ATTACHMENT
A
AUGUST 2004
NIST ADVANCED TECHNOLOGY PROGRAM
OPTIONAL GUIDELINES FOR QUARTERLY
R&D PERFORMANCE REPORTS
OVERVIEW
The Advanced Technology
Program (ATP) General Terms and Conditions incorporated into the
Cooperative Agreement between your organization(s) and the ATP
calls for quarterly R&D performance reports that are the main
source of information provided to the ATP. The content of these
reports, as requested by ATP, is consistent with 15 CFR §14.51.
A suggested structure is outlined below and is designed to not
be overly burdensome to your organization. This specific structure
or format is optional, but the content is required. If your organization
has its own format for such reports and all the requested information
is provided, ATP will accept your format.
ATP relies on these
quarterly R&D performance reports to monitor technical developments
in projects. In addition, these reports are used in preparing quick-response
derivative reports to Congress and Executive Agencies of the Government
that oversee ATP. ATP policy prohibits release of proprietary information
contained in these reports and limits internal distribution to those directly
involved in management and administration of the specific cooperative
agreement. ATP will clear information abstracted from the reports by ATP
through your organization in advance of release. The report format outlined
here provides for a systematic and logical structuring of key progress
elements, and promotes tracking of developments. For each performance
year, a core report is initially established, and subsequent reports
simply update this core. Besides keeping the ATP Project Manager up to date on
progress, these reports will provide a history of the project over its
life.
CONTENT
The quarterly R&D
performance report should:
a) Identify project
objectives, the initial "baseline" for tracking project developments,
and milestones through the end of the current performance year;
b) Provide evidence
that projects are attaining technical milestones necessary to meet the
objectives of the original proposal;
c) Identify and explain
changes in the composition, direction, or key personnel associated with
the project;
d) Identify problems
or special opportunities that are critical to the progress of the research,
and areas which may benefit from consultation with specialists at NIST.
Two copies of each
quarterly R&D performance report shall be submitted to the ATP Project
Manager, and the original report to the Grants Officer. If there are technical
graphics that do not copy well, please include originals in the copies
of the report. Please refer to Special Award Conditions for mailing addresses.
In the following sections,
each element of the quarterly R&D performance report is discussed.
If you wish to submit a more extensive report of technical progress for
a given quarter, you may append it to the formal report. If there is
no additional progress to report under a given heading, a statement to
that effect should be included for the performance period. Please date
all additions and mark each page of the report "Proprietary."
PROJECT OBJECTIVES
The first section
of the first quarterly R&D performance report should state the overall
technical goal of the project and list specific objectives. These should
be drawn from the proposal with amplification as required to provide quantitative
bases for success, or additional detail. The objectives should remain
unchanged throughout the project unless results dictate a shift or major
technical problems require re-planning a portion of the work. Changes
should be addressed in the section entitled "Summary of Project
Changes." If the project objectives are unchanged, they
may be put in an appendix to the report.
PROJECT BASELINE
In order to contrast
the state of the art before and after completion of each ATP project,
establish a baseline to describe the status of key elements of the technology
at the project outset. Define the baseline in the context of specific
targets that are expected to constitute success, and are consistent with
project objectives. These may include initial per-unit-costs, physical
performance characteristics, or specific technical capabilities. If quantitative
measures are not applicable, provide qualitative statements describing
the state of the art at the time of project initiation. Identify any changes
since the proposal was prepared. The ATP Project Manager will assist you
in identifying appropriate baseline characterization as part of the project
kickoff. Once established, the project baseline may be moved to an appendix
to the report.
TECHNICAL MILESTONES
The quarterly reports
should present appropriate milestones through the current performance
year and relate the contribution of current year milestones to the overall
project milestones. Current year milestones are generally presented and/or
modified during the kickoff meeting, and subsequently extended as part
of each annual review. The level of detail will depend on the nature of
each project, and the concurrence of the principal investigator and the
ATP Project Manager. A time line chart of the current year and the overall
project milestones may be included in this section with clear identification
of major decision points. Once established, this list of milestones with
appropriate due dates should not be changed unless technical results or
new opportunities dictate. Such changes should be addressed in the section
entitled "Summary of Project Changes."
TECHNICAL PROGRESS AND IMPACT
This is the
heart of the quarterly R&D performance report, and will occupy the majority
of the text. This section includes a discussion of technical progress
for the specific performance quarter against the current performance year
milestones identified in the preceding section. Sufficient discussion
should be provided to allow an accurate assessment of progress, and identification
of both successes and technical difficulties against the milestones. Discussion
of progress (and technical setbacks) should include implications for the
overall objectives of the project. At the end of this section please identify
the most significant technical advance to date in the project, and include
a short discussion of its significance. Please list any patent applications
as well as major equipment purchases.
SUMMARY OF PROJECT CHANGES
In this section, succinctly
summarize substantive changes in project planning, personnel, or execution
that have occurred over the reporting quarter. These should be derived
from the main elements of the report as this section is intended only
as a summary. If approval of a change is being requested, please note
that specifically. All substantive changes to the technical scope of work
or budget changes must be discussed in advance with the ATP Project Manager,
who must recommend an amendment to the award by the NIST Grants Officer.
The criteria for obtaining 'Prior Approval' are specified in 15
CFR Part 14 and the ATP General Terms and Conditions in the award document.
Major changes can be discussed with the ATP Project Manager at ANY time;
you do not have to wait to request them in a quarterly report.
PROBLEMS AND OPPORTUNITIES
This section should
provide a synopsis of technical problems that must be resolved,
BUSINESS ISSUES
This section is for
any business development, commercialization, or market issues that have
arisen since your last Business Report.
UPCOMING MEETINGS
If you wish to set
up a meeting at NIST, or to request the attendance of either or both of
the ATP Technical or Business Project Managers at any meeting, you may
use this section to make the request and to provide an overview of the
meeting. It is often helpful to present a proposed project coordination
meeting schedule for the year in this section, to note when subcontractors'
progress will be reviewed, when input from commercialization units may
occur, etc. The meeting calendar may include formal or informal meetings
of the project principals or formal technical meetings where work, which
is related to the project, is addressed. It should include a planned general
time frame and expected location for the annual project review, which
is to be scheduled during the last quarter of the project year (not the
calendar year).
FINAL TECHNICAL REPORT FOR
THE TOTAL PROJECT PERIOD
Provides an
executive summary that could be read and understood by someone
not skilled in the particular technology. The final technical report is
proprietary, just like past technical quarterly reports and the
original proposal.
The summary should
provide an overview of the technology that was developed
and the problems that were solved and unsolved in its development.
The summary should identify the key performance parameters
and describe how end-of-project performance compared with beginning-of-project
performance.
The summary should
also discuss the significance of the project accomplishments
in terms of potential economic or commercial impact.
Important remaining
technical and non-technical barriers to commercialization should
be identified.
A separate non-proprietary
project overview of R&D accomplishments and potential benefits that
may be used in a project closeout ATP press release should be clearly
identified as part of the final technical report. The final ATP press
or other publication use will be reviewed with the company prior to release.
SAMPLE
ATP Quarterly
R&D Performance Report
Date of Summary: mm/dd/yy
| Project Title: |
Cooperative Agreement Number: |
Performing Organization(s):
Address(es) |
Subcontractor(s):
Address(es) |
Project Manager:
Title
Telephone Number:
Facsimile Number:
Electronic Mail Address: |
Administrative Contact:
Title
Telephone Number:
Facsimile Number:
Electronic Mail Address: |
Type of Project:
Single Business
Joint Venture
|
| Date Initiated:
mm/yy Duration:
months |
| Total ATP Funding Requested: ($M) |
Total Industry Funding Committed: ($M) |
| Current Performance Year: mm/yy-mm/yy |
Quarterly Report Period: mm/yy-mm/yy |
| ATP Project Manager: |
| Project Objectives: |
| Project Baseline: |
| Technical Milestones: |
Technical Progress and Impact:
(including Most Significant Technical
Advance to Date) |
| Summary of Project Changes: |
| Problems and Opportunities: |
Business Issues:
(not covered on business diskette) |
| Upcoming Meetings: |
Return
to parent document.
Date created: August
2004
Last updated:
April 11, 2005
|
