ATP Outreach

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ATP Outreach

• Funding Opportunities for
• High-Risk Research
• October 19, 2000
• ITAA
• Webcast
• www.atp.nist.gov
• 1-800-ATP-FUND

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ATP Representatives
Bettijoyce Lide, Acting Director, Information
Technology and Applications Office,
ATP 301-975-2218 bettijoyce.lide_at_nist.gov
Jayne Orthwein, Business Specialist Information
Technology and Applications Office,
ATP 301-975-3176 jayne.orthwein_at_nist.gov
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ATPs Mission

• To accelerate the development of
• innovative technologies for
• broad national benefit through
• partnerships with the private sector.

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ATP is part of NIST
NIST Mission Strengthen the U.S. economy and
improve the quality of life by working with
industry to develop and apply technology,
measurements, and standards.

• 3,300 employees
• 800 million annual budget
• 1,200 industrial partners
• 2,000 field agents
• 1,550 guest researchers
• 1.5 billion co-funding of industry RD
• National measurement standards

Helping America Measure Up
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A Decade of Innovation

• Since 1990, 4,435 proposals submitted to 41
  competitions, requesting 9.6B from ATP
• 522 projects awarded with 1,162 participants and
  an equal number of subcontractors
• 172 joint ventures and 350 single applicants
• 3.3 billion of high-risk research funded
• ATP Share 1.6 billion
• Industry Share 1.6 billion
• Small businesses are thriving
• 59 of projects led by small businesses
• Over 100 universities participate
• Nearly 20 national laboratories participate

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Bridging the Gap Between the Laboratory and the
Marketplace
Exciting New Technologies
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What Can ATP Do for You?

• Create Sustainable Technical Advantage
• We share in the risk of longer-range,
  higher-payoff research
• You direct the research goals
• ATP commits approx. 1,000,000 per year per
  project
• You Own the Intellectual Property Rights
• U.S.-incorporated companies keep rights to
  intellectual property from ATP-funded projects
• Encourage Integration of Business and Technical
  Planning
• Plan now for commercializing your research
  results
• Visit our website for info on how to write a
  business plan
• Attend ATP-sponsored workshops with venture
  capitalists

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What Can ATP Do for You? (contd)

• Gain Recognition Within Industrial and Financial
  Sectors
• An ATP award will attract attention from
  investors, strategic partners, potential
  customers, and others
• Facilitate Partnering
• Multi-disciplinary collaboration among various
  stakeholders
• Visit ATPs Collaboration Bulletin Board
• Join ATPs Alliance Network List Server

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Is ATP Right For You?

• Are you looking to further your technical
  advantage by conducting challenging research?
• Is the risk in your technical approach and not in
  your business model?
• Does your project have the potential to generate
  broad-based economic benefits to the United
  States?
• Are you committed to taking the research into the
  marketplace?

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Two Ways to Apply
Or, as a Joint Venture Applicant
As a Single Applicant

• For-profit company
• 3-year time limit
• 2M award cap
• Company pays indirect
• costs
• Large companies cost share gt60 of total project
  cost

• At least 2 for-profit companies
• 5-year time limit
• No limit on award amount (other than availability
  of funds)
• Industry share gt50 total cost

• ATP encourages teaming arrangements
• Most projects involve alliances

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Two Major Project Selection Criteria

• Scientific and Technological Merit (50)
• Innovation in technology
• High technical risk and feasibility
• Quality of RD plan
• Potential for Broad-Based Economic Benefits (50)
• Economic benefits
• Need for ATP funding
• Pathway to Economic Benefit
• Commercialization
• Spillovers and Broader Diffusion
• Commitment, Organizational Structure, and
  Management

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Business Drivers and Technical Planning

• What is Needed for Technical Success?

High Technical Risk Barriers
Technical Innovation
Market Opportunity

• What is Needed for Market Success?

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Rationale for Technical Merit

• Describe the innovation
• RD goals? Approach?
• Quantify objectives
• Compare to state of the art
• Unique with respect to current practice?
• What is the high technical risk? What are the
  technical barriers?
• Provide evidence of feasibility of approach
• Show technical impact

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Technological Innovation
Your New Technology
Your New Technology
What are the projects goals? What are the
quantified objectives? What innovations are
needed?
Your Innovation
Baseline State of the Art Today
Within the team? Within the industry at large?
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High Technical Risk Feasibility

• Feasibility
• sound scientific
• foundation
• sound engineering approach

• High Technical Risk
• technical challenges
• significant uncertainty
• of success
• risky innovation or
• integration

Your ATP proposal should balance both concerns
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RD Plan
How will you achieve your goals?
Tasks / Sub-tasks
Alternate Strategies
Decision Points
Technical Resources
Milestones
Multidisciplinary Team
Metrics
Timeline
Essential Elements of a Quality RD Plan
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Common Proposal Weaknesses Technical

• Lack of sufficient detail
• How you will reach technical objectives
• Whats innovative
• Why a risky technical approach is needed
• Unsupported assertions
• Outside ATP mission
• Low risk - product development
• Lacks demonstrated feasibility - basic research
• Scale-up or demo to only prove economics
• Lacks connection between technical goals
  business opportunity

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National Economic Benefits
ATP Perspective
ATP cares about the totality of benefits and
costs for the nation

• Private Investor Perspective
• Private investors care about near term return on
  their investment (the revenues/costs that
• affect profitability)

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Need for ATP Funding
Why does your project need public funds?

• Is the project too risky to obtain
• private or internal funding?
• Do you think your company cannot
• capture
• enough of the benefit or profit?
• Where else have you looked for funding
• and why were you turned down?

Government?
Corporate Investment?
Venture Capital?
Personal Sources?
Institutional Loans?
Angel Investors?
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Pathway to Economic Benefits
COMMERCIALIZATION PATHWAYS
New/Improved Products, Processes, and Services
ATP-Funded Projects

• Demonstrate an under-
• standing of the market and
• the market need

Broad Based Benefits

• Assess your strengths, weaknesses
• and opportunities from a competitive
• standpoint

• Develop a commercialization plan

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Commercialization Plan
Technology
Market Opportunities
Potential Applications
Competitive Analysis
Marketing Approach
Production and Distribution
Taking Technology from the Lab to the Marketplace
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Commitment
Give evidence of a strong level of commitment

• Company resource commitment
• Human and financial
• Priority of project to the company(s)
• Involvement of highest appropriate level of
  management
• Strong company role not just pass-through to
  subcontractors
• Evidence of customer/supplier interest and
  support
• Formal and informal alliances
• Other forms of active involvement

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Organizational Structure, Management, and
Business Experience

• Roles and responsibilities of all participants
• demonstrate involvement of qualified business
• personnel with experience in moving technology
• into the marketplace
• Plan for managing the projects tasks
• Business experience and track record of
• your company and its principals
• Evidence of financial viability of all
• participants

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Common Proposal Weaknesses Business

• Lacks connection between technical goals and
  business opportunity
• Insufficient evidence of economic benefits
• Poorly developed or no commercialization plan
  incorporating business partners

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Possible Changes to the Proposal Submission
Process

• May start in FY 2001
• proposals accepted throughout the year
• streamlining application process
• Project selection criteria and peer review remain
  the same
• Regional workshops will include application info
  and opportunity to meet ATP staff, check our
  website (www.atp.nist.gov/regionalmeeting)
• Baltimore, Maryland, Nov. 13-14, 2000
• Midwest location TBD
• West Coast location TBD

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Project Selection Process
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When Preparing to Write a Competitive Proposal

• Identify the economic opportunity
• Name what technical barriers stand in the way of
  realizing that opportunity
• Relate specific RD objectives to these barriers
• Show a detailed RD plan for eliminating barriers
• State a commercialization strategy and plan for
  taking the proposed technology, once developed,
  to market
• Include the right team members to get the job
  done
• For resources to help you write your proposal, go
  to http//atp.nist.gov/atp/resources.htm

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Intellectual Property Provisions

• Companies incorporated in the U.S. keep
  intellectual property rights
• Universities and nonprofit research organizations
  may receive share of return from royalties, but
  cannot own title to intellectual property
• Companies can license
• Government reserves the right to royalty-free
  non-exclusive license for government use
• non-disclosure (trade secrets protected)
• government rights rarely invoked

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U.S.-Incorporated, Foreign-Owned Companies

• Are eligible to receive an award
• As with all projects, must produce U.S. economic
  benefits
• RD and manufacturing in the U.S.
• Increase U.S. employment
• Promote U.S. supplier infrastructure
• Country of origin must provide local investment
  and grant opportunities to U.S.-owned companies
  comparable to any other company in that country
  and must protect intellectual property rights
• PL 102-245 authorizes suspension of award if
  criteria no longer satisfied
• For more info, consult NIST publication, ATP
  Eligibility Criteria for U.S. Subsidiaries of
  Foreign-Owned Companies Legislation,
  Implementation, and Results (January 1998), on
  our website (www.atp.nist.gov/eao/ir-6099/contents
  .htm)

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Human and Animal Subjects

• NIST/ATP will fund research projects involving
  human and/or animal subjects. Research must
  comply with all appropriate federal regulations,
  policies, statutes, and guidelines
• By November, info will be available in ATP
  booklet, Guidelines and Documentation
  Requirements for Research Involving Human and
  Animal Subjects to be available on our website
  (www.atp.nist.gov)
• If you think your research may involve human or
  animal subjects, consult the booklet or call Tryn
  Stimart, ATP Human and Animal Subjects Advisor,
  301-975-8779

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Helpful Administrative Resources

• Administrative Requirements
• 15 CFR Part 14
• Federal Cost Principles
• 48 CFR Part 31 (For-profits)
• OMB Circular A-21 (Universities)
• OMB Circular A-122 (Non-profits)
• 45 CFR Part 74, Appendix E (Hospitals)
• Hot links on ATP website

www.atp.nist.gov/alliance/roadmap.htm
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2001 Competition

• Check Commerce Business Daily announcement for
  availability of
• FY 2001 funds
• new Proposal Preparation Kit

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For Info on ATP
Call toll-free 800-ATP-FUND
(800-287-3863) Fax your name and address
to [phone] Send an e-mail message
to atp_at_nist.gov
Visit ATPs website www.atp.nist.gov