Advanced Technology Program
Published on AidPage by IDILOGIC
on Jun 24, 2005
Purpose of this program:
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.
Possible 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. 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 $3.043 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 for-profit companies, universities, governmental laboratories (excluding any NIST laboratory), independent research organizations, and/or nonprofit organizations, which may or may not contribute funds (other than Federal funds) to the project and perform R&D 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.
Who is eligible to apply...
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). Universities, government laboratories (excluding any NIST laboratory), independent research organizations, and/or nonprofit organizations, may 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.
Proposals with statements of work, business plans, and detailed budgets. Costs will be determined in accordance with applicable Federal costs 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.
Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.
About this section:
This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy.
For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree,
3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible.
Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they
Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications
are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs,
the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.
How to apply...
Proposal are submitted under a multiple stage and sequential review process to reduce the amount of information required at one time. Required information is submitted at different stages as determinations are made by ATP that proposals have high merit based on the selection criteria. These stages in the review process are called "gates." Proposals must pass through each gate in order to receive funding. Proposals should be submitted only in response to formal competition announcements and requests for proposals published in the "Federal Register" and "Federal Funding Opportunity" available at www.grants.gov.
Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.
Competitive award process based upon published selection criteria.
Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check.
Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office,
or by an authorized county office. The assistance may pass through the initial applicant for further distribution by
intermediate level applicants to groups or individuals in the private sector.
Deadlines and process...
Deadlines for proposal submissions are contained in the formal competition announcements and requests for proposals published in the "Federal Register" and "Federal Funding Opportunity" available at www.grants.gov
When available, this section indicates the deadlines for applications to the funding agency which will
be stated in terms of the date(s) or between what dates the application should be received.
When not available, applicants should contact the funding agency for deadline information.
Range of Approval/Disapproval Time
120 to 180 days.
None. This program is excluded from coverage under E.O. 12372.
This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units
prior to the submission of a formal application to the federal funding agency.
In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission
of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or
applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).
ATP awards may be renewed within the statutory time limitation based on satisfactory performance and availability of funds from Congress.
In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.
Who can benefit...
U.S. businesses and U.S. joint ventures; and foreign-owned businesses that meet the requirements of Public Law 102-245, Sec. 201(c)(6-7).
About this section:
This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.
What types of assistance...
The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
How much financial aid...
Range and Average of Financial Assistance
Range: $434,000 to $31,478,000. Average: $2,961,470.
This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.
(Cooperative Agreements) FY 03 $155,390,000; FY 04 est $156,704,000; and FY 05 est not available.
The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.
Note: This 11-digit budget account identification code represents the account which funds a particular program.
This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.
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, catalysis, biocatalysis, process chemistry, combinatorial methods, aquaculture, 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.
About this section
This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.
The ATP has made 709 awards since its first competition in 1990 - 207 to joint ventures and 502 to single companies. In fiscal year 2002, the ATP held a single competition open to all technology areas.
Criteria for selecting proposals...
(1) Scientific and Technological Merit and (2) Potential for Broad-Based Economic Benefits.
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 an advance payment basis. Continued funding is contingent on satisfactory performance and availability of appropriated funding from Congress.
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 $3.043 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).
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.
Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.
In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.
Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.
Post assistance requirements...
Quarterly and annual technical progress and business reports are required.
This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.
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 Nonprofit 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. In accordance with the provisions of OMB Circular No. A-133, (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 in Federal awards are exempt from Federal audit requirements for the year, except as noted in Circular No. A-133.
This section discusses audits required by the Federal agency.
The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133.
These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year,
as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period,
rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).
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.
This section indicates the record retention requirements and the type of records the Federal agency may require.
Not included are the normally imposed requirements of the General Accounting Office.
For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C.
For other programs, record retention is governed by the funding agency's requirements.
Omnibus Trade and Competitiveness Act of 1988, Public Law 100-418, Section 5131(a); American Technology Preeminence Act of 1991, Public Law 102-245, Section 201(c), 15 U.S.C. 278n.
This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).
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 on the ATP website www.atp.nist.gov. An electronic form for requesting general information from ATP and/or to have your name on the ATP mailing list is available at http//www.atp.nist.gov/atpform.htm. This program is subject to the provisions of 15 CFR Part 14.