[Federal Register Volume 66, Number 1 (Tuesday, January 2, 2001)]
[Notices]
[Pages 96-99]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-33429]


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DEPARTMENT OF COMMERCE

National Institute of Standards and Technology

[Docket No.: 001215357-0357-01]
RIN 0693-ZA43


Announcement of Availability of Funds for a Competition--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 that it will hold a single 
fiscal year 2001 Advanced Technology Program (ATP) competition. This 
single competition will continue ATP's practice of being open to all 
technology areas, while also capturing the advantage and momentum of 
focused program planning. Through this single competition strategy, ATP 
encourages proposals from the many technical teams that have identified 
synergy between industry needs and ATP funding opportunities, 
accelerating the pursuit of critical elements of research which were 
identified in focused program plans. All fiscal year 2001 proposals 
received will be distributed to technology--specific source evaluation 
boards in areas such as advanced materials, biotechnology, electronics, 
information technology, etc. This notice provides general information 
regarding ATP competitions.

DATES: ATP will begin accepting proposals on January 10, 2001 through 3 
p.m. Eastern Time on September 30, 2001. ATP is also issuing a notice 
in the Commerce Business Daily (CBD) regarding this ATP competition.

ADDRESSES: Information on the ATP may be obtained from the following 
address: National Institute of Standards and Technology, Advanced 
Technology Program, 100 Bureau Drive, Stop 4701, Administration 
Building 101, Room A413, Gaithersburg, MD 20899-4701.
    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 you 
reach ATP voice mail, 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 ATP statute originated in the Omnibus Trade and Competitiveness 
Act of 1988 (Pub. L. 100-418, 15 U.S.C. 278n) and was amended by the 
American Technology Preeminence Act of 1991 (Pub. L. 102-245). This law 
has been codified at 15 U.S.C. 278n. The ATP implementing regulations 
are published at 15 CFR Part 295, as amended. The Catalog of Federal 
Domestic Assistance (CFDA) number and program title for the ATP are 
11.612, Advanced Technology Program (ATP).
    The ATP is a competitive cost-sharing program designed for the 
Federal government to work in partnership with industry to accelerate 
the development and broad dissemination of challenging, high-risk 
technologies that offer the potential for significant commercial 
payoffs and widespread benefits for the nation. This unique government-
industry partnership accelerates the development of emerging or 
enabling technologies leading to revolutionary new products, industrial 
processes and services that can compete in rapidly changing world 
markets. The ATP challenges industry to take on higher risk projects 
with commensurately higher potential payoff to the nation. The ATP 
provides multi-year funding to single companies and to industry-led 
joint ventures.
    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 
by providing technical assistance and monitoring the technical work, 
business progress, and expenditure of Federal funds.

Funding Availability

    An estimated $60.7 million in first year funding is available for 
new awards. The actual number of proposals funded under this 
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. The average yearly funding for fiscal year 2000 for a 
single company was $690,000, and for a joint venture it was $1,500,000.

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, as amended, and the ATP 
Proposal Preparation kit dated November 2000.
    No less often than every two months or after ATP has received 
approximately 100 proposals, ATP will group all proposals received 
during that period and review them as a group, called a ``batch.'' Each 
batch will be reviewed under a multiple stage and sequential review 
process to reduce the amount of information required at one time. Each 
stage in the process is called a ``gate.'' There are four gates as 
follows:
    (a) Gate 1--The proposer submits detailed information to address 
the scientific and technological merit selection criterion. 
Additionally, the proposer submits preliminary information to address 
the selection criterion on the potential for broad-based economic 
benefits. If the information submitted is determined to have high 
merit, ATP notifies the proposer and requests that the required 
additional information be submitted for consideration in Gate 2. If a 
proposal passes Gate 1, the proposer will have two weeks (14 calendar 
days) from notification to submit the required information in Gate 2.
    (b) Gate 2--The proposer submits more detailed information to 
address the potential for broad-based economic benefits selection 
criterion and detailed budget data. If the information

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submitted is determined to have high merit, ATP notifies the proposer 
of its selection as a semi-finalist and the proposal proceeds to Gate 
3.
    (c) Gate 3--The proposer is requested to submit required forms and 
additional documentation, as necessary, and may be invited to NIST for 
an oral review. If ATP determines, based on all the information 
received, that the proposal has sufficiently high merit to be funded, 
the proposal is considered a finalist and proceeds to Gate 4.
    (d) Gate 4--Final award processing and issuance, if selected.
    Additionally, the following requirements shall apply:
    (a) Semi-finalist proposals will be ranked in the following three 
categories: ``Superior,'' ``Fundable/Deferred,'' or ``Unfundable.''
    (b) Proposers may not submit replacement and/or revised pages and/
or documents for any portion of a proposal once that portion has been 
submitted unless specifically requested by NIST.
    (c) Once a proposer has received notification that their proposal 
will not be funded, the proposer may revise and resubmit that proposal 
for consideration one additional time within this competition.

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

    (a) A single company can receive up to $2 million in total for R&D 
activities for up to 3 years. 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 single company proposers are not 
required to provide cost-sharing of direct costs, however, they may pay 
a portion of the direct costs if they wish, in addition to all indirect 
costs. Large companies applying as single company proposers, however, 
must cost-share at least 60 percent of the yearly total project costs 
(direct plus all of the indirect costs). A large company is defined as 
any business, including any parent company plus related subsidiaries, 
having annual revenues in excess of $3.037 billion. (Note that this 
number will likely be updated annually and will be noted in future 
annual announcements of availability of funds and ATP Proposed 
Preparation Kits.)
    (b) Joint ventures (as defined in 15 CFR 295.2(i)) can receive 
funds for R&D activities for up to 5 years with no funding limitation 
other than the announced availability of funds. Joint ventures must 
cost-share (matching funds) more than 50 percent of the yearly total 
project costs (direct plus indirect costs). The term matching funds 
(cost-sharing) is defined in 15 CFR 295.2(l).
    (c) Funds derived from Federal sources may not be used to meet the 
cost-share requirement. Additionally, subcontractors may not contribute 
towards the cost-share requirement.

Application Forms and Proposal Preparation Kit

    A new November 2000 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 on the 
ATP website http://www.atp.nist.gov. Note that the ATP is 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 a 
copy. The Kit contains proposal cover sheets, other required forms, and 
all the necessary guidelines for developing an ATP proposal. All 
proposals must be prepared in accordance with the guidelines 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) If a proposal is selected as a semi-finalist, ATP reserves the 
right to submit a list of questions to the proposer.
    (b) 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 or 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 or is 
economically sound 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 without 
ATP funds in the same time frame or nearly the same time frame.
    (c) Certain costs that may be allowed in Federal financial 
assistance programs are not eligible for funding under ATP awards. The 
ATP Proposal Preparation Kit lists these costs.
    (d) For joint ventures, no costs shall be incurred under an ATP 
project by the joint venture members until such time as a joint venture 
agreement has been executed by all of the joint venture members and 
approved by NIST. NIST will withhold approval until it determines that 
a sufficient number of members have signed the joint venture agreement. 
Costs will only be allowed after the execution of the joint venture 
agreement and approval by NIST.
    (e) Any proposal that includes research involving human subjects, 
human tissue and/or cells, data or recordings involving human subjects 
must meet the requirements of the Common Rule for the Protection of 
Human Subjects, codified for the Department of Commerce at 15 CFR Part 
27. In addition, any proposal that includes research on these topics 
must be in compliance with any statutory requirements imposed upon NIH 
and other federal agencies regarding these topics, all regulatory 
policies and guidance adopted by NIH, FDA, and other Federal agencies 
on these topics, and all Presidential statements of policy on these 
topics, which are provided in the handbook entitled ``Advanced 
Technology Program Guidelines and Documentation Requirements for 
Research Involving Human and Animal Subjects.'' This handbook may be 
obtained through any of the options described in the FOR FURTHER 
INFORMATION CONTACT section of this notice.
    The National Institutes of Health recently released their 
guidelines on the use of human pluripotent stem cells derived from 
human embryos in research. The ATP is currently reviewing these 
guidelines. Until ATP has had the opportunity to fully assess the new 
guidelines and develop appropriate implementing procedures, ATP will 
not consider proposals that involve human pluripotent stem cells 
derived from human embryos for funding.
    On December 3, 2000, the U.S. Department of Health and Human 
Services (DHHS) introduced a new Federalwide Assurance of Protection of 
Human Subjects (FWA). The FWA covers all of an institution's Federally-
supported human subjects research, and eliminates the need for other 
types of Assurance documents. In anticipation of the new Assurance, the 
Office for

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Human Research Protections (OHRP) has suspended processing of multiple 
project assurance (MPA) renewals. All existing MPAs will remain in 
force until further notice. OHRP will continue to accept new single 
project assurances (SPAs) until approximately March 1, 2001. For 
information about FWAs, please see the OHRP website at http://ohrp.osophs.dhhs.gov/whatsnew.htm.
    In accordance with the DHHS change, NIST will continue to accept 
the submission of human subjects protocols that have been approved by 
Institutional Review Boards (IRBs) possessing a current, valid MPA from 
DHHS. NIST also will accept the submission of human subjects protocols 
that have been approved by IRBs possessing a current, valid FWA from 
DHHS. NIST will not issue an SPA for any IRB reviewing any human 
subjects protocol proposed to NIST.
    Requirements set forth in the handbook entitled ``Advanced 
Technology Program Guidelines and Documentation Requirements for 
Research Involving Human and Animal Subjects,'' shall also apply, with 
the exception of the guidance on assurances, which has been superceded 
by the recently published DHHS guidelines discussed in the previous two 
paragraphs. As stated above, this handbook may be obtained through any 
of the options in the FOR FURTHER INFORMATION CONTACT section of this 
notice.
    (f) Any proposal that includes research involving vertebrate 
animals must be in compliance with the National Research Council's 
``Guide for the Care and Use of Laboratory Animals'' which can be 
obtained from National Academy Press, 2101 Constitution Avenue, NW., 
Washington, DC, 20055. In addition, such proposals must meet the 
requirements of the Animal Welfare Act (7 U.S.C. 2131 et seq.), 9 CFR 
parts 1, 2, and 3, and if appropriate, 21 CFR part 58.
    In addition, all requirements as set forth in the handbook entitled 
``Advanced Technology Program Guidelines and Documentation Requirements 
for Research Involving Human and Animal Subjects,'' shall apply.
    (g) The intellectual property provisions found at 15 U.S.C. 
278n(d)(11) and 15 CFR 295.8 shall apply to all ATP awards.
    (h) Proposers shall provide sufficient funds in the project multi-
year budget for a project audit, including each joint venture 
participant. Subcontractors/subawardees who receive total funding under 
an ATP project totaling more than $300,000 each are also subject to the 
audit requirement. A subcontractor/subawardee is defined as an 
organization which receives a portion of the financial assistance from 
the recipient/awardee and assists the ATP recipient/awardee in meeting 
the project goals but does not include procurement of goods and 
services. It is the responsibility of the recipient to ensure that 
audits are performed in a timely fashion. Most routine audits can be 
performed by the recipient's external CPA. However, the Department of 
Commerce Office of Inspector General (DoC/OIG) and General Accounting 
Office (GAO) reserve the right to carry out audits as deemed necessary 
and appropriate. ATP recipients must be willing to submit to audits 
(e.g., audits of cost-accounting systems, direct-cost expenditures, 
indirect cost rates, or other periodic reviews) by the Inspectors 
General or GAO. Periodic project audits shall be performed as follows:
    (1) For awards less than 24 months, an audit is required at the end 
of the project.
    (2) For 2-, 3-, or 4-year awards, an audit is required after the 
first year and at the end of the project.
    (3) For 5-year awards, an audit is required after the first year, 
third year, and at the end of the project.
    Budgeting for an audit shall be as follows:
    (1) Proposers should allocate funds in their proposal budgets under 
the ``Other'' direct cost category for the project audit. For joint 
ventures, this must be included in each participant's budget, as each 
participant is responsible for the performance of their own project 
audit.
    (2) If an organization's indirect cost pool includes audit costs, 
this is acceptable. In these cases, an explanation must be provided in 
the budget narrative and no audit costs reflected under ``Other'' 
costs.
    (3) If a cognizant Federal agency auditor is resident within the 
company, the cognizant Federal agency auditor may perform the audit. In 
these cases, an explanation must be provided in the budget narrative 
and no audit costs reflected under ``Other'' costs or ``Indirect 
Costs.''
    Audits of all recipients shall be conducted in accordance with 
Government Auditing Standards (GAS), issued by the Comptroller General 
of the United States (the Yellow Book). If an ATP recipient is required 
to have an audit performed in accordance with OMB Circular A-133, 
Audits of States, Local Government, and Non-Profit Organizations, the 
annual Circular A-133 audit is deemed to meet the ATP audit 
requirement.
    If an ATP recipient does not have an annual Circular A-133 audit 
performed, the recipient should follow the following project audit 
requirements:
    (1) Audits for single company recipients shall be conducted using 
the NIST Program-Specific Audit Guidelines for Advanced Technology 
Program (ATP) Cooperative Agreements with Single Companies.
    (2) Audits for joint venture recipients shall be conducted using 
the NIST Program-Specific Audit Guidelines for Advanced Technology 
Program (ATP) Cooperative Agreements with Joint Ventures.
    (i) Indirect costs charged to ATP cooperative agreements or used as 
cost-sharing must be calculated in accordance with an approved indirect 
cost proposal. If a recipient has established an indirect cost rate 
with its cognizant Federal agency (the Federal agency providing the 
greatest dollars), the recipient must submit a copy of the negotiated 
agreement to the DoC/OIG for verification. If an indirect cost rate(s) 
has not been negotiated prior to receiving the award, then an indirect 
cost rate proposal must be submitted to the recipient's cognizant 
Federal agency within 90 days from the date of the award. Provisional 
rates provided by the joint venture participant in the indirect cost 
proposal may be used until approval is obtained or indirect cost rates 
are negotiated.
    (j) All ATP recipients must agree to adhere to the U.S. Export 
Administration laws and regulations and shall not export or re-export, 
directly or indirectly, any technical data created with Government 
funding under an award to any country for which the United States 
Government or any agency thereof, at the time of such export or re-
export requires an export license or other Governmental approval 
without first obtaining such licenses or approval and the written 
clearance of the NIST Grants Officer. The Bureau of Export 
Administration (BXA) shall conduct an annual review for any relevant 
information about a proposer and/or Recipient. NIST reserves the right 
to not issue any award or suspend or terminate an existing award in the 
event that significant adverse information about a proposer or 
Recipient is discussed by BXA to the NIST Grants Officer.
    (k) 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

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identified in the cooperative agreement award.
    (l) Past Performance. Unsatisfactory performance under prior 
Federal awards may result in a proposal not being considered for 
funding.
    (m) Pre-award Activities. Applicants (or their institutions) who 
incur any costs prior to an award being made do so solely at their own 
risk of not being reimbursed by the Government. Notwithstanding any 
verbal assurance that may have been provided, there is no obligation on 
the part of NIST to cover pre-award costs.
    (n) No Obligation for Future Funding. If a proposal is selected for 
funding, NIST has no obligation to provide any additional 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.
    (o) 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.
    (p) 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.
    (q) 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 26.105 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. Person (as defined at 15 CFR 28.105) 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.
    (r) 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.
    (s) 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.
    (t) 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.
    (u) 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.
    (v) 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, 0348-0046, and 0925-0418). 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 Number.
    (w) Executive Order Statement. This funding notice was determined 
to be ``not significant'' for purposes of Executive Order 12866.

    Dated: December 27, 2000.
Raymond G. Kammer,
Director.
[FR Doc. 00-33429 Filed 12-29-00; 8:45 am]
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