ATP FY2004 Competition Awards
Project Kickoff (announced September 2004)

Slide 1: Congratulations!

FY2004 Competition
Project Kickoff Meeting
[date of kickoff goes here]
Company(ies Name(s) go here
Award Number 70NANBxxxxxx

Slide 2: Project Management Team (PMT)

• Project Manager
  Name
  Phone Number
  E-mail address
• Business Specialist or Technical Specialist
  Name
  Phone Number
  E-mail address
• Grants/Cooperative Agreement Specialist
  Name
  Phone Number
  E-mail address

Slide 3: Today’s Goals

Meet team and establish communications

Discuss key factors for success

• ATP project management process
• Grants processes and requirements
• Project plans and objectives
• Year 1 technical milestones
• Commercialization plans and business goals

Understand how ATP project fits with long-term goals of company

Slide 4: ATP’s Comments

Background

• NIST and ATP:  who we are
• Understanding ATP’s perspective
• Intellectual property
• FY2004 competition status and results to date

Establishing Expectations

• Project management and planning
• Managing change
• Reporting requirements
• Human and animal subjects research
• Closeout procedures

Slide 5: NIST’s Mission

Develop and promote measurement, standards, and technology to enhance productivity, facilitate trade, and improve the quality of life.

• $771 million FY04 operating budget
• 3,000 employees
• 1,800 associates
• NIST Laboratories:  National measurement standards
• Advanced Technology Program:  $2,269 million co-funding with industry since 1990
• Manufacturing Extension Partnership:  400 centers nationwide to help small manufacturers
• Baldrige National Quality Award

Slide 6: ATP’s Mission

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

Slide 7: National Economic Benefits

• ATP Perspective …
  ATP cares about longer term net benefits for the nation
• Private Investor Perspective …
  private investors care about near term and own return on their investment

Slide 8: Two Major Criteria

Scientific and Technological Merit (50%)

• Technical innovation
• High technical risk with evidence of feasibility
• Detailed technical plan

Potential for Broad-Based Economic Benefits (50%)

• National economic benefits
• Need for ATP funding
• Pathway to economic benefits

Slide 9: Intellectual Property: Protection

• ATP protects your intellectual property
• Proprietary technical and business reports/information is exempt from FOIA
• Mark all documents “proprietary”
• E-mail may not be secure

Slide 10: Intellectual Property Provisions

• U.S. for-profits may retain title to inventions
• Companies may license inventions
• Universities/non-profits:
  - may receive royalties
  - cannot own title
  - cannot be granted exclusive license to inventions
• Any recipient may hold copyright or trademark
• Government reserves right to paid up, royalty-free non-exclusive license for government use
  - not exercised to date

Slide 11: Since 1990 ...

• Since 1990, 44 competitions
  6,924 proposals, $14,708 M requested from ATP
• 768 projects awarded
  1,511 participants with an equal number of subcontractors
• 218 joint ventures and 550 single applicants
• $4,371 M of high-risk research funded
  ATP Share = $2,269 M
  Industry Share = $2,102 M

Slide 12: Since 1990 ... (cont’d)

• Small businesses are thriving
  - 66% of projects led by small businesses (550 single company applicants, 75 joint ventures)
  - $1,202 M in ATP funding
• Over 170 universities represented
  >650 participation instances, ~$200 M received
• 30 national laboratories participate
• Over 1,171 patents

Slide 13: 768 ATP Awards by Technology Area (as a Percent of $2,269 M Awarded)

• Advanced Materials and Chemistry: ($488 M) 21%
• Biotechnology: ($449 M) 20%
• Electronics and Photonics: ($576 M) 25%
• Information Technology: ($504 M) 23%
• Manufacturing (Discrete): ($252 M) 11%

Slide 14: FY2004 Batch 1 Competition Results

• 870 proposals submitted
• 32 awards
  - 7 joint ventures
  - 25 single companies
  - $137 M total funding
          . $ 80 M ATP funds
          . $ 57 M industry cost share
  - $2.5 M average award size

Slide 15: ATP’s Comments

Getting Started

• NIST and ATP:  who we are
• Understanding ATP’s perspective
• Intellectual property
• FY2004 competition status and results to date

Establishing Expectations

• Project management and planning
• Managing change
• Reporting requirements
• Human and animal subjects research
• Closeout procedures

Slide 16: Project Management and Planning

Slide 17: Project Management Objectives

• Maintain fidelity to original proposal and cooperative agreement governing the award
• Continued fidelity of project to its original merit against ATP selection criteria
• Monitor progress through reports and other communications
• Monitor technological and business environments
• Company makes all business decisions

Slide 18: ATP Project Management: Team Roles

Project Manager (may be technical or business specialist)

• Provides general oversight and PM functions
• Ensures that the project is executed in accordance with the proposal, approved milestones and the award
• Recommends appropriate actions to NIST Grants Officer

Technical Specialist

• Reviews technical reports and progress against milestones

Business Specialist

• Reviews business and commercialization issues
• Follows diffusion strategy of results beyond commercialization path

NIST Grants/Cooperative Agreement Specialist

• Performs cooperative agreement administration
• Issues final prior approval for changes (Grants Officer)

Slide 19: Recipient Project Team

• Needs to be well integrated team
• Ensures technical and business personnel work together to accomplish long term commercialization goals
• PI must be familiar with terms and conditions of award, not just the contract administrator

Slide 20: Project Management Tools

Site visits

• Kickoff, annual, and close-out meetings
• Additional meetings, as needed or requested

Technical and business reports

Audits

Open communications

• phone, email, etc.

Long-term evaluation

Slide 21: Project Milestones

 Essential element for measuring progress:

• Define qualitatively and quantitatively what it means to overcome technical barriers
• Integrate efforts of project tasks
• Advance state of the technology
• Describe project’s achievements
• Provide foundation for reporting project activities and accomplishments

Slide 22: Project Milestones (cont’d)

How ATP uses milestones:

• Encapsulates scope and merit of original goals
• Helps in assessment and comparison of alternative pathways
• Supports flexibility in project by defining critical project decision points
• Provides foundation for decision point analysis

Slide 23: Annual Meetings

• Comparison of previous year’s accomplishments to milestones
• Comparison of budget vs. progress
• Problems/challenges/opportunities
• Review of technology in light of domestic and global advances in technology and market changes
• Commercialization and market developments
• Establish and achieve mutual understanding of technical milestones and business plans for upcoming year

Slide 24: Project Continuations

• Processing may occur 1 - 2 quarters before continuation date
• Prompt submission of complete technical and business reports, and budget changes
• Approval of revision of any project elements that may change (i.e., tasks, budget)

Slide 25: Managing Change

Slide 26: Change Happens!

• Change is to be expected in conducting innovative, high-risk research
• Keep ATP Project Manager and Grants Specialist informed of possible changes
• ATP encourages change that strengthens the project against the ATP selection criteria and makes project success more likely, without unduly diminishing technical risk

Slide 27: What Kind of Change Matters and Why Does Reporting it Matter?

• Any change in the project that can significantly impact the relationship between the project and ATP's criteria and/or
  the terms and conditions of the award
• Costs may be disallowed if prior written approval is not obtained
• Eligibility may be affected
• Recipient proceeds "at your own risk" prior to approval

Slide 28: We Need to Talk When a  Change Could Impact …

• Milestones, decision points, plans, and task timeline
• Risk profile (increases/decreases too much)
• Commercialization plan and national economic benefits
• Budget
• Human and/or animal subjects protocols
• Changes to joint venture participants
• Company ownership, control, or name

Slide 29: Change in Name or Ownership

• Report any change in name or ownership to your Grants Specialist in writing within 15 days after the change becomes legally effective
• Grants Specialist will provide samples of documents needed
• If you are no longer majority U.S.-owned or controlled, a foreign eligibility finding will be required by ATP
• Refer to "ATP Eligibility Criteria for U.S. Subsidiaries of Foreign-Owned Companies: Legislation, Implementation, and Results"
  www.atp.nist.gov/eao/ir-6099contents.htm

Slide 30: Written Prior Approval Required for …

• Changes that could impact fidelity with original merit of approved proposal against ATO selection criteria or award terms:
  - Major change in technical plan/tasks/approach
  - Major change in pathway to economic benefits
• Involvement of human and/or animal subjects
• Key personnel changes
• Transfer of funds among direct cost categories > 10% of total (ATP plus cost share) annual approved budget
• Sole source subcontracts over $100 K

Slide 31: Written Prior Approval Required for ... (cont'd)

• Addition, withdrawal, or substitution of:
  - Subcontractors
  - Joint venture participants
• Change in organizational structure, mergers, acquisitions, new foreign ownership of control, bankruptcy protection*
• Changes to JV agreements*
• Name change*

* Requires IMMEDIATE written notification.

Slide 32: Managing Change

Identify potential or actual change and notify ATP nd the NIST Grants Specialist early and in writing

Pursue consistent and auditable decision making

• simplifies project audits regarding prior approval/appropriateness
• projects award recipient from being at risk for costs
• maintains peer-reviewed merit of projects
• enables ATP to correctly track all projects benefits

Change should result in a project that is equivalent or stronger against ATP's criteria

Slide 33: Reporting Requirements

Slide 34: Reporting During Award

• Technical Reports
  - Quarterly reports
  - Final technical report
• Financial Reports
• Formatted Business Reports

Slide 35: Reports Are Used for …

• Project monitoring
• Continuations
• Documenting project changes
• Short- and long-term evaluation

Slide 36: Quarterly Technical Report

• Due within 30 days after end of each calendar quarter
  - reports due NLT:  April 30, July 31, October 31, January 31
  - reporting periods: Jan - Mar, Apr - June, Jul - Sept and Oct - Dec
• Prepared by PI with input from R&D team
• Submit original report to Grants Specialist
• Submit two copies of report to ATP Project Manager
  - ATP PM will make further distribution to ATP Business Specialist
• Last quarterly report due 30 days following award end date

Slide 37: Technical Report Content

Executive Summary

• Brief statement of project and its end objectives
• Significant accomplishments during reporting quarter
• Perspective on status of project in terms of final technical and business objectives

Project Objectives

Project Baseline

• Assess technology at start of project to current state of art
• Status of technology at large; within team (allows for future assessment of project progress)

Technical Milestones

• Key remaining ones for the year

Slide 38: Technical Report Content (cont’d)

Technical progress and impact

• Report against milestones and metrics
• Technical findings in reporting quarter and implications for future progress
• Gantt chart helpful
• Identify work and progress of each participant (including subcontractors)

Problems or opportunities

Potential project changes (technical or business)

Highlight any business developments of interest

• Include this info in business quarterly short-form report

Slide 39: Business Reports

• ATP’s Economic Assessment Office (EAO) notifies recipient of business reporting requirements
• EAO explains on-line reporting system
• Each recipient receives a company-specific password for on-line submission

Slide 40: Business Reports (cont’d)

Timing of on-line reporting requirements

• Baseline (30 days after end of first calendar quarter)
• Annual (30 days after end of previous year)
• Quarterly short-form updates (currently by FAX)
• Closeout (90 days after project end)
• Post-project (currently telephone survey: i.e., 2, 4  and 6 years after project completion)

Slide 41: Business Reporting Content

• Administrative information
• Key Personnel and Staffing
• Subcontractors
• Company Characteristics
• ATP Project Characteristics
• Research Effort
• Project Management (Annual and Closeout only)
• Research Outputs (Annual and Closeout only)
• Technology Commercialization

Slide 42: Human and Animal Subjects Research

Slide 43: General Information

• Carefully read the ATP publication entitled “Guidelines and Documentation Requirements for Research Involving Human and Animal Subjects”
  (www.atp.nist.gov/atp/kit-04/has_guide/contents/htm)
• To request copy, call 1-800-ATP-FUND

Slide 44: Human Subjects Research Examples

• Bodily materials such as cells, blood, urine, tissues, hair, organs, even if you did not collect the materials
• Humans to test research output such as products, software usability, human-machine interfaces or materials
• Data collected through intervention or interaction with individuals, including data from voice, video, digital or image recordings made for research purposes
• Private information or data that can be readily identified with an individual, including genetic information, medical records, worker surveillance studies, even if you did not collect the information
• Human studies involving categories or classes of subjects such as certain types of workers in an organization

Slide 45: Human Subjects Regulations

• NIST requires full compliance with all Presidential Orders, Federal guidelines, regulations and policies
• Human Subject Protection regulations for DOC are found at 15 CFR Part 27
• Regulations for the protected classes are found at 45 CFR 46 Subpart B, C and D

Slide 46: Human Subjects Approvals

• All research involving human subjects must be approved by NIST prior to beginning
• All non-exempt research must be reviewed and approved by an Institutional Review Board (IRB)

Slide 47: Human Subjects Exemptions

NIST may grant exemptions for research involving human subjects

Exemptions typically fall into three categories:

• Normal educational practices in an established or commonly accepted educational setting 15 CFR 27.101(b)(1)
• Surveys, interviews, observation of public behaviors (unless people can be identified and information disclosure poses risk to the individual) 15 CFR 27.101(b)(2)
• Pre-Existing sources of data or specimens (if publicly available or subjects are not identifiable) 15 CFR 27.101(b)(4)

Slide 48: Human Subjects Non-exempt Research

NIST is required to review requests for non-exempt research prior to beginning use of human subjects

An Institutional Review Board (IRB) must review and approve research

• NIST IRB cannot perform review
• NIST cannot provide or recommend IRB services

The IRB reviewing the research must have an assurance on file with OHRP

• Multiple Project Assurance (MPA)
• Federal-wide Assurance (FWA)

Slide 49: Human Subjects Deferred

• Previously deferred research involving human subjects is allowed to begin only after NIST has reviewed and approved the research
• Depending on the type of research, follow the guidelines and documentation requirements

Slide 50: Animal Subjects Assurances/Certifications

Each institution housing and caring for live animals must have and maintain at least one of the following:

• USDA Certification
• Animal Welfare Assurance (OLAW/AWA)
• AAALAC Accreditation

Slide 51: Animal Subjects Approvals

• All Animal Study Protocols (ASP’s) must have IACUC review and approval prior to beginning research involving animals
• A copy of the approved ASP, the IACUC approval letter and assurance/certification documentation must be submitted to ATP and approved by NIST in advance of using live animals

Slide 52: Human and Animal Subjects Modifications

Notify ATP well in advance if changes are made to your project that involves the use of human or animal subjects

Contact Lawrence Uhteg, Human and Animal Subjects Advisor, at (301) 975-8779 with any questions

Slide 53: Closeout Procedures

Slide 54: Closeout Meeting

Closeout meeting held within last 30 days of award end date

• if 30 days before, can be charged to project
• if 30 days after, cannot be charged to project

Review requirements for completing closeout

Recipient project team and ATP PMT meet to review entire ATP project

Recipient project team compares technical accomplishments against milestones

Discuss any technical activities or remaining barriers for project success

Discuss current business activities and keys to move project through to commercialization

Slide 55: Final Technical Performance Report

• Due within 90 days following award end date
• Summarize work performed during entire ATP project
• Discuss technical barriers overcome and milestones achieved
• Discuss plans to achieve any remaining technical milestones
• Review commercialization plans and partnering activities

Slide 56: NIST Grants and Agreements Management Division (GAMD)

Administrative Highlights for a Single Recipient

Name, Grants Specialist
National Institute of Standards and Technology
Grants and Agreements Management Division
100 Bureau Drive, Stop 3580
Building 411, Room A-143
Gaithersburg, MD 20899-3580

Phone number
Fax number
Email address

Slide 57: NIST GAMD

Division Head: Angela McNerney
Grants Officer: Marilyn Goldstein
Grants Officer: Shamim Shaikh

• Audit Resolution
• Policy and Procedures                                   

Slide 58: Grants Officer’s Core Responsibilities

Issue and Administer Cooperative Agreements

Issue Amendments

• Continuations
• No-cost extensions
• Key personnel changes (financial officer, administrator, principle investigator and/or project manager)
• Revised technical plans
• Revised budgets, etc.
• Approve revisions to joint ventures
• Authorize human and animal subject research

Slide 59: Grants Officer’s Core Responsibilities (cont’d) 

• Monitor Recipient Compliance with award terms & conditions
• Only Grants Officer Binds the Government and Approves Changes to the Award

Slide 60: Recipient Responsibilities

Adhere to Terms and Conditions, Related Award Regulations, and Order of Precedence

• Special Award Conditions (SACs)
• ATP General Terms & Conditions
• DoC Financial Assistance Standard Terms and Conditions
• 15 CFR Part 14
• Cost Principles
• ATP Program-Specific Audit Guidelines 

Slide 61: Recipient Responsibilities (cont’d)

Written PRIOR Approval Requirements needed for:

• Changes that could impact fidelity with original merit of approved proposal against ATP selection criteria or award terms:
  - Major change in technical/plan/tasks/approach
  - Major change in pathway to economic benefits
• Involvement of human and/or animal subjects
• Key personnel changes
• Transfer of funds among direct cost categories >10% of total (ATP plus cost share) annual approved budget
• Sole source subcontracts over $100 K

Slide 62: Recipient Responsibilities (cont’d)

Written IMMEDIATE NOTIFICATION for approval of:

• Addition, withdrawal, or substitution of Subcontractors or Joint Venture participants
• Change in organizational structure, mergers, acquisitions, new foreign ownership or control, bankruptcy protection
• Changes to JV agreements
• Name change

Slide 63: Recipient Responsibilities (cont’d)

• Report Intellectual Property
• Report Changes in Use of Equipment
• Timely Submission of:

• All requests needing PRIOR approval
• Quarterly technical, business and financial reports
• Final technical, business and financial reports
• Final patent reports
• Final equipment inventory
• Audits

NOTE:  Extensions to due dates require written justification for review and advance approval.  

Slide 64: Recipient Responsibilities (cont’d)

• Standards for Financial Management (15 CFR 14.21)
• Time tracking system
  - employ time records
  - cost center(s) for project

Slide 65: Recipient Responsibilities (cont’d)

• Procurement Standards (15 CFR 14.40)
  - Written procedures
  - Competitive procurements 
  - Sole source justification
  - Document each procurement or contract
• Keep all Records for Audit Purposes

Slide 66: Recipient Responsibilities (cont’d)

Budgets

• Review costs before end of each budget period
• Ensure that cost share is met
• Submit revised line item budget and Budget Narrative
• Conduct audit using approved budget

Slide 67: Recipient Responsibilities (cont’d)

Audits

• Frequency based upon length of project (for most projects 24 months or longer, Year 1 audit is due 90 days after the end of Year 1)
• Who gets audited?  (15 CFR 14.26)
• Recipient
• R&D subcontracts (excluding those that provide goods and services (receiving > $500 K over entire award

Slide 68: Recipient Responsibilities (cont’d)

Responsibilities of Administrator

• Central Point of Contact
• Request PRIOR approval for changes
• Administer budget revisions, 10% rule, continuations
• Withdraw funds using ASAP
• Submit accounting certifications, as appropriate
• Submit timely audits
• Ensure cost-share is met, if applicable
• Resolve special award contingencies in timely manner, if applicable
• Submit closeout documentation

Slide 69: Common Audit Problems

• Inadequate documentation
• Failure to obtain PRIOR approval at all, or starting action before approval is obtained
• Late notice of changes
• Activities outside scope of work
• Varying interpretation of rules
• Lack of written policies and procedures in accordance with 15 CFR 14.21(financial management system)

Slide 70: Common Audit Problems (cont’d)

• Estimated costs billed vs. actual
• Issues with valuation of in-kind cost-sharing
• Lack of proper accounting for equipment and depreciation
• Lack of timely reporting
• Failure to comply with award terms and conditions
• Indirect costs (estimates vs. actual)
• Labor cost estimates/average vs. actual

Slide 71: How to Avoid Audit Problems

•  Be familiar with applicable cost principles
•  Be familiar with ATP Proposal Preparation Kit
•  Be familiar with award terms and conditions
•  Expend funds in accordance with approved budget
•  Seek written prior approval, when necessary
•  Account and report for actual project expenses

Slide 72: How to Avoid Audit Problems (cont’d)

• Maintain required documentation
• ATP project managers make recommendations to Grants Officer
• Grants Officer is the only Authorizing Official
• Avoid last minute budget changes
• Obtain independent CPA advice
• Prepare financial statement in accordance with GAAP

Slide 73: Grants/Cooperative Agreements (An Honors Process)

Most recipients accomplish project goals with no problems

Most problems are honest mistakes

Non-intentional or intentional wrong-doing is discovered

Enforcement

• 15 CFR 14.61 and 15 CFR 14.62
• 15 CFR 24.43 and 15 CFR 24.44

Slide 74: Relationship Between Cost  Share and ATP Funds

ATP Funds -> Total ATP Project Budget <- Cost Share*

* Cost Sharing or matching means that portion of project or program costs not borne by the Federal Government.

Slide 75: Method of Payment to Recipient

Withdrawals through ASAP to meet immediate needs

• note:  name change will affect ASAP withdrawals if name change amendment is not issued

Financial Reports

• SF-269 submitted on calendar quarter
  http://www.whitehouse.gov/omb/grants/sf269a.pdf

Slide 76: Applicable Regulations Specific to Organization Type

Slide 77:  Additional Requirements

Note:  In conjunction with the above reference audit regulations.  All awards must also follow:

• Department of Commerce Financial Assistance Standard Terms and Conditions
  (http://oamweb.osec.doc.gov/docs/GRANTS/pdf/ST&C-rev-1002.pdf)
• ATP General Terms and Conditions
• ATP Special Award Conditions
• Program-Specific Audit Guidelines for ATP Cooperative Agreements with Single Companies
• Program-Specific Audit Guidelines for ATP Cooperative Agreements with Joint Ventures

Return to Project 2004 Kickoff presentation slides.

Date created: May 19, 2003
Last updated: April 12, 2005