[Federal Register Volume 66, Number 98 (Monday, May 21, 2001)]
[Notices]
[Pages 27943-27946]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12687]


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DEPARTMENT OF COMMERCE

Technology Administration

[Docket No.: 010514126-1126-01]
RIN 0692-ZA00


Under Secretary/Office of Technology Policy Grants Program

AGENCY: Technology Administration, Commerce.

ACTION: Notice of availability of funds.

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SUMMARY: The Office of Technology Policy, Technology Administration, 
U.S. Department of Commerce invites proposals from eligible 
organizations for funding projects under the Under Secretary/Office of 
Technology Policy (US/OTP) Grants Program. Under this program, the 
Under Secretary/Office of Technology Policy will provide grants and 
cooperative agreements in the following areas: Identifying Government 
Policies That Affect Innovation, Supporting State and Local Efforts to 
Harness Technology for Economic Development, and Facilitating 
Technology Development and Transfer.

DATES: The US/OTP Grants Program proposals must be received no later 
than the close of business September 30, 2001. Proposals received after 
June 30, 2001 will continue to be processed and considered for funding 
but may be funded in the next fiscal year, subject to the availability 
of funds.

ADDRESSES: Applicants are requested to submit one signed original and 
two copies of the proposal, along with a Grant Application, (Standard 
Form 424 REV. 7/97 and other required forms), clearly marked to 
identify the field of research, to: Jon Paugh; Office of Technology 
Policy; Technology Competitiveness Staff, Room 4418; United States 
Department of Commerce; 14th & Constitution Ave.; Washington, DC 20239; 
Tel: (202) 482-2100; E-mail: [email protected]

FOR FURTHER INFORMATION CONTACT: Karen Laney-Cummings; Office of 
Technology Policy; Technology Competitiveness Staff, Room 4418; United 
States Department of Commerce; 14th & Constitution Ave.; Washington, DC 
20239; Tel: (202) 482-2100; E-mail: [email protected]

SUPPLEMENTARY INFORMATION:

    Authority: The authority for the US/OTP Grants Program is as 
follows: As authorized by 15 U.S.C. 3704 (b) and (c) and 15 U.S.C. 
3706, the Office of Technology Policy conducts directly, and 
supports through grants and cooperative agreements, a program of 
policy analysis and development relating to technological innovation 
and its contribution to economic growth and industrial 
competitiveness.

    Background: The responsibilities of the Office of Technology Policy 
(OTP) are defined by the Stevenson-Wydler Technology Innovation Act, 15 
U.S.C. 3701 et seq., and related legislation, detailed below. The 
Stevenson-Wydler Technology Innovation Act requires the Assistant 
Secretary for Technology Policy, who serves as Director of OTP, to 
support the Under Secretary for Technology in carrying out the Act's 
policy responsibilities by:
     Conducting technology policy analyses to improve United 
States industrial productivity, technology, and innovation, and 
cooperate with United States industry in the improvement of its 
productivity, technology, and ability to compete successfully in world 
markets;
     Identifying technological needs, problems, and 
opportunities within and across industrial sectors that, if addressed, 
could make a significant contribution to the economy of the United 
States;
     Supporting studies and policy experiments, in cooperation 
with other Federal agencies, to determine the effectiveness of measures 
with the potential of advancing U.S. technological innovation;
     Encouraging and assisting joint initiatives by State or 
local governments, regional organizations, private businesses, 
institutions or higher education, nonprofit organizations, or Federal 
laboratories to encourage technology transfer, to stimulate innovation, 
and to promote an appropriate climate for investment in technology-
related industries;
     Serving as a convener for discussions among U.S. companies 
on topics of interest to industry and labor, including discussions 
regarding manufacturing or emerging technologies.
    In addition, the Stevenson-Wydler Technology Innovation Act, the 
Federal Technology Transfer Act, 15 U.S.C. 3710, the Bayh-Dole Act, 15 
U.S.C. 200 et seq., and implementing regulations found at 37 CFR Parts 
401, 404, and 501 give OTP specific responsibilities to encourage 
cooperation between government, universities and industry in the 
development and diffusion of new technologies. OTP is to:
     Provide services to Federal agencies in support of the 
commercialization of technology developed at Federal laboratories
     Monitor agency use of cooperative agreements and prepare 
regular reports on agency use of those mechanisms
     Develop policies and issue regulations governing ownership 
and licensing of patents arising from Federally-funded research at 
universities and in small businesses
     Issue regulations governing licensing of Federally owned 
inventions by the federal agencies
     Decide disputes regarding ownership of patents between 
Federal agencies and their employees.
    Program Description and Objectives: Specific examples of policy-
related activities that OTP may wish to support through grants or 
cooperative agreements are presented here in terms of OTP's areas of 
policy activity:
    I. Identifying Government Policies That Affect Innovation--OTP is 
interested in identifying and analyzing government policy areas with a 
marked effect on private sector innovation. To this end, OTP is 
interested in proposals for projects related to emerging policy issues 
that affect the business environment for innovation--for example, 
regulatory barriers, tax and accounting rules, legal issues such as 
intellectual property rights or liability, investment incentives, 
capital availability, ethical issues, or workforce-related issues. 
Preferences will be given to issues that impact multiple business 
sectors or that may have spillover effects for the U.S. economy.

[[Page 27944]]

    II. Supporting State and Local Efforts to Harness Technology for 
Economic Development--OTP is primarily interested in four subtopics. 
First, OTP is interested in developing a systematic body of knowledge 
regarding the manner in which Federal laboratories seek to support 
economic development in the communities in which they reside, and 
identifying and analyzing the most effective practices utilized by the 
Federal laboratories for this purpose. The object of this effort is to 
improve the contribution that Federal laboratories make to local 
economies.
    Second, OTP is also interested in improving the availability of 
web-based sources of data pertaining to technology-based economic 
growth, particularly at the sub-state and multi-state levels. Proposals 
are invited for projects that will assemble and analyze data from a 
variety of sources about factors that affect high technology industry 
growth. Such a database should allow users to customize data sets from 
multiple sources.
    Third, OTP is interested in data development and dissemination 
focusing on public programs' and private entities' efforts to provide 
capital to new and young technology firms to generate local economic 
growth ant technological innovation.
    Fourth, OTP is also interested in data development and 
dissemination efforts relating to the comparison of outcomes and 
determination of best practices in business incubators. Such efforts 
might be based on quantitative data and case studies where appropriate. 
OTP is particularly interested in expanding understanding of those 
incubators that are affiliated with universities or Federal labs.
    Specific outcomes for any project may include, but not be limited 
to, reference guides for analysts, policy makers and program 
practitioners, the identification of best practices, databases to 
improve knowledge and program performances, and further progress toward 
measurement and performance criteria.
    III. Facilitating Technology Development and Transfer--OTP is 
interested in developing a better understanding of the barriers to 
research collaboration and technology licensing between the private 
sector and the Federal laboratories. It is especially interested in 
studies that identify and analyze in detail specific areas where these 
entities' views and practices diverge in connection with such 
undertakings. It is also interested in identifying the kinds of 
information and process that can best enable private sector parties to 
identify Federal laboratories with the competencies they are seeking. 
In addition, OTP is interested in developing a more detailed knowledge 
base concerning the issues arising from university technology transfer 
with industry under the Bayh-Dole Act, 15 U.S.C. 200 et seq.
    OTP is also interested in proposals that may illuminate questions 
of measurements relating to the technology policy process. For example, 
while R&D investment and patent grants are useful for measuring 
technology creation activity, equally effective measures are needed for 
better gauging the effective use of technology by industry. Another 
important area relates to measuring the performance of the many 
companies that rely increasingly on investment and management of 
intangible assets such as human intelligence, knowledge, ideas, skills, 
brand recognition, and organizational capabilities. Often referred to 
as intellectual capital (IC), these and other intangible assets are 
neither precisely defined nor systematically measured.
    Eligibility: Under 15 U.S.C. Sec. 3706, any person is eligible for 
this program. When applicable, applicants should designate themselves 
on the SF-424 as institutions of higher education; non-profit 
organizations; commercial organizations; international organizations; 
or state, local, and Indian tribal governments.
    In addition, US/OTP will accept applications from authorized 
Federal organizations and compete them with applications from non-
Federal applicants. Before a Federal applicant may be considered for 
funding, it must demonstrate that it has statutory authority to receive 
funds from another Federal organization in excess of its appropriation. 
As this announcement is not proposing to procure goods or services for 
US/OTP from applicants, the Economy Act, 31 U.S.C. Sec. 1535, is not an 
appropriate legal basis.
    Proposals selected for funding from non-Federal applicants will be 
funded through a project grant or cooperative agreement under the terms 
of this Notice. Proposals selected for funding from Federal agencies 
will be funded through an interagency or intra-agency transfer 
agreement, as applicable.
    Funding Availability: In fiscal year 2001, the US/OTP Grants 
Program anticipates funding of approximately $400,000, including new 
awards and continuing projects. Most grants and cooperative agreements 
are expected to be in the $20,000 to $50,000 per year range.
    Proposal Review Process and Evaluation Criteria: First, all 
proposals will be reviewed by OTP staff to determine whether the 
proposal supports one of OTP's areas of policy responsibility, as 
described in this Notice. Second, proposals meeting that threshold test 
will be reviewed and ranked by at least three independent reviewers 
knowledgeable about the relevant subject area that will be appointed by 
the OTP Staff Directors.
    The reviewers will use the following evaluation criteria:
    1. Importance of the proposed research--Does it have the potential 
of answering or providing new insight into pressing questions in areas 
of OTP's policy responsibilities? (60%)
    2. Expertise and Experience--Does the proposal provide evidence of 
the applicant's expertise in the relevant subject area? Does the 
proposal provide evidence that the quality of the research previously 
carried out by the applicant is such that there is a high probability 
that the proposed research will be successfully carried out? (20%)
    3. Budget--Is the proposed budget reasonable, and is adequate 
rationale provided for costs? (10%)
    4. Implementation Plan--Does the proposal include a reasonable plan 
for achieving the project goals, and a realistic schedule for the 
performance of the work, with defined milestones? (10%)
    Reviews will be conducted on a bi-monthly basis during the third 
quarter and fourth quarters of the fiscal year, which ends September 
30, 2001.
    Third, the results of the reviews will be provided to the Selecting 
Official, the Director of the Office of Technology Competitiveness, 
OTP, who will make funding recommendations, taking into account the 
following:
     The evaluation and ranking by the reviewers,
     The evaluation criteria listed above,
     The degree to which the slate of recommended applications, 
taken as a whole, satisfies the program's stated purposes, and
     The availability of funds.
    Any selection recommendation outside the ranking of the reviewers 
shall be justified in writing by the Selecting Official on the basis of 
one or more of the above selection factors.
    Fourth, the final approval of selected applications and the award 
of financial assistance will be made by the Technology Administration's 
National Institute of Standards and Technology (NIST) Grants Officer, 
who will handle administration of these awards. The Grants Officer's 
approval will be based on compliance with application requirements as 
published in this Notice, compliance with applicable legal and 
regulatory requirements, and whether the recommended applicants

[[Page 27945]]

appear to be responsible. The decision of the Grants Officer is final.
    Prior to award, applicants may be asked to modify objectives, work 
plans, or budgets, and provide supplemental information required by the 
agency.
    Applicants should allow up to 90 days processing time.
    Award Period: Proposals will generally be considered for research 
projects for one year. If a proposal for a multi-year project is 
submitted and approved, funding will initially be provided for only the 
first year of the program. If an application is selected for funding. 
DoC has no obligation to provide any additional funding in connection 
with that award. Funding for each subsequent year of a multi-year 
proposal will be contingent on satisfactory progress, continuing 
relevance to OTP's mission, and the available of funds.
    Matching Requirements: Pursuant to 15 U.S.C. 3706, the Office of 
Technology Policy Grants Program may not fund more than 75 percent of 
any project performed under a grant or cooperative agreement. 
Therefore, at least 25 percent matching funds are required for all 
financial assistance awarded under this program.
    Application Kit: An application kit, containing all required 
application forms and certifications is available by contacting: 
Claudeen Julia; Office of Technology Policy; Technology Competitiveness 
Staff, Room 4418; United States Department of Commerce; 14th & 
Constitution Ave.; Washington, DC 20239; Tel: (202) 482-2100; E-mail: 
[email protected]

Additional Information

    Funding Availability: Awards are contingent on the availability of 
funds.
    Catalog of Federal Domestic Assistance Name and Number: 11.615, 
Office of Technology Policy Grants Program.
    For Further Information Contact: All grants administration 
questions concerning these programs should be directed to the NIST 
Grants Office at (301) 975-5718.
    Application Kit: The application kit includes the following:

SF 424 (Rev 7/97)--APPLICATION FOR FEDERAL ASSISTANCE
SF 424A (Rev 7/97)--BUDGET INFORMATION--Non-Construction Programs, 
including a detailed budget narrative explaining the details of each 
budget category and the basis for the cost. If indirect costs are 
included in the budget, a copy of the applicant's negotiated indirect 
cost rate must be submitted, if available.
SF 424B (Rev 7/97--ASSURANCE--Non-Construction Programs
CD 511 (7/91)--CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER 
RESPONSIBILITY MATTERS; DRUG-FREE WORKPLACE REQUIREMENTS AND LOBBYING
CD 512 (7/91)--CERTIFICATION REGARDING DEBARMENT, SUSPENSION, 
INELIGIBILITY AND VOLUNTARY EXCLUSION--LOWER TIER COVERED TRANSACTIONS 
AND LOBBYING
SF-LLL--DISCLOSURE OF LOBBYING ACTIVITIES
CD-346--APPLICANT FOR FUNDING ASSISTANCE

    Paperwork Reduction Act: The Standard Forms 424, 424A, 424B and SR-
LLL in the application kit are subject to the requirements of the 
Paperwork Reduction Act and have been approved by the Office of 
Management and Budget (OMB) under Control No. 0348-0043, 0348-0044, 
0348-0040, and 0348-0046. CD-346 is approved under OMB Control No. 
0605-0001.
    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, subject to the requirements of 
the Paperwork Reduction Act, unless that collection of information 
displays a currently valid OMB Control Number.
    Research Projects Involving Human Subjects, Human Tissue, Data or 
Recordings Involving Human Subjects: Any proposal that includes 
research involving human subjects, human tissue, data or recording 
involving human subjects must meet the requirements of the Common Rule 
for the Protection of Human Subjects, codified for the Department of 
Commerce (DoC) 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.
    The NIH recently released their guidelines on the use of human 
pluripotent stem cells derived from human embryos in research. The DoC 
is currently reviewing these guidelines. Until DoC has had the 
opportunity to fully assess the new guidelines and develop appropriate 
implementing procedures, DoC 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 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, DoC 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. DoC also will accept the submission of human subjects protocols 
that have been approved by IRBs possessing a current, valid FWA from 
DHHS. DoC will not issue an SPA for any IRB reviewing any human 
subjects protocol proposed to OTP.
    Research Projects Involving Vertebrate Animals: 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. These regulations do not apply to proposed research using 
pre-existing images of animals or to research plans that do not include 
live animals that are being cared for, euthanased, or used by the 
project participants to accomplish research goals, teaching, or 
testing. These regulations also do not apply to obtaining animal 
materials from commercial processors of animal products or to animal 
cell lines or tissues from tissue banks.
    Type of Funding Instrument: The funding instrument will be a grant 
or cooperative agreement, depending on the nature of the proposed work. 
A grant will be used unless OTP is ``substantially involved'' in the 
project, in which case a cooperative agreement

[[Page 27946]]

will be used. A common example of substantial involvement is 
collaboration between OTP personnel and recipient personnel. Further 
examples are listed in Section 5.03.d of Department of Commerce 
Administrative Order 203-26, which can be found at http://wwhttp://
www.osec.doc.gov/bmi/daos/203-26.htm. OTP will make decisions regarding 
the use of a cooperative agreement on a case-by-case basis. Funding for 
contractual arrangements for services and products for delivery to OTP 
is not available under this announcement.

Additional Requirements

    Primary Application Certifications: All primary applicant 
institutions must submit a completed form CD-511, ``Certifications 
Regarding Debarment, Suspension and Other Responsibility Matters; Drug-
Free Workplace Requirements and Lobbying,'' and the following 
explanations must be provided:
    1. Nonprocurement Debarment and Suspension. Prospective 
participants (as defined at 15 CFR part 26, Section 105) are subject to 
15 CFR part 26, ``Nonprocurment 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 26, 
Section 605) are subject to 15 CFR part 26, Subpart F, ``Government 
wide 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, 
``Limitation 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.
    4. Anti-Lobbying Disclosure. Any applicant institution 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.
    5. Lower-Tier Certifications. Recipients shall require applicant/
bidder institutions 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 disclosure form, SF-LLL, 
``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the 
use of recipients and should not be transmitted to NIST. SF-LLL 
submitted by any tier recipient or subrecipient should be submitted to 
NIST in accordance with the instructions contained in the award 
document.
    Name Check Reviews: All for-profit and non-profit applicants will 
be 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. Form CD-346 must 
be completed for all personnel with key programmatic or fiduciary 
responsibilities.
    Preaward 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 DoC to cover pre-award costs.
    No Obligation for Future Funding: If an application is accepted for 
funding, DoC 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 DoC.
    Past Performance: Unsatisfactory performance under prior Federal 
awards may result in an application not being considered for funding.
    False Statements: A false statement on an application is 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.
    Delinquent Federal Debts: No award of Federal funds shall be made 
to an applicant who has an outstanding delinquent Federal debt until 
either:
    1. The delinquent account is paid in full.
    2. A negotiated repayment schedule is established and at least one 
payment is received, or
    3. Other arrangements satisfactory to DoC are made.
    Indirect costs: Regardless of any approved indirect cost rate 
applicable to the award, the maximum dollar amount of allocable 
indirect costs for which the DoC will reimburse the Recipient shall be 
the lesser of:
    (a) the Federal Share of the total allocable indirect costs of the 
award based on the negotiated rate with the cognizant Federal agency as 
established by audit or negotiation; or
    (b) the line item amount for the Federal share of indirect costs 
contained in the approved budget of the award.
    Purchase of American-Made Equipment and Products: Applicants are 
hereby notified that they are encouraged, to the greatest practicable 
extent, to purchase American-made equipment and products with funding 
provided under this program.
    Federal Policies and Procedures: Recipients and subrecipients under 
each of the above grant programs shall be subject to all Federal laws 
and Federal and Departmental regulations, policies, and procedures 
applicable to financial assistance awards, including 15 CFR part 14 and 
15 CFR part 24, as applicable.
    The OTP Grants Program does not directly affect any state or local 
government.
    Applications under this program are not subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    Executive Order Statement: This funding notice was determined to be 
``not significant'' for purposes of Executive Order 12866.

    Dated: May 15, 2001.
Karen H. Brown,
Acting Under Secretary for Technology.
[FR Doc. 01-12687 Filed 5-18-01; 8:45 am]
BILLING CODE 3510-18-M