venture, each joint venture participant will be responsible for meeting its committed cost share in accordance with its approved budget throughout the award. No joint venture participant will be responsible for the cost-share commitment of any other joint venture participant. However, with the agreement of the joint venture participants, along with notification to the NIST Grants Officer, a joint venture participant that has exceeded its cost-share commitment may allow its excess cost share to be applied to the cost-share deficit of another joint venture participant, so that the overall joint venture cost share is met.

Cost sharing is that portion of the project costs not borne by the federal government and includes direct and indirect costs. 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 nonfederal sources. In-kind contributions can be made by recipients or nonfederal third parties (excluding subcontractors) and can include, but are not limited to, equipment, research tools, software, and supplies. Except as specified in 15 C.F.R. § 295.25, the value of in-kind contributions shall be determined in accordance with 15 C.F.R. § 14.23. The value of in-kind contributions will be prorated according to the share of total use dedicated to the ATP project. Labor/personnel costs are not in-kind contributions; they are cash contributions. ATP limits the total value of in-kind contributions that can be used to satisfy the cost share to 30 percent of the nonfederal share of the total project costs.

Any cost sharing must be in accordance with the “cost sharing or matching” provisions of 15 C.F.R. Part 14, Uniform Administrative Requirements for Grants and Cooperative Agreements With Institutions of Higher Education, Hospitals, Other Non-Profit, and Commercial Organizations ( http://www.atp.nist.gov/atp/helpful.htm ).

Funds derived from Federal sources may not be used to meet the cost-share requirement. Additionally, subcontractors may not contribute towards the cost-share requirement.

As with the federal share, any costs included as cost share must be allowable under the following applicable federal cost principles: 1) 48 C.F.R. Part 31, Contract Cost Principles and Procedures (apply to commercial organizations); 2) Office of Management and Budget Circulars A-122, Cost Principles for Nonprofit Organizations ; 3) A-21, Cost Principles for Education Institutions ; and 45 C.F.R. Part 74, Appendix E, Principles for Determining Costs Applicable to Research and Development Under Grants and Contracts With Hospitals . These documents may be found at http://www.atp.nist.gov/atp/helpful.htm .

Letters of support, letters of commitment, and letters of non-financial support as appropriate, are required. For single-company projects, a letter of commitment from an authorized senior executive of the company should be provided. For joint ventures, letters of commitment verifying the availability of cost sharing funds must be submitted from all participants in the joint venture. If there are commitments from regional, state, or local agencies or private sources of capital to contribute cost-sharing funds, indicate the nature of those arrangements and give evidence of the commitment.

•  Ineligible Projects

• Straightforward improvements of existing products or product development.
• Projects that are basic research.
• Projects that are Phase II, III, or IV clinical trials.
• Pre-commercial-scale demonstration projects where the emphasis is on demonstrating that some technology works on a large scale or is economically sound rather than on R&D that extends the state of the art.
• Projects that ATP believes would likely be completed without ATP funds in the same time frame or nearly the same time frame or with the same scale or scope.
• Predominantly straightforward, routine data gathering (e.g., creation of voluntary consensus standards, data gathering/handbook preparation, testing of materials, or unbounded research aimed at basic discovery science) or application of standard engineering practices.
• Projects that are simply a follow-on or a continuation of tasks previously funded in ATP projects from essentially the same proposing team.
• Projects in which the only risk is market oriented—that is, the risk that the end product may not be embraced by the marketplace.

IV. Application/Proposal and Submission Information

•  Address to Request Application/Proposal Package

The February 2004 version of the ATP Proposal Preparation Kit must be used to prepare and submit all proposals under the fiscal year 2004 competition. The Kit is available upon request from ATP at the following address:

National Institute of Standards and Technology
Advanced Technology Program
100 Bureau Drive, Stop 4701
Gaithersburg, MD 20899-4701

The Kit may also be requested by calling 1-800-ATP-FUND or 1-800-287-3863; sending a facsimile (fax) to: 301-926-9524 or 301-590-3053; by e-mail at atp@nist.gov ; or by Internet at http://www.atp.nist.gov .

Information on electronic proposal submissions via the Electronic Submission System (ESS) using the downloadable forms and the Forms Viewer is available at http://ess.atp.nist.gov .

The Kit is also available on the Internet on the ATP web site http://www.atp.nist.gov . Note that ATP is mailing the Kit to all individuals whose names are currently on the ATP mailing list. Those individuals need not contact ATP to request a copy. The Kit contains proposal cover sheets, other required forms, and all the necessary guidelines for developing an ATP proposal. All proposals must be prepared in accordance with the guidelines in the Kit.

2. Content and Form of Application/Proposal Submission

All paper (hard copy) and electronic proposal submission requirements are discussed in detail in Chapters 2 and 3 of the ATP Proposal Preparation Kit, which is available on the ATP web site at http://www.atp.nist.gov . The ATP Kit also includes the “Checklist/Reminders for Submission of an ATP Proposal” as Exhibit 1 and the “Human Subjects Determination Checklist” as Exhibit 2 to assist potential proposers in their proposal preparation. Additionally, all of the required forms and budget narrative are included in the ATP Kit as Exhibits.

ATP does not accept pre-proposals, unsolicited proposals, or letters of intent.

3. Submission Dates and Times

The due date for submission of proposals is Wednesday, April 14, 2004. All hand-delivered or electronically submitted proposals must be received by 3 p.m. Eastern Time on April 14, 2004; all other proposals must be postmarked by April 14, 2004, and received no later than 3 p.m. Eastern Time Wednesday, April 28, 2004. Proposals submitted through guaranteed overnight carriers are deemed to be postmarked on the date they are delivered to the carrier.

Any proposals not received by the due date will not be considered and will be returned to the proposer without review. ATP determines whether a proposal has been submitted before the deadline by date/time stamping the proposals as they are physically received in the ATP office or in the case of electronic submission, as the time stamped on the automatically generated notification indicating successful submission.

4. Intergovernmental Review

ATP does not involve the mandatory payment of any matching funds from state or local government and does not affect directly any state or local government. Accordingly, the Department of Commerce has determined that Executive Order 12372, "Intergovernmental Review of Federal Programs" is not applicable to this program.

5. Funding Restrictions

•  Indirect Costs (IDC) . For single company recipients, no federal funds will be authorized for IDC; however, an applicant/proposer may provide for IDC benefits under his/her portion of cost sharing. For joint venture recipients, federal funds will be authorized for IDC.

•  Indirect Cost Rate . Regardless of any approved indirect cost rate applicable to the award, the maximum dollar amount of allocable indirect costs for which the Department of Commerce will reimburse the recipient shall be the lesser of the line item amount for the Federal share of indirect costs contained in the approved budget of the award, or the Federal share of the total allocable indirect costs of the award based on the indirect cost rate approved by an oversight or cognizant Federal agency and current at the time the cost was incurred, provided the rate is approved on or before the award end date.

•  Allowable Costs . Funds awarded cannot necessarily pay for all the costs that the recipient might incur in the course of carrying out the project. Allowable costs are determined by reference to the following applicable Federal costs principles: 1) 48 C.F.R. Part 31, Contract Cost Principles and Procedures (apply to commercial organizations); 2) Office of Management and Budget Circulars A-122, Cost Principles for Nonprofit Organizations ; 3) A-21, Cost Principles for Education Institutions ; and 45 C.F.R. Part 74, Appendix E, Principles for Determining Costs Applicable to Research and Development Under Grants and Contracts With Hospitals . These documents may be found at http://www.atp.nist.gov/atp/helpful.htm .

•  Unallowable/Ineligible Costs . The following items, regardless of whether they are allowable under the federal cost principles, are unallowable under ATP:

• Marketing, sales, or commercialization costs, unless they are included in a federally approved indirect cost rate.
• Costs for the construction of new buildings or extensive renovations of existing laboratory buildings. However, costs for the 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.
• Indirect costs for single-company recipients, which 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.)
• Bid and proposal costs, tuition costs, and costs for marketing surveys, 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 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 but 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.
• For research involving human and/or animal subjects, any costs used to secure Institutional Review Board or Institutional Animal Care and Use Committee approvals before the award or during the award.
• Relocation costs, unless they are included in a federally approved indirect cost rate.
• Office furniture costs, unless they are included in a federally approved indirect cost rate.
• Costs for general purpose office equipment and supplies that are not used exclusively for the research—for example, office computers, printers, copiers, paper, pens, and toner cartridges.
• Subcontractor expenses such as those for office supplies and conferences/workshops.
• Patent costs and legal fees, unless they are included in a federally approved indirect cost rate.
• Profit, management fees, interest on borrowed funds, or facilities capital cost of money.
• Subcontracts 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.
• Pre-award costs.

•  Award Requirements. The award form for the cooperative agreement and award terms and conditions are available on the ATP web site at http://www.atp.nist.gov/atp/helpful.htm .

6. Other Submission Requirements . As discussed previously in this section, ATP proposals may be submitted in hard copy or in electronic format.

V. Application/Proposal Review Information

•  Criteria

The evaluation criteria used to select a proposal for funding and their respective weights are found in 15 C.F.R. § 295.6 and 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 for 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, and that does not have adequate technical and commercialization plans. Meeting the scientific and technological merit criterion will not make up for major flaws in the potential for broad-based economic benefits selection criterion and vice versa. Detailed guidance on how to address the selection criteria is provided in Chapter 3 of the ATP Proposal Preparation Kit, which is available on the ATP web site at http://www.atp.nist.gov .

•  Scientific and Technological Merit (50 percent) . This selection criterion has three critical components: (1) Technical Innovation, (2) Technical Risk With Evidence of Scientific Feasibility, and (3) Technical 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 (or problems) 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, the major technical hurdles, and the attendant risks, and it must 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. ATP will assess the proposing team's relevant experience for pursuing the technical plan. The team carrying out the work must demonstrate the high level of scientific/technical expertise needed to conduct the R&D and have access to the necessary research facilities.

•  Potential for Broad-Based Economic Benefits (50 percent) . 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 for 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 pathway to economic benefits 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—that is, spillover effects. ATP will assess the proposer's relevant experience and level of commitment to the project; the 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 single-company proposers, the extent to which subcontractor/subrecipient teaming arrangements are featured and are a key component of the proposal.

•  Review and Selection Process

All proposals are selected based on a peer-review process, as described in 15 C.F.R. § 295.4. All proposals will be reviewed under a multiple-stage and sequential review process; therefore, prescribed information is requested at different stages called gates. There are four gates as follows:

•  Gate 1: Detailed information addressing the scientific and technological merit selection criterion and preliminary information addressing the potential for broad-based economic benefits selection criterion are submitted. If the information is determined by the Source Evaluation Board (SEB) (a committee made up of Federal employees) to meet the selection criterion, the proposer is notified that the proposal has passed the Gate 1 stage and is asked to submit the required Gate 2 information. The proposer will have two weeks (14 calendar days) from written notification to submit the required Gate 2 information.

•  Gate 2: Detailed information addressing the potential for broad-based economic benefits selection criterion and the Budget Narrative are submitted. If the information submitted is determined by the SEB to have high merit, the proposer is notified that the proposal has been selected as a semi-finalist and proceeds to Gate 3.

•  Gate 3: An invitation to the National Institute of Standards and Technology/ATP for an oral review is issued. Required forms and additional documentation are submitted, as requested by ATP. After the oral review, all semifinalist proposals are ranked by the SEB, and the Selecting Official selects funding recipients based on the ranking, the availability of funds, the adherence to ATP selection criteria, or the appropriate distribution of funds among technologies and their applications. NIST reserves the right to deny awards in any case where a reasonable doubt exists regarding a proposer's ability to comply with ATP requirements or to handle federal funds responsibly. All funding decisions are final and cannot be appealed . NIST reserves the right to negotiate the cost and scope of the proposed work with the proposers that have been selected to receive awards. For example, NIST may require that the proposer delete from the scope of work a particular task that is deemed by NIST/ATP to be product development or otherwise inappropriate for ATP support. The proposals selected by the Selecting Official for funding proceed to Gate 4.

•  Gate 4: If the proposal is selected, the final award is processed and issued and funding begins.

•  Additional Information

•  Semi-finalist proposals will be ranked in the following two categories: “Fundable” and “Unfundable.”

•  Proposers may not submit replacement and/or revised pages and/or documents for any portion of a proposal once that portion has been submitted unless specifically requested by NIST.

•  A proposer may submit a proposal that is a revised version of a proposal submitted to a previous ATP competition. NIST will examine such proposals to determine whether substantial revisions have been made. Where the revisions are determined not to be substantial, NIST reserves the right to score and rank, or where appropriate, to reject, such proposals based on reviews of the previously submitted proposal.

•  ATP will retain two copies of each non-responsive or non-selected proposal for five (5) years for record keeping purposes. After five years the two copies will be archived for an additional five years. The remaining copies will be destroyed.

VI. Award Administration Information

1. Award Notices

A successful proposer will be notified of award through the receipt of an obligated/approved Financial Assistance Award (CD-450) document signed by the NIST Grants Officer that is the cooperative agreement award. The cooperative agreement will include the award period, the budget, special award conditions, ATP General Terms and Conditions, Department of Commerce Financial Assistance Standard Terms and Conditions, applicable Federal cost principles, and applicable policy and regulatory references that will govern the award. The cooperative agreement is sent to the successful proposer via surface mail and requires a counter- signature of an authorized official. The cooperative agreement award document, i.e., CD-450 and award terms and conditions are included in the ATP web site at http://www.atp.nist.gov/atp/helpful.htm .

2. Administrative and National Policy Requirements

•  Department of Commerce Pre-Award Notification Requirements . The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements contained in the Federal Register notice of October 1, 2001 (66 FR 49917), as amended by the Federal Register notice published on October 30, 2002 (67 FR 66109), are applicable to this competition announcement/solicitation. These requirements are available on the web site at http://www.osec.doc.gov/oebam/pdf/6-PreAward.pdf .

•  Intellectual Property Requirements . Title to any inventions arising from an ATP-funded project must be held by a for-profit company, or companies, incorporated or organized in the United States. A university, government laboratory, independent research organization, or other nonprofit organization cannot retain title to patents, although such organizations can receive mutually agreeable payments (either one-time or continuing) from the company or companies holding title to the patent. However, a for-profit corporation organized by a university can be considered a for-profit company for the purpose of retaining title to patents arising from an ATP award. In such a case, documentation of the for-profit status must be provided in the proposal. If your organization is not a for-profit company but plans to be involved in an ATP project, you will not be able to retain title to any patentable inventions arising from the ATP project. Please make sure your legal department is aware that ATP cannot waive this mandated provision (15 U.S.C. § 278n(d)(11)(A) and 15 C.F.R. § 295.2). Title to any such invention shall not be transferred or passed, except to a company organized in the United States, until the expiration of the first patent obtained in connection with such invention.

The United States reserves a nonexclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the United States any patentable invention arising from an ATP award. The Federal government shall not, however, in the exercise of such license, publicly disclose proprietary information related to the license. The government use license must also grant to government, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license for all data first produced in the performance of the award to reproduce, prepare derivative works, perform publicly and display publicly, and for data other than computer software to distribute to the public by or on behalf of the government. The Federal government also has march-in rights in accordance with 37 C.F.R. § 401.14(j). Since its inception in 1990, ATP has not exercised either of these rights.

•  Projects Involving Human Subjects . Research involving human subjects must be in compliance with applicable Federal regulations and NIST policies for the protection of human subjects. Human subjects research involves interactions with live human subjects or the use of data, images, tissue, and/or cells/cell lines (including those used for control purposes) from human subjects. Research involving human subjects may include activities such as the use of image and/or audio recordings of people, taking surveys or using survey data, using databases containing personal information, and many tasks beyond those within traditional biomedical research. A Human Subjects Determination Checklist is included in the February 2004 ATP Proposal Preparation Kit as Exhibit 2 ( http://www.atp.nist.gov ) to assist you in determining whether your proposal has human subjects involvement, which would require additional documents with the Gate 1 and/or Gate 3 submission(s). Detailed information regarding the use of human subjects in research projects and required documentation is available at http://www.atp.nist.gov/atp/helpful.htm , or by calling 1-800-287-3863.

d. Projects Involving Animal Subjects . Research involving animal subjects must be in compliance with applicable federal regulations and NIST policies for the protection of animal subjects. Vertebrate animal research involves live animals that are being cared for, euthanized, or used by the project participants to accomplish research goals or for teaching or testing. The regulations do not apply to animal tissues purchased from commercial processors or tissue banks or to uses of preexisting images of animals (e.g., a wildlife documentary or pictures of animals in newscasts). Detailed information regarding the use of animal subjects in research projects and required documentation is available at http://www.atp.nist.gov/atp/helpful.htm , or by calling 1-800-287-3863.

•  Reporting

Award Recipients shall provide access to information that is required to assess the project's progress throughout the project life cycle. In addition to monitoring the technical work, NIST requires business information pertaining to the project during the life of the project and for six years after its end to assess progress towards commercialization, the degree of adoption of the technology, and the impact of the project on the economy. The following reports are required:

•  Technical Performance Reports

Award Recipients shall submit technical performance reports in triplicate (one original and two copies). Two copies shall be submitted to the ATP Project Manager and the original report to the NIST Grants Officer in the same frequency as the Financial Status Report (SF-269). Technical performance reports shall contain information as prescribed in 15 C.F.R. 14.51.

•  Business Reports

Award Recipients shall submit business reports in accordance with the "Guidelines for Reporting on Business Progress and Economic Impacts," which is available on the ATP web site at http://www.atp.nist.gov .

c. Financial Reports

For ATP Recipients, Article A.01 of the Department of Commerce (DOC) Financial Assistance Standard Terms and Conditions dated October 2001 ( http://www.atp.nist.gov/atp/helpful.htm ) is revised as follows:

•  Award Recipients shall submit a "Financial Status Report" (SF-269) on a calendar quarter basis for the periods ending March 31, June 30, September 30, and December 31, or any portion thereof, unless otherwise specified in a special award condition. Reports are due no later than 30 days following the end of each reporting period. A final SF-269 shall be submitted within 90 days after the expiration date of the award.

•  All financial reports shall be submitted in triplicate (one original and two copies) to the NIST Grants Officer.

VII. Agency Contact(s)

Questions for ATP should be directed to the following contact persons:

•  Other Information

•  Confidential/Proprietary Information . All individuals who have access to proposals submitted to ATP must sign nondisclosure agreements. The government will protect confidential/proprietary information about business operations and trade secrets possessed by any company or participant to the full extent of the law. Such information will be withheld from disclosure pursuant to the following statutes, which can be found http://www.atp.nist.gov/atp/helpful.htm .

• ATP Statute – 15 U.S.C. § 278n(d)(5).
• Trade Secrets Act – 18 U.S.C. § 1905.
• Freedom of Information Act (FOIA) – 5 U.S.C. § 552(b).
• Economic Espionage Act – 18 U.S.C. § 1832.

In view of the above, proposers are advised that proposals are unlikely to be competitive if significant technical and/or business details are omitted due to the proposer's reluctance to reveal confidential information.

•  Public Meetings (Proposers Conferences)

This year ATP is holding several public meetings (Proposers' Conferences) at several locations around the country. These meetings provide general information regarding the program, tips on preparing proposals, and the opportunity for questions and answers. Attendance at these Proposers' Conferences is not required; many successful ATP recipients have not attended a Proposers' Conference. However, those who have attended said they found the information helpful. Proprietary technical or business discussions about specific project ideas with NIST staff are not permitted at the public meetings or at any time before submitting the proposal to ATP. Therefore, you should not expect to have proprietary issues addressed at the public meetings. NIST staff will not critique proprietary project ideas while they are being developed by a proposer. However, NIST staff will, at any time, answer questions that you may have about our project selection criteria, selection process, eligibility requirements, cost-sharing requirements, and the general characteristics of a good ATP project.

ATP Proposers' Conferences are being held on the following dates and locations:

• March 1, 2004 in Atlanta, GA and in Dallas, TX;
• March 3, 2004 in Boston, MA and in Seattle, WA;
• March 5, 2004 in Chicago (Rosemont), IL and in Los Angeles, CA; and
• March 9, 2004 in Gaithersburg, MD.

No registration fee will be charged. Detailed information on the specific locations of the Proposers' Conferences is available on the ATP web site http://www.atp.nist.gov/atp/helpful.htm . To register for the public meeting or for further information, contact ATP at 1-800-ATP-FUND (1-800-287-3863), or register via the NIST web site: http://www.atp.nist.gov/atp/reg_form.htm.