Draft Federal Funding Opportunity (FFO)

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

• Federal Agency Name: National Institute of Standards and Technology (NIST), Department of Commerce (DOC)

• Funding Opportunity Title: Manufacturing Extension Partnership (MEP) Availability of Funds for two regions including the state of Arizona and Chicago region of the state of Illinois

• Announcement Type: Initial

• Funding Opportunity Number: 2009-NIST-MEP-Arizona and 2009-NIST-MEP-Chicago

• Catalog of Federal Domestic Assistance (CFDA) Number: 11.611

• Dates: All applications must be post-marked no later than 5:00 p.m. Eastern Daylight Savings Time on [insert date 60 days from date of publication of the Federal Register notice]. Late proposals will not be reviewed nor considered.

• Proposal Submission:

• For electronic submission - Applicants should follow the Application Instructions provided at www.grants.gov

- Paper submission: National Institute of Standards and Technology

Manufacturing Extension Partnership

c/o Diane Henderson

100 Bureau Drive, Stop 4800

Gaithersburg, MD 20899-4800

Applicants must submit one signed original and two (2) copies of their proposal that is plainly marked on the outside of the package that it contains a Manufacturing Extension Partnership Center proposal.

• Funding Opportunity Description: The National Institute of Standards and Technology invites proposals from qualified organizations for funding projects that provide manufacturing extension services to primarily small- and medium-sized manufacturers in the United States. These projects will establish manufacturing extension centers under the Manufacturing Extension Partnership Program.

Proposals are invited for the expansion of manufacturing extension service capacity within two discrete geographic areas in the United States. The two areas are:

• Illinois - The region includes: McHenry, Kane, DuPage, Cooke, Chicago, Will and Lake counties

• Arizona – The region includes entire state of Arizona

• Total Amount to be Awarded: It is anticipated that up to $3.473 million in cooperative agreements will be available to support manufacturing extension centers under this announcement. The funding level for individual awards is not prescribed.

• Anticipated Amounts: NIST anticipates funding 2 proposals at the level of up to $1,058,000 for the state of Arizona and up to $2,415,000 for the Chicago region of Illinois. The projects awarded under this program will have a budget and performance period of one year. Each award may be renewed on an annual basis subject to the review requirements described in 15 CFR 290.8. Renewal of each project shall be at the sole discretion of NIST and shall be based upon satisfactory performance, priority of the need for the service, existing legislative authority, and availability of funds.

Projects are expected to start within 30 days of award notice.

• Funding Instrument: Cooperative Agreement

• Who Is Eligible: Manufacturing extension centers must be affiliated with a U.S.-based not-for-profit institution or organization. MEP interprets not-for-profit organizations to include universities and state and local governments. Eligible applicants may be consortia of non-profit institutions. Existing MEP manufacturing extension centers are eligible.

• Cost Sharing Requirements: A non-federal cost share contribution from the applicant is required.

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

The National Institute of Standards and Technology invites proposals from qualified organizations for funding projects that provide manufacturing extension services to primarily small- and medium-sized manufacturers in the United States. These projects will establish manufacturing extension centers under the Manufacturing Extension Partnership (MEP) Program.

Proposals are invited for the expansion of manufacturing extension service capacity within two discrete geographic areas in the United States. The two areas are:

• Illinois - The region includes: McHenry, Kane, DuPage, Cooke, Chicago, Will and Lare counties

• Arizona – The area includes entire state of Arizona

All organizations meeting eligibility requirements provided herein are invited to submit proposals.

The objective of these centers is to enhance productivity, technological performance, and strengthen the global competitiveness of small- and medium-sized U.S. based manufacturing firms.

These manufacturing extension centers will become part of the MEP national system of extension service providers. Currently, the MEP national system consists of over 400 centers and field offices located throughout the United States and Puerto Rico. Information regarding MEP and these centers is provided in the information packet that can be obtained as explained above or on-line at http://www.mep.nist.gov.

The objective of the projects funded under this program is to provide manufacturing extension services to primarily small- and medium-sized manufacturers in the United States. These services are provided through the coordinated efforts of a regionally-based manufacturing extension center and local technology resources. The management and operational structure of the manufacturing extension center is not prescribed, but should be based upon the characteristics of the manufacturers in the regional and locally available resources with demonstrated experience working with manufacturers. The proposal should include plans for integration into the MEP national system and linkages to appropriate national resources.

The focus of the center is to provide those manufacturing extension services required by the small- and medium-sized manufacturers in its service region utilizing the most cost effective, local, leveraged resources for those services. It is not the intent of this program that the centers perform research and development.

Authority: 15 U.S.C. 278k, as implemented in 15 CFR Part 290.

II. Award Information

NIST anticipates funding 2 proposals at the level of up to $1,058,000 for the state of Arizona and up to $2,415,000 for the Chicago region if Illinois.

Awards will be provided for the expansion of manufacturing extension service capacity within two discrete geographic areas in the United States. The two areas are:

Illinois - The region includes: McHenry, Kane, DuPage, Cooke, Chicago, Will and Lare counties

Arizona – The area includes entire state of Arizona

The projects awarded under this program will have a budget and performance period of one year. Each project may be renewed on an annual basis subject to the review requirements described in 15 CFR 290.8. Renewal of each award shall be at the sole discretion of NIST and shall be based upon satisfactory performance, priority of the need for the service, existing legislative authority, and availability of funds.

Projects are expected to start within 30 days of award notice.

III. Eligibility Information

1. Eligible Applicants

Manufacturing extension centers must be affiliated with a U.S.-based not-for-profit institution or organization. MEP interprets not-for-profit organizations to include universities and state and local governments. Eligible applicants may be consortia of non-profit institutions. Existing and previous centers and partners are eligible as well as organizations without prior experience in the MEP program.

2. Cost Sharing Requirement

A non-federal cost share contribution from the applicant is required. At a minimum, the applicant must provide per the following table cost share towards the total capital, operating and maintenance costs for the center.

Year of Center Operation	Maximum NIST Share
1-3	½
4	2/5
5 and beyond	1/3

The applicant’s share of the center expenses may include cash and in-kind contributions. However, at least 50% of the applicant’s total cost share (cash plus in-kind) must be in cash. Applicants are encouraged to propose more than the minimum cost share. The source and a detailed rationale for the total proposed level of the cost share, both cash and in-kind, must be documented in the budget submitted with the proposal and will be considered as part of the evaluation review under Section V.1.4) iv.

IV. Application/Proposal and Submission Information

1. Application Package

The forms listed in 2.a. through 2.e. below as well as the NIST MEP Operating Plan Guidelines are available as part of the Grants.gov application package and can be completed through the download application process. Requests for paper copies of the application package can be made to Diane Henderson at 301-975-5105 or [email protected].

2. Content and Form of Application/Proposal Submission

The NIST MEP Operating Plan Guidelines are a resource framework for applicants to consider in developing the application. Complete applications/proposals must, at a minimum, include the following forms and documents:

1. SF-424, Application for Federal Assistance

2. SF-424A, Budget Information Non-Constructions

3. SF-424B, Assurances Non-Construction

4. CD-511, Certification Regarding Debarment, Suspension and Other Responsibility Matters; Drug-Free Workplace Requirements and Lobbying

5. CD-346, Applicant for Funding Assistance (Name Check).

The SF-424 and CD series of forms will not be considered part of the page count of the proposal.

The proposal must meet the following requirements:

1. An executive summary of the proposed project, consistent with the Evaluation Criteria stated in this notice.

2. A description of the proposed project, sufficient to permit evaluation of the proposal, in accordance with the proposal Evaluation Criteria stated in this notice.

3. A detailed budget for the proposed project that breaks out all expenses for year 1 of operation and identifies all sources of funds to pay these expenses.

4. A budget outline for annual costs, and sources of funds for potential years 2 through 5 and beyond. It is expected, especially for newly created centers, that year one costs are lower because of the ramp-up of operations from start-up to the point where the center is fully operational and services are being provided. If such a ramp-up of operations is to occur, this should be reflected in the budget outline for years 2 through 5 and beyond. A detailed budget and budget narrative will be required prior to each of years 2 through 5.

5. A description of the qualifications and proposed center operational or management activities of key personnel who will be assigned to work on the proposed project.

6. A statement of work that discusses the specific tasks to be carried out, including a schedule of measurable events and milestones.

Applicants that are an existing or previous MEP manufacturing extension center or partner are required to address as part of the application how past performance with the program is an indication or not of the applicant’s ability to deliver on the new award.

In addition, the proposal must contain the requirements identified in 15 CFR 290.5(a)(3), which are:

1. A plan for the allocation of intellectual property rights associated with any invention or copyright which may result from the involvement in the Center’s technology transfer or research activities consistent with the conditions of 15 CFR 290.9.

2. A statement that provides adequate assurances that the host organization will contribute the required cost share. (Although the MEP regulation, 15 CFR 290.5 (a)(3)(ii), states that applicants should provide evidence that the proposed Center will be self-supporting after six years, this requirement is no longer in effect, as indicated above.)

3. A statement describing linkages to industry, government, and educational organizations within its service region.

4. A statement defining the initial service region including a statement of the constituency to be served and the level of service to be provided, as well as out-year plans.

5. A statement agreeing to focus the mission of the Center on manufacturing extension service and technology transfer activities and not to exclude companies based on state boundaries.

6. A description of the planned Center sufficient to permit NIST to evaluate the proposal in accordance with 15 CFR 290.6.

7. A proposed plan for the annual evaluation of the success of the Center by the Program, including appropriate criteria for consideration and weighting those criteria.

8. A plan to focus the Center’s technology emphasis on areas consistent with NIST technology research programs and organizational expertise.

The proposal must not exceed 25 typewritten pages in length for the basic proposal document; it may be accompanied by additional appendices of relevant supplementary attachments and tabular material. The proposal must contain both technical and cost information. The proposal page count shall include every page including pages that contain words, table of contents, executive summary, management information and qualifications, resumes, figure, tables, and pictures. All hard copy proposals shall be printed such that pages are single-sided, with no more than fifty-five (55) lines per page. Use 21.6 x 27.9 cm (8 ½” x 11”) paper or A4 metric paper. Use an easy to read font of not more than about 5 characters per cm (fixed pitch font of 12 or fewer characters per inch or proportional font of point size 10 or larger). Smaller type may be used in figures and tables but must be clearly legible. Margins on all sides (top, bottom, left and right) must be at least 2.5 cm (1”). The applicant may submit a separately bound document of appendices containing other supporting information. The proposal should be self-contained and not rely on the appendices for meeting criteria. Basic proposal documents exceeding the 25 page requirement will not be reviewed.

If submitting a paper application each applicant must submit one signed original and two paper copies of the complete application. Facsimile, electronic mail, and or forms of electronic application submissions other than Grants.gov will not be accepted.

3. Submission Dates and Times

All applications must be postmarked no later than 5:00 p.m. Eastern Daylight Savings Time on [insert date 60 days from date of publication of the Federal Register notice]. This deadline applies to any mode of proposal submission, including courier, express mailing, and electronic. Do not wait until the last minute to submit a proposal. NIST will not make any allowances for late submissions, including incomplete Grants.gov registration. Any proposals not received or postmarked by the due date will not be considered and will be returned to the applicant without review.

Important:  All applicants, of both electronic and paper applications, should be aware that adequate time must be factored into applicant schedules for delivery of the application.  Electronic applicants are advised that volume on Grants.gov is currently heavy, and if Grants.gov is unable to accept applications electronically in a timely fashion, applicants are encouraged to exercise their option to submit applications in paper format. 

4. Executive Order 12372 (Intergovernmental Review of Federal Programs)

Proposals under this program are not subject to Executive Order 12372, ``Intergovernmental Review of Federal Programs.''

5. Other Submission Requirements

Proposals may be submitted in hard copy or in electronic format as follows:

Paper submission:

National Institute of Standards and Technology

Manufacturing Extension Partnership

c/o Diane Henderson

100 Bureau Drive, Stop 4800

Gaithersburg, MD 20899-4800

Plainly mark on the outside of the package that it contains a Manufacturing Extension Partnership Center proposal.

For paper submissions, NIST requires an original and two (2) copies.

Electronic submission: Electronic proposals should be uploaded to www.grants.gov

The following forms are available as part of the Grants.gov application kit and can be completed through the download application process.

• SF-424, Application for Federal Assistance

• SF-424A, Budget Information Non-Constructions

• SF-424B, Assurances Non-Construction

• CD-511, Certification Regarding Debarment, Suspension and Other Responsibility Matters; Drug-Free Workplace Requirements and Lobbying

• CD-346, Applicant for Funding Assistance (Name Check).

The list of certifications and assurances referenced in item number 21 of the SF-424 is contained in the SF-424B.

In order for an application to be considered complete, it must meet all the application documentation requirements stated in the Federal Funding Opportunity notice.

Applicants may choose to scan or create the necessary documents and then attach them to the application in Grants.gov. Applicants should carefully follow specific Grants.gov instructions to ensure the attachments will be accepted by the Grants.gov system. A receipt from Grants.gov indicating a proposal is received does not provide information about whether attachments have been received.

For further information or questions regarding applying electronically for the 2009-NIST-MEP-Arizona and 2009-NIST-MEP-Chicago announcements, please contact Christopher Hunton at 301-975-5718, e-mail address [email protected] or Sue Li at 301-975-8817, e-mail address [email protected].

Applicants are strongly encouraged to start early and not to wait until the approaching due date before logging on and reviewing the instructions for submitting an application through Grants.gov. The Grants.gov registration process must be completed before a new registrant can apply electronically. If all goes well, the registration process takes from 3 to 5 business days. If problems are encountered, the registration process can take up to 2 weeks or more. Applicants must have a Dun and Bradstreet Data Universal Numbering System (DUNS) number and must be registered with the Federal Central Contractor Registry and with a Credential Provider, as explained on the Grants.gov web site. After registering, it may take several days or longer from the initial log-on before a new Grants.gov system user can submit an application. Only authorized individual(s) will be able to submit the application, and the system may need time to process a submitted application. Applicants should save and print the proof of submission they receive from Grants.gov. If problems occur while using Grants.gov, the applicant is advised to (a) print any error message received, and (b) call Grants.gov directly at 800-518-4726 for immediate assistance. Grants.gov hours of operation are Monday-Friday, 7:00 a.m. to 9:00 p.m. Eastern Daylight Time (EDT) (except for Federal holidays). For assistance with using the Grants.gov, you may also contact [email protected].

Please refer to important information in “Submission Dates and Times” above to help ensure your application is received on time.

V. Application/Proposal Review Information

1. Criteria.

All qualified proposals will be evaluated based on the applicant’s ability to align the program criteria to NIST MEP’s Next Generation Strategy: Continuous Improvement, Technology Acceleration, Supplier Development, Sustainability and Workforce. The NIST MEP Next Generation Strategy can be found at www.mep.nist.gov.

For applications from existing or previous MEP manufacturing extension Centers or partners, applicants are to provide specific information that addresses how past performance with the program is an indication or not of the applicant’s ability to deliver on the new award consistent with the criteria provided below.

The following criteria will be utilized by an impartial review panel to rate the proposals. Each proposal should address all four evaluation criteria, which are assigned equal weighting.

1. Identification of Target Firms in Proposed Region. Does the proposal clearly address the entire service region, providing for a large enough population of target firms of small- and medium-sized manufacturers that the applicant understands and can serve, and which is not presently served by an existing Center?

1. Market Analysis. Demonstrated understanding of the service region’s manufacturing base, including business size, industry types, product mix, and technology requirements.

2. Geographical Location. Physical size, concentration of industry, and economic significance of the service regions manufacturing base. Geographical diversity of the Center as compared to existing Centers will be a factor in evaluation of proposals.

2. Technology Resources. Does the proposal assure strength in technical personnel and programmatic resources, full-time staff, facilities, equipment, and linkages to external sources of technology to develop and transfer technologies related to NIST research results and expertise in the technical areas noted in the MEP regulations found at 15 CFR Part 290 as well as from other sources of technology research and development?

3. Technology Delivery Mechanisms. Does the proposal clearly and sharply define an effective methodology for delivering advanced manufacturing technology to small-and medium-sized manufacturers and mechanism(s) for accelerating the adoption of technologies for both process improvement and new product adoption?

1. Linkages. Development of effective partnerships or linkages to third parties such as industry, universities, nonprofit economic organizations, and state governments who will amplify the Center’s technology delivery to reach a large number of clients in its service region.

2. Program Leverage. Provision of an effective strategy to amplify the Center’s technology delivery approaches to achieve the proposed objectives as described in 15 CFR 290.3(e).

2. Management and Financial Plan. Does the proposal define a management structure and assure management personnel to carry out development and operation of an effective Center?

1. Organizational Structure. Completeness and appropriateness of the organizational structure, and its focus on the mission of the Center. Assurance of local full-time top management of the Center. This includes a clearly presented Oversight Board structure with a membership representing small- and medium- sized manufacturers in the region.

2. Program Management. Effectiveness of the planned methodology of program management. This includes committed local partners and demonstrated experience of the leadership team in manufacturing, outreach and partnership development.

3. Internal Evaluation. Effectiveness of the planned continuous internal evaluation of program activities

4. Plans for Financial Matching. Demonstrated stability and duration of the applicant’s funding commitments as well as the percentage of operating and capital costs guaranteed by the applicant. Identification of matching fund sources and the general terms of funding commitments. The total level of cost share, rationale for the proposed level, as well as the amount of cash cost share relative to total cost share will be considered as part of the review. Applicants proposing more than the minimum required cost share will be assessed more favorably in proportion to any increased cost share amount.

5. Budget. Suitability and focus of the applicant’s detailed one-year budget and budget outline for years 2-5 and beyond.

2. Selection Factors

The Selecting Official anticipates recommending proposals for funding in rank order of scores based on the criteria listed above unless a proposal is justified to be awarded out of rank order based on one or more of the following selection factors:

1. Availability of Federal funds.

2. The need to assure appropriate regional distribution.

3. Whether this project duplicates other projects funded by DoC or other Federal agencies.

3. Review and Selection Process

Proposal evaluation and selection will consist of four principal phases: proposal qualification, proposal review, site visits and award determination.

1. Proposal Qualification

All proposals will be reviewed by NIST to assure compliance with the proposal content as described in 15 CFR 290.5 and the provisions of this notice. Proposals that satisfy these requirements will be designated as qualified proposals. Non-qualified proposals will not be evaluated and applicants will be notified of disqualification.

2. Proposal Review

NIST will appoint an evaluation panel, consisting of at least one non-Federal Government employee and at least two Federal Government employees, to conduct independent and objective reviews and evaluations of all qualified proposals in accordance with the evaluation criteria set forth in this notice. Based upon this review the each panelist will assign a numeric score for each qualified proposal based on the evaluation criteria. Proposals with an average score of 70 or higher out of 100 will be deemed finalists and will receive site visits.

3. Site Visits

Finalists will be notified and a day, time and location for a site visit will be established. The panel will review finalists again on site, based on the evaluation criteria. Subsequently, the panel may discuss proposals and information gathered during the site visits for the purposes of clarification and sharing observations. Subsequently each panelist will then provide final independent numeric scores based on the evaluation criteria, assessing equal weight to each of the four criteria. Scores for each applicant can revised if necessary based on any additional or clarifying information obtained from site visits.

, and Proposals are then ranked based on the sum of the panelists’ final numeric scores. The ranked proposals are then submitted to the Director of NIST or the Director of the NIST MEP Program for final award recommendations to the NIST Grants Officer.

4. Award Determination

The Director of NIST or the Director of the NIST MEP Program shall select and make final recommendation of whether an award should be made to the proposing organization based on the rank order of applicants and the selection factors. The final approval of the selected applications and award of cooperative agreements will be made by the NIST Grants Officer based on compliance with program requirements and whether the recommended applicants can appear competently managed, responsible, and committed to achieving project objectives. The decision of the Grants Officer is final.

4. Additional Information

a. Applicants 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.

b. One copy of each incomplete, nonresponsive, or non-selected proposal will be retained for three (3) years for record keeping purposes and the other three (3) copies will be destroyed. After three (3) years the remaining copy will be destroyed.

c. Fees and/or Profits: Fees and/or profits are not allowable costs in any financial assistance awards that may be issued pursuant to this announcement.

VI. Award Administration Information

1. Anticipated Announcement and Award Date.

NIST plans to make awards by December, 2009.

2. Award Notices.

Each successful finalist will receive a cooperative agreement award document from the Grant Officer. The document will be mailed via surface mail in triplicate. The recipient should have an authorized official at the organization sign and return two copies to the address listed in the award document. The award document will also include the standard terms and conditions, general terms and conditions (if any), and special award conditions (if any) that are applicable.

3. Administrative and National Policy Requirements.

The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements: The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements, which are contained in the Federal Register Notice of February 11, 2008 (73 FR 7696), are applicable to this solicitation. On the form SF-424, the applicant’s 9-digit Dun and Bradstreet Data Universal Numbering System (DUNS) number must be entered in item 8.c. Organizational DUNS. The DUNS number provided MUST be the DUNS number for the entity within the applying institution that will be responsible for drawing down funds from the Automated Standard Application for Payment System (ASAP). Institutions that provide incorrect DUNS numbers may experience significant delays in receiving funds.

Funding Availability and Limitation of Liability: The funding periods and funding amounts referenced in this notice and request for proposals are subject to the availability of funds, as well as to Department of Commerce and NIST priorities at the time of award. The Department of Commerce and NIST will not be held responsible for proposal preparation costs. Publication of this notice does not obligate the Department of Commerce or NIST to award any specific grant or cooperative agreement or to obligate all or any part of available funds. No funding is anticipated at this time to provide further support beyond the award period to any project that may receive funds under this program.

4. Reporting Requirements

Reporting requirements are described in the Department of Commerce Financial Assistance Standard Terms and Conditions dated March, 2008, found on the Internet at: http://oamweb.osec.doc.gov/docs/GRANTS/DOC%20STCsMAR08Rev.pdf. The references in Sections A.01 and B.01 of the Department of Commerce Financial Assistance Standard Terms and Conditions, dated March 2008 to “Financial Status Report (SF-269)” and “SF-269” are hereby replaced with the “Federal Financial Report (SF-425)” and “SF-425,” respectively, as required by the Office of Management and Budget (OMB) (73 FR 61175, October 15, 2008).  As authorized under 15 CFR §§ 14.52 and 24.41, the OMB-approved SF-425 shall be used in the place of the SF-269 and SF-272 under the uniform administrative requirements and elsewhere under awards in this program where such forms are referenced. 

Financial and Technical Reporting Schedule: Detailed Financial and Technical reports shall be

submitted in the format and on a scheduled basis as specified in the most current version of the NIST MEP Management Information Reporting Procedure (This document can be downloaded as part of the application).

Technical Activity and Performance Reporting: Technical reports shall contain information as prescribed in 15 CFR Part 14.51.

Post Client Project Follow-Up: The recipient shall provide client and project data in the specified format to the organization identified by NIST/MEP in order for post-project follow-up data to be obtained.

Performance Reviews: Funding for this recipient is contingent upon positive program evaluations (1) in an annual review, as required by 15 C.F.R. Sec. 290.8, and (2) in an independent review during the third year of operation, at the sixth year, and at least every two years thereafter, as required by 15 U.S.C. Sec. 278k(c)(5)

Automated Standardized Application for Payment System (ASAP): The Department of Commerce is using the Department of Treasury’s ASAP. In order to receive payments for services under these awards, recipients will be required to register with the Department of Treasury’s and indicate whether or not they will use the on-line or voice response method of withdrawing funds from their ASAP established accounts. More information regarding ASAP can be found on-line at http://www.fms.treas.gov/asap/index.html.

VII. Agency Contact(s)

Questions should be directed to the following contact persons:

Subject Area	Point of Contact
Administrative, budget, cost-sharing, and eligibility questions	Diane Henderson Phone: 301-975-5105 Fax: (301) 963-6556 E-mail: [email protected]
Project evaluation criteria and other programmatic questions	Alex Folk Phone: 301-975-8089 Fax: 301-963-6556 E-mail: [email protected]
Grants.gov - Proposal submission	Christopher Hunton Phone: 301–975–5718 Fax: 301–840-5976 E-mail: [email protected] or Sue Li Phone: 301-975-8817 Fax: 301-840-5976 E-mail: [email protected] mailto:
Grant rules and regulations	Judy Murphy Grants & Agreements Management Division Phone: 301-975-5603 Fax: 301-926-6458 E-mail: [email protected]

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