[Federal Register Volume 62, Number 240 (Monday, December 15, 1997)]
[Notices]
[Pages 65679-65681]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32623]


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DEPARTMENT OF COMMERCE

National Institute of Standards and Technology
[Docket No. 970822200-7283-03]
RIN 0693-AB44


Announcement of Availability of Funding for Competitions--
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) announces the availability of funding 
for the following competitions to be held in fiscal year 1998 under the 
Advanced Technology Program (ATP): (1) A General Competition 98-01, 
open to all areas of technology meeting the ATP selection criteria and 
(2) Focused Program Competitions (approximately seven to nine) on 
specific technology or technology application areas. This notice 
provides general information for the competitions planned for fiscal 
year 1998.

DATES: The proposal due dates, Focused Program Competition topics, and 
other competition-specific instructions will be published in the 
Commerce Business Daily (CBD) at the time each competition is 
announced. Dates, times, and locations of Proposers' Conferences held 
for interested parties considering applying for funding will also be 
announced in the CBD.

ADDRESSES: Information on the ATP may be obtained from the following 
address: National Institute of Standards and Technology, Advanced 
Technology Program, Administration Building (Bldg. 101), Room A407, 
Quince Orchard & Clopper Roads, Gaithersburg, MD 20899-0001.

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    Additionally, information on the ATP is available on the Internet 
through the World Wide Web (WWW) at http://www.atp.nist.gov.

FOR FURTHER INFORMATION CONTACT:
Requests for ATP information, application materials, and/or to have 
your name added to the ATP mailing list for future mailings may also be 
made by:
    (a) Calling the ATP toll-free ``hotline'' number at 1-800-ATP-FUND 
or 1-800-287-3863. 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 the words that might cause confusion. 
Leave your phone number as well as your name and address;
    (b) Sending a facsimile (fax) to 301-926-9524 or 301-590-3053; or
    (c) Sending electronic mail to [email protected]. Include your name, 
full mailing address, and phone number.

SUPPLEMENTARY INFORMATION:

Background

    The statutory authority for the ATP is Section 5131 of the Omnibus 
Trade and Competitiveness Act of 1988 (Pub. L. 100-418, 15 U.S.C. 
278n), as modified by Pub. L. 102-245. The ATP implementing regulations 
are published at 15 CFR Part 295, as amended (62 FR, pages 64682-64687, 
December 9, 1997). The Catalog of Federal Domestic Assistance (CFDA) 
number and program title for the ATP are 11.612, Advanced Technology 
Program (ATP).
    The Advanced Technology Program (ATP) is a rigorously competitive 
cost-sharing program designed for the Federal government to work in 
partnership with industry to foster the development and broad 
dissemination of challenging, high-risk technologies that offer the 
potential for significant, broad-based economic benefits for the 
nation. Such a unique government-industry research partnership fosters 
the acceleration not only of dramatic gains in existing industries, but 
also acceleration of the development of emerging or enabling 
technologies leading to revolutionary new products, industrial 
processes and services for the world's markets and work to spawn 
industries of the 21st century. The ATP provides multi-year funding to 
single companies and to industry-led joint ventures. 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 between industry and the Federal government. 
The ATP challenges industry to take on higher risk (but commensurately 
higher potential payoff to the nation) projects than they would 
otherwise. Proposers must provide credible arguments as to the project 
feasibility.
    The funding instrument used in ATP awards is a ``cooperative 
agreement.'' Through the use of the cooperative agreement, the ATP is 
designed to foster a government-industry partnership to accomplish a 
public purpose of support or stimulation. NIST plays a substantial role 
in providing technical assistance and monitoring the technical work and 
business progress.

Funding Availability

    A total estimate $82 million in first year funding will be 
available for new awards for the fiscal year 1998 ATP competitions to 
be announced in the CBD. The actual number of proposals funded under 
each competition will depend on the quality of the proposals received 
and the amount of funding requested in the highest ranked proposals. 
Outyear funding beyond the first year is contingent on the approval of 
future Congressional appropriations and satisfactory project 
performance.

Eligibility Requirements, Selection Criteria, and Proposal Review 
Process

    The eligibility requirements, selection criteria, and the proposal 
review process are discussed in detail in the ATP implementing 
regulations published at 15 CFR Part 295, amended (62 FR, pages 64682-
64687, December 9, 1997), and the ATP Proposal Preparation Kit.

Funding Amounts, Award Period and Cost Sharing (Matching) 
Requirements

    (a) Single company recipients can receive ATP funds for R&D 
activities for up to 3 years, with ATP funding not to exceed $2 million 
for direct costs. ATP funds may only be used to pay for direct costs 
for single company recipients. Single company recipients are 
responsible for funding all of their overhead/indirect costs. Small and 
medium size companies applying as a single company proposers are not 
required to provide cost-sharing of direct costs. Large companies 
applying as single company proposers, however, must cost-share at least 
60 percent of the total project costs (direct plus indirect costs) for 
each quarter in each year of the award. A large company is defined as 
any business, including any parent company plus related subsidiaries, 
having annual revenues in excess of $2.578 billion. (Note that this 
number will likely change for future competitions and, if so, will be 
noted in future annual announcements of availability of funds and ATP 
Proposal Preparation Kits.)
    (b) Joint ventures can receive ATP funds for R&D activities for up 
to 5 years, with ATP funding a minority share of the total project 
costs. Joint ventures must cost-share (matching funds) more than 50 
percent of the total project costs (direct plus indirect costs) for 
each quarter that the ATP funds the project. Matching funds are defined 
in 15 CFR Part 295.2(1).
    (c) Funds derived from Federal sources may not be used to meet the 
cost sharing requirement. Additionally, subcontractors may not 
contribute toward the matching-fund requirement.

Application Forms and Proposal Preparation Kit

    A new December 1997 version of the ATP Proposal Preparation Kit is 
available upon request from the ATP at the address and phone numbers 
noted in this notice. The Kit is also available on the Internet through 
the World Wide Web under the heading Publications on the ATP home page 
http://www.atp.nist. gov. Note that the ATP will be mailing the Kit to 
all those individuals whose names are currently on the ATP mailing 
list. Those individuals need not contact the ATP to request the new 
Kit. The Kit contains proposal cover sheets, other required forms, 
background material, and instructions for submission of proposals. All 
proposals must be prepared in accordance with the instructions in the 
Kit.

Submission of Revised Proposals

    A proposer 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.

Other Requirements

    (a) Federal Policies and Procedures. Recipients and subrecipients 
are subject to all Federal laws and Federal and Department of Commerce 
policies, regulations, and procedures applicable to Federal financial 
assistance awards as identified in the cooperative agreement award.

[[Page 65681]]

    (b) Past Performance. Unsatisfactory performance under prior 
Federal awards may result in a proposal not being considered for 
funding.
    (c) Pre-award Activities. If proposers incur any costs prior to an 
award being made, they do solely at their own risk of not being 
reimbursed by the Government. Only written authorization from the NIST 
Grants Officer will obligate NIST to cover pre-award costs.
    (d) No Obligation for Future Funding. If a proposal is selected for 
funding, NIST has no obligation to provide any additional future 
funding in connection with that award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of NIST.
    (e) Delinquent Federal Debts. No award of Federal funds shall be 
made to a proposer 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 NIST are made.
    (f) Name Check Review. All for-profit and non-profit proposers are 
subject to a name check review process. Name checks are intended to 
reveal if any key individuals associated with the proposer have been 
convicted of or are presently facing criminal charges such as fraud, 
theft, perjury, or other matters which significantly reflect on the 
proposer's management, honesty, or financial integrity.
    (g) Primary Applicant Certification. All primary proposers 
(including all joint venture participants) 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 is hereby provided:
    (1) 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;
    (2) Drug-Free Workplace. Grantees (as defined at 15 CFR part 605) 
are subject to 15 CFR 26, subpart F, ``Governmentwide Requirements for 
Drug-Free Workplace (Grants)'' and the related section of the 
certification form prescribed above applies;
    (3) Anti-Lobbying. Persons (as defined at 15 CFR part 28, section 
105) are subject to the lobbying provisions of 31 U.S.C. 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
    (4) Anti-Lobbying Disclosures. Any proposer 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.
    (h) Lower Tier Certification. Recipients shall require proposers/
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.
    (i) False Statements. 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.
    (j) Intergovernmental Review. 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.
    (k) American-Made Equipment and Products. Proposers are hereby 
notified that they are encouraged, to the greatest extent practicable, 
to purchase American-made equipment and products with the funding 
provided under this program in accordance with Congressional intent.
    (l) Paperwork Reduction Act. This notice contains collection of 
information requirements subject to the Paperwork Reduction Act (PRA), 
which have been approved by the Office of Management and Budget (OMB 
Control Nos. 0693-0009 and 0348-0046). 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 PRA, 
unless that collection of information displays a currently valid OMB 
Control No.
    (m) If a proposer's proposal is judged to be of high enough quality 
to be invited in for an oral review, ATP reserves the right to submit a 
list of questions to the proposer that must be addressed at the oral 
review.
    (n) There are certain types of projects that ATP will not fund 
because they are inconsistent with the ATP mission. These include:
    (1) Straightforward improvements of existing products of product 
development.
    (2) Projects that are predominately basic research.
    (3) Pre-commercial scale demonstration projects where the emphasis 
is on demonstration that some technology works on a large scale rather 
than on R&D.
    (4) Projects involving military weapons R&D or R&D that is of 
interest only to some mission agency rather than to the commercial 
marketplace.
    (5) Projects that ATP believes would likely be completed with or 
without ATP funds in the same time frame or nearly the same time frame.
    (o) Certain costs that may be allowed in Federal financial 
assistance programs are not eligible for funding under ATP awards. 
Section E of the Proposal Preparation Kit lists these costs.

    Dated: December 9, 1997.
Elaine Bunten-Mines,
Director, Program Office.
[FR Doc. 97-32623 Filed 12-10-97; 12:27 pm]
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