EDA Regional Innovation Strategies FFO FINAL 9-3-2014.pdf

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

FY 2014 Regional Innovation Strategies Program

EXECUTIVE SUMMARY

Federal Agency Name: Economic Development Administration (EDA), U.S. Department of Commerce (DOC).

Funding Opportunity Title: FY 2014 Regional Innovation Grants

Announcement Type and Date: Initial FY 2014 Federal Funding Opportunity (FFO) announcement publishing EDA’s application submission requirements and review procedures for applications received under EDA’s Regional Innovation Strategies

Program, as authorized by section 27 of the America COMPETES Reauthorization Act of

2010, amending the Stevenson-Wydler Technology Innovation Act of 1980

(15 U.S.C. § 3722, P.L. 111-358). Effective date: September 4, 2014

Funding Opportunity Number: EDA-HDQ-OIE-2014-2004219

Catalog of Federal Domestic Assistance (CFDA) Numbers: 11.020 Cluster Grants;

and 11.030 Science and Research Park Development Grants

Dates: The deadline for receipt of applications is 11:59 p.m. Eastern Time on Monday, November 3, 2014. 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 IV. of this FFO.

Funding Opportunity Description: EDA is committed to helping foster connected, innovation-centric economic sectors which support commercialization and entrepreneurship as described in the America COMPETES Reauthorization Act of 2010.

Working with regions across the country to develop regional innovation strategies, including regional innovation clusters, is also a Strategic Goal of the DOC’s FY 2014-

2018 Strategic Plan and a keystone of the Secretary’s commitment to building globally competitive regions. As part of this strategy, funding is available for capacity-building activities that include Proof of Concept Centers and Commercialization Centers as well as scaling of existing commercialization programs and centers; feasibility studies for the creation and expansion of facilities such as science and research parks; and supporting opportunities to close the funding gap for early-stage companies. To that end, EDA’s existing and highly successful i6 Challenge is being joined by additional grant opportunities to create the Regional Innovation Strategies (RIS) Program. Under this program, EDA is soliciting applications for three separate competitions:

1. 2014 i6 Challenge;

2. Science and Research Park Development Grants; and

3. Cluster Grants for Seed Capital Funds.

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

Note that previous grants and competitions administered by EDA have been governed by the Public Works and Economic Development Act of 1965, as amended

(42 U.S.C § 3121 et seq.) (PWEDA). The authorization for the 2014 RIS Program is provided under Section 27 of the America COMPETES Reauthorization Act of 2010

(P.L. 111-358), which does not include a requirement that grants be focused in economically-distressed communities.

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 FFO include:

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).

For Science and Research Park Development Grants only, in addition to the types of applicants listed above, the following applicants are also eligible to apply:

6. a Hospital;

7. a Commercial organization; or,

8. a consortium of any of the entities described in subparagraphs (1) through (7).

Please note that while commercial organizations are eligible entities for Science and

Research Park Development grants, in evaluating applications, EDA will provide preference to organizations and consortia that demonstrate regional collaboration and the ability to leverage and complement existing state, local, and non-profit organization programs and initiatives that support science and research, such as university-based programs, National Laboratories, etc. See section V.A.2.b. See

15 U.S.C. § 3722.

Informational Webinar: An informational webinar for this Funding Opportunity is available for viewing at www.eda.gov.

Award Notification: Subject to the availability of funding, successful applicants should expect to receive grant award notification within approximately 90 days from the application closing date and times set out in this FFO.

FULL ANNOUNCEMENT TEXT

FY 2014 Regional Innovation Strategies Program

EXECUTIVE SUMMARY

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Overview

B. FY 2014 i6 Challenge

C. Science and Research Park Development Grants

D. Cluster Grants for Seed Funds

E. Statutory authorities for the Regional Innovation Strategies Program

II. Award information

A. What funding is available under this announcement?

B. What type of funding instrument will be used to make awards and how long will project periods be?

III. Eligibility Information

A. Eligible Applicants

B. Cost Sharing or Matching

IV. Application and Submission Information

A. How to Obtain an Application Package

B. Content and Form of Application Submission

C. Deadlines for submission

D. How to submit an application

V. Application Review and Selection Process

A. Evaluation Criteria

B. Review and Selection Process

VI. Award Administration Information

A. Award notification

B. Administrative and national policy requirements

C. Reporting requirements

D. Regulations, administrative requirements, and cost principles

E. EDA’s Non-relocation Policy

F. OMB Circular A-133 audit requirements

VII. Other Information

A. Freedom of Information Act Disclosure

B. Past Performance and Non-Compliance with Award Provisions

C. Dun and Bradstreet Data Universal Numbering System, and Central Contractor

Registration

D. Restrictions Governing Making Grants to Corporations Convicted of Felony

Criminal Violations and/or Unpaid Federal Tax Liabilities

E. Environmental and historic preservation requirements

F. Intergovernmental review

G. Implementing the Americans with Disabilities Act (ADA)

VIII. EDA Contact Information

IX. 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

I. Funding Opportunity Description

A. Overview

This Federal Funding Opportunity (FFO) announcement sets out the application submission and review procedures for the Economic Development Administration (EDA)

Regional Innovation Strategies (RIS) Program.

EDA is committed to helping foster connected, innovation-centric economic sectors which support commercialization and entrepreneurship as described in the America COMPETES

Reauthorization Act of 2010 (P.L. 111-358). Working with regions across the country to develop regional innovation strategies, including regional innovation clusters, is also a strategic goal of the Department of Commerce (DOC) FY 2014-2018 Strategic Plan and a keystone of the

Secretary of Commerce’s commitment to building globally competitive regions. As part of this strategy, funding is available for capacity-building activities that include Proof of Concept

Centers and Commercialization Centers as well as scaling of existing commercialization programs and centers; feasibility studies for the creation and expansion of facilities such as science and research parks; and supporting opportunities to close the early stage funding gap for early-stage companies. To that end, EDA’s existing and highly successful i6 Challenge is being joined by additional grant opportunities to create the RIS Program. Under this program, EDA is soliciting applications for three separate competitions:

1. 2014 i6 Challenge;

2. Science and Research Park Development Grants; and

3. Cluster Grants for Seed Capital Funds.

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

Note that previous grants and competitions administered by EDA have been governed by the Public Works and Economic Development Act of 1965, as amended (42 U.S.C. § 3121 et seq.) (PWEDA). The authorization for the 2014 Regional Innovation Strategies Program is provided under the America COMPETES Reauthorization Act of 2010 (P.L. 111-358), which does not restrict the focus of grantees’ projects to economically distressed communities.

B. FY 2014 i6 Challenge

The i6 Challenge is a leading national initiative designed to support the creation of centers for innovation and entrepreneurship that increase the commercialization of innovations, ideas, intellectual property and research into viable companies. Launched in 2010 as part of the

Startup America Initiative, and now funded through EDA’s Cluster Grant program under section

27 of the America COMPETES Reauthorization Act of 2010, the i6 Challenge is a national competition based on the most impactful national models for startup creation, innovation, and commercialization. It has been at the vanguard of Administration efforts to increase the number of startups as well as commercialize more research that will create greater economic value, and ultimately, jobs for the American people.

Regional economic vitality is best accomplished through multi-stakeholder partnerships and collaborations that draw upon public, corporate, university, non-profit, and philanthropic resources. Regional innovation and entrepreneurial ecosystems—which have a culture of idea generation, leadership, trust, openness to foraging new partnerships with disparate parties, entrepreneurial development, investment capital, and a large pool of accomplished managers— often fuel these partnerships and collaborations. These ecosystems are the regional building blocks of a regional innovation strategy that helps drive national competitiveness.

1. How are Proof of Concept Centers and Commercialization Centers

Distinguishable?

The following definitions are provided for the purposes of this FFO:

Proof of Concept Center: A center or program (physical or virtual) which works with very early stage innovations, ideas, intellectual property, and research to provide documented evidence that a product or service can be successful. Technology Readiness Levels (TRL’s) as defined by the U.S. Department of Defense1, are a standardized system, categorizing the status of a technology innovation, or its readiness for commercialization. A Proof of Concept Center typically works with innovations from conception to TRL levels 3 – 6 to include consideration for viability of the technology (i.e., can this be done) as well as market potential and financial viability (i.e., should this be done).

Commercialization Center: A center or program (physical or virtual) which works with later stage innovations, ideas, intellectual property, and research to complete and refine the innovation from TRL levels 3 – 6 and fine-tune its market opportunity while supporting the steps toward becoming a viable or expanded business.

Proof of Concept Centers and Commercialization Centers ― including former i6 grantees2―function as critical nodes for translating cutting-edge innovation into high-growth entrepreneurship in their regions. They incorporate a range of programs and services in support of innovation-based, high growth entrepreneurship and acceleration of startups through services

For additional information on Technology Readiness Levels, see http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf See http://www.eda.gov/challenges/i6/index.htm for additional information on the i6 challenge, including former i6 grantees.

http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf http://www.eda.gov/challenges/i6/index.htm such as technology advisory and market evaluation, business planning, mentorship, and access to early stage capital. The most successful Proof of Concept Centers and Commercialization

Centers leverage experiences of successful entrepreneurs and business executives, paying close attention to fostering a community with a mindset for and culture of innovation.

EDA expects to fund proposals that create or expand innovative Proof of Concept Centers or Commercialization Centers that will in turn develop the applicant’s capacity to consistently and regularly create high-growth entrepreneurial ventures that contribute to economic growth in the United States. Applicants must demonstrate how they will leverage regional strengths, capabilities and competitive advantages. All applications should avoid any duplication of existing efforts, or supplanting existing or budgeted efforts. Funding for the i6 Challenge will reward proposals that bring or significantly enhance a culture of innovation and high-growth entrepreneurship to their region.

2. Requirements for i6 Challenge Projects

The i6 Challenge will invest in the development, creation, or expansion of Proof of

Concept Centers and Commercialization Centers which accelerate innovation-led economic development in pursuit of a vibrant innovative economy and economic growth. Proof of Concept

Centers and Commercialization Centers can be physical or virtual, existing or new. Existing

Proof of Concept Centers and Commercialization Centers need not have previously received

EDA funds to be considered for this award. To be eligible under the i6 Challenge, a proposed project must focus on driving economic development by building capacity for innovation and entrepreneurship, enabling individuals, firms and communities to achieve greater prosperity and quality of life. Specifically, applications must focus on one or more of the following project outputs:

Innovation: Projects that nurture innovation broadly, and market-based applications for that innovation specifically, through the:

o Creation of a broad-based, expansive culture of idea generation and the useful application of that innovation, including converting research and development at universities and research centers into commercially viable enterprises;

o Engagement of a diverse set of researchers, innovators and practitioners supporting commercialization of inventions, ideas and/or research. Diversity can be defined by intellectual approach, innovation, background or experience; and o Engagement with industry professionals, investors, and successful entrepreneurs with innovation at its earliest stages to create the best climate, team and opportunities for an emerging high-growth startup or acceleration of an existing startup.

Entrepreneurship: Projects that develop a large number of high-growth entrepreneurs across disciplines and create an ecosystem for those entrepreneurs to experiment and commercialize their innovations, as determined by:

o Support of educational programs and/or work experiences to prepare students3 and researchers for entrepreneurial challenges and work environments; and o Growth of the innovation and entrepreneurial ecosystem to ensure a steady stream of high-growth startups to drive job and value creation in the home region.

Regional Connectivity: Projects that connect the community of economic development and commercialization resources through:

o Special events to showcase inventions, ideas, research, technologies, and entrepreneurs to promote the exchange of ideas leading to the formation of new collaborations and ultimately the commercialization of innovations.

o Engagement with local business associations and government 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, access to capital, business associations and government officials.

Commercialization of Research: Projects that convert ideas, research, or prototypes into viable products and services that can be monetized and brought to market in a financially manageable and rapid manner, as defined by:

o Incorporation of mentors, industry catalysts and entrepreneurs in residence that provide advisory services and link technology and researchers to external networks;

o Access to seed funding to support the commercialization of promising research through networks created by the organization or outside funding networks and tools;

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

3. i6 Challenge Examples

The following are examples of regions and economic ecosystems that illustrate how the establishment of an innovation-focused Proof of Concept Center or Commercialization Center can become the catalyst for economic growth. 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.

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

Scenario 1: A major research university or consortium thereof has strong resources but is underperforming in commercializing their ideas and innovations. The university seeks to create a Commercialization Center to build an entrepreneurial and idea-generation culture on campus, create the processes for ideas and innovation to become companies and organizations, and become a destination for investors, successful entrepreneurs and corporations looking for cutting edge ideas, business models and technologies.

Scenario 2: A region benefits from the presence of several large, multi-national corporations and a robust set of academic institutions. Pressures of globalization which has introduced more advanced products and a resulting loss of sales are leading local companies to grow their businesses elsewhere due to a lack of skilled workforce and to be closer to innovations hubs. A Commercialization Center can accelerate commercialization from existing, but immature, technologies and processes of companies in the region as well as create a steady stream of startup companies by building a globally competitive industrial commons in the community. Additionally, the Commercialization Center can work closely with the corporate and/or manufacturing community around targeted, job-driven workforce skills that these new industries will require.

Scenario 3: A region has seen the decline of the historic industries (such as manufacturing or agriculture) that drove its development and growth. It is developing a strategic plan to revitalize itself through innovation and entrepreneurship. A Proof of Concept Center can become a hub for regionally-focused innovative solutions that help solve local problems and encourage exporting as a strategic growth opportunity while fostering entrepreneurship to create jobs

Scenario 4: A region has identified federal research labs and a strong entrepreneurial ecosystem as key local assets. A regional incubator with a strong community of entrepreneurs forms partnerships with these labs to bring entrepreneurs and innovators together to explore novel ways to accelerate the commercial success of their technologies.

C. Science and Research Park Development Grants

The concepts of Science and Research Parks are not new, but their impact in economic development is growing. By providing a hub for collaborative research, development, and innovation commercialization, these parks, when inclusive of the diverse stakeholders a high-functioning system of innovation system requires, can drive job creation and increase regional competitiveness on an international level. In fact, well-designed Science and Research Parks can support the entire life-cycle of commercialization, from idea generation to business creation through startup and growth, thereby significantly bolstering the health of the regional economy.

1. What is a Science and Research Park?

For purposes of this grant program, the terms Science and Research Park or Science Park, means a property-based venture, which has:

a) master-planned property and buildings designed primarily for private-public research and development activities, high technology and science-based companies, and research and development support services;

b) a contractual or operational relationship with one or more science- or research-related institutions of higher education or governmental or nonprofit research laboratories;

c) a primary mission to promote research and development through industry partnerships, assisting in the growth of new ventures and promoting innovation driven economic development;

d) a role in facilitating the transfer of technology and business skills between researchers and industry teams; and

e) a role in promoting technology-led economic development for the community or region in which the science park is located. A science park may be owned by a governmental or not-for-profit entity, but it may enter into partnerships or joint ventures with for-profit entities for development or management of specific components of the park.

2. Requirements for Science and Research Park Development Grant Projects

EDA expects to fund proposals to conduct feasibility projects, planning projects, or both, for the construction of new science and research parks or the expansion or renovation of existing science and research parks. There is no funding for actual construction included in this funding opportunity.

In their proposal, applicants should outline their expectations and approach for the proposed feasibility study or plan. Elements of the study or plan being proposed should, at a minimum, address:

a) The effect the science park will have on regional economic growth and development;

b) Number of jobs to be created at the science park and the surrounding regional community each year during the first three years after construction is completed;

c) Access to needed capital and types to fund the development, expansion, or renovation of the science park (for new parks, applicants must show reasonable availability of rough projected costs over the first three years);

d) Types of businesses and research entities to locate in (or already located in) the science park. For an existing research park, discuss the incremental economic benefit of the renovation or expansion;

e) Letters of Intent by businesses and research entities to locate in a proposed park or expansion;

f) Capability to attract a well-trained workforce to the science park;

g) Management of the science park (for new parks, this should be a 5-year projection);

h) A consideration of any risks (financial and operational) in the construction and operation of the park with an intent to develop risk mitigation strategies;

i) Opportunities to collaborate with other science parks throughout the world;

j) Sufficiency of physical infrastructure available to the science park including roads, utilities and telecommunications;

k) Opportunities to utilize energy-efficient building technologies including nationally recognized green building design practices, renewable energy, cogeneration, and other methods that increase energy efficiency and conservation;

l) Opportunities to reuse or redevelop existing infrastructure, including military bases affected by the base realignment and closure process or the redevelopment of existing buildings, structures, or brownfield sites that are abandoned, idled, or underused; and

m) Opportunities to incorporate sustainable business practices as well as consideration for quality of life at the science park.

All applications should avoid any duplication of existing efforts, or supplanting existing or budgeted efforts. Specific evaluation criteria can be found in section V.A. of this FFO.

D. Cluster Grants for Seed Funds

An important element of a regional innovation strategy is the availability of funding for early stage companies. Often, taking an idea or innovation from conception to market requires hard-to-find capital. Because of this, it is referred to as one of many “valley of death” points in the entrepreneurial process.

For FY 2014, EDA is looking to provide funding for technical assistance to support feasibility, planning, formation, or launch of cluster-based seed capital funds to be deployed in support of innovation-based startups with a potential for high growth. While the Small Business

Association’s (SBA’s) Small Business Investment Company (SBIC) program funds ultimately pass to startup companies, funding awarded through the seed capital funds will instead seek to create sustainable financing institutions for those startups. Applicants may request funding to support seed capital funding programs and direct supporting programs as outlined below. EDA will collaborate with the SBA through the evaluation process to ensure the seed capital funding complements other federal economic development programs and does not duplicate existing programs.

1. Requirements for Cluster Grants for Seed Capital Funds

Funding may be used for technical assistance, feasibility studies, or marketing related to the operation of programs that meet the following criteria:

a) Seed capital support for innovation-based, growth-oriented companies

The program must focus on new businesses (generally less than three years old) that are commercializing or using an innovative technology in the development of their product or service. Companies must also have demonstrated potential for high-growth and include performance targets for job creation.

b) Plan for Sustainability

Programs must include provisions for sustainability through measures such as taking an equity stake in, or collecting royalties from, the businesses they are supporting.

c) Demonstrated ecosystem and down-stream support

Ties into the community are a critical element of success for nascent companies.

Successful seed-level funding programs provide for further development of companies they invest in by building and maintaining connections to support organizations such as commercialization centers, incubators and other training programs. Additionally important are connections with down-stream funding sources to support the next phase of growth and capital needs of portfolio companies.

Additional consideration will be given to programs which support innovations in manufacturing and programs that specifically serve businesses with a strong potential to export their goods or services. Applications for funding that duplicates assistance already provided by the SBA or any other Federal agency will not be considered competitive.

2. Cluster Grants for Seed Funds Examples

The following are examples of the types of projects that could be funded through this competition. 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.

Scenario 1: A consortia of local and regional economic development organizations and municipalities is interested in generating more innovation around a particular challenge in the region. They offer a “call for startups” to develop creative solutions with a demonstrated strong case for commercial potential and offer seed-based funding and startup support as part of a competition. The proposal requests funding for personnel to set up and build the fund, and to market and advertise the program once it has been created.

Scenario 2: A state or municipality has established a seed fund and desires to improve the probability of greater outcomes by providing technical assistance to the companies they invest in (their portfolio companies). They request a grant to provide specific assistance to their portfolio companies focused on sustainability and growth and/or technical assistance to establish and provide seed capital funding to startups.

Scenario 3: A regional foundation focused on preventative health care for underserved communities would like to see more startups creating solutions helping to solve specific problems in their domain. They request funding to conduct a study to determine size, scope and feasibility for setting up a seed fund to support startups who are innovating in their target space.

E. Statutory authorities for the Regional Innovation Strategies Program

The statutory authority for the RIS Program is section 27 of the America COMPETES

Reauthorization Act of 2010 (15 U.S.C. § 3722; P.L. 111-358), amending the Stevenson-Wydler

Technology Innovation Act of 1980 (15 U.S.C. § 3721 et seq.).

EDA expects to update its regulations to reflect the applicant eligibility and program requirements for the RIS Program in the future.

II. Award information

A. What funding is available 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. 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:

1. FY 2014 i6 Challenge

Up to $8 million for the FY 2014 i6 Challenge, from which EDA expects to award approximately 16 or more grants each valued at a maximum of $500,000.

2. Science and Research Park Development Grants

Up to $5 million for Science and Research Park Development Grants in FY 2014, from which EDA expects to award approximately 10 or more grants each valued at a maximum of

$500,000.

3. Cluster Grants for Seed Funds

Up to $2 million for Cluster Grants for Seed Funds, from which EDA expects to award approximately 8 or more grants each valued at a maximum of $250,000.

Applications for renewal or supplementation of existing projects are eligible to compete with applications for new awards under each of these three competitions.

B. What type of funding instrument will be used to make awards and how long will project periods be?

Subject to the availability of funds, EDA may award grants or cooperative agreements to eligible applicants to help support activities. If the funding instrument to be used is a cooperative agreement, the nature of EDA’s “substantial involvement” will generally be collaboration between EDA and the recipient on the scope of work. Additional forms of substantial involvement that may arise are described in Chapter 5.C of the DOC Grants and Cooperative

Agreements Manual, which is available at http://www.osec.doc.gov/oam/grants_management/policy/documents/FINAL Master DOC

Grants Manual 2013 (03.01.13)_b.pdf.

Project periods are dependent on the type of project, scope of work, and the EDA program under which the grant for the project is awarded. See section VI.A. of this FFO for award notification information.

For the i6 Challenge, the anticipated award will have an initial project period of three years with an estimated start date on or about 120 days after the closing date of this FFO.

For the Science and Research Park Development Grant competition, the anticipated award will have an initial project period of twelve months with an estimated start date on or about 120 days after the closing date of this FFO.

For the Cluster Grants competition, the anticipated award will have an initial project period of two years with an estimated start date on or about 120 days after the closing date of this FFO.

EDA expects all projects to proceed efficiently and expeditiously, and EDA expects applicants to clearly document a reasonable and appropriate timeline for the start and completion of the proposed scope of work.

III. Eligibility Information

A. Eligible Applicants

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

Pursuant to the America COMPETES Reauthorization Act of 2010, eligible applicants for and eligible recipients of EDA investment assistance under this FFO include a(n):

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).

For Science and Research Park Development Grants only, in addition to the types of applicants listed above, the following applicants are also eligible to apply:

6. a Hospital;

7. a Commercial organization; or

8. a consortium of any of the entities described in subparagraphs (1) through (7).

Please note that while commercial organizations are eligible entities for Science and

Research Park Development grants, in evaluating applications, EDA will provide preference to organizations and consortia that demonstrate regional collaboration and the ability to leverage and complement existing state, local, and non-profit organization programs and initiatives that support science and research, such as university-based programs, National Laboratories, etc. See section V.A.2.b.

B. Cost Sharing or Matching

1. FY 2014 i6 Challenge and Cluster Grants

Under this FFO, applicants must demonstrate at the time of application a matching share from non-Federal4 sources. The applicant must show that the matching share will: (i) be committed to the project for the project period, (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. EDA will give preference to applications with higher matching shares, which further leverage Federal funds and help ensure additional project impact. For applicants applying for the i6 Challenge and the Cluster Grant competitions, a separate match is required for each project. For these two competitions, the amount of an EDA grant may not exceed 50 percent of the total cost of each project.

In the application review process, EDA will consider the nature of the contribution (cash or in-kind) and the amount of the matching share funds. 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, equipment, services, or forgiveness or assumptions of debt. EDA will fairly evaluate all in-kind contributions, which must be eligible project costs and meet applicable Federal cost principles and uniform administrative requirements.

Applicants are strongly encouraged to work with the appropriate EDA representative listed in Section VIII. of this FFO to determine how in-kind contributions can be utilized to satisfy the matching share requirement for their respective project concept and application.

Please note that because EDA funds cannot be used as venture capital or as an equity investment, the matching share may not include venture capital or equity.

2. Science and Research Park Development Grants

Cost sharing or matching are not required for an EDA award for Science and Research

Park Development Grants.

IV. Application and Submission Information

A. How to Obtain an Application Package

An applicant may obtain the appropriate application package electronically at www.grants.gov (Grants.gov). Applicants may search for this funding opportunity on

Grants.gov using Funding Opportunity Number “EDA-HDQ-OIE-2014-2004219.” All components of the appropriate application package may be accessed and downloaded (in a screen-fillable format) at www.grants.gov/web/grants/search-grants.html. The preferred electronic file format for attachments is Adobe portable document format (PDF); however, EDA will accept electronic files in Microsoft Word, WordPerfect, or Microsoft Excel. Applicants are

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.

http://www.grants.gov/web/grants/search-grants.html advised that they must complete the registration process prior to submitting an application through Grants.gov; however, please note that registration is not required for an applicant 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.

B. Content and Form of Application Submission

1. What is required for a complete application?

In order to be considered for funding, applicants must submit a complete application package for each competition to which they are applying that includes all required documents outlined below by the applicable deadline. All documentation and data submitted as part of the application package should be current and applicable.

All applications must include the following documents:

i. One Form SF-424 (Application for Federal Assistance) from each co-applicant, as applicable.

ii. One Form SF-424A (Budget Information-Non-Construction Programs).

One form per application is required. Applicants should ensure that the

SF-424A reflects a distinct budget for each competition for which the applicant is applying.

iii. One Form SF-424 B (Assurances-Non-Construction Programs) from each co-applicant, as applicable.

iv. One Form CD-511 (Certification Regarding Lobbying) from each co-applicant, as applicable.

v. One Form SF-LLL (Disclosure of Lobbying Activities) from each co-applicant, as applicable.

vi. A Project Narrative of no more than 12 single-sided pages using at least

11 point font size (see section IV.B.2. of this FFO for additional information).

vii. If the applicant or co-applicant is a non-profit, a copy of the

(1) Certificate of good standing from the State in which the non-profit organization is incorporated; (2) non-profit organization’s current Articles of Incorporation or other formation documents, as applicable; (3) By-

Laws; and (4) resolution (or letter) from a general purpose subdivision of

State government acknowledging that the non-profit organization is acting in cooperation with officials of that political subdivision (see 13 C.F.R.

§ 301.2).

viii. If the applicant or co-applicant is a for-profit, a copy of the

(1) Certificate of good standing from the State in which the for-profit organization is incorporated; (2) for-profit organization’s current Articles of Incorporation or other formation documents, as applicable; and (3) By-

Laws.

ix. Comments from the State Clearinghouse to comply with Executive

Order 12372, “Intergovernmental Review of Federal Programs,” if applicable. If the comment period has not expired or comments were not received, a copy of the applicant’s request for comments is sufficient;

however, in that instance, the final determination will be required prior to award. Detailed information on the State Clearinghouse process can be accessed at http://www.whitehouse.gov/omb/grants_spoc.

All application forms submitted through Grants.gov must be signed electronically by an

Authorized Organizational Representative (AOR); please see section IX. of this FFO for information on AOR requirements. Please refer to important information on submitting your application provided in section IV.D. of this FFO.

2. Requirements for the Project Narrative

As outlined in section IV.B.1. of this FFO, all applicants must provide a project narrative in order to be considered for funding. Applicants are strongly encouraged to provide a high-quality 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. A competitive application will address the following elements in the project narrative:

a. Description of project region, location, and impact: Applicants must clearly describe the Region where the project will be located, including the specific geographic location of the project within the Region, as well as background on the assets of the area, which may include clusters, workforce, and physical-, educational- and financial-infrastructure. If the impact is expected to expand beyond the noted region that should be detailed as well.

b. Clear description of proposed project: Applicants must clearly document the concrete activities that will be undertaken, and the specific deliverables that will be produced as a result of this investment. The description of the proposed project must include: a clear statement of the overall purpose of the project; the role of each applicant, co-applicant, and key personnel (including a description of their qualifications or an approximately 1 - 2 page resume for each key person); and key milestones, an associated schedule for when the project could start, when key milestones could be achieved, and when the project is anticipated to be completed.

c. Documentation supporting the budget request: Applicants must provide a clear budget justification that identifies how funds in each line item of the budget will be utilized to support the proposed project. 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 proposes otherwise, applicants must also include information that clearly indicates what project elements the matching share funds will support. Finally, the applicant http://www.whitehouse.gov/omb/grants_spoc must submit supporting documentation to indicate these funds are unencumbered, unrestricted and committed to support the proposed project.

d. Documentation on anticipated project impacts: Applicants must provide a clear and compelling justification of the long-term potential economic impact of the proposed project, through anticipated job creation or retention, private investment leveraging, number of businesses or collaborations supported, or other appropriate measures. All job and private investment leverage estimates should reflect the anticipated impact five years after the potential EDA investments. For all other measures, applicants should clearly identify the applicable time-frame. In all cases, applicants must document the benefit and provide third-party data or information available to support these claims.

C. Deadlines for submission

The closing date for receipt of applications for funding under this FFO is Monday, November 3, 2014.

Applications submitted electronically via www.grants.gov (Grants.gov) must be received by 11:59 p.m. Eastern Time on Monday, November 3, 2014. 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 FFO. See sections IV.D.

and IX. of this FFO for information regarding electronic submissions. Applications received after the closing date and time will not be considered for funding.

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 necessary to comply with Federal requirements and provide supplemental information required by the agency before award.

See section V. of this FFO for application review and selection information.

Applicants are strongly encouraged to start early and not to wait until the approaching application deadline before logging on and reviewing the instructions for submitting an application through Grants.gov. Applicants should save and print written proof of an electronic submission made at Grants.gov. If problems occur while using Grants.gov, the applicant is advised to (i) print any error message received; and (ii) call Grants.gov at 1-800-518-4726 for immediate assistance. EDA may allow more time for application submission due to a “systems issue” at Grants.gov that is beyond the control of the applicant. See section IV.D and section IX.

of this FFO for more information on electronic submissions.

D. How to submit an application

Applications must be submitted through Grants.gov. EDA will not accept paper, facsimile or email transmissions of applications for this program. Applications must be successfully validated and time-stamped by Grants.gov no later than 11:59 p.m. Eastern Time on http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ the deadline listed in section IV.C. of this FFO. An application that is not validated and time-stamped by Grants.gov by the deadline will not be reviewed.

Once an application is submitted, it undergoes a validation process through Grants.gov during which the application may be accepted or rejected by the system. Please be advised that the validation process may take 24 to 48 hours to complete. Applications that contain errors will be rejected by Grants.gov, and will not be forwarded to EDA for review. The applicant must correct the error before Grants.gov will accept and validate the application. EDA will not accept late applications that were rejected by Grants.gov due to applicant errors. Accordingly, EDA strongly suggests that applicants submit their applications at least five days before the deadline to allow the application to be accepted and validated in the system and to allow time for any errors to be corrected. EDA will consider the time-stamp on the validation from Grants.gov as the official submission time.

Please see section IX. of this FFO for more detailed instructions and information on the requirements for submitting applications electronically via Grants.gov.

V. Application Review and Selection Process

Throughout the review and selection process, EDA reserves the right to seek clarification in writing from applicants whose applications are being reviewed and considered. EDA may ask applicants to clarify application materials, objectives, and work plans, or modify budgets or other specifics necessary to comply with Federal requirements.

A. Evaluation Criteria

For each program, the following factors will be considered by members of the Merit

Review Panels to judge applications. Evaluation criteria for each program will be scored independently. Applicants that apply for all sources of funds may not necessarily receive favorable consideration for each competition. NOTE: Each factor will be weighted as indicated for a total possible score of 100 points under each competition.

1. FY 2014 i6 Challenge

All applicants are expected to provide a clear and detailed explanation as to how the proposed project will meet the i6 Challenge evaluation criteria. EDA will consider applications that include such an explanation with supporting data (including performance measures and deliverables, as applicable) more competitive than those that do not include supporting data.

For the FY 2014 i6 Challenge, the following five factors will be considered. Each factor will be weighted as indicated for a total possible score of 100 points.

a) Approach (25 points)

Applications will be evaluated based on their plan to effectively use the proposed project as described in Section I.B. of this FFO to address their regional innovation and entrepreneurial needs. Moreover, the application should present a clear, specific, and realistic approach to accelerating the movement of innovative ideas to the marketplace, such as innovation in the areas of energy, life sciences, information technology, health care, education, innovative manufacturing, telecommunications or social innovation. This will be evaluated to the extent an application demonstrates:

A clear understanding of a real or persistent problem facing the region’s entrepreneurs and innovators or an unaddressed opportunity, its urgency, and the ability of the proposed model to solve the problem or capitalize on the opportunity;

Creative or even potentially transformative models or solutions based on an understanding of the role, benefit, and best practices of proposed project; and

A plan including documented task oriented deadlines for how the proposed project would nurture innovation, entrepreneurship and commercialization of ideas.

Additional consideration will be given to programs which support innovations in manufacturing and businesses with a strong potential to export their goods or services.

b) Feasibility of Implementation - Plan (25 points)

Applications must show that establishing or enhancing the capabilities of a Proof of

Concept Center or Commercialization Center and…