marc g. stanley director, atp (301) 975-2162 marc.stanley@nist | atp.nist

The Advanced Technology The Advanced Technology ProgramProgram

In Partnership withIn Partnership withNIST and the NationNIST and the Nation

Marc G. StanleyMarc G. StanleyDirector, ATPDirector, ATP

(301) [email protected] | www.atp.nist.gov

National Institute of Standards and Technology • Technology Administration • U.S. Department of Commerce


ATP Mission …ATP Mission …

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


ATP is a Part of NIST

NIST Assets Include:• 3,000 employees

• 1,600 associates

• $773 million FY 2004 operating budget

• NIST Laboratories

• Advanced Technology Program

• Manufacturing Extension Partnership

• Baldrige National Quality Award

NIST’s mission: Strengthen the U.S. economy and improve the quality of life by working with industry to develop and apply technology, measurements, and standards.


Key Features of the ATP

• Emphasis on innovation for broad national economic benefit

• Industry leadership in planning and implementing projects

• Project selection based on technical and economic merit

• Demonstrated need for ATP funding

• Requirement that projects have well-defined goals/sunset provisions

• Project selection rigorously competitive, based on peer review

• Program evaluation from the outset


Fourteen Years of Innovation

• Since 1990, 6,054 proposals submitted to 43 competitions, requesting $12,969 million from ATP

• 709 projects awarded with 1,433 participants and an equal number of subcontractors

• 207 joint ventures and 502 single companies

• $4,101 million of high-risk research funded– ATP share = $2,114 million– Industry share = $1,987 million

• Small businesses are thriving– 65% of projects led by small businesses

• Over 165 universities participate• Over 30 national laboratories participate


Participation in the ATP …

* Geographic location is not a consideration in project selection. The ATP has an active outreach program that seeks to increase awareness across the entire nation of the program's opportunities for small, medium, and large businesses and other organizations. To date, ATP has received applications from organizations based in every state, and has provided funding to participating organizations located in 40 states, and the District of Columbia.


Innovations: Digital X-Ray Wireless Communications DNA Diagnostics Fuel Cells Electronics/Photonics Healthcare Informatics Civil Infrastructure HDTV Many more …

Technologies in Your States …

IllinoisIllinois

CaliforniaCalifornia

VirginiaVirginia

MichiganMichigan


State of Michigan* …

167167 5050

280280

InformationTechnology

($9.1 M)4%

Electronics/Photonics($34.2 M)

17%

AdvancedMaterials/Chemistry($63.7 M)

31%

Manufacturing ($90.3 M)

45%

Biotechnology ($5.2 M)

3%

* Dollars represent ATP Amount

Leads OnlyLeads Only

ApplicationsAwards

Participants

Legend


Exciting New Technologies …

Exciting New Technologies …

Bridging the Gap Between the Laboratory and the

Marketplace


Today’s Investments …

Electronics and Electronics and Photonics Photonics

Microelectronics Optoelectronics Optics Technologies Power Technologies Wireless Electronics Organic Electronics

BiotechnologyBiotechnology

DNA Technologies Tissue Engineering Drug Discovery Methods Proteomics Medical Devices &

Imaging Microfluidics

Chemistry and Chemistry and Materials Materials

Chemical Processing Sensors

Metabolic Engineering/Catalysis

Combinatorial Methods Separations/Membranes Materials Processing Advanced Materials Nanotechnology Material Interfaces

Manufacturing Manufacturing

Information Information Technology Technology Advanced Learning

SystemsComponent-Based SoftwareDigital Video Information Infrastructure

for HealthcareElectronic CommerceDependable Computing

SystemsTechnologies for the

Integration of Manufacturing Applications


Biotechnology ($420 M)20%

Information Technology($484 M)

23%

Electronics/Photonics($519 M)

25%

Advanced Materials and Chemistry($447 M)

21%

Manufacturing (Discrete)($244 M)

11%

Forty Three Competitions (1990 – September 2003)

709 ATP Awards by Technology Area

As a Percent of $2,114 M Awarded


Small65%

Medium12%

Large17%

Other6%

Distribution of Company Size

Lead Companies709 ATP Awards

Forty Three Competitions (1990 – September 2003)


ATP: Strengthening America’s

Photonics Industry … Since 1998

Nearly $293 million ofhigh technical risk R&D funded

ATP share = $147 millionIndustry share = $146 million

Large cross section ofparticipants

65 Companies, 4 UniversitiesPlus many subcontractors


Ongoing Projects in Photonics

• Optoelectronics and Lasers

• Sensors, Metrology and Inspection

• Data Storage

• Displays and Imaging

• Lighting and Illumination

• Bio-photonics

• Nanotechnology and Materials


Nanotechnology ... since 1991

39 ATP awardsin Nanotechnology24 Single applicants

15 Joint ventures

Approximately $276 million ofhigh technical risk R&D funded

ATP share = $141.5 millionIndustry share = $134.4 million

Large cross-section ofparticipants

69 Companies, 2 Non-profits, 4 UniversitiesOver 90 subcontractors, including 43 universities


Ongoing Projects inNanotechnology

• Nanostructured Materials

• Nanofabrication Techniques and Tools

• Nanometrology

• Nanoelectronics and Photonics

• Nanodiagnostics

• Nanobiotechnology


ATP Investments in Technologies Related to

Homeland Security

• 106 projects• $543M total investment

$290M ATP share $254M industry share

CIP/CS6%

CPI42%

CBRNE42%

BIOMET7%3%

SI

(data compiled over 43 competitions, 1990 – June 2002)


ATP Manufacturing Support

(as a Percentage of $244 M)

Misc.27%

Design12%

Control6%

Assembly8%

Tools1%

Forming27%

Inspection8%

Machining11%


Competition Structure

2004 Technology-Specific Project Selection Committees

Electronics & Photonics

Biotechnology

Information Technology

Chemistry & Materials

Industry’sInnovative

Ideas

Industry’sInnovative

Ideas Awards


For-profit company 3-year time limit $2M award cap Company pays indirect

costs Large companies cost

share at least 60% of total project cost

At least 2 for-profit companies 5-year time limit No limit on award amount (other

than availability of funds) Industry share >50% total cost

As a Single Company: As a Single Company:

Two Ways to Apply …

ATP encourages teaming arrangements

Most projects involve alliances

As a Joint Venture: As a Joint Venture:

ResearchLab

With Subcontractors

Consortium

Company

University

ResearchLab

University

+

Formal AlliancesAlone With Subcontractors

University

Company

Company

Company

Company

Company

ResearchLab

Company

Company


Two Major Criteria

•Scientific and Technological Merit (50%)– Technical Rationale

high technical risk & feasibilitytechnological innovation

– R&D Plan

•Potential for Broad-Based Economic Benefits (50%)– National Economic Benefits– Need for ATP Funding– Pathway to Economic Benefits


What we look for

•Focus on the civilian sector•Focus on enabling technologies with high

spillover potential•Focus on overcoming difficult research

challenges•Company-university-laboratory

collaboration, when appropriate•Coordination with other public and private

funding sources•Clear position after basic science and

before product development•Clear pathway to the market


In Short…

• The ATPs bottom line is broad benefits for the nation – jobs, economic growth, better quality of life – rooted in innovative technologies. Specifically, we are looking for R&D projects that create:

– Technologies with benefits that extend well beyond the companies involved in the project.

– Technologies with broad potential applications, particularly across different industrial sectors; and

– Path-breaking technologies that open up new potential markets or make possible wholly new products or industrial processes.


What Can ATP Do for You?

• Create sustainable technical advantage– you direct the research goals

– we share in the risk of longer-range, higher-payoff research

– ATP commits ~ $1,000,000 per year per project

• Retain your Intellectual Property Rights– U.S. for-profit companies keep rights to intellectual

property from ATP-funded projects

• Encourage integration of business and technical planning– plan now for commercializing your research results

– attend ATP-sponsored workshops with venture capitalists


What Can ATP Do for You? (cont’d)

•Gain recognition within industrial and financial sectors– an ATP award will attract attention from

investors, strategic partners, potential customers, and others

•Find partners through our website– visit ATP’s Collaboration Bulletin Board– join ATP’s Alliance Network List Server

•We are flexible and fair, but firm– we will monitor your progress, but also be

supportive if roadblocks appear as long as the project continues to meet the criteria


Is ATP Right for You?

• Are you looking to further your technical advantage by conducting challenging research?

• Are the risks primarily technical?

• Does your project have the potential to generate broad-based economic benefits for the United States?

• Are you committed to taking the research into the marketplace?


“The SBIR and the ATP programs are different in important ways. However, they can be understood as separate steps on a national innovation ladder.”

ATP and SBIR

National Research CouncilThe Advanced Technology

Program: Assessing Outcomes


•ATP is open to companies of all sizes

•Some SBIR funding is agency/mission specific

•ATP’s collaborative focus and flexibility of funding enable industry to address large problems

•ATP funding is available to all technologies

•ATP requires cost-sharing – commitment to commercialization

ATP and SBIR


Program Results

•Portfolio of Tissue Engineering Projects ($10.9 B)

•Closed Cycle Air Refrigeration– $459 M in public benefits projected

•Data Storage– $3.7 B in consumer benefits projected

•Component-based Software Projects– $840 M in public and private returns

•Flow Control Machining: Impact on the Auto Industry– $142 M increase in GDP annually


Program Results

•Considerable success in advancing technologies that can contribute to important societal goals

•Net benefits of a handful of projects analyzed to date: $15 B

– Far exceeding ATP’s total cost


INDIVIDUAL

State ResourcesFEDERAL FUNDING

(ATP, SBIR, MEP etc.)

VENTURE CAPITALSTATE FUNDING

GENERAL ASSISTANCE

Encouraging State Involvement

How can your state be a resource?



Sustained Economic Growth within your State bySustained Economic Growth within your State by• Fostering high-risk technologies

• Developing revolutionary technology– products - processes - services

• Broad-based economic benefits to your state and nation

• Economic activity

Foster business infrastructure of StateFoster business infrastructure of State• Encourage partnerships between state industries, universities,

incubators, and federal government to compete globally

Benefits of working with ATP …


What We Would Like Your State to Do …

• Expand opportunities to engage:

– Small businesses

– Medium and large businesses

– Universities

• Bring the best R&D projects to ATP for

potential funding


•Call toll-free: 800-ATP-FUND (800-287-3863) •Fax your name and address to: 301-926-9524

•Send e-mail to: [email protected]

•Visit ATP’s website: www.atp.nist.gov

For Info on ATP and to Join Our Mailing List . . .


ADDITIONAL SLIDES

ADDITIONAL SLIDES


Addressing a NationalProblem or Need

Evidence•Federal funding plays a critical

role in crossing the Valley of Death– ATP represents a more important

element in bridging this gap than may have been appreciated

– VC, State Government and Universities only contribute between 8 and 16% toward early stage technology development

– ATP and SBIR account for between 21 and 25%

Lewis M. BranscombAetna Professor of Public PolicyAnd Corporate Management, emeritusKennedy School of Government, Harvard University

Philip E. AuerswaldAssistant Director, Science,Technology, and Public Policy ProgramKennedy School of Government, Harvard University


Early-Stage Technology Development

Note: The proportional distribution across the main funding sources for early-stage technology development is similar regardless of the use of restrictive or inclusive definitional criteria.

Estimated distribution of funding sources for early-stage technology development, based on restrictive and inclusive criteria


The Washington PostMonday, May 5, 2003

Venture Capital Investments


Evidence–• In 709 awards, $2,114 million in

ATP funds matched by $1,987 million in industry cost-share

Federal Role Critical

Leverages funds and contributions from other parties …

ATP Award Statistics


Appendix A: ATP Statute[Note: The ATP statute originated in the Omnibus Trade and Competitiveness Act of 1988 (Pub. L. 100-418, 15 U.S.C. 278n) but was amended by the American Technology Preeminence Act of 1991 (Pub. L. 102-245).]

SUBPART C – ADVANCED TECHNOLOGY PROGRAM

SEC. 5131. ADVANCED TECHNOLOGY PROGRAM

(a) Advanced Technology Program. – The Act of March 3, 1901, as amended by this part, is further amended by adding after section 27 the following new section:

“ADVANCED TECHNOLOGY PROGRAM

“SEC.28.(a) There is established in the Institute an Advanced Technology Program (hereafter in this Act referred to as the ‘Program’) for the purpose of assisting United States businesses in creating and applying the generic technology and research results necessary to –

“(1) commercialize significant new scientific discoveries and technologies rapidly; and

“(2) refine manufacturing technologies.


The Competitive Environment

•Advances in technology account for more than 50 % of U.S. economic growth

•Global competition has forced a focus on short-term return on investment

•Now more than ever, our nation’s economic well being depends on rapid development and commercialization of technology


Participation in ATP …

Joint Ventures29%

Single Companies71%

709 ATP Awards(Forty Three Competitions (since 1990)


Lessons Learned

•Address a National Problem or Need

•Avoid Duplication of Effort

•Keep it at the Most Appropriate

Level

•Strong, Well-Publicized Criteria

•Leverage Other Resources

•Evaluate Early and Often


National Problem or Need: The Competitive

Environment•Advances in technology

account for more than 50 % of U.S. economic growth

•Global competition has forced a focus on short-term return on investment

•Now more than ever, our nation’s economic well being depends on rapid development and commercialization of technology


Evidence

•Federal funding plays a critical role in crossing “Darwinian Sea”

– ATP represents a more important element in bridging this gap than may have been appreciated

– VC, State Government and Universities only contribute between 8 and 16% toward early stage technology development

– ATP and SBIR account for between 21 and 25%

Addressing a NationalProblem or Need


Crossing the Valley of Death only to …

“Valley of Death”

Research & Invention

Innovation: new businessViableViable

BusinessBusiness

The Darwinian SeaBasic Basic

ResearchResearch

InventionInvention Innovation&

New Business

… arrive in the Waters of the Darwinian Sea


Addressing a National Problem or Need

Investments in–

Manufacturing: $224 M

Tissue Engineering: $100 M

Nanotechnology: $142 M

Homeland Security $290 M


Key Features of the ATP

•Focuses on the civilian sector•Focuses on enabling technologies with high

spillover potential•Focuses on overcoming difficult research

challenges•Encourages company-university-laboratory

collaboration•Coordinates with other public and private

funding sources•Positioned after basic science and before

product development


Lessons Learned




Level





Since 1990 …Since 1990 …

• 6,054 proposals submitted to 43 competitions, requesting $12,969 M from ATP

• 709 projects awarded with 1,433 participants and an equal number of subcontractors

• 207 joint ventures and 502 single companies• $4,101 M of high-risk research funded

– ATP share = $2,114 M– Industry share = $1,987 M

• Small businesses are thriving– 65% of projects led by small businesses

• Over …– 165 universities participate– 30 national laboratories participate– 900 patents


Lessons Learned




Level





“The selection criteria applied by the program enable it to meet broad national needs and help ensure that the benefits of successful awards extend across firms and industries.”

National Research CouncilThe Advanced Technology

Program: Assessing Outcomes


Two Major CriteriaTwo 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


Project Selection

Process

CooperativeAgreement

CooperativeAgreement

SCREENING

CLASSIFICATION

Gate 2: FULL ECONOMIC/BUSINESS

PROPOSAL + BUDGET NARRATIVE

Gate 2: FULL ECONOMIC/BUSINESS

PROPOSAL + BUDGET NARRATIVE

Gate 3: SEMIFINALISTS IDENTIFIED

Oral review

Gate 4: AWARD

PROPOSALS

Gate 1: FULL TECHNICAL PLAN + PRELIMINARY ECON/BUS PLANECONOMIC/BUSINESS MERIT

Technical Innovation High Technical Risk with Evidence of Feasibility Detailed R&D Plan

SCIENTIFIC & TECHNOLOGICAL MERIT

National Economic Benefits Need for ATP Funding Pathway to Economic Benefits

DEBRIEFING


The Gated ApproachThe Gated Approach

• Gate 1: Executive Summary, complete technical narrative, plus preliminary info on economic/business narrative

• Gate 2: Complete economic/business narrative, plus detailed budget information, if pass gate 1

• Gate 3: Semifinalist, if pass gate 2

• Gate 4: Award, if pass gate 3 and selected


Lessons Learned




Level





Evidence–

• In 709 awards, $2.1 Billion in ATP funds

matched by $1.9 Billion in industry cost-

share

•Awarding-winning firms have greater

success in attracting additional funding

for their ATP projects from other

sources (“Halo Effect”)

Leveraging Private-Sector Resources


INDIVIDUAL

State Resources FEDERAL FUNDING(ATP, SBIR, MEP etc.)

VENTURE CAPITALSTATE FUNDING

GENERAL ASSISTANCE

Leveraging State Resources

Can states be a resource?



Sustained Economic Growth within your Sustained Economic Growth within your State byState by

• Fostering high-risk technologies

• Developing revolutionary technology– products - processes - services

• Broad-based economic benefits to your state and nation

• Economic activity

Foster business infrastructure of StateFoster business infrastructure of State• Encourage partnerships between state industries,

universities, incubators, and federal government to compete globally

Benefits of working with ATP …


What We Would Like Your State to Do …

•Expand opportunities to engage:

– Small businesses

– Medium and large businesses

– Universities

•Bring the best R&D projects to ATP for potential funding


Lessons Learned




Level





“An Exceptional Assessment Effort:

The ATP assessment program has produced one of the most rigorous and intensive efforts of any U.S. technology program.”National Research Council

The Advanced Technology Program: Assessing Outcomes


Other OrganizationsOther Organizations

IndustryIndustry

Why Assess?

To better manage the To better manage the

ATP!ATP!

To answer to our To answer to our

“Stakeholders”!“Stakeholders”!

GovernmentPerformanceResults Act

(GPRA)

GovernmentPerformanceResults Act

(GPRA)

CongressCongress

TaxpayersTaxpayersNISTNISTDoCDoC

To comply with the To comply with the

Law!Law!


Components of ATP’s Assessment Program


FY2004 Competition

• Federal Register Announcement:– ATP 2004 budget includes $60.7 million

for new awards

– Continued streamlined competition process

– New ATP Proposal Preparation Kit (02/04)

– Optional electronic submissions for all proposers

• ATP automatically sends out Kit and announcements to mailing list


FY2004 Competition Important Dates

•The Competition is currently open

•The deadline is:

–Wednesday, April 14, 2004


FY2004 CompetitionImportant Information

• To be considered for funding in Fiscal Year 2004– Proposers must submit their

Gate 1 proposals by Wednesday, April 14, 2004

• All hand-delivered or electronically submitted proposals must be received by 3:00 PM Eastern time on April 14, 2004


FY2004 CompetitionImportant Information

(cont’d)•All other carrier delivered proposals

must be postmarked by the due date (April 14, 2004) and received no later than 3:00 P.M. Eastern time on:– Wednesday, April 28, 2004

• Proposals submitted through guaranteed overnight carriers are deemed to be postmarked on the date they are delivered to the carrier


Points of Contact

•Competition process, project selection criteria, or other programmatic questions

– Bettijoyce Lide, (301) 975-2218

– [email protected]

•Eligibility and cost-sharing requirements, budgets, or other administrative matters

– Barbara Lambis, (301) 975-4447


•Human and/or animal subjects used in research

– Phone: (301) 975-8779


Points of Contact (cont’d)

• Electronic Submission System– John Garguilo, (301) 975-4426


• Foreign participation as single-company proposers, joint ventures, or subcontractors – Connie Chang, (301) 975-4318



•Call toll-free: 800-ATP-FUND (800-287-3863) •Fax your name and address to: 301-926-9524

•Send e-mail to: [email protected]

•Visit ATP’s website: www.atp.nist.gov

For Info on ATP and to Join Our Mailing List . . .


ATP Investments in Technologies Related toHomeland Security

(data compiled over 43 competitions, 1990 – June 2002)

CIP/CS6%

CPI42%

CBRNE42%

BIOMET7%3%

• 106 projects• $543M total investment

$290M ATP share $254M industry share

SI


ATP Investments in Technologies in Support ofHomeland Security Relate to NIST SFAs

HEALTH CARE

NANOTECHNOLOGY

IT/ KM

HOMELAND SECURITY

• Biometrics

• CBRNE: Chemical/Biological/Radiological/Nuclear/Exposure

• CPI: Critical Physical Infrastructure

• TIR: Technologies for Incident Response

• CIP: Critical Infrastructure Protection

• CS: Cyber-security

• S&I: Surveillance and Intelligence

• CDM: Critical Defense Manufacturing


Nanotechnology ... since 1991

39 ATP awardsin Nanotechnology24 Single applicants

15 Joint ventures

Approximately $276 million ofhigh technical risk R&D funded

ATP share = $141.5 millionIndustry share = $134.4 million

Large cross-section ofparticipants

69 Companies, 2 Non-profits, 4 UniversitiesOver 90 subcontractors, including 43 universities


Ongoing Projects in Nanotechnology

Nanostructured Materials

Nanofabrication Techniques & Tools

Nanometrology

Nanoelectronics & Photonics

Nanodiagnostics

Nanobiotechnology


ATP Strengthening America’sPhotonics Industry … since

1998 Nearly $293 million of

high technical risk R&D fundedATP share = $147 million

Industry share = $146 million

Large cross section ofparticipants

65 Companies, 4 UniversitiesPlus many subcontractors


Ongoing Projects inPhotonics

Optoelectronics and Lasers

Sensors, Metrology & Inspection

Data Storage

Displays & Imaging

Lighting & Illumination

Bio-photonics

Nanotechnology and Materials


ATP in Tissue Engineering

ATP awards in tissue engineering target a wide range of technologies that address treatment methodologies for many important families of disease. In addition to the high levels of mortality and the associated indirect cost of morbidity caused by these diseases, the annual financial burden of treatment in the United States is substantial.

DiseaseDiabetesHeart DiseaseLiver DiseaseLung DiseaseKidney DiseaseParkinson’s DiseaseCancerArthritis and Osteoporosis

Estimated Annual Direct

Cost of Treatment$44 billion

$182 billion$9 billion

$65 billion$18 billion$6 billion

$61 billion$82 billion


ATP in Tissue Engineering

•In the field of tissue engineering, ATP has funded 51 projects; contributing nearly $100 million with corporate partnerships adding an additional $81 million.

•The estimated market for the regeneration of bone, cartilage, and other connective structural treatments is approximately $15 billion worldwide.

•The potential impact of ATP funded projects is therefore substantial. Benefits extend worldwide and into many different disciplines, including homeland security and biodefense applications.


Misc.27%

Design12%

Control6%

Assembly8%

Tools1%

Forming27%

Inspection8%

Machining11%

ATP Manufacturing Support

(as a Percentage of $224M)

marc g. stanley director, atp (301) 975-2162 marc.stanley@nist | atp.nist

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