[Federal Register Volume 66, Number 193 (Thursday, October 4, 2001)]
[Notices]
[Pages 50615-50618]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-24928]


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DEPARTMENT OF COMMERCE

National Institute of Standards and Technology

[Docket No.: 010924230-1230-01]
RIN 0693-ZA46


State Relations Rapid Response Team (SR3 Team) Grants Program

AGENCY: National Institute of Standards and Technology, Commerce.

ACTION: Notice of Availability of Funds.

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SUMMARY: The National Institute of Standards and Technology 
Manufacturing Extension Partnership program (NIST-MEP) invites 
proposals from qualified organizations to facilitate dialog among 
participants in the MEP system and its stakeholders, including state 
governments, MEP Centers, industry, and NIST. All organizations meeting 
the eligibility requirements provided herein are invited to submit 
proposals.

DATES: Proposals from qualified applicants must be received no later 
than 5:00 PM Eastern Standard Time November 5, 2001.

ADDRESSES: For the SR3 Team Grants Program, each applicant must submit 
one signed original and two copies of the proposal along with a Grant 
Application Kit (Standard Form 424 Rev. 7/97, and other required forms/
documentation) to: Manufacturing Extension Partnership Program (MEP); 
ATTN: Jennifer Ruggles; National Institute of Standards and Technology; 
100 Bureau Drive, Stop 4800; Gaithersburg, MD 20899-4800; Telephone: 
(301) 975-4749; E-mail:[email protected]; Website: http://www.mep.nist.gov.

FOR FURTHER INFORMATION CONTACT: Jennifer Ruggles; National Institute 
of Standards and Technology; 100 Bureau Drive, Stop 4800; Gaithersburg, 
MD 20899-4800; Telephone: (301) 975-4749; E-mail:[email protected]. 
All grants administration questions concerning this program should be 
directed to the NIST Grants Office at (301) 975-6329; 
[email protected].

SUPPLEMENTARY INFORMATION:
    Authority: The authority for the SR3 Team Grants Program is as 
follows: As authorized by 15 U.S.C. 272 (b)(1) and (c)(17), the NIST 
3R3 Team Grants Program conducts a basic and applied research program 
directly and through grants and cooperative agreements to eligible 
recipients.
    Background: The MEP system of centers and field offices is a 
federal-

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state-industry partnership. The strength of this partnership is that it 
has the potential to integrate federal and state public policy goals, 
utilizing market forces designed to address the unique needs of 
individual small manufacturers. This integration is driven in no small 
part by the nature of funding for individual MEP centers. The stated 
goal of funding \1/3\rd of Center costs from federal investment, \1/
3\rd from state investment, and \1/3\rd from private sources (typically 
fee for service) reflects this strong desire for an evenly balanced 
partnership.
    On the public sector side of the funding equation, the balance of 
federal and state investment in the centers reflects the need and 
desire for balancing U.S. national policy priorities with those of our 
state partners. Both federal and state partners are interested in 
addressing the core challenges facing small manufacturers in remaining 
globally competitive, but the variety of regional economic and 
political concerns causes disparities between priorities from state to 
state and between the states and the Federal government. Given the 
unique nature of the MEP network, successful provision of MEP services 
for the public benefit depends on the alignment of state policy goals 
with the goal of improving technology transfer to manufacturers.
    Program Description and Objectives: The objective of the SR3 Team 
Grants Program is to implement strategies that will facilitate dialogue 
among participants in the MEP system and its stakeholders, including 
state governments, MEP Centers, industry, and NIST. The primary reasons 
for encouraging this dialogue are to support the network of 
manufacturing extension centers by enabling them to respond more 
effectively to their state investors, and to increase the level of 
engagement of all state and local technology-oriented economic 
development partners in the MEP network.
    In considering how to implement this project's mission, MEP has 
identified four three priority strategies for enhancing the MEP-state 
relationship: (1) Network building, (2) competitive intelligence/
knowledge building, and (3) capacity building and technical assistance 
which are explained in more detail below. The recipient(s) that 
receive(s) the award(s) should be competent in these areas.
    The network building strategy should facilitate networking among 
state thought leaders, policy makers, and practioners involved in 
technology-based economic development planning and program 
implementation. The recipient should understand the needs of state 
stakeholders and help encourage a dialogue among interested parties, 
including states, MEP Centers, and industry, about how the MEP 
partnership best fits into particular state strategies and priorities, 
and how manufacturers and the public benefit from manufacturing 
extension activities.
    The competitive intelligence/knowledge building strategy should 
develop information about the current state of the partnership between 
states, MEP Centers, industry, and NIST through intelligence 
gathering,'' and provide tools to help the partners in the MEP improve 
and sustain relationships.
    The capacity building and technical assistance strategy should 
involve the use of highly skilled consultants to: (a) Develop 
strategies to improve manufacturing extension services by enhancing 
relationships between Centers and states; and (b) intervene in State/
Center relations when communication gaps occur. These consultants 
should be able to spend time with the Centers, their boards, and/or 
states on a one-on-one basis to explore the environment and offer 
solutions to enhance manufacturing extension services by improving 
states' relationships with Centers. The recipient would be expected to 
set up high-level meetings and travel to the state stakeholders that 
can make decisions about the funding and positioning of the Center 
within the State priorities. To do this most effectively, the recipient 
should have a database of information about key state leaders that is 
accessible to partners in the MEP system.
    Eligibility: Eligible applicants are institutions of higher 
education, non-profit organizations, and commercial organizations.
    Funding Availability: For the SR3 Team Grants Program, the NIST 
Manufacturing Extension Partnership Program anticipates funding of 
approximately $200,000 annually. The expectation is to award one 
proposal. However, NIST MEP reserves the right to divide the total 
award amount to multiple recipients in the event that all the 
priorities cannot be met in their entirety by one proposal. Proposals 
may be subdivided and partially funded to accommodate this approach.
    Proposal Review and Evaluation Criteria: NIST will conduct an 
initial screening of all applications received by the deadline for non-
responsive proposals, which will not be considered further.
    NIST will then appoint at least three independent, objective 
individuals with relevant expertise to conduct an objective evaluation 
of each responsive proposal in accordance with the evaluation criteria 
set forth in this Notice. The reviewers may discuss the proposals, but 
each reviewer will rate the proposals independently. No consensus 
advice will be given by the reviews.
    Next, one or more Federal employees will establish a rank order of 
the proposals based on the reviewers' scores, statistically normalized 
if discrepancies in scoring are apparent, and will present the rank 
order and the reviewers' comments to the Selecting Official, the MEP 
Director. The Selecting Official will select proposals for prospective 
funding based on the rank order, the compatibility of the proposals 
with the program objective and priorities described above, and the 
availability of funds. The Selecting Official may select proposals out 
of rank order. If the Selecting Official selects out of rank order, 
they must justify the selection in writing based on these factors.
    The final approval of selected applications and award of financial 
assistance will be made by the NIST Grants Officer, based on compliance 
with application requirements as published in this Notice, compliance 
with applicable legal and regulatory requirements, and whether the 
selected applicants appear to be competently managed, responsible, and 
committed to achieving the objectives of the awards they receive.
    Applicants may be asked to modify objectives, work plans, or 
budgets and provide supplemental information required by NIST prior to 
award.
    The decision of the Grants Officer is final.

Evaluation Criteria

    1. Past performance, corporate capability, administration and 
management expertise (40 points).
    (a) Experience and capability to conduct work of the type and the 
scope requested in this notice.
    (b) Ability to develop and manage teams and multi-dimensional 
partnerships to support this objective.
    (c) Experience conducting high quality analyses within time, scope 
and budget.
    (d) Ability to provide stability, continuity, and uniformity of 
staff and management over the life of the award.
    2. Technical approach (30 points).
    (a) Tasks and overall direction, oversight, and allocation against 
the various elements required in this multi-faceted effort. Soundness 
of technical approach for managing resources.
    (b) Proposer's understanding and experience operating in a fast-

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turnaround environment to conduct high quality research, evaluation, 
and program monitoring in support of the MEP system's policy and 
program needs.
    3. Quality, experience, and breadth of technical and professional 
personnel (30 points).
    (a) Experience with the MEP system, government or other public 
programs and polices. Preference is given to the categories of prior 
experience in the following order:
    (1) Developed and maintained relationships with state economic 
development entities and other non-Federal MEP stakeholders.
    (2) Developed and delivered technical assistance in the areas of 
manufacturing extension, technology deployment and manufacturing center 
performance.
    Award Period: For the SR3 Team Grants Program, proposals will be 
considered from one to five years. When a proposal for a multi-year 
award is approved, funding will generally be provided for only the 
first year of the program. Funding for each subsequent year of a multi-
year proposal will be contingent upon satisfactory progress and 
continued relevance to the mission of the SR3 Team Grants Program, and 
the availability of funds. If an application 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. The multi-
year awards must have scopes of work that can be easily separated into 
annual increments of meaningful work that represent solid 
accomplishments if prospective funding is not made available to the 
applicant (i.e., the scopes of work for each funding period must 
produce identifiable and meaningful results in and of themselves).
    Matching Requirements: The SR3 Team Grants Program does not require 
any matching funds by the applicants.
    Catalog of Federal Domestic Assistance Name and Number: Measurement 
and Engineering Research and Standards--11.609.
    Application Kit: Each applicant must submit one signed original and 
two copies of the proposal along with a Grant Application Kit. An 
application kit, containing all required application forms and 
certifications is available by contacting Jennifer Ruggles, 
[email protected], (301) 975-4749. It is also available at the 
website: www.mep.nist.gov.
    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 (7/97)--ASSURANCES--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 in the application kit involve a collection of 
information subject to the Paperwork Reduction Act. The use of Standard 
Forms 424, 424A, 424B, SF-LLL and CD-346 have been approved by OMB 
under the respective Control Numbers 0348-0043, 0348-0044, 0348-0040, 
0348-0046, and 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 of information subject to the 
Paperwork Reduction Act, unless that collection 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 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.
    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. For information about FWAs, 
please see the OHRP website at http://ohrp.osophs.dhhs.gov/irbasur.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) prossessing 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.

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 NIST is ``substantially involved'' in the project, in which case 
a cooperative agreement will be used. A

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common example of substantial involvement is collaboration between NIST 
scientists and recipient scientists or technicials. Further examples 
are listed in Section 5.03.d of Department of Commerce Administrative 
Order 203-26, which can be found at http://www.osec.doc.gov/bmi/daos/203-26.htm. NIST 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 NIST 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, ``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 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 application/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 
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 intends to reveal if any key 
individuals associated with the applicant have been convicted 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 NIST 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 NIST.

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 of 
the SR3 Team Grants Program 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 SR3 Team Grants Program does not directly affect any state or 
local government.
    Applications under the SR3 Team Grants Program are not subject to 
Executive Order 12372, ``Intergovernmental Review and Federal 
Programs.''
    Executive Order Statement: This funding notice was determined to be 
``not significant'' for purposes of Executive Order 12866.

    Dated: September 26, 2001.
Karen H. Brown,
Deputy Director.
[FR Doc. 01-24928 Filed 10-3-01; 8:45 am]
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