B. ELIGIBILITY

1. Who is eligible to apply?

   Single for-profit companies (pursuant to 15 CFR 295.2, the term company means a for-profit organization, including sole proprietors, partnerships, limited liability companies (LLC), or corporations) and industry-led joint ventures may apply for ATP funding as described below:

   1. 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.
   2. 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:

   1. 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.)
   2. 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-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/atp/foreign.htm.

For more information on eligibility, see Chapter 1 of the ATP Proposal Preparation Kit.