2017 RIS Program NOFA 20170509 vFINAL.pdf

2017 REGIONAL INNOVATION

STRATEGIES PROGRAM

N o t i ce o f Fu nd i n g A v a i l a bi l i t y

Office of INNOVATION and

ENTREPRENEURSHIP

ii

EXECUTIVE SUMMARY

Federal Awarding Agency Name

Economic Development Administration (EDA), U.S. Department of Commerce

(DOC)

Funding Opportunity Title

2017 Regional Innovation Strategies Program

Announcement Type

Initial 2017 Notice of Funding Availability (NOFA) publishing EDA’s application submission requirements and review procedures for applications received under EDA’s Regional Innovation Strategies (RIS) Program as authorized by the Stevenson-Wydler Technology Innovation Act of 1980 § 27, 15 U.S.C. § 3722 (2015) (originally enacted as the America COMPETES Reauthorization Act of 2010, Pub. L. No. 111-358, sec. 603, § 27, 124 Stat.

3982, 4030-37 (2011) and subsequently amended by the Revitalize American Manufacturing and Innovation Act of 2014, Pub. L. No. 113-235, sec. 705, § 27, 128 Stat. 2130, 2231-34 (2014)) [hereinafter Section 27]; see also 13 C.F.R. §§ 312.1-.12 (2017) (regulations implementing Section 27(b)).

Funding Opportunity Number

EDA-HDQ-OIE-2017-2005260

Catalog of Federal Domestic Assistance (CDFA) Number(s)

11.020 Cluster Grants

Key Dates

The deadline for receipt of applications is 11:59 P.M. EASTERN TIME ON FRIDAY, JUNE 23, 2017. Applications received after this deadline will not be reviewed or considered. Applications will only be accepted electronically through www.grants.gov (Grants.gov). Applicants are advised to carefully read the application and submission information provided in Section D (p. 7) of this

NOFA.

Funding Opportunity Description

EDA is committed to fostering connected, innovation-centric economic sectors which support the conversion of research into products and services, businesses, and ultimately jobs through entrepreneurship. See Section 27.

Funding is available for capacity-building programs that provide proof-of-concept and commercialization assistance to innovators and entrepreneurs and for operational support for organizations that provide essential early-stage funding to startups. Under the RIS Program, EDA is soliciting applications for two separate competitions:

the 2017 i6 Challenge; and the 2017 Seed Fund Support (SFS) Grant competition.

Applicants may, but are not required to, submit proposals for more than one competition under the RIS Program. Applicants must provide a matching share from non-Federal sources of at least 50 percent of the total project cost. See Section C.2 (p. 7) of this NOFA.

Eligible Applicants

EDA is not authorized to provide grants or cooperative agreements to individuals. Requests from such entities will not be considered for funding.

Eligible applicants for EDA financial assistance under this NOFA include:

iii

1. A State;

2. An Indian tribe;

3. A city or other political subdivision of a State;

4. An entity that—

a. is a nonprofit organization, an institution of higher education, a public-private partnership, a science or research park, a Federal laboratory, or an economic development organization or similar entity; and

b. has an application that is supported by a State or a political subdivision of a State; or

5. A consortium of any of the entities described in subparagraphs (1) through (4).

Informational Webinar An informational webinar for this NOFA will be available for viewing at http://www.eda.gov/oie/ris/.

Award Notification

Subject to the availability of funding, successful applicants should expect to receive grant award notification approximately 120 days from the application closing date set forth in this NOFA.

http://www.eda.gov/oie/ris/

FULL ANNOUNCEMENT TEXT

2017 REGIONAL INNOVATION STRATEGIES PROGRAM

Executive Summary ....................................................................................................................................... ii A. Program Description

1. Overview

2. 2017 i6 Challenge

3. 2017 Seed Fund Support (SFS) Grant Competition

4. Statutory Authorities for the Regional Innovation Strategies (RIS) Program

B. Federal Award Information

1. Available Funding Under this Announcement

2. Type of Funding Instrument Used; Period of Performance

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

D. Application and Submission Information

1. Address to Request Application Package

2. Content and Form of Application Submission

3. Environmental and Historic Preservation Requirements

4. Unique entity identifier and System for Award Management (SAM)

5. Submission Dates and Times

6. Intergovernmental Review

7. Funding Restrictions

8. Other Submission Requirements

E. Application Review Information

1. Criteria

2. Review and Selection Process

3. Awards in Excess of the Simplified Acquisition Threshold

4. Anticipated Announcement and Federal Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Federal Awarding Agency Contact(s) H. Other Information

1. Right to Use Information

2. Freedom of Information Act Disclosure

3. Notice of Government-Wide Procurement Restriction

4. Past Performance and Non-Compliance with Award Provisions

5. Restrictions Governing Making Grants to Corporations Convicted of Felony Criminal Violations and/or Unpaid Federal Tax Liabilities

6. EDA’s Non-Relocation Policy

7. Audit Requirements

8. Implementing the Americans with Disabilities Act (ADA)

9. Instructions for Application Submission via Grants.gov

Appendix A Representation by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law Appendix B Technology Readiness Levels Scale Appendix C Exemplary Output and Outcome Measures

1. Exemplary Output Measures

2. Exemplary Outcome Measures

Appendix D Optional Checklist-Style Guide for Required Documents

1. For States, Indian Tribes, Cities, and Other Political Subdivisions of States

2. For Nonprofit Organizations, Institutions of Higher Education, Public-Private Partnerships, Science or Research Parks, Federal Laboratories, Economic Development or Similar Organizations

Section A

A. PROGRAM DESCRIPTION

1. Overview

EDA is committed to fostering connected, innovation-centric economies that increase job growth and global competitiveness through technology commercialization and entrepreneurship as described in Section 27 of the Stevenson-Wydler Technology Innovation Act of 19801. Multi-stakeholder partnerships and collaborations that draw upon the resources of community and regional public, corporate, university, nonprofit, and philanthropic organizations foster regional economic growth, resilience, and vitality. Section 27 defines these regional innovation clusters as geographically bounded network[s] of similar, synergistic, or complementary entities that—

(A) are engaged in or with a particular industry sector and its related sectors;

(B) have active channels for business transactions and communication;

(C) share specialized infrastructure, labor markets, and services; and

(D) leverage the region’s unique competitive strengths to stimulate innovation and create jobs2.

In order to retain and increase global competitiveness and to realize job growth, regions must build public and private capacity to invent, improve, and bring to market new products and services. The Regional Innovation Strategies (RIS) Program helps communities realize those goals by providing funding that builds these capacities at the local and regional levels. Through the RIS Program, EDA funds capacity-building programs that provide proof-of-concept and commercialization assistance to innovators and entrepreneurs and for operational support for organizations that provide essential early-stage funding to startups. Under this 2017 RIS Program Notice of Funding Availability (NOFA), EDA is soliciting applications for two separate competitions, which are described in more detail below:

the 2017 i6 Challenge; and the 2017 Seed Fund Support (SFS) Grant competition.

Applicants may, but are not required to, submit proposals for more than one competition under the RIS Program.

2. 2017 i6 Challenge

The i6 Challenge is a leading national program designed to increase entrepreneurship that is driven by innovations, ideas, intellectual property, and applied research through the process of technology commercialization and that ultimately results in new jobs, new businesses, and increased and sustainable regional economic growth.

Proof-of-concept and commercialization programs can be physical or virtual, existing or new. Existing programs need not have previously received EDA funds to be considered for this award. Pursuant to Section 27, i6 Challenge funding may be used for a variety of purposes, including but not limited to personnel, program development, and equipment; however, construction costs are not eligible3. For further details regarding funding restrictions see Section D.7 (p. 14) of this NOFA.

1 15 U.S.C. § 3722 (originally enacted as the America COMPETES Reauthorization Act of 2010, Pub. L. No. 111-358, sec. 603, § 27, 124 Stat. 3982, 4030-37 (2011) and subsequently amended by the Revitalize American Manufacturing and Innovation Act of 2014, Pub. L. No. 113-235, sec. 705, § 27, 128 Stat. 2130, 2231-34 (Dec. 16, 2014)) [hereinafter Section 27].

2 § 3722(f)(1).

3 See infra note 9 (p. 7) (explaining the limited exception to this rule).

i. Proof-of-Concept and Commercialization Programs

Proof-of-concept and commercialization programs work with innovations, ideas, intellectual property, and research to provide documented evidence that a product or service can be successful. These programs typically work with innovations from pre-conception and from Technology Readiness Levels (TRLs)4 1 (i.e., observation) to 6 (i.e., lab demonstration) and consider not only technology viability (i.e., seeking to answer whether this can be done) but also market potential and financial viability (i.e., seeking to answer whether this should be done). Proof-of-concept programs tend to focus on capacity to move earlier-stage innovations from observations through proof-of-concept (i.e., from TRL 1 to TRL 3), while commercialization programs tend to focus on capacity to move later-stage innovations from proof-of-concept to lab demonstration (i.e., from TRL 3 to TRL 6). Both types of program also focus on the development of related strategies and resources to introduce innovations into the marketplace through startup formation, licensing, or other means. However, “proof-of-concept” and “commercialization” should not be interpreted as overly restrictive labels; programs should be tailored to the resources and needs of their respective regional innovation clusters.

ii. Strategies and Goals of Proof-of-Concept and Commercialization Programs

Proof-of-concept and commercialization programs—including former RIS Program and i6 grantees’5 programs—function as critical nodes for translating cutting-edge innovation into high-growth entrepreneurship in their regions. They offer a range of programs and services that support innovation-based, high-growth entrepreneurship and startup acceleration through services such as technology advisement, market evaluation, business planning, mentorship, and access to early-stage capital. The most successful programs leverage the experiences of successful entrepreneurs and business executives and strive to foster communities with mindsets for and cultures of innovation.

EDA expects to fund proposals that develop or expand regional capacity to create high-growth entrepreneurial ventures consistently and regularly and that have a high likelihood of accelerating economic growth and competitiveness in their respective regions and in the United States. Applicants must demonstrate how they will leverage regional strengths, capabilities, and competitive advantages.

Applicants should avoid the duplication of already existing, planned, or budgeted initiatives of the applicant’s organization or by other organizations or consortia in the relevant regional innovation cluster.

iii. Example Activities and Desired Outputs and Outcomes

The i6 Challenge will provide funding to invest in the development, creation, or expansion of proof-of-concept and commercialization programs that accelerate innovation-led economic development in pursuit of a vibrant innovative economy and economic growth. These programs can be physical or virtual, existing or new. Existing programs need not have previously received EDA funds to be considered for this award.

Proposed projects may aim for some or all of the following outputs and outcomes or others, as appropriate in light of each given proposed project’s regional, sectoral, and economic contexts.

4 Technology Readiness Levels (TRLs) are a standardized system that categorizes the status of a technology innovation and its readiness for commercialization. The definitions of the TRLs used by EDA for the purposes of this NOFA can be found in Appendix B (p. 33) of this NOFA. Other TRL definitions include those developed by the Department of Defense, see http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf; by the Department of Energy, see https://www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04-admchg1; and by the National Aeronautics and Space Administration, see, e.g., http://www.hq.nasa.gov/office/codeq/trl/trl.pdf, http://esto.nasa.gov/files/trl_definitions.pdf.

5 See https://www.eda.gov/oie/ris/grantees.htm and http://www.eda.gov/oie/ris/i6/ (linking to information about, including lists of grantees of, the RIS Program and the i6 Challenge).

http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf https://www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04-admchg1 http://www.hq.nasa.gov/office/codeq/trl/trl.pdf http://esto.nasa.gov/files/trl_definitions.pdf https://www.eda.gov/oie/ris/grantees.htm http://www.eda.gov/oie/ris/i6/

a. Innovation

Projects should aim to foster cultures of innovation and to provide or connect the resources necessary to drive innovations from ideas to research and intellectual property, including by creating a broad-based, expansive culture of idea generation and identifying useful applications of resulting innovations, including converting research and development at universities and research centers into commercially viable enterprises;

engaging an inclusive set of researchers, innovators, and practitioners that support commercialization of inventions, ideas, or research; and exposing industry professionals, investors, and successful entrepreneurs to innovations at their earliest stages in order to create the best climate, team, and opportunities for an emerging, high-growth startup or for the acceleration of an existing startup.

b. Entrepreneurship

Projects should aim to develop a large number of entrepreneurs within a region and to create an ecosystem in which those entrepreneurs can experiment with and can create businesses and jobs from their innovations, including by supporting educational programs or work experiences to prepare students6 and researchers for entrepreneurial challenges and work environments; and growing innovation and entrepreneurial ecosystems to ensure a steady stream of high-growth startups that drive job and value creation in the primary service area, community, and region.

c. Regional Connectivity

Projects should aim to connect economic development and technology commercialization resources, including by hosting special events to showcase inventions, ideas, research, technologies, and entrepreneurs to promote the exchange of ideas that leads to the formation of new collaborations and ultimately to the commercialization of innovations;

forging new and reinforcing existing relationships among an inclusive group of regional stakeholders; and engaging local business associations and governments to ensure that high growth entrepreneurs and companies are more fully integrated into the local business community and that their growing needs are addressed by a robust support network that includes specialized and readily-accessed technical assistance and access to capital, business associations, and government officials.

d. Commercialization of Research

Projects should aim to convert ideas, research, or prototypes into viable products and services that can be brought to market by new or existing businesses in a financially manageable and rapid manner, including by providing access to mentors, industry catalysts, and entrepreneurs-in-residence that provide advisory services and that link technology and researchers to external networks;

identifying access to seed funding to support the commercialization of promising research;

6 A student is defined as an individual enrolled in an accredited class or program. This definition includes, but is not limited to, individuals enrolled at colleges, at universities, and in non-degree granting programs.

assisting with market evaluation, business planning, and business opportunity articulation; and creating of processes that integrate scientific review with market potential to greatly accelerate the best ideas from lab to market.

iv. i6 Challenge Examples: Past Recipients

Links to descriptions of past recipients can be found via https://www.eda.gov/oie/ris/. Please note that these scenarios are informational only and are intended to provide applicants with a clearer picture of how the i6 Challenge is intended to function. These examples in no way limit the range of potential proposed projects, combinations of eligible applicants, or anchoring organizations; EDA welcomes innovative proposals.

3. 2017 Seed Fund Support (SFS) Grant Competition

Access to capital for early-stage companies is an essential element of a healthy regional innovation cluster.

Taking an idea or innovation from conception to market often requires capital, but, in many regions across the country, innovators and entrepreneurs struggle to find that capital.

EDA plans to provide funding for technical assistance and operational costs that support the formation, launch, or scale of cluster-focused seed funds that will invest their capital in innovation-based startups with a potential for high growth. For the purposes of this NOFA, a seed fund is an equity-based investment fund that generally focuses on companies less than three years old and with annual revenues under $1 million and that is operated by one or more professional fund managers. These managers develop an investment strategy, capitalize the fund with investment capital from one or more institutions or individuals, and deploy the investment capital by funding early-stage companies in exchange for equity stakes in those portfolio companies. Seed funds sustain their operations through those equity stakes as their portfolio companies increase in value and are acquired, conduct an initial public offering (IPO), or otherwise realize a cash return on that equity.

Neither EDA funds nor matching funds may be used to invest in startups or any other companies; i.e., project funds cannot capitalize a seed fund. The technical assistance and operational costs funded by EDA can jumpstart the creation or expansion of a seed fund by funding operations to raise investment capital for a fund, to market the fund to potential startups and investors, to educate potential seed fund investors about seed fund investing, or to evaluate potential investments in startup companies.

Seed funds may be existing or new; existing funds need not have previously received EDA funds to be considered for this award. Pursuant to Section 27, SFS Grant funding may be used for a variety of purposes, including but not limited to personnel, program development, and equipment; however, construction costs are not eligible. For further details regarding funding restrictions see Section D.7 (p. 14) of this NOFA.

i. Example Activities and Desired Outputs and Outcomes

The SFS Grants competition will provide funding for development, creation, or expansion of new or existing equity-based seed funds that increase one or more regional innovation clusters’ innovators’ and entrepreneurs’ access to early-stage capital. Proposed projects may aim for some or all of the following outputs and outcomes or others, as appropriate in light of each given proposed project’s regional, sectoral, and economic contexts:

a. Early-Stage Capital Support for Innovation-Based, Growth-Oriented Companies

Projects should aim to increase access to equity-based investments for new businesses (generally less than three years old with under $1 million in annual revenue) that are commercializing or using innovative https://www.eda.gov/oie/ris/

Section B technologies or other intellectual property in the development or delivery of their products or services by creating or expanding a new or existing equity-based investment fund and by exploring novel investment models that fit the needs of the regional innovation cluster and its entrepreneurs. The businesses in which the fund invests should demonstrate potential for high growth and include performance targets for job creation.

b. Plan for Sustainability

Projects should include sustainability plans based on taking equity stakes in the businesses in which the program invests and should tailor its investment model and deal structures to optimize access to capital, sustainability, and regional economic impact, including regional job creation.

c. Demonstrated Ecosystem and Downstream Support

Projects should aim to build and maintain ties into the community—a critical element of success for nascent companies—through connections to relevant elements of the community and regional ecosystem, including to support organizations (e.g., commercialization centers, incubators, and other training programs) and to downstream funding sources to support the capital needs of portfolio companies as they scale up and grow. Depending on the extent of the relevant regional innovation cluster’s connectedness and development, projects may include activities including outreach and education regarding early-stage risk investment and syndication and alignment of existing investors.

ii. SFS Grants Examples: Past Recipients

Links to descriptions of past recipients can be found via https://www.eda.gov/oie/ris/. Please note that these scenarios are informational only and are intended to provide applicants with a clearer picture of how this opportunity is intended to function. These examples in no way limit the range of potential proposed projects, combinations of eligible applicants, or anchoring organizations; EDA welcomes innovative proposals.

4. Statutory Authorities for the Regional Innovation Strategies (RIS) Program

The statutory authority for the RIS Program is Section 27.7

B. FEDERAL AWARD INFORMATION

1. Available Funding Under this Announcement

The funding periods and funding amounts referenced in this notice are subject to the availability of funds at the time of award as well as to DOC and EDA priorities at the time of award. EDA has been appropriated $17 million in funds for grants authorized by Section 27 pursuant to the Consolidated Appropriations Act, 2017, Pub. L. No. 115-31, ___ Stat. ___ (May 5, 2017). Neither DOC nor EDA will be held responsible for application preparation costs. Publication of this announcement does not obligate DOC or EDA to award any specific grant or cooperative agreement or to obligate all or any part of available funds. Subject to the availability of funding, EDA expects to allocate funds as follows:

i. 2017 i6 Challenge

EDA plans to award approximately $13,000,000 under the 2017 i6 Challenge. The maximum Federal share of each i6 Challenge grant is $500,000.

7 See supra note 1 (p. 1).

https://www.eda.gov/oie/ris/

Section C

ii. 2017 Seed Fund Support (SFS) Grants

EDA plans to award approximately $4,000,000 under the 2017 SFS Grant Competition. The maximum Federal share of each SFS Grant is $300,000.

2. Type of Funding Instrument Used; Period of Performance

Subject to the availability of funds, EDA may award grants to eligible applicants to help support project activities.

Periods of performance are dependent on the type of project, the scope of work, and the EDA program under which the grant for the project is awarded. See Section F.1 (p. 24) of this NOFA for award notification information.

For the i6 Challenge, anticipated awards typically will have an initial period of performance of approximately three (3) years with an estimated start date on or about 30 days after EDA makes the award.

For the SFS Grants competition, anticipated awards will have an initial period of performance of approximately three (3) years with an estimated start date on or about 30 days after EDA makes the award.

EDA expects all projects to proceed efficiently and expeditiously, and EDA expects applicants to clearly document in their applications a reasonable and appropriate timeline that includes the start and completion dates of the proposed scope of work. As a condition of their respective awards, grantees will be required to provide timely periodic progress reports and performance data as set forth in Section F.3 (p. 26) of this

NOFA.

C. ELIGIBILITY INFORMATION

1. Eligible Applicants

EDA is not authorized to provide grants to individuals, and such requests will not be considered for funding.

Pursuant to Section 27, eligible applicants for and eligible recipients of EDA investment assistance under this NOFA include a State;

an Indian tribe;

a city or other political subdivision of a State;

an entity whose application is supported by a State or a political subdivision of a state and that is— a nonprofit organization;

an institution of higher education;

a public-private partnership;

a science or research park;

a Federal laboratory; or an economic development organization or similar entity; or a consortium of any of the immediately aforementioned entities.

Additionally, while entities that have completed the performance period of a previously-awarded RIS Program grant under a given competition are eligible for a grant under that competition, entities that are or plan to be operating within the performance period of a previously-awarded RIS Program grant at the time of the award of a grant under this NOFA are not eligible for a grant under the same competition. (E.g., a 2015 i6 Challenge grantee that is within that grant’s performance period as of the expected date of award

Section D under this NOFA would not be eligible for a 2017 i6 Challenge grant under this NOFA but may be eligible for a grant under the 2017 SFS Grant Competition.)

2. Cost Sharing or Matching

Under this NOFA, applicants must demonstrate AT THE TIME OF APPLICATION a matching share of at least 50 percent of the total project cost from non-Federal8 sources. Applicants must show, by submitting from each source organization providing matching share a commitment letter or equivalent document signed by an authorized representative of that organization, that matching shares will: (i) be COMMITTED to the project for the period of performance, (ii) be AVAILABLE as needed, and (iii) NOT BE

CONDITIONED OR ENCUMBERED in any way that may preclude its use consistent with the requirements of EDA investment assistance. Under this NOFA, a separate match is required for each submitted application. The amount of an EDA grant may not exceed 50 percent of the total cost of each project. Additional documentation may be requested by EDA in order to substantiate the availability of the matching funds.

i. In-Kind Matching Share

In-kind contributions may provide the required non-Federal share of the total project cost and can consist of contributions directly related to the proposed project, such as space, equipment9, or services. EDA will fairly evaluate all in-kind contributions, which must be eligible project costs and which must meet applicable Federal cost principles and uniform administrative requirements.10

Applicants are strongly encouraged to work with the appropriate EDA representative listed in Section G (p.

26) of this NOFA to determine how in-kind contributions may be utilized to satisfy the matching share requirement based upon the project concept and application.

ii. Certain Specific Matching Share Restrictions

Please note that all project funds—both Federal funds and matching funds—are subject to certain restrictions. In particular, NEITHER FEDERAL NOR MATCHING SHARE FUNDS CAN INCLUDE FUNDS TO BE

INVESTED IN STARTUPS OR OTHER COMPANIES, whether through equity, debt, or hybrid mechanisms.

Additionally for these competitions, neither Federal nor matching share funds can be used for construction activities, except in limited circumstances11. See Section D.7 (p. 14) of this NOFA.

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

An applicant may obtain the appropriate application package electronically at http://www.grants.gov/ (Grants.gov). Applicants may search for this funding opportunity on Grants.gov using Funding Opportunity Number “EDA-HDQ-OIE-2017-2005260.” All components of the appropriate application package may be accessed and downloaded via www.grants.gov/web/grants/search-grants.html. The preferred electronic file format for attachments is Adobe portable document format (PDF) and, where appropriate, Microsoft Excel;

however, EDA will accept Microsoft Word-formatted electronic files. Alternatively, an applicant eligible for assistance under this announcement may request a paper application package by contacting EDA’s Office

8 Funds from other Federal financial assistance awards are considered matching share funds only if authorized by statute, which may be determined by EDA’s reasonable interpretation of the statute.

9 Eligible activities include the purchase of equipment and equipment-related modifications or renovations of a facility, but only to the extent that such equipment and any related modifications or renovations are used to support another eligible activity.

10 See 2 C.F.R. § 200.306.

11 See supra note 9 (p. 7) (noting that equipment-related modifications or renovations of a facility are eligible activities).

http://www.grants.gov/ http://www.grants.gov/web/grants/search-grants.html of Innovation and Entrepreneurship (OIE) via email at oie@eda.gov, via phone at (202) 482-8001, or via mail addressed to

U.S. Department of Commerce Economic Development Administration Office of Innovation and Entrepreneurship 1401 Constitution Ave NW Rm 78018 Washington, DC 20230.

Applicants are advised that they must complete the registration process prior to submitting an application through Grants.gov; however, registration is not required for applicants to access, view, or download the application package. Even though an applicant may be able to view and download an application, if the applicant has not correctly completed the Grants.gov registration process the applicant will not be able to submit the application for EDA’s review. See Sections D.2 (p. 8), D.3 (p.

12), and H.9 (p. 29) of this NOFA for details of the Grants.gov registration process.

2. Content and Form of Application Submission

i. What Is Required for a Complete Application?

In order to be considered for funding, applicants must submit a complete application package by the applicable deadline for each competition to which they are applying. A complete application includes all required documents as set forth below. All documentation and data submitted as part of the application package should be current as of the date of application submission. Throughout the review and selection process, EDA, at its sole discretion, may request from applicants written clarification or corrected or missing documents and require that applicants provide such clarifications or corrections in order to continue to be considered for an award under this NOFA. EDA will provide applicants a reasonable amount of time to provide any additional documentation. Failure to provide complete and accurate supporting documentation in a timely manner when requested by EDA may result in the denial of your application.

Applications must include the following documents:

1. One Form SF-424 (Application for Federal Assistance) from each applicant or co-applicant;

2. One Form SF-424A (Budget Information-Non-Construction Programs) per application (applicants should ensure that the SF-424A reflects a distinct budget for each competition for which the applicant is applying);

3. One Form SF-424B (Assurances-Non-Construction Programs) from each applicant or co-applicant;

4. One Form CD-511 (Certification Regarding Lobbying) from each applicant or co-applicant;

5. One Form SF-LLL (Disclosure of Lobbying Activities) from each applicant or co-applicant;

6. One Project Narrative (see Section D.2.ii (p. 9) of this NOFA for requirements) per application of no more than ten (10) single-sided pages using one of Arial, Calibri, or Times New Roman fonts of size no less than eleven (11) points;

7. One Budget Narrative (see Section D.2.iii (p. 10) of this NOFA for requirements), which contains a staffing plan, per application of no more than four (4) single-sided pages using one of Arial, Calibri, or Times New Roman of size no less than eleven (11) points;

8. Commitment letters or equivalent documents that demonstrate that all matching funds (whether cash or in-kind) from all sources (i.e., any applicant, any co-applicants, and any other sources of matching funds) referenced in the application will be unencumbered, unrestricted, mailto:oie@eda.gov and committed at the time of award and that are signed by authorized representatives12 of the sources of the matching funds;

9. Documentation demonstrating compliance with Executive Order 12372, “Intergovernmental Review of Federal Programs,” if applicable13. (See Section D.6 (p. 13) of this NOFA and https://obamawhitehouse.archives.gov/omb/grants_spoc.)

10. Documentation that supports the applicant’s or co-applicants’ organizational status as an eligible entity (see Section C.1 (p. 6) of this NOFA) (e.g., articles of incorporation, certificates of good standing, bylaws, proof of tax-exempt status, State or local organizational establishment law, regulation, or order).

11. One or more resolutions or letters that demonstrate that the applicant’s or co-applicants’ application is supported by a State or a political subdivision of a State (e.g., a county, a municipality) that encompasses all or a substantial portion of the regional innovation cluster served by this project. If, however, the applicant or co-applicant is a State, an Indian tribe, or a city or other political subdivision of a State, this requirement does not apply.

12. A copy of each applicant’s or co-applicant’s current, approved Indirect Cost Rate (ICR) Agreement, if applicable. See Section D.2.iv (p. 11) of this NOFA.

All application forms submitted through Grants.gov must be signed electronically by an Authorized Organizational Representative (AOR); see Section D.8.ii (p. 14) of this NOFA for information on AOR requirements. See also Sections D.5 (p. 12) and D.8 (p. 14) of this NOFA for important information on submitting your application.

ii. i6 and SFS Project Narrative Requirements

As outlined in Section D.2.i (p. 8) of this NOFA, all applicants must provide a project narrative in order to be considered for funding. Applicants are strongly encouraged to provide a clear and concise narrative that includes a compelling justification for the project and articulates a clearly defined regional economic gap, how the proposed project will uniquely meet this need, and the expected outcome(s) that will result from the proposed project. This should be addressed in a concise manner; lengthy applications will not receive greater consideration. Note that the project narrative and budget narrative are separate documents with different technical requirements and should be submitted separately. See Section D.2 (p. 8) of this NOFA.

A competitive application will address the following elements in the project narrative:

12 Such authorized representatives must have the authority to execute documents and obligate and expend funds on behalf of the respective organization.

13 Only certain States participate in the intergovernmental review process; the current list of these States and their respective Single Points of Contact (SPOC) can be found at https://obamawhitehouse.archives.gov/omb/grants_spoc. Each State may choose to participate in this process for all or a subset of federal grant programs. EDA strongly encourages applicants to contact their respective SPOCs early in this NOFA’s application period in order to determine the relevant State’s process and the requirements thereof. Based on the applicant’s State, EDA requires the following documentation:

State does not participate No documentation required

State participates; this grant program not subject to review

Documentation (e.g., a State executive order, a signed letter from the SPOC) showing that this grant program is not subject to review

State participates; this grant program subject to review

Documentation (e.g., a signed letter from the SPOC) with comments or indicating that this project was not selected for review, or, if the comment period has expired or comments were not received, a copy of the applicant’s request for comments https://obamawhitehouse.archives.gov/omb/grants_spoc

a. Description of Project Region, Location, and Impact

Applicants must clearly describe the region in which the project will be located, including the specific geographic location of the project within the region, corresponding to applicants’ answers to Questions 14 and 16 of the SF-424. Additionally, applicants must clearly describe background on the assets of the area, which may include clusters, workforce, and physical, educational, and financial infrastructure. If the applicant expects the project’s impact to expand beyond the noted region, the applicant should note the region of expected impact.

1. Primary Service Areas

Applicants must explicitly identify their proposed programs’ or projects’ primary service area(s) by county or county equivalent (collectively, “counties”) and must show a concrete plan to benefit innovators and entrepreneurs in the primary service area(s). The counties that make up an application’s proposed programs’ or projects’ primary service area(s) should be identified both by name and by their respective 5-digit FIPS codes (e.g., the FIPS code of Marion County, AL, is 01093; of Park County, MT, is 30067; and of Alexandria, VA—an independent city and thus a county equivalent—is 51510). See, e.g., https://www.census.gov/geo/reference/codes/cou.html (providing access to FIPS codes for counties and county equivalents). Applicants should submit their primary service area’s county names and FIPS codes in response to Question 14 of the SF-424, using an attachment as necessary.

b. Clear Description of Proposed Project

Applicants must clearly document the concrete activities that will be undertaken under and the specific deliverables that will be produced as a result of the proposed project. The description of the proposed project must include (i) a clear statement of the overall purpose of the project; (ii) the role of each applicant, co-applicant, and key personnel (including brief descriptions of their qualifications that substantiate each key person’s expertise and experience relevant to her or his role); (iii) key milestones along with an estimated project start date, estimated completion dates for key milestones, and an estimated project completion date; and (iv) a scope of work, no longer than one page, for the proposed project. For clarity and conciseness, it is suggested that applications include a detailed list- or bullet-style scope of work as part of the description of the proposed project. Applicants must clearly indicate throughout the project narrative the specific activities that are part of the scope of work of the proposed project; applicants must clearly distinguish between aligned ancillary activities, if any, and project activities.

c. Documentation of Anticipated Project Impacts

Applicants must provide a clear and compelling justification of the long-term potential economic impact of the proposed project by including metrics (e.g., anticipated job creation or retention, anticipated private investment leveraged, anticipated number of businesses or collaborations supported, and other appropriate measures; see Appendix C (p. 34) of this NOFA). All impact estimates, including but not limited to job and private investment leverage estimates, should reflect the anticipated impact at the end of the grant performance period, two years after the end of the grant performance period, and five years after the end of the grant performance period. In all cases, applicants must document the benefit, provide third-party data or information to support these claims, and include practical and clear tracking and reporting mechanisms for metrics that will measure the economic impact during and after the project.

iii. Budget Narrative and Supporting Documentation Requirements

Applicants must provide a clear budget narrative that identifies and justifies how funds in each line item of the budget will be used to support the proposed project and that links each line item to its relevant commitment letter. The budget narrative should specifically address each budget line item (including both https://www.census.gov/geo/reference/codes/cou.html the Federal Share and matching Non-Federal share) and the narrative total should match the total project costs listed in both the SF-424, Question 18, Line g (“TOTAL”) and the appropriate totals fields of the SF- 424A. The budget narrative should include itemized valuations of any in-kind matching funds (which, for personnel costs, should be supported by the staffing plan; see Section D.2.iii.a (p. 11) of this NOFA). Each line item in the budget narrative should clearly indicate a description of the intended use of funds for each line item;

the budget category (from the SF-424A) to which the line item corresponds;

the Federal share allocated to the line item;

the matching share allocated to the line item; and if any matching share is allocated to a given line item, a citation to the one or more commitment letters that documents each relevant matching organization’s commitment to provide the matching share of the given line item.

The non-Federal share, whether in cash or in-kind, is expected to be paid out at the same general rate as the Federal share; however, if the applicant’s budget narrative proposes otherwise, applicants must also include information that clearly indicates what project elements the matching share funds will support and explain why deviation from paying out at the same general rate is required for the project to be implemented.

Finally, the applicant must submit supporting documentation to indicate these funds will be UNENCUMBERED, UNRESTRICTED, and COMMITTED at the time of award to support the proposed project.

For page limits and other technical requirements, see Section D.2.i (p. 8) of this NOFA.

a. Staffing Plan

As part of the budget narrative, applicants also must submit a staffing plan that lists all positions that would be charged to the Federal and non-Federal portion of the budget for each year of the period of performance. The staffing plan must include position titles, maximum annual salaries, percentage of time dedicated to the project, and the total amount of annual salaries that would be charged to the project. The total amount of annual salaries that would be charged to the project must be consistent with the amount reflected on the “Personnel” budget line-item on the Form SF-424A for each project year.

iv. Copy of Current, Approved Indirect Cost Rate Agreement

If indirect costs are included in the budget the applicant must include a copy of its current Indirect Cost Rate (ICR) Agreement or documentation establishing that it has a pending application.

The maximum dollar amount of allocable indirect costs for which EDA will reimburse a recipient shall be the lesser of the (i) line-item amount for the Federal share of indirect costs contained in the EDA approved budget for the award, or (ii) Federal share of the total allocable indirect costs of the award based on the cost rate approved by EDA (or applicable cognizant Federal agency), provided that the cost rate is current at the time the costs were incurred and provided that the rate is approved on or before the award end date.

If the applicant does not have a current or pending ICR Agreement, it may propose indirect costs in its budget; however, the applicant must prepare and submit an allocation plan and rate proposal for approval within ninety days from the award start date. See 2 C.F.R. Part 200 Apps. III, IV, V, VI, VII for guidance.

The allocation plan and the rate proposal must be submitted to EDA’s Office of Regional Affairs (or applicable cognizant Federal agency). The applicant should include a statement in its budget narrative that it does not have a current or pending ICR Agreement and will submit an allocation plan and rate proposal to EDA or the applicant’s cognizant Federal agency for approval.

If the applicant (1) does not have a current ICR Agreement and (2) has never received a negotiated indirect cost rate, the applicant may elect to charge a de minimis rate of 10 percent of modified total direct costs subject to the exceptions of 2 C.F.R. § 200.414(f). The applicant should include a statement in its budget narrative that it does not have a ICR Agreement; it has never received an ICR rate; and it is electing to charge the de minimis rate.

3. Environmental and Historic Preservation Requirements

Applications may be reviewed by EDA for compliance with the National Environmental Policy Act of 1969, as amended (NEPA), depending on the nature and specific elements of each given application. During the NEPA review process, applicants may be instructed to contact the designated State and/or Tribal Historic Preservation Officer (SHPO/THPO), provide approvals from other governmental agencies, or provide more detailed environmental information. EDA, after compliance with requirements for consultation with Federally recognized Indian Tribes, may require applicants to participate in Tribal consultation, as necessary. The implementing regulations of NEPA require EDA to provide public notice of the availability of project-specific environmental documents, such as environmental impact statements, environmental assessments, findings of no significant impact, and records of decision, to the affected public.14 For further guidance and information, please contact the representative listed in Section G (p. 26) of this NOFA.

4. Unique entity identifier and System for Award Management (SAM)

To enable the use of a universal identifier and to enhance the quality of information available to the public as required by the Federal Funding Accountability and Transparency Act of 2006, to the extent applicable, applicants are required to: (i) be registered in the System for Award Management (SAM) before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. EDA may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the EDA is ready to make an award, EDA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. Recipients will be subject to reporting requirements, as identified in OMB guidance published at 2 C.F.R. Parts 25 and 170 (2015). The guidance set out at 2 C.F.R. Part 25 may be located at https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR- 2016-title2-vol1-part25.pdf, and the guidance set out at 2 C.F.R. Part 170 may be located at https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-part170.pdf. Note that SAM now encompasses the Central Contractor Registration (CCR), and that the unique entity identifier is commonly the Data Universal Numbering System (DUNS) Number.

5. Submission Dates and Times

The closing date and time for receipt of applications for funding under this NOFA is 11:59 P.M. EASTERN

TIME on FRIDAY, JUNE 23, 2017 (the “Application Deadline”).

Applications submitted electronically via www.grants.gov (Grants.gov) must be received by the Application Deadline. The date and time that an application will be deemed to be electronically received will be determined in accordance with the electronic submission instructions provided at Grants.gov for this NOFA.

See Sections D.5 (p. 12) and H.9 (p. 29) of this NOFA for information regarding electronic submissions.

APPLICATIONS RECEIVED AFTER THE APPLICATION DEADLINE WILL NOT BE CONSIDERED FOR FUNDING.

14 As specified in 40 C.F.R. § 1506.6(b).

https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-part25.pdf https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-part25.pdf https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-part170.pdf

In addition, please note the following:

EDA will not accept any unsolicited changes, additions, revisions, or deletions to applications after the submission deadline.

Throughout the review and selection process, EDA reserves the right to seek clarification in writing from applicants whose applications are being reviewed and considered.

Applicants may be asked to clarify objectives and work plans and modify budgets or other specifics as necessary to comply with Federal requirements and provide supplemental information required by the agency before award.

See Section E (p. 16) of this NOFA for application review and selection…