FY 2016 EDAP FFO - FINAL.pdf

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

Public Works and Economic Adjustment Assistance Programs

EXECUTIVE SUMMARY

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

• Funding Opportunity Title: FY 2016 Economic Development Assistance Programs - Application submission and program requirements for EDA’s Public Works and Economic Adjustment Assistance programs.

• Announcement Type and Date: FY 2016 Federal Funding Opportunity (FFO) announcement publishing EDA’s application submission requirements and review procedures for applications received under EDA’s (i) Public Works and (ii) Economic Adjustment Assistance (EAA) programs, authorized under the Public Works and Economic Development Act of 1965, as amended (42 U.S.C. § 3121 et seq.). Effective date: October 26, 2015.

• Funding Opportunity Number: EDAP2016

• Catalog of Federal Domestic Assistance (CFDA) Numbers: 11.300, Investments for Public Works and Economic Development Facilities and 11.307, Economic Adjustment Assistance.

• Dates: EDA is employing a new two-phase review process for proposals/applications submitted under this FFO. There are no submission deadlines. Proposals and applications will be accepted on an ongoing basis until the publication of a new EDAP FFO. Proposals will be reviewed by EDA within 30 days of receipt; and following the proposal review, full applications will be reviewed within 60 days of receipt. Please see Section IV. of this FFO for complete information on EDA’s two-phase review process.

• Funding Opportunity Description: EDA provides strategic investments on a competitive merit basis to support economic development, foster job creation, and attract private investment in economically distressed areas of the United States. Under this FFO, EDA solicits applications from applicants in rural and urban areas to provide investments that support construction, non-construction, technical assistance, and revolving loan fund projects under EDA’s Public Works and EAA programs. Grants and cooperative agreements made under these programs are designed to leverage existing regional assets and support the implementation of economic development strategies that advance new ideas and creative approaches to advance economic prosperity in distressed communities.

• Eligible applicants: EDA is not authorized to provide grants or cooperative agreements to individuals or to for-profit entities. Requests from such entities will not be considered for funding. Eligible applicants for EDA financial assistance under the Public Works and EAA programs include a(n): (i) District Organization of a designated Economic Development District; (ii) Indian Tribe or a consortium of Indian Tribes; (iii) State, county, city, or other political subdivision of a State, including a special purpose unit of a State or local government engaged in economic or infrastructure development activities, or a consortium of political subdivisions; (iv) institution of higher education or a consortium of institutions of higher education; or (v) public or private non-profit organization or association acting in cooperation with officials of a political subdivision of a State. See Section 3 of PWEDA (42 U.S.C. § 3122) and 13 C.F.R. § 300.3.

FULL ANNOUNCEMENT TEXT

The Economic Development Administration’s (EDA) Public Works and Economic Adjustment Assistance Programs

EXECUTIVE SUMMARY

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Overview

B. EDA Investment Priorities

C. EDA Program Information

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 a project’s period of performance be?

C. Are there any funding restrictions?

III. Eligibility Information

A. Eligible Applicants

B. EDA Economic Distress Criteria

C. Cost Sharing or Matching

IV. Application and Submission Information

A. How to Obtain a Proposal or Application Package

B. Content and Form of the Proposal and Application

C. Deadlines for submission

D. How to submit a proposal or an application

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

F. Intergovernmental review

V. Application Review and Selection Process

A. Phase I: Proposal Review

B. Phase II: Investment Review Committee (IRC)

C. Due Diligence

D. Grants Officer’s Decision

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. Audit requirements

VII. Other Information

A. Freedom of Information Act Disclosure

B. Past Performance and Non-Compliance with Award Provisions

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

D. Environmental and historic preservation requirements

E. Implementing the Americans with Disabilities Act (ADA)

VIII. EDA Contact Information

Atlanta Regional Office

Austin Regional Office

Chicago Regional Office

Denver Regional Office

Philadelphia Regional Office

Seattle Regional Office

IX. Instructions for Application Submission via Grants.gov

Appendix A. Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns37

I. Funding Opportunity Description

A. Overview

This Federal Funding Opportunity (FFO) announcement sets out EDA’s application submission and review procedures for two of its Economic Development Assistance programs (EDAP) authorized under the Public Works and Economic Development Act of 1965, as amended (42 U.S.C. § 3121 et seq.) (PWEDA): (i) Public Works and Economic Development (Public Works); and (ii) Economic Adjustment Assistance (EAA). EDA will publish separate FFO announcements for its other programs: Regional Innovation Strategies, Planning, Partnership Planning, Local Technical Assistance, University Center, and Research and National Technical Assistance.

EDA’s programs provide economically distressed communities and regions with comprehensive and flexible resources to address a wide variety of economic needs, and are designed to lead to the creation and retention of jobs and increased private investment. EDA’s programs support local and regional economic development efforts to establish a foundation for vibrant economies throughout the United States. Through these programs, EDA supports bottom-up strategies that build on regional assets to spur economic growth and resiliency. EDA encourages its grantees throughout the country to develop initiatives that present new ideas and creative approaches to advance economic prosperity in distressed communities.

B. EDA Investment Priorities

Through the competitive grant process outlined in this funding opportunity, all proposed projects are evaluated to determine the extent to which they align with EDA’s investment priorities, create or retain high-quality jobs, leverage public and private resources, demonstrate the ability to start the proposed project promptly and use funds quickly and effectively, and provide a clear scope of work and specific, measureable outcomes.

EDA’s investment priorities are designed to provide an overarching framework to guide the agency’s investment portfolio to ensure its investments have the greatest impact.

Competitive applications will be responsive to the evaluation criteria listed in Section V.A.2 of this FFO, and will align with at least one of the following investment priorities:

1. Collaborative Regional Innovation Projects that support the development and growth of innovation clusters1 based on existing regional competitive strengths. Such initiatives must engage relevant stakeholders; facilitate collaboration among urban, suburban, and rural (including tribal) areas; provide stability for economic development through long-term intergovernmental and public/private collaboration; and support the growth of existing and emerging industries.

2. Public/Private Partnerships Projects that use both public and private sector resources and complementary investments by other government/public entities and/or nonprofits.

3. National Strategic Priorities Projects that:

a. encourage job growth and business expansion in manufacturing, including advanced manufacturing, sustainable manufacturing, and manufacturing supply chains;

b. assist communities severely impacted by the declining use of coal;

c. increase economic resiliency, including resilience to the effects of natural disasters and climate change;

d. assist with natural disaster mitigation and recovery;

e. are aimed at restoring or improving urban waters and the communities that surround them; and

f. assist and/or support:

i. information technology infrastructure (for example, broadband or smart grid);

ii. communities severely impacted by automotive industry restructuring;

1 EDA defines clusters as geographic concentrations of firms, workers and industries that do business with each other and have common needs for talent, technology, and infrastructure. Clusters are essentially networks of similar, synergistic, or complementary entities that are engaged in or with a particular industry sector; have active channels for business transactions and communication; share specialized infrastructure, labor markets, and services;

and leverage the region’s unique competitive strengths to stimulate innovation and create jobs. Clusters may cross municipal, county, and other jurisdictional boundaries.

iii. job-driven skills development;

iv. access to capital for small- and medium-sized and ethnically diverse enterprises;

v. innovations in science and health care; and

vi. advancement of science and research parks, other technology transfer, or technology commercialization efforts.

4. Global Competitiveness

Projects that support high-growth businesses and innovation-based entrepreneurs to expand and compete in global markets, especially investments that expand U.S. exports, encourage foreign direct investment, and promote the repatriation of jobs back to the U.S.

5. Environmentally-Sustainable Development Projects that promote job creation and economic prosperity through enhancing environmental quality and developing and implementing green products, processes, places, and buildings as part of the green economy. This includes projects that encourage job growth, business expansion, and innovations in energy-efficient technologies and clean energy, including alternative fuel technologies. Additional information is available on EDA’s website at http://www.eda.gov/pdf/GreenGrowthOverview.pdf.

6. Underserved Communities Projects that strengthen diverse communities that have suffered disproportionate economic distress and job losses and/or are rebuilding to become more competitive in the global economy.

C. EDA Program Information

This section provides detailed information on the two programs to which this FFO applies. Additional information about EDA’s programs, including information about the eligibility of specific kinds of projects, is available through EDA staff. EDA will continue to consider applications from communities experiencing adverse economic changes due to base realignment and closures (BRAC) and Federally declared disasters when awarding assistance from FY 2016 funds. In addition to the assistance described below, EDA assistance to such communities may include planning, coordinating the use of Federal resources available to support economic development recovery, and developing regionally focused economic recovery and growth strategies.

EDA staff provides technical assistance to prospective applicants to assist in proposal development and application submission. Applicants are strongly encouraged to contact the EDA representative listed for their applicable state in Section VIII. of this FFO to clarify technical matters involving their proposed project, its alignment with EDA’s mission and investment priorities, and all other relevant publicly available information relating to technical matters before submitting an application to EDA.

Except for projects to develop, update, or refine a Comprehensive Economic Development Strategy (CEDS) as described in EDA’s regulation at 13 C.F.R. § 303.7, each project funded under both programs below must be consistent with the region’s current CEDS or equivalent EDA-accepted regional economic development strategy that meets EDA’s CEDS or http://www.eda.gov/pdf/GreenGrowthOverview.pdf strategy requirements. Applicants must clearly detail how the proposed project will support the economic development needs and objectives outlined in the CEDS or equivalent strategy. In addition, applicants should highlight where and how the proposed project will is aligned with, integrated into, and/or will further leverage other public and private investments in the community and region. Additional information and a summary of EDA’s CEDS and strategy requirements may be obtained through the applicable EDA representative listed in Section VIII.

of this FFO.

1. Public Works2

Through the Public Works program, EDA provides catalytic investments to help distressed communities build, design, or engineer critical infrastructure and facilities that will help implement regional development strategies and advance bottom-up economic development goals to promote regional prosperity. The Public Works program provides resources to meet the construction and/or infrastructure design needs of communities to enable them to become more economically competitive. Prior examples of investments EDA supported through the Public Works program include projects supporting water and sewer system improvements, industrial parks, high-tech shipping and logistics facilities, workforce training facilities, business incubators and accelerators, brownfield development, technology-based facilities, wet labs, multi-tenant manufacturing facilities, science and research parks, and telecommunications infrastructure and development facilities.

As noted above, investments made through the Public Works program must be aligned with a current CEDS or EDA-accepted regional economic development strategy and clearly lead to the creation or retention of long-term high-quality jobs. For example, under this program, EDA may provide funding to a consortium of eligible recipients to support the construction of a technology center that provides laboratory, office, and manufacturing space that leads to the creation of advanced manufacturing jobs. As another example, EDA may provide funding to a county government to support regional job creation in targeted cluster industries and expand those industries’ ability to export goods.

2. Economic Adjustment Assistance (EAA)3

Through the EAA program, EDA provides investments that support a wide range of construction and non-construction activities (including infrastructure, design and engineering, technical assistance, economic recovery strategies, and capitalization or re-capitalization of Revolving Loan Funds (RLF)) in regions experiencing severe economic dislocations that may occur suddenly or over time. EDA utilizes EAA investments to provide resources that help communities experiencing or anticipating economic dislocations to plan and implement specific solutions to leverage their existing regional economic advantages to support economic development and job creation. Like Public Works investments, EAA investments are designed to help communities catalyze public-private partnerships to foster collaboration, attract investment, create jobs, and foster economic resiliency and prosperity. For example, EDA might provide funding to a university or community college to create and launch an economic diversification strategy to promote and enhance the growth of emerging industries in a region facing job losses due to a decline in the region’s coal industry. As another example, EDA might

2 CFDA No. 11.300. The regulations implementing the Public Works program may be found at 13 C.F.R. part 305.

3 CFDA No. 11.307. The regulations implementing the EAA program may be found at 13 C.F.R. part 307.

provide funding to a city to support the construction of a publically-owned multi-tenant business and industrial facility to house early-stage businesses.

3. Statutory authorities for EDA’s programs

The statutory authorities for the Public Works and EAA programs are Sections 201 (42 U.S.C. § 3141) and 209 (42 U.S.C. § 3149) of PWEDA, respectively.

Applicant eligibility and program requirements are set forth in EDA’s regulations (codified at 13 C.F.R. chapter III) and all applicants must address these requirements. Specific program requirements for the Public Works program are set out at 13 C.F.R. part 305 and for the EAA program at 13 C.F.R. part 307. For EDA’s Public Works and EAA programs, this announcement supersedes the EDAP FFO announcement dated February 9, 2015. EDA’s regulations are accessible at the U.S. Government Publishing Office (GPO) website at http://www.gpo.gov/fdsys/. Under “Browse”, selected the Code of Federal Regulations, choose the most recent year, and scroll down to find Title 13, Chapter III.

II. Award information

A. What funding is available under this announcement?

Note: As of the date of publication of this FFO, October 26, 2015, the full amount of FY 2016 appropriations is not available and EDA is operating under the authority of H.R. 719, which continues the FY 2015 Consolidated Appropriations Act funding levels. The FY 2015 award amounts are provided only for your information as they may prove useful for planning purposes.

In FY 2015, the Consolidated Appropriations Act, 2014 (P.L. 113-235) (The Commerce, Justice, Science, and Related Agencies Appropriations Act, 2015 [division B of P.L. 113-235]) appropriated $99 million for the Public Works program and $35 million for the EAA program.

The funding periods and amounts referenced in this FFO 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. Applications for renewal or supplementation of additional projects may compete with applications for new awards. The average award amounts set out below are provided only for your information and may prove useful for planning purposes. Actual amounts awarded may be higher or lower depending on the nature of the proposed project and the availability of funds.

The average size of a Public Works investment has been approximately $1.4 million, and investments generally range from $200,000 to $3,000,000. Historically, EDA has awarded funds for between 80 and 150 Public Works projects a year.

The average size of an EAA investment has been approximately $820,000, and investments generally range from $100,000 to $1,250,000. Historically, EDA has awarded funds for between 70 and 140 EAA projects a year.

http://at/ http://www.gpo.gov/fdsys/

B. What type of funding instrument will be used to make awards and how long will a project’s period of performance be?

Subject to the availability of funds, EDA may award grants or cooperative agreements to eligible applicants to help support economic development activities. The period of performance for a given project will depend on the type of project, scope of work, and the EDA program under which the grant or cooperative agreement for the project is awarded. For example, the period of performance for a construction investment under EDA’s Public Works program may last for three years, while a strategy investment under EDA’s EAA program may allow for one to three years for completion of the scope of work, depending on its complexity or urgency. EDA expects that all projects will proceed efficiently and expeditiously, and EDA encourages applicants to clearly document how quickly the applicant will be able to start and complete the proposed work.

C. Are there any funding restrictions?

In general, EDA does not reimburse pre-award project costs. Applicants that are in need of such reimbursement should work closely with the EDA representative for their state to determine if their pre-award costs may be considered for reimbursement. In order for contracted pre-award costs to be eligible for reimbursement, the applicant must competitively procure services pursuant to the Federal government’s procurement procedures.4 All pre-award costs are incurred at an applicant’s own risk and will be considered for reimbursement, in EDA’s sole discretion, only if an applicant receives an award and must be approved by EDA in writing.

Neither EDA nor DOC will be held responsible for proposal and application preparation expenditures, which are distinguishable from pre-award project costs.

III. Eligibility Information

A. Eligible Applicants

Pursuant to PWEDA, eligible applicants for and eligible recipients of EDA investment assistance under this FFO include a(n):

1. District Organization;

2. Indian Tribe or a consortium of Indian Tribes;

3. State, county, city, or other political subdivision of a State, including a special purpose unit of a State or local government engaged in economic or infrastructure development activities, or a consortium of political subdivisions;

4. Institution of higher education or a consortium of institutions of higher education;

or

5. Public or private non-profit organization or association acting in cooperation with officials of a political subdivision of a State.5

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

4 Procurement requirements for States and other non-Federal entities are set out at 2 C.F.R. §§ 200.317 – 200.326.

5 See Section 3 of PWEDA (42 U.S.C. § 3122) and 13 C.F.R. § 300.3.

B. EDA Economic Distress Criteria

In order to be eligible for funding under this FFO, an applicant must propose a project located in a Region that meets EDA’s distress criteria as of the date EDA receives the application. Applicants must provide third-party data that clearly indicates that the relevant Region is subject to one (or more) of the following economic distress criteria: (i) an unemployment rate that is, for the most recent 24-month period for which data are available, at least one percentage point greater than the national average unemployment rate; (ii) per capita income that is, for the most recent period for which data are available, 80 percent or less of the national average per capita income; or (iii) a “Special Need,” as determined by EDA.6

EDA will review and evaluate documentation submitted by the applicant to determine eligibility. EDA will reject any documentation of eligibility that the agency determines is inaccurate or incomplete, which may cause the application to be rejected. In cases where EDA receives an application six months or more before the time of award, EDA will re-evaluate the project to determine continued eligibility for investment assistance before making an award.

To determine eligibility, applicants must self-define the appropriate geographical area that constitutes their Region in one of the following three ways:

1. The Region that meets EDA’s economic distress criteria where the proposed project will be located;

2. If the proposed project is located in an Economic Development District that is located in a Region that does not meet EDA’s economic distress criteria, the geographic area where substantial direct project-related benefits will occur; or

3. If a Region overall does not meet EDA’s economic distress criteria, the geographic area of poverty or high unemployment located within the Region that meets EDA’s economic distress criteria and where the proposed project will be located.

See also 13 C.F.R. § 301.3(a).

For construction projects (including design and engineering) the project must be located within an eligible Region. For non-construction projects, the investment’s scope of work must primarily benefit an eligible Region and stakeholders from that eligible Region must be directly engaged. EDA suggests that applicants work closely with the EDA representative listed for their state as they define an eligible project in their Region.

1. Unemployment Rate & Per Capita Income

For economic distress levels based on the unemployment rate or per capita income requirements, EDA will base its determination upon the most recent American Community Survey (ACS) data published by the U.S. Census Bureau.

If recent ACS data are not available to determine project eligibility, EDA will base its decision on the most recent Federal data from other sources (e.g., data available from the U.S. Census Bureau and the Bureaus of Economic Analysis, Labor Statistics, and Indian Affairs). If no Federal data are available, an applicant must submit to EDA the most recent data available from the government of the

6 See Section 301 of PWEDA (42 U.S.C. § 3161) and 13 C.F.R. § 301.3.

State in which the region is located (i.e., conducted by or at the direction of the State government).7

2. “Special Need” Criteria

For the purposes of determining eligibility based on a “Special Need”, an applicant must provide current and appropriate economic and demographic statistics for the applicable Region to support the identified Special Need. EDA will base its Special Need eligibility determination on whether the proposed project meets the specific requirements outlined below, or in cases where specific thresholds are not identified, on whether the data and information provided by the applicant presents a compelling case that the Region meets the Special Need criteria, as defined by EDA.

A project may be eligible pursuant to a Special Need if the project is located in a Region that meets one or more of the criteria described below8:

a. Closure or restructuring of industries or the loss of a major employer essential to the Regional economy as defined by:

i. an actual closure or restructuring of a firm within the 12 months prior to application submission, resulting in sudden job losses and meeting the dislocation criteria in a.iii. below; or

ii. a threat of closure that results from a public announcement of an impending closure or restructuring of a firm expected to occur within two years of application submission; AND

iii. such actual or threatened closure results in sudden job losses meeting the following dislocation criteria:

1. For Regions with a population of at least 100,000, the actual or threatened dislocation is 500 jobs, or one percent of the civilian labor force (CLF), whichever is less.

2. For Regions with a population up to 100,000, the actual or threatened dislocation is 200 jobs, or one percent of the CLF, whichever is less.

b. Substantial out-migration or population loss.

c. Underemployment, meaning employment of workers at less than full-time or at less skilled tasks than their training or abilities permit.

d. Military base closures or realignments, defense contractor reductions-in-force, or Department of Energy defense-related funding reductions.

i. A military base closure refers to a military base that was closed or is scheduled for closure, realignment, or growth pursuant to the base closure and realignment process or other Department of Defense (DOD) process. Unless further extended by the Assistant Secretary for Economic Development, the Region is eligible from the date of DOD’s recommendation for closure, realignment, or growth until five years

7 See Section 301 of PWEDA (42 U.S.C. § 3161) and 13 C.F.R. § 301.3.

8 The following criteria are published in accordance with 13 C.F.R. § 301.3(a)(l)(iii) and define what may constitute a “Special Need” (as defined in 13 C.F.R. § 300.3) sufficient to make a project eligible for Public Works or Economic Adjustment investment assistance, as described in Section III.B. of this announcement.

after the actual date of closing of the installation or five years after the announced realignment or growth actually occurs.

ii. A defense contractor reduction-in-force refers to a defense contractor(s) experiencing defense contract cancellations or reductions resulting from official DOD announcements that have aggregate value of at least $10 million per year. Actual dislocations must have occurred within one year of the date an application is submitted to EDA and threatened dislocations must be anticipated to occur within two years of application to EDA. Defense contracts that expire in the normal course of business will not be considered to meet this criterion.

iii. A Department of Energy defense-related funding reduction refers to a Department of Energy facility that has experienced or will experience a reduction of employment resulting from its defense mission change. The Region is eligible from the date of the Department of Energy announcement of reductions until five years after the actual date of reduced operations at the installation.

e. Natural or other major disasters or emergencies. A Region that has received one of the following disaster declarations is eligible:

i. A Presidentially Declared Disaster (declared under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C.

§ 5121 et seq.)); or

ii. A Federally declared disaster (pursuant to the Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C. § 1861a(a));

the Consolidated Farm and Rural Development Act, as amended (7 U.S.C.

§ 1961); or the Small Business Act, as amended (Pub. L. No. 85-536, 15 U.S.C. § 631 et seq., 72 Stat. 384 (1958)).

Applicants must demonstrate a clear nexus between the needs created by the declared disaster and the proposed project.

f. Extraordinary depletion of natural resources or other impact attributable to a new or revised Federal regulation or policy that will have a significant impact on a community’s ability to prevent an extraordinary depletion of natural resources. For example, in the case of a Federal fishing regulation designed to promote and sustain a community and its fishery in the long-term, EDA could quickly help a coastal community respond to any short-term economic dislocations.

g. Communities undergoing transition of their economic base as a result of changing trade patterns, for example, an area certified as eligible by the North American Development Bank (NADBank) Program or the Community Adjustment and Investment Program (CAIP).

h. Designation of the project region as a “Promise Zone.” In order to receive consideration for this Special Need, applicants must submit a letter from the lead organization of a designated Promise Zone attesting to the contribution that the proposed activities would make, and supporting the application. A list of designated Promise Zones and lead organizations can be found at www.hud.gov/promisezones.

i. Other Special Need. The area is experiencing other special or extraordinary economic adjustment needs, as determined by the Assistant Secretary for Economic Development.

http://www.hud.gov/promisezones

In addition to the above, all applications for funding based on Special Need must demonstrate how the project will address the economic development needs of the Region resulting from that Special Need.

C. Cost Sharing or Matching

Generally, the amount of an EDA award may not exceed 50 percent of the total cost of the project. Projects may receive an additional amount that may not exceed up to 30 percent of the total project cost, based on the relative needs of the Region in which the project will be located, as determined by EDA.

In general, EDA’s maximum investment rate (percent of the total project cost) is determined by the average per capita income or unemployment rate of the region in which the project is located, as outlined in Table 1 below:9

TABLE 1

Projects located in regions in which:

Maximum allowable investment rates

(percentage of total project cost)

(A) The 24-month unemployment rate is at least 225% of the national average; or 80

(B) The per capita income is not more than 50% of the national average. 80

(C) The 24-month unemployment rate is at least 200% of the national average; or 70

(D) The per capita income is not more than 60% of the national average. 70

(E) The 24-month unemployment rate is at least 175% of the national average; or 60

(F) The per capita income is not more than 65% of the national average. 60

(G) The 24-month unemployment rate is at least 1 percentage point greater than the national average; or 50

(H) The per capita income is not more than 80% of the national average. 50

For projects subject to a Special Need, as outlined in Section III.B.2 above, EDA will determine the maximum allowable investment rate, not to exceed 80 percent of the total project cost, based on the actual or threatened overall economic situation of the region in which the project is located.

9 See Section 204(a) of PWEDA (42 U.S.C. § 3144) and 13 C.F.R. § 301.4(b)(1).

In addition, the Secretary of Commerce has delegated to the Assistant Secretary for Economic Development the discretion to establish a maximum EDA investment rate of up to 100 percent of the total project cost for projects: (i) of a State (or political subdivision of a State) that the Assistant Secretary for Economic Development determines has exhausted its effective taxing and borrowing capacity, or (ii) of a non-profit organization that the Assistant Secretary for Economic Development determines has exhausted its effective borrowing capacity.10 Additionally, EDA’s regulations provide discretion to establish a maximum EDA investment rate of up to 100 percent for projects of Indian Tribes.11

Potential applicants should contact the EDA representative listed for their state in Section VIII. of this FFO to obtain additional information regarding these EDA investment rate determinations.

The applicant must show that the matching share 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.12 Letters of support and other documentation may be necessary to meet these requirements. For example, if bonds are contemplated as match, counsel opinion of the applicant’s bonding authority and eligibility of the bonds for use as match, along with full disclosure of the type of bonds and the schedule of the applicant’s intended bond issue, are required. Please contact the applicable EDA representative listed in Section VIII. of this FFO with questions regarding EDA’s matching share requirements.

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. All in-kind contributions must be eligible project costs and meet applicable Federal cost principles and uniform administrative requirements. Examples of in-kind contributions can include space, equipment, services, or forgiveness or assumptions of debt.13 Funds from other Federal financial assistance awards may be considered matching share funds only if authorized by statute, which may be determined by EDA’s reasonable interpretation of the statute.14

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.

IV. Application and Submission Information In order to make the application process more efficient and effective, EDA is employing a two-phase review process for proposals/applications submitted under this FFO.

Please note that all submissions under this FFO must proceed through the two-phase review process.

10 See Sections 204(c)(l) and (2) of PWEDA (42 U.S.C. § 3144) and 13 C.F.R. § 301.4(b)(5).

11 See 13 C.F.R. § 301.4(b)(5).

12 See 13 C.F.R. § 301.5.

13 See Section 204(b) of PWEDA (42 U.S.C. § 3144) and the definition of “In-Kind Contribution” at 13 C.F.R.

§ 300.3.

14 See the definition of “Local Share or Matching Share” at 13 C.F.R. § 300.3.

Phase I, the Proposal Phase, of EDA’s process is designed to provide applicants with an economical and efficient means of determining if their proposed project meets the essential criteria to be considered responsive to this FFO.

In Phase I, potential applicants are able to provide EDA with general project information, as detailed in Section IV.B.1 of this FFO, to allow EDA to make a Phase I Determination, i.e., whether the proposed project meets the most essential criteria to be considered responsive to this

FFO.

Proposal packages submitted for Phase I consideration may be presented at any time during the fiscal year.

All complete Phase I proposal packages will be reviewed by the respective regional office Proposal Review Committee (PRC), and the applicant will be advised of EDA’s Phase I Determination within 30 days of EDA’s receipt of the proposal.

If the regional office PRC determines that a proposal is responsive to this FFO (Phase I Responsive Determination), EDA will inform the applicant that it may submit a complete application to proceed to Phase II of the process.

In Phase II, the Application Phase, an applicant must submit a complete application, as detailed in Section IV.B.2 of this FFO, to be considered for funding.

In Phase II, EDA will make a determination on an application within 60 days of EDA’s receipt of the complete application.

Again, please note that all submissions under this FFO must proceed through the two-phase review process. If an applicant submits an application in lieu of or concurrent with a proposal package, the regional office PRC must first make a Phase I Determination regarding the applicant’s submission before moving to Phase II, the Application Phase.

In either Phase I or II, EDA may seek information or documentation from the applicant to clarify information presented in the proposal/application. Please see Section V. of this FFO for more information on EDA’s review and selection process.

EDA strongly encourages applicants to consult with the EDA representative for their state to discuss whether their project is in alignment with EDA’s investment priorities, eligibility requirements, cost-sharing requirements, property standards, or other requirements outlined in this FFO. This consultation is limited to clarification of technical matters involving their proposed project, project alignment with EDA’s mission and investment priorities, and all other relevant publicly available information relating to technical matters.

A. How to Obtain a Proposal or Application Package

An applicant may obtain the appropriate proposal or application package electronically at www.grants.gov (Grants.gov). Applicants may search for this funding opportunity on Grants.gov using Funding Opportunity Number “EDAP2016”. All components of the appropriate application package may be accessed and downloaded (in a screen-fillable format) at http://www.grants.gov/applicants/apply_for_grants.jsp. 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 advised that they must complete the registration process prior to submitting an application through Grants.gov;

http://www.grants.gov/applicants/apply_for_grants.jsp 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 a proposal or application, if the applicant has not correctly completed the Grants.gov registration process, the applicant will not be able to submit the proposal or application electronically for EDA’s review. Alternatively, an applicant eligible for assistance under this announcement may request a paper proposal or application package by contacting the EDA representative listed for their state under Section VIII. of this FFO.

B. Content and Form of the Proposal and Application

EDA has developed a suite of forms designed to address all types of assistance the agency provides. In addition, Federal grant assistance forms from the Standard Form (SF) 424 family and certain Department of Commerce (CD) forms are required as part of a complete application package. The tables in Sections IV.B.1 and IV.B.2 below describe all the forms and other documentation required for a complete proposal and application for each type of assistance EDA provides and may serve as a checklist for applicants in preparing their submissions.

EDA encourages applicants to submit a proposal package as outlined in Section IV.B.1 below as the documentation is designed to provide a general overview of a project with fewer resources invested by the applicant. An applicant may submit a complete application as outlined in Section IV.B.2 below either in lieu of or concurrent with a proposal; however, as noted above, the applicant’s submission will still proceed through EDA’s two-phase review process.

For proposals and applications submitted through Grants.gov, all relevant forms must be signed electronically by the applicant’s Authorized Organizational Representative (AOR); please see Section IX. of this FFO for information on AOR requirements. Paper proposals and applications must include original signatures of an authorized official of the applicant. Please refer to important information on submitting your application provided in Section IV.D. of this

FFO.

All documentation and data submitted should be current and applicable as of the date submitted. Applicants are encouraged to contact the EDA representative for their state for technical assistance before submitting a proposal or application under this FFO. EDA staff members are available to provide applicants with technical assistance regarding proposal or application requirements.

1. What is required for a complete proposal?

The following table provides a complete list of documents required for a complete proposal based on whether the applicant is requesting construction or non-construction assistance.

Proposals for construction assistance (including design and engineering) must include:

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

2. One Form ED-900P (EDA Proposal Form) and accompanying supporting documentation. 15

3. One Form SF-424C (Budget Information-Construction Programs) per project.

Proposals for non-construction assistance must include:

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

2. One Form ED-900P (EDA Proposal Form) and accompanying supporting documentation. 16

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

2. What is required for a complete application?

The following table provides a complete list of documents required for a complete application based on the type of EDA assistance: construction, design and engineering (without a construction component), both construction and design and engineering, and RLF.

Applications for construction assistance (including applications for design and engineering with construction activities) must include:

1. A copy of the completed proposal package as detailed above in Section IV.B.1, including any relevant updates (if the applicant did not submit a proposal, the applicant must submit one Form SF-424 (Application for Federal Assistance) from each co-applicant, as applicable, and one Form SF-424C (Budget Information-Construction Programs) per project).

2. One Form SF-424D (Assurances-Construction Programs) from each co-applicant, as applicable.

3. One Form ED-900 (General Application for EDA Programs).

4. One Form ED-900A (Additional EDA Assurances for Construction Or Non-Construction Investments) from each co-applicant, as applicable.

15 In the event of discrepancies between instructions provided in any of the forms and this FFO, the requirements for complete proposals and applications as stated in this FFO will prevail.

16 In the event of discrepancies between instructions provided in any of the forms and this FFO, the requirements for complete proposals and applications as stated in this FFO will prevail.

5. One Form ED-900B (Beneficiary Information Form) from each beneficiary of the proposed project, as applicable.

6. One Form ED-900C (EDA Application Supplement for Construction Programs) and accompanying supporting documentation.

7. One Form ED-900E (Calculation of Estimated Relocation and Land Acquisition Expenses).

8. An environmental narrative that will enable EDA to comply with its NEPA responsibilities. A narrative outline that details required components may be accessed in EDA’s website at:

http://www.eda.gov/files/012_Environmental_Narrative_Template.zip.

9. One Applicant’s Certification Clause (see Appendix A to the environmental narrative noted above) completed separately and signed by each co-applicant, as applicable.

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

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

Applications for design and engineering assistance only (without a construction component) must include:

1. A copy of the completed proposal package as detailed above in Section IV.B.1, including any relevant updates (if the applicant did not submit a proposal, the applicant must submit one Form SF-424 (Application for Federal Assistance) from each co-applicant, as applicable and one Form SF-424C (Budget Information-Construction Programs) per project).

2. One Form SF-424D (Assurances-Construction Programs) from each co-applicant, as applicable.

3. One Form ED-900 (General Application for EDA Programs).

4. One Form ED-900A (Additional EDA Assurances for Construction Or Non-Construction Investments) from each co-applicant, as applicable.

5. One Form ED-900D (Requirements for Design and Engineering Assistance).

6. An environmental narrative that will enable EDA to comply with its NEPA responsibilities. A narrative outline that details required components may be accessed in EDA’s website at:

http://www.eda.gov/files/012_Environmental_Narrative_Template.zip.

7. One Applicant’s Certification Clause (see Appendix A to the environmental narrative noted above) completed separately and signed by each co-applicant, as http://www.eda.gov/files/012_Environmental_Narrative_Template.zip http://www.eda.gov/files/012_Environmental_Narrative_Template.zip applicable.

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

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

Applications for non-construction assistance must include:

1. A copy of the completed proposal package as detailed above in Section IV.B.1, including any relevant updates (if the applicant did not submit a proposal, the applicant must submit one Form SF-424 (Application for Federal Assistance) from each co-applicant, as applicable and one Form SF-424A (Budget Information-Non- Construction Programs) per project).

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

3. One Form ED-900 (General Application for EDA Programs).

4. One Form ED-900A (Additional EDA Assurances for Construction Or Non-Construction Investments) from each co-applicant, as applicable.

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

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

Applications for RLF assistance must include:

1. A copy of the completed proposal package as detailed above in Section IV.B.1, including any relevant updates (if the applicant did not submit a proposal, the applicant must submit one Form SF-424 (Application for Federal Assistance) from each co-applicant, as applicable and one Form SF-424A (Budget Information-Non-Construction Programs) per project).

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

3. One Form ED-900 (General Application for EDA Programs).

4. One Form ED-900A (Additional EDA Assurances for Construction Or Non-Construction Investments) from each co-applicant, as applicable.

5. One Form ED-900F (Supplement for Revolving Loan Fund Applications).

6. A draft RLF plan that addresses all components required by EDA’s regulation at

13 C.F.R. § 307.9.

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

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

In addition, an application to support a business incubator, regardless of the type of assistance being requested (i.e., construction or non-construction) must also include:

a. A feasibility study establishing the market demand for the specific start-up companies proposed for incubation (technology, general business, bio-tech, manufacturing, etc.), presence of necessary resources, and community support for the facility;

b. Documentation detailing that the applicant has the financial capacity to operate the facility and reach a positive cash flow within a reasonable period of time, which EDA generally expects to be three years; and

c. A management plan for operation of the facility that, at a minimum, includes a/an:

i. Tenant/client selection policy that includes a description of the types of businesses sought and any established selection criteria;

ii. Tenant lease agreement that enumerates the shared services to be provided; delineates the incubator’s business assistance policy, including the provision of management, technical, and training, assistance and the incubator’s graduation policy; and establishes periodic access to…