NIST-1263 Joint Venture ATP Proposal Cover Sheet

OMB APPROVAL NUMBER: 0693-0009
APPROVAL EXPIRES: SEPTEMBER 30, 2007
NIST-1263
(REV. 3-2007)
DAO 203-26

(FOR ATP USE ONLY)

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

FLB 2.0

JOINT VENTURE 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 completin g 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)
MIDDLE INITIAL:
FIRST NAME:

ADDRESS 1:

ADDRESS 1:

ADDRESS 2:

ADDRESS 2:

LAST NAME:

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)
MIDDLE INITIAL:
FIRST NAME:

SUFFIX:

LAST NAME:

ADDRESS 1:

ADDRESS 1:

ADDRESS 2:

ADDRESS 2:

CITY:

SUFFIX:

CITY:

STATE:

STATE:

ZIP:

PHONE:

PHONE:

FAX:

FAX:

E-MAIL:

E-MAIL:

ZIP:

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

PROFIT - LARGE BUSINESS

PUBLIC COMPANY (Ticker symbol _________________)

PROFIT - MEDIUM BUSINESS

NONPROFIT ORGANIZATION

FOREIGN-OWNED, U.S.-LOCATED COMPANY

10. SOURCES OF FUNDS

YEAR 1

YEAR 2

YEAR 3

YEAR 4

YEAR 5

TOTAL

A. ATP

$

$

$

$

$

$

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.

ARE ANY OF THE JOINT VENTURE PARTNERS 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.

DO ANY OF THE JOINT VENTURE PARTNERS HAVE A PARENT COMPANY OUTSIDE THE UNITED STATES? (If yes, identify the partner(s),
ultimate parent company or companies, and place(s) of incorporation of parent company or companies in item 14.)

G.

ARE ANY OF THE JOINT VENTURE PARTNERS MAJORITY OWNED BY NON-U.S. CITIZENS? (If yes, explain in item 14.)

H.

ARE ANY OF THE JOINT VENTURE PARTNERS 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 FOR THIS JOINT VENTURE TO FORM, OR WHY AN EXISTING JOINT VENTURE
REQUIRES FEDERAL ASSISTANCE 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-1263 (REV. 3-2007) (PAGE 2)

17. TELEPHONE NUMBER

19. DATE

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INSTRUCTIONS FOR FORM NIST-1263 (Pages 1 & 2): JOINT VENTURE ADVANCED
TECHNOLOGY PROGRAM PROPOSAL COVER SHEET
This form must be completed in its entirety and
submitted with each joint venture proposal. The
authorized company representative who signs the
form must have delegated fiduciary authority. By
signing this form, the company representative
certifies the commitment of cost sharing, 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 and
with all companies/organizations described as joint
venture partners about their commitment and cost
sharing 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.
3. Enter your Dun and Bradstreet (D&B) number. To
obtain a D&B number, see
http://www.dnbmdd.com/mddi.

FLB 2.0

4. Enter the duration of the proposed work in years
and months. NOTE: The maximum duration allowed
for a joint venture is 5 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.) NOTE: The names and
information on the other joint venture participants
should be identified on Form NIST-1263 (Page 4),
Other Joint Venture Participants.
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 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 total amounts requested
from ATP for each year, and enter the total in the last
column. NOTE: The ATP funding requested must be
less than 50 percent of the total project costs.
10.B. In each column, enter the proposer’s (joint
venture’s) total cost sharing for each year, and enter
the total in the last column. NOTE: Joint ventures
must provide more than 50 percent of each year’s
total 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.
A. Self-explanatory.
B. If any of the joint venture participants is
delinquent on any federal debt, including debt to the
Internal Revenue Service, 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.
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.
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
Research Involving Human and Animal Subjects,
available at http://www.atp.nist.gov/atp/helpful.htm.
E. If the proposed R&D involves the use of live
vertebrate animals, explain in item 14 and indicate

FLB 2.0

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.
F. If any joint venture partner has a parent company
outside the United States, identify the parent
company or companies and their place of
incorporation in item 14. This includes LLCs where
the ownership by foreign companies is 50 percent or
more.
G. If any joint venture partner is majority owned by
individuals who are not citizens of the United States,
explain in item 14.
H. If any joint venture partner 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 why your project needs ATP funding
for the industry to form a joint venture or why an
existing joint venture requires federal assistance 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 on
behalf of the joint venture.
17. Enter the telephone number of the authorized
company representative submitting
the proposal on behalf of the joint venture.
18. The authorized company representative
submitting the proposal must sign this form.
19. Enter the date the form is signed.