[Federal Register Volume 59, Number 54 (Monday, March 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-6462]


[[Page Unknown]]

[Federal Register: March 21, 1994]


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DEPARTMENT OF COMMERCE

Technology Administration
National Institute of Standards and Technology
[Docket No. 940363-4063]

 

Invitation for Proposals--Advanced Technology Program (ATP)

AGENCY: National Institute of Standards and Technology, Technology 
Administration, Commerce.

ACTION: Notice.

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SUMMARY: The Technology Administration's National Institute of 
Standards and Technology (NIST) invites applications for funding under 
the Advanced Technology Program (ATP), and announces a public meeting 
for all interested parties. During 1994, the ATP will hold:
    (1) General Competition 94-01 in which proposals in all areas of 
technology meeting the ATP criteria are solicited, and,
    (2) Several Program Competitions focussed on specific technology or 
technology application areas.
    This invitation provides general information for all of the 
competitions planned for 1994 as well as specific information for 
General Competition 94-01. Proposal due dates, program competition 
topics, and other competition-specific instructions for each of the 
Program Competitions will be published in the Commerce Business Daily 
(CBD) later this year.
    Those interested in applying for ATP funding must contact the ATP 
at the address shown below to obtain application materials. The 
Proposal Preparation Kit available upon request from the ATP contains 
the application forms, background material, and instructions referenced 
in this invitation. The new ATP Proposal Preparation Kit may be used 
either for General Competitions or Program Competitions. The Advanced 
Technology Program is Program Number 11.612 in the Catalog of Federal 
Domestic Assistance.
    As explained in the supplementary information section below, 
applicants have the option of submitting abbreviated proposals prior to 
full proposals in Competition 94-01.

DATES: Abbreviated proposals for General Competition 94-01 must be 
received at the address listed below no later than 3 p.m. local time on 
April 20, 1994. Proposals transmitted by facsimile or electronic mail 
will NOT be accepted. Each applicant submitting an abbreviated proposal 
will receive a written recommendation regarding whether or not to 
prepare and submit a full proposal. Such notification will be mailed on 
or before May 25, 1994. Full proposals must be received by 3 p.m. local 
time on June 22, 1994. Should the National Institute of Standards and 
Technology (NIST) site be closed on the specified due date, ATP 
proposals will be due at 3 p.m. on the next business day that the NIST 
site is open. It is the responsibility of applicants to ensure that 
their proposals are received at the ATP by the date and time stated. 
Due dates for the program competitions will be published in the CBD at 
the time each competition is announced. Should there ever be an 
extension of the due date for any ATP competition, that information 
will be provided via a notice published in the CBD as well as a 
recorded message on the ATP toll-free ``Hotline'' number (1-800-ATP-
FUND.) For this reason, we recommend that applicants check this 
recorded message prior to the closing date.
    A public meeting for parties considering applying for funding in 
ATP General Competition 94-01 will be held beginning at 1 p.m. on April 
6, 1994 in the Red Auditorium at NIST at the address shown below. 
Attendance at this public meeting is not required of potential 
proposers. The purpose of the meeting is to provide general information 
regarding the ATP procedures, selection process, and proposal 
preparation to potential applicants unfamiliar with the ATP. No 
discussion of specific proposals will occur at this meeting. Dates and 
times of analogous public meetings for the program competitions will be 
announced later in the CBD, transmitted to those on the ATP mailing 
list, and described on the ATP toll-free Hotline.
    NIST intends to select proposals for funding approximately four 
months after the closing date for Competition 94-01 full proposals. 
(The actual selection date will depend on the number of applications 
received.)

ADDRESSES: The public meeting will be in the Red Auditorium at NIST, 
Administration Building, National Institute of Standards and 
Technology, Quince Orchard and Clopper Roads, Gaithersburg, MD. Exit 
Interstate 270 at exit 10 northbound or exit 11B southbound.

Abbreviated proposals must be sent to: Abbreviated Proposals, 
Competition 94-01, Advanced Technology Program, A430 Admin. Bldg. 
(Bldg. 101), National Institute of Standards and Technology, Quince 
Orchard at Clopper Road, Gaithersburg, MD 20899-0001.
Full proposals must be sent to: Competition 94-01, Advanced Technology 
Program, A430 Admin. Bldg. (Bldg. 101), National Institute of Standards 
and Technology, Quince Orchard at Clopper Road, Gaithersburg, MD 20899-
0001.

FOR FURTHER INFORMATION CONTACT:
To request a copy of the ATP Proposal Preparation Kit and to have your 
name added to the ATP mailing list for future mailings, use whichever 
of these four options is the most convenient for you:
    (1) Call the ATP toll-free number, 1-800-ATP-FUND. You will have 
the option of hearing recorded messages regarding the status of the ATP 
or speaking to one of our customer representatives who will take your 
name and address. If our representatives are all busy when you call, 
leave a message after the tone. To ensure that the information is 
entered correctly, please speak distinctly and slowly and spell words 
that might cause confusion. Leave your phone number as well as your 
name and address.
    (2) Contact ATP via fax at (301) 926-9524. A backup fax number is 
(301) 869-1150.
    (3) Contact ATP via electronic mail at [email protected]. Include 
your name, full mailing address and phone number.
    (4) Write to the ATP at the address shown above.
    Note that the ATP is mailing new Proposal Preparation Kits to all 
those individuals whose names are currently in the ATP computer data 
base. Such individuals need not contact the ATP to request a kit unless 
the kit fails to arrive within a week of this announcement.

SUPPLEMENTARY INFORMATION:

Background

    The ATP is managed by the National Institute of Standards and 
Technology, an element of the Technology Administration (TA) of the 
Department of Commerce. ATP was established by section 5131 of the 
Omnibus Trade and Competitiveness Act of 1988 (Pub. L. 100-418, 15 
U.S.C. 278n), as modified by Public Law 102-245.
    The ATP works with U.S. industry to advance the nation's 
competitiveness--and economy--by helping to fund the development of 
high-risk but powerful new technologies that underlie a broad spectrum 
of potential new applications, commercial products, and services. 
Through cooperative agreements with individual companies or groups of 
companies, large and small, the ATP invests in industrial projects to 
develop technologies with high-payoff potential for the nation. The ATP 
accelerates technologies that--because they are risky--are unlikely to 
be developed in time to compete in rapidly changing world markets 
without such a partnership of industry and government. By sharing the 
cost of such projects, the ATP catalyzes industry to pursue promising 
technologies. The Proposal Preparation Kit expands on the goals of the 
ATP and describes in detail what constitutes a good ATP proposal.
    The ATP operates under program procedures published at part 295, 
title 15, of the Code of Federal Regulations. These procedures were 
recently updated (Federal Register, Vol. 59, No, 4, January 6, 1994). A 
copy of the updated version of these procedures is provided in Appendix 
2 of the new ATP Proposal Preparation Kit.
    Cooperative research agreements rather than grants are the funding 
instruments used for ATP awards. A cooperative research agreement 
differs from a grant with respect to the amount of interaction between 
the Federal Government and the recipient, and is used to provide 
financial assistance when substantial involvement is anticipated 
between the government and the recipient.

Invitation for Proposals

    The ATP invites applications for funding from:
    (1) Individual United States businesses in amounts not to exceed $2 
million (federal share) over three years. Single applicants must fund 
all indirect costs associated with the project.
    (2) Industry-led joint research and development ventures, where ATP 
support will serve as a catalyst for the proposed joint venture 
project, and provided, however, that the ATP share is a minority share 
of the cost of the venture for up to five years.
    Applicant eligibility is discussed in detail in the Proposal 
Preparation Kit.
    All awards are subject to the availability of appropriations. 
Future or continued funding for multi-year projects will be at the 
discretion of NIST and will be contingent on such factors as 
satisfactory performance and the availability of funds.

Number of Copies

    Applicants for General Competition 94-01 must submit four (4) 
copies of their abbreviated proposal, prepared in accordance with the 
instructions in this announcement, to the Advanced Technology Program 
at the address listed elsewhere in this announcement. Those applicants 
who submit full proposals must submit eleven (11) copies of their full 
proposal, prepared in accordance with the instructions in the ATP 
Proposal Preparation Kit. Each copy of the abbreviated proposal or full 
proposal should be marked with the competition number (Competition 94-
01 for the 1994 General Competition) and the shipping label should also 
note the competition number.
    The Office of Management and Budget (OMB) has approved the 
information collection requirements contained in this notice under 
provisions of the Paperwork Reduction Act (OMB control number 0693-
0009).

Abbreviated Proposals

    Abbreviated proposals will be accepted for General Competition 94-
01, and will be accepted for some future program competitions as 
specified in the CBD notice(s). The purpose of abbreviated proposals is 
to provide applicants with limited resources early feedback regarding 
whether the proposed project falls within the scope of the ATP and 
whether the project proposed appears sufficiently promising relative to 
the selection criteria to warrant preparation of a full proposal. In 
competitions where abbreviated proposals are accepted, applicants who 
submit such proposals will be notified in writing whether or not ATP 
recommends submission of a full proposal.
    ATP provides telephone debriefings upon request to those who submit 
full proposals to any competition. Such debriefings will provide 
applicants with feedback regarding the strengths and weaknesses of the 
proposal. However, no debriefings, written or oral, will be provided 
for abbreviated proposals. Feedback on abbreviated proposals will be 
limited to a yes/no recommendation regarding whether or not to submit a 
full proposal.
    You may submit a full proposal whether or not you have submitted an 
abbreviated proposal, and whether or not ATP has recommended that you 
submit a full proposal. Since only those abbreviated proposals that 
best meet the proposal selection criteria will be recommended for full 
proposal, and since the ATP anticipates receiving perhaps a factor of 
twenty or more abbreviated proposals than can be funded, it is likely 
that a substantial majority of the abbreviated proposals will not 
recommended for full proposal preparation.
    Proprietary information in abbreviated proposals will be protected 
just as it is in full proposals. If your proposal contains proprietary 
information, mark it accordingly; however, the title page must not 
include proprietary information. We recommend including the following 
legend on the title page: ``Proposal contains proprietary information. 
Title page nonproprietary.''
    Full proposals must be prepared in accordance with the instructions 
in the Proposal Preparation Kit. In preparing an abbreviated proposal, 
heed the general advice provided in the ATP Proposal Preparation Kit, 
but follow the specific formatting instructions below.
    On the title page (cover sheet) of the abbreviated proposal, which 
must contain only non-proprietary information, provide the following 
information:
    (1) Competition Number (94-01 for the 1994 General Competition)
    (2) Title of the project (90 character limit--we recommend a title 
that is indicative of the content of the proposal rather than a vague 
title such as ``Restoring American Competitiveness.'')
    (3) Single applicant or joint venture (specify which).
    (4) Submitting organization. (If application is a joint venture 
application, also include a listing of the members of the joint venture 
other than the submitting organization.)
    (5) Contact person's name.
    (6) Contact person's address.
    (7) Contact person's telephone, fax number, and e-mail address.
    (8) Key words (90 character limit).
    Do NOT include any of the forms or certifications required for full 
proposals in your abbreviated proposal.
    Limit the abbreviated proposal to no more than 10 pages plus the 
title page. In abbreviated proposals, only the cover page plus the 
first 10 pages will be read. Additional pages will be ignored in 
formulating the recommendation. Use either 8\1/2\ x 11 inch or A4 
metric size paper with an easily-readable font. (See page 13 of the 
Proposal Preparation Kit.)
    Briefly address each of the five ATP evaluation criteria described 
in Chapter 1 of the Proposal Preparation Kit. Be sure not to leave out 
the following points, which are essential in making a determination as 
to how promising your proposal is:
    (1) In addressing the scientific and technical merit criterion, 
define your technical goals quantitatively and outline the R&D tasks 
required to accomplish them. Compare and contrast your approach to the 
current state of the art and related R&D that you believe your 
competition is doing. Explain why your project has high technical risk 
and why it is innovative. Explain how the proposed R&D will take into 
account downstream manufacturing concerns and/or commercial 
applications requirements.
    (2) In addressing criteria 2 and 3, relate the technical goals to 
your company or joint venture's business strategy. Explain why this 
project is important to your company or joint venture and how it will 
contribute to economic growth in the United States. Explain why ATP 
funds are needed. Briefly describe the path to commercialization for 
the technology. Joint ventures should also briefly describe the 
structure of the venture and the role of each participant.
    (3) Briefly summarize the budget profile for the project including 
the amount requested from ATP for each year and the proposed cost-
sharing by the applicant(s) each year (indirect costs for single 
applicants, matching funds for joint ventures.) For joint venture 
applicants, show approximately how much ATP funding would go to each 
applicant each year. Identify major subcontractors if known, and 
projected subcontract amounts.
    Mail 4 copies of your abbreviated proposal to the address shown 
above.

Funds Available for Cooperative Research Agreements

    An estimated $20 to $25 million in first-year funding will be 
available for General Competition 94-01. The number of awards will 
depend on the quality of the proposals received and the amount of 
funding requested by the proposals under consideration for awards, but 
based on ATP's experience, is unlikely to exceed 30. An estimated $100-
$125 million in first-year funds will be available for the several 
program competitions to be announced later this fiscal year. For every 
ATP competition, NIST reserves the right to fund proposals totalling 
more or less than the amount of funding tentatively allocated to that 
competition if the number of high quality proposals received is judged 
to be more or fewer respectively than anticipated.

Preparation of Full Proposals and Reporting Requirements

    The ATP Proposal Preparation Kit, available from the ATP, contains 
background material on the ATP, detailed contents and formatting 
guidelines for the preparation of full proposals, and the required 
forms. Also included is information on reporting and audit requirements 
for recipients. To be accepted for review, full proposals must meet all 
of the requirements outlined in the Kit. Full proposals that fail to 
meet one or more of the those requirements will be considered non-
responsive to this solicitation.

Award Criteria and Proposal Review Process

    The criteria used to evaluate proposals submitted in response to 
this notice and the proposal review process are documented in the 
Proposal Preparation Kit.

Negotiation of Cooperative Agreements

    NIST reserves the right to negotiate project scope and funding 
levels with ATP cooperative research agreement recipients.

Submission of Revised Proposals

    An applicant may submit a full proposal that is a revised version 
of a full proposal submitted to a previous ATP competition. NIST will 
examine such proposals to determine whether substantial revisions have 
been made. Where the revisions are determined not to be substantial, 
NIST reserves the right to score and rank, or where appropriate, to 
reject, such proposals based on reviews of the previously-submitted 
proposal.

Transfer of Proposals

    NIST reserves the right to transfer a full proposal received in 
response to a General Competition invitation to a Program Competition 
underway in the same general timeframe if the subject matter of the 
proposal clearly falls within the scope of the Program Competition. 
NIST will not transfer proposals from Program Competitions to General 
Competitions. Applicants will be notified if and when a proposal is 
transferred from a General Competition to a Program Competition.

Other Requirements, Requests, and Provisions

    No award of Federal funds shall be made to an applicant or 
recipient who has an outstanding delinquent Federal debt until either 
the delinquent account is paid in full, a negotiated repayment schedule 
is established and at least one payment is received, or other 
arrangements satisfactory to the Department are made.
    All for-profit and nonprofit applicants are subject to a name check 
review process. Name checks are intended to reveal if any key 
individuals associated with the applicant have been convicted of or are 
presently facing criminal charges such as fraud, theft, perjury, or 
other matters which significantly reflect on the applicant's management 
honesty or financial integrity.
    Unsatisfactory performance under prior Federal awards may result in 
an application not being considered for funding.
    If applicants incur any costs prior to an award being made, they do 
so solely at their own risk of not being reimbursed by the Government. 
Notwithstanding any verbal or written assurance that may have been 
received, there is no obligation on the part of the Department of 
Commerce to cover pre-award costs.

Primary Applicant Certification

    All primary applicants must submit a completed Form CD-511, 
``Certifications Regarding Debarment, Suspension, and Other 
Responsibility Matters; Drug-Free Workplace Requirements and 
Lobbying,'' and the following explanation are hereby provided:
    a. Nonprocurement Debarment and Suspension--Prospective 
participants, (as defined at 15 CFR part 26, section 105) are subject 
to 15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies;
    b. Drug-Free Workplace--Grantees (as defined at 15 CFR part 26, 
section 605) are subject to 15 CFR part 26, subpart F, ``Governmentwide 
Requirements for Drug-Free Workplace (Grants)'' and the related section 
of the certification form prescribed above applies;
    c. Anti-Lobbying--Persons (as defined at 15 CFR part 28, section 
105) are subject to the lobbying provisions of 31 USC 1352, 
``Limitations on use of appropriated funds to influence certain Federal 
contracting and financial transactions,'' and the lobbying section of 
the certification form prescribed above applies to applications/bids 
for grants, cooperative agreements, and contracts for more than 
$100,000, and loans and loan guarantees for more than $150,000, or the 
single family maximum mortgage limit for affected programs, whichever 
is greater; and,
    d. Anti-Lobbying Disclosures--Any applicant that has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, Appendix B.
    Lower Tier Certification--Recipients shall require applicants/
bidders for subgrants, contracts, subcontracts, or other lower tier 
covered transactions at any tier under the award to submit, if 
applicable, a completed Form CD-512, ``Certifications Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower 
Tier Covered Transactions and Lobbying'' and Form SF-LLL, ``Disclosure 
of Lobbying Activities.'' Although the CD-512 is intended for the use 
of primary recipients and should not be transmitted to NIST, the SF-LLL 
submitted by any tier recipient or subrecipient should be forwarded in 
accordance with the instructions contained in the award document.
    A false statement on any application for funding under ATP may be 
grounds for denial or termination of funds and grounds for possible 
punishment by a fine or imprisonment as provided in 18 U.S.C. 1001. The 
ATP does not involve the mandatory payment of any matching funds from 
state or local government and does not affect directly any state or 
local government. Accordingly, the Department of Commerce has 
determined that Executive Order 12372, ``Intergovernmental Review of 
Federal Programs'' is not applicable to this program. Recipients and 
subrecipients are subject to all Federal laws and Federal and 
Department of Commerce policies, regulations, and procedures applicable 
to financial assistance awards.
    Applicants are hereby notified that any equipment or products 
authorized to be purchased with funding provided under this program 
must be American-made to the maximum extent feasible in accordance with 
Public Law 103-121, sections 606 (a) and (b). Adequate justification 
will be required for any proposed purchases of equipment or products 
that are not American-made.

    Dated: March 15, 1994.
Arati Prabhakar,
Director, NIST.
[FR Doc. 94-6462 Filed 3-18-94; 8:45 am]
BILLING CODE 3510-13-M