Technology Development Proposals to the ATP

Projects are proposed to the ATP by U.S. companies. Proposals that score high in terms of their scientific/technical merit and their economic merit are selected for ATP cost-share awards. The reviews are carried out in rigorous peer-review competitions. All proposals are reviewed by government scientists and engineers who are expert in the relevant technology areas. They are also reviewed by business, industry, and economic experts who judge the potential of the proposed project to deliver broadly based economic benefits to the nation -- including large benefits extending beyond the award recipient, i.e., "spillovers". The ATP issues a proposal preparation kit that presents and explains the selection criteria to prospective proposers and provides guidance on preparing proposals. ⁽¹⁾

ATP Project Evaluation

The Economic Assessment Office (EAO) of the ATP is charged with evaluating the performance of funded projects. One element of the EAO's evaluation plan ⁽²⁾ is to provide an interim assessment of the status of all completed ATP projects, this being the first status report. Another element is to conduct detailed economic case studies of selected projects, several of which are drawn upon and referenced in this study. Other evaluation activities of the EAO include database development, surveys, statistical and econometric studies, model development, and special issues studies. ⁽³⁾

"Completed" and "Terminated" Projects Defined

For the purposes of this study, a "completed" project is defined as one for which a final report has been filed with the ATP, the financial and other paperwork required for close-out has been done, and the National Institute for Standards and Technology (NIST) Grants Office has notified the ATP that it considers the project completed. A "terminated" project is defined as one that either was selected in an ATP competition and announced but never officially started, or one that started but was closed for some reason before the completion date, with a substantial amount of the technical work still unfinished.

Sources of Information

Information contained in the individual project reports in Chapters 2-8 comes from several sources: documents filed by project participants; conversations with ATP staff familiar with the project; public documents, such as patent data from the U.S. Patent and Trademark Office, academic and other professional literature, trade and business literature, news reports, and filings at the Securities and Exchange Commission; previous EAO studies; and interviews with company project staff. Each of the individual project write-ups was reviewed for accuracy by the awardee and ATP staff.

Report Organization

Chapter 1 provides a summary overview of the 38 completed projects as a group. First, the portfolio is characterized in terms of technologies, company size, and other features. Then, the timing of the various stages of technology development and commercialization is discussed. Evidence of the gains in technical knowledge is covered, as is dissemination of the new knowledge, with special attention to the availability of products and processes that have been introduced to the market. The chapter closes with an overview of the broad-based benefits that this portfolio of projects is likely to produce.

The individual project reports are presented in Chapters 2-8, organized by technology group. For each completed project, major accomplishments and the outlook for continued progress are highlighted. A detailed account of how the project has unfolded is given, with attention to technical and commercial goals and achievements, information about technology diffusion, and views about the role played by ATP's funding.

Appendix A presents brief descriptions of technical and commercial achievements of the completed projects in tabular form. Appendix B provides a brief discussion of the 12 terminated projects.