NIST-1262 Single Company ATP Proposal Cover Sheet

OMB APPROVAL NUMBER: 0693-0009
APPROVAL EXPIRES: SEPTEMBER 30, 2007

NIST-1262
(REV. 3-2007)
DAO 203-26

(FOR ATP USE ONLY)
FLB 2.0

U.S. DEPARTMENT OF COMMERCE
NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

SINGLE COMPANY ADVANCED TECHNOLOGY PROGRAM
(ATP) PROPOSAL COVER SHEET
(CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER 11.612)

Public reporting burden for this collection of information is estimated to average forty (40) hours per response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden
estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Director, Advanced Technology Program, National
Institute of Standards and Technology, 100 Bureau Drive, Stop 4700, Gaithersburg, Maryland 20899-4700.
1. COMPETITION NUMBER

2. EMPLOYER IDENTIFICATION NUMBER (EIN)

3. DUN AND BRADSTREET NUMBER

4. PROJECT DURATION
MONTHS

YEARS
5. LEGAL NAME, ADDRESS, AND WEBSITE OF SUBMITTING ORGANIZATION
ORG:

6. NAME OF PRINCIPAL INVESTIGATOR AT SUBMITTING ORGANIZATION
(Address required, if different than Item 5)
FIRST NAME:
MIDDLE INITIAL:
LAST NAME:

ADDRESS 1:

ADDRESS 1:

ADDRESS 2:

ADDRESS 2:

CITY:

SUFFIX:

CITY:

STATE:

STATE:

ZIP:

ZIP:

PHONE:

WEB SITE:

FAX:
E-MAIL:
7. NAME OF BUSINESS MANAGER AT SUBMITTING ORGANZATION
(Address required, if different than Item 5)
MIDDLE INITIAL:
FIRST NAME:
LAST NAME:

8. NAME OF GRANT/CONTRACT MANAGER AT SUBMITTING ORGANIZATION
(Address required, if different than Item 5)
FIRST NAME:
MIDDLE INITIAL:

SUFFIX:

LAST NAME:

ADDRESS 1:

ADDRESS 1:

ADDRESS 2:

ADDRESS 2:

CITY:

SUFFIX:

CITY:

STATE:

STATE:

ZIP:

ZIP:

PHONE:

PHONE:

FAX:

FAX:

E-MAIL:

E-MAIL:

9. ORGANIZATION TYPE (Mark one in columns 1 and 2 and any that apply in column 3.)
PROFIT - SMALL BUSINESS

PUBLIC COMPANY (Ticker symbol _________________)

PROFIT - LARGE BUSINESS

PROFIT - MEDIUM BUSINESS

FOREIGN-OWNED, U.S.-LOCATED COMPANY

10. SOURCES OF FUNDS

YEAR 3

YEAR 2

YEAR 1

TOTAL

A. ATP (Direct costs only)

$

$

$

$

B. PROPOSER

$

$

$

$

C. TOTAL (A + B)

$

$

$

$

11. PROPOSAL TITLE

12. NONPROPRIETARY PROPOSAL ABSTRACT

ADMINISTRATION FORMS

EXCEPTION TO STANDARD FORMS 424 AND 424A APPROVED BY GSA 4-91

13. CERTIFICATION: BY SIGNING THIS PROPOSAL COVER SHEET, I CERTIFY, TO THE BEST OF MY KNOWLEDGE AND BELIEF, THAT ALL INFORMATION IN THIS
PROPOSAL IS TRUE AND CORRECT AND THAT THE FOLLOWING QUESTIONS HAVE BEEN TRUTHFULLY ANSWERED:
YES
NO
A.

IS THIS PROPOSAL REQUESTING FUNDING FOR EXISTING OR PLANNED RESEARCH PROJECTS THAT WOULD BE CONDUCTED IN
THE SAME TIME PERIOD IN THE ABSENCE OF FINANCIAL ASSISTANCE UNDER ATP?

B.

IS THE COMPANY DELINQUENT ON ANY FEDERAL DEBT? (If yes, explain in item 14.)

C.

WAS THIS PROPOSAL OR A VERY SIMILAR PROPOSAL SUBMITTED TO ANOTHER FEDERAL AGENCY? (If yes, explain in item 14.)

D.

DOES THE PROPOSED R&D INVOLVE THE USE OF HUMAN SUBJECTS, AND/OR HUMAN TISSUE, AND/OR HUMAN CELL LINES? [If yes,
explain in item 14, and indicate whether the research plan has been reviewed and approved by an Institutional Review Board
(IRB).]

E.

DOES THE PROPOSED R&D INVOLVE THE USE OF LIVE VERTEBRATE ANIMALS? (If yes, explain in item 14, and indicate whether the
research plan has been reviewed and approved by an Animal Care and Use Committee.)

F.

DOES THE COMPANY HAVE A PARENT COMPANY OUTSIDE THE UNITED STATES? (If yes, identify the parent company, its ultimate
parent company, and the place of incorporation of parent company in item 14.)

G.

IS THE COMPANY MAJORITY OWNED BY NON-U.S.CITIZENS? (If yes, explain in item 14.)

H.

IS THE COMPANY SUBJECT TO CONTROL BY NON-U.S. CITIZENS? (If yes, explain in item 14.)

14. REMARKS (Continue on a separate sheet if necessary.)

15. DESCRIBE BRIEFLY WHY FEDERAL ASSISTANCE IS NEEDED TO EMBARK ON THIS PROPOSED PROJECT. ALSO, DESCRIBE WHAT EFFORTS WERE MADE PRIOR
TO APPLYING FOR ATP FUNDING TO SECURE PRIVATE CAPITAL TO SUPPORT THIS PROJECT WHOLLY. NOTE: PROVIDING A GENERAL STATEMENT INDICATING
THE UNAVAILABILITY OF PRIVATE CAPITAL IS UNACCEPTABLE.

16. AUTHORIZED COMPANY REPRESENTATIVE (Type name and title.)
LAST NAME:
FIRST NAME:
MIDDLE INITIAL:

TITLE:

SUFFIX:

18. SIGNATURE

NIST-1262 (REV. 3-2007) (PAGE 2)

17. TELEPHONE NUMBER

19. DATE

FLB 2.0

INSTRUCTIONS FOR FORM NIST-1262 (Pages 1 & 2): SINGLE-COMPANY ADVANCED
TECHNOLOGY PROGRAM PROPOSAL COVER SHEET
This form must be completed in its entirety and
submitted with each single-company proposal. The
authorized company representative who signs the
form must have delegated fiduciary authority. By
signing this form, the company representative
certifies the company’s commitment to pay all
indirect costs and, if included as additional cost
share, any direct costs; verifies the certification
statements on the form; and attests to the accuracy of
the proposal. The signature also signifies that the
company representative has coordinated with top
management within his/her own company about their
commitment to the proposed project. Additionally, by
signing the form, the company representative
acknowledges that the proposal is being submitted
with the agreement that ATP may use
nongovernment reviewers if necessary. (Such
reviewers are screened to eliminate conflicts of
interest and are required to sign nondisclosure
agreements.)
Notwithstanding any other provision of the law, no
person is required to respond to, nor shall any person
be subject to, a penalty for failure to comply with a
collection of information subject to the requirements
of the Paperwork Reduction Act, unless that
collection of information displays a currently valid
OMB Control Number. The reason for collecting this
information is for NIST to be able to perform the
appropriate technical and business reviews of an ATP
proposal. The information obtained will assist in
determining eligibility for federal financial
assistance. Responses to the collection of information
are required to be considered for an ATP award. In
accordance with the ATP legislation, information that
is obtained by ATP or other Department of
Commerce offices on a confidential basis about
business operations and trade secrets possessed by
any company will be protected by the government
and shall be exempt from disclosure under the
Freedom of Information Act.
1. Enter the competition number as stated in the
Federal Register notice.
2. Enter your employer identification number (EIN).
To obtain an EIN, see
http://www.atp.nist.gov/atp/helpful.htm, or call 1–
866–816–2065.

FLB 2.0

3. Enter your Dun and Bradstreet (D&B) number. To
obtain a D&B number, see
http://www.dnbmdd.com/mddi.
4. Enter the duration of the proposed work in years
and months. NOTE: The maximum duration allowed
for a single company is 3 years.
5. Enter the legal name, street address, city, twoletter state abbreviation, ZIP code, and website of the
organization submitting the proposal. (DO NOT USE
A POST OFFICE BOX.)
6. Enter the name, telephone number, fax number,
and e-mail address of the Principal Investigator at the
submitting organization who is responsible for the
technical portion of the proposal. Include the mailing
address if it differs from that of the submitting
organization.
7. Enter the name, telephone number, fax number,
and e-mail address of the business manager at the
submitting organization who is responsible for
business matters. Include the mailing address if it
differs from that of the submitting organization.
8. Enter the name, telephone number, fax number,
and e-mail address of the grant/contract manager at
the submitting organization who is responsible for
contract/grant administrative matters. Include the
mailing address if it differs from that of the
submitting organization.
9. Check all boxes that apply to identify the type of
organization.
10.A. In each column, enter the total amount
requested from ATP for each year, and enter the total
in the last column. NOTE: The maximum amount of
ATP funding to a single company is $2 million; ATP
funds may only be used to fund direct costs.
10.B. In each column, enter the proposer’s total cost
sharing for each year, and enter the total in the last
column. NOTE: Large companies must cost share at
least 60 percent of the yearly total project costs
(direct plus all of the indirect costs). Small and
medium-sized companies must pay for all of their
indirect costs and may elect to pay part of the direct
costs.

10.C. In each column, enter the total for each year of
the project, and enter the entire project total in the
last column.
11. Enter the title of the proposal (90-character
limit).
12. Enter a NONPROPRIETARY abstract of the
proposed work. As part of the abstract, include a
statement of the technical problem addressed in the
proposal. This abstract may be used as the basis for a
publicly distributed abstract should the proposal be
selected for an award.
13.A. through 13.H. Answer each question by
marking an “x” in the appropriate box.
13.A Self-explanatory.
13.B. If the company is delinquent on any federal
debt, including debt to the Internal Revenue Service
(IRS), provide in item 14 the amount of the debt, the
name of the federal agency to which the debt is owed,
how old the debt is, the circumstances surrounding
the establishment of the debt, and why the debt has
not been paid.
13.C. If this proposal or a similar proposal was
submitted to or is funded by another federal agency,
provide in item 14 the name of the federal agency,
the date the proposal was sent to that federal agency,
the name of the financial assistance program under
which the proposal was submitted, the amount of
federal funding requested, the name and phone
number of the agency contact person, and the award
number if funded.
13.D. If the proposed R&D involves the use of
human subjects, human tissue, and/or cells, or
information/data linked to a person, explain in item
14 and indicate whether the research plan has been
reviewed and approved by an Institutional Review
Board (IRB). Also list in item 14 each project
participant that requires the use of human subjects
and briefly explain why using human subjects is
pertinent to a specific task in the proposed research
plan. For further guidance, refer to the ATP
Guidelines and Documentation Requirements for

FLB 2.0

Research Involving Human and Animal Subjects,
available at http://www.atp.nist.gov/atp/helpful.htm.
13.E. If the proposed R&D involves the use of live
vertebrate animals, explain in item 14 and indicate
whether the research plan has been reviewed and
approved by an Institutional Animal Care and Use
Committee (IACUC). Also list in item 14 all project
participants that require animal studies and briefly
explain why using animals is pertinent to the specific
task(s) in the proposed research plan.
13.F. If a company has a parent company outside the
United States, identify the parent company and its
place of incorporation in item 14. This includes LLCs
where the ownership by foreign companies is 50
percent or more.
13.G. If a company is majority owned by individuals
who are not citizens of the United States, explain
in item 14.
13.H. If a company is subject to control by
individuals who are not citizens of the United
States, explain in item 14.
14. Provide any explanations to answers given in
item 13 and any other remarks you wish to offer.
15. Describe briefly why your project needs ATP
funding to embark on this project. Why is private
capital not available or not possible? What efforts
were made to secure internal R&D funding as well as
external private capital? Be specific. Providing a
general statement indicating the unavailability of
private funding is unacceptable.
16. Enter the name and title of the authorized
company representative submitting the proposal.
17. Enter the telephone number of the authorized
company representative submitting the proposal.
18. The authorized company representative
submitting the proposal must sign this form.
19. Enter the date the form is signed.