FY20 Build to Scale NOFO_FINAL.pdf

2020 BUILD TO SCALE PROGRAM

N o t i ce o f F u nd i n g Op p o rt u n i t y

Office of INNOVATION and

ENTREPRENEURSHIP

ii

EXECUTIVE SUMMARY

Federal Awarding Agency Name

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

Funding Opportunity Title 2020 Build to Scale Program

Announcement Type

2020 Notice of Funding Opportunity (NOFO) publishing EDA’s application submission requirements and review procedures for applications received under EDA’s Build to Scale Program, through which EDA awards grants for activities designed to develop and support regional innovation initiatives, as authorized by Section 27 of the Stevenson-Wydler Technology Innovation Act of 1980, as amended (most recently by the National Defense Authorization Act for 2020, Pub. L 116-92, sec. 1742, 133 Stat. 1837 (December 20, 2019)), 15 U.S.C. § 3722. See also subparts A and B of 13 C.F.R. part 312.

Funding Opportunity Number EDA-HDQ-OIE-2020

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

11.020 Cluster Grants

Key Dates

The deadline for the receipt of Concept Proposals is 11:59 P.M. EASTERN TIME ON TUESDAY, MARCH 24, 2020. Concept Proposals received after this deadline will not be reviewed or considered. Concept Proposals will only be accepted electronically through applyB2S@eda.gov. Applicants are advised to read carefully the Concept Proposal requirements and submission information provided in Section D (p.8) of this NOFO. EDA will only review Full Applications submitted by applicants who submitted a Concept Proposal by the Concept Proposal Deadline.

The deadline for the receipt of Full Applications is 11:59 P.M. EASTERN TIME ON SUNDAY, JUNE 14, 2020. Applications received after this deadline will not be reviewed or considered. Full Applications will only be accepted electronically through www.grants.gov (Grants.gov) at the web address that EDA will provide with its response to on-time Concept Proposals. Applicants are advised to carefully read the submission information provided in Section D (p. 8) of this NOFO. Any Full Application received from an applicant that did not submit a Concept Proposal by the Concept Proposal Deadline will be deemed ineligible and eliminated from the competition without further review.

Funding Opportunity Description

EDA’s Office of Innovation & Entrepreneurship is committed to furthering tech-based economic development initiatives that accelerate high quality job growth, create more economic opportunities, and support the future of the next generation of industry leading companies. Funding is available for organizations that aid companies in developing the next generation of technologies. Under the Build to Scale Program (formerly Regional Innovation Strategies Program), EDA is soliciting applications for three separate competitions:

• the 2020 Venture Challenge mailto:applyB2S@eda.gov iii

• the 2020 Capital Challenge; and

• the 2020 Industry Challenge.

Cost Sharing and Matching

Applicants must provide matching share equal to at least 50 percent of the total project cost; i.e., applicants must match each dollar requested with at least one dollar of applicant match. See Section C.2 (p.7) of this NOFO.

Eligible Applicants

Eligible applicants for EDA financial assistance under this NOFO include:

• A State;

• An Indian tribe;

• A city or other political subdivision of a State;

• An entity whose application is supported by a State or a political subdivision of a State and that is— ⋅ a nonprofit organization, ⋅ an institution of higher education, ⋅ a public-private partnership, ⋅ a science or research park, ⋅ a Federal laboratory, ⋅ a venture development organization, or ⋅ an economic development organization or similar entity; or

• A consortium of any of the immediately aforementioned entities.

EDA is not authorized to provide grants or cooperative agreements to individuals under this Program. Requests from individuals will not be considered for funding.

Informational Webinar EDA plans to conduct an informational webinar for this NOFO and expects to make available scheduling information and a link to a recording at https://www.eda.gov/oie/.

Award Notification Subject to the availability of funding, successful applicants should expect to receive grant award notification approximately 60-90 days following the Full Application Deadline set forth in this NOFO.

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

FULL ANNOUNCEMENT TEXT

2020 REGIONAL INNOVATION STRATEGIES PROGRAM

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

1. Overview

2. Program Information

3. Statutory Authority

B. Federal Award Information

1. Available Funding Under this Announcement

2. Type of Funding Instrument Used; Period of Performance

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

D. Application and Submission Information

1. Address to Request Application Package

2. Content and Form of Application Submission

3. Environmental and Historic Preservation Requirements

4. Unique Entity Identifier and System for Award Management (SAM)

5. Submission Dates and Times

6. Intergovernmental Review

7. Funding Restrictions

8. Other Submission Requirements

E. Application Review Information

1. Criteria

2. Review and Selection Process

3. Awards in Excess of the Simplified Acquisition Threshold

4. Anticipated Announcement and Federal Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

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

1. Right to Use Information

2. Freedom of Information Act Disclosure

3. Notice of Government-Wide Procurement Restriction

4. Past Performance and Non-Compliance with Award Provisions

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

6. EDA’s Non-Relocation Policy

7. Audit Requirements

8. Implementing the Americans with Disabilities Act (ADA)

9. Instructions for Application Submission via Grants.gov

Appendix A Representation by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law

Appendix B BUDGET TEMPLATE FOR FULL APPLICATION Appendix C EXAMPLE OUTPUT AND OUTCOME MEASURES Appendix D Optional Checklist-Style Guide for Required Documents for FULL APPLICATION

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

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

Section A

A. PROGRAM DESCRIPTION

1. Overview EDA’s Office of Innovation & Entrepreneurship is committed to furthering technology-based economic development initiatives that accelerate high quality job growth, create more economic opportunities, and support the future of the next generation of industry leading companies. To advance these goals, EDA awards grants through the Build to Scale Program (formerly the Regional Innovation Strategies Program) for activities designed to develop and support regional innovation initiatives.1 EDA thereby advances the growth of connected, innovation-centric economies that increase job growth, enable the workforce of tomorrow, enhance global competitiveness, and foster global competitiveness through technology commercialization and entrepreneurship as described in Stevenson-Wydler Technology Innovation Act of 1980 (hereafter “Section 27”).

The Build to Scale Program invites organizations who are aiding companies in developing the next generation of technologies to apply for funding. These organizations may be operating initiatives to unlock investment capital across a region or sector, operating programs to accelerate company growth, empowering the next generation of entrepreneurs, and/or enabling technology commercialization.

Under the Build to Scale Program, EDA is soliciting applications for three separate competitions: (1) the Venture Challenge, (2) the Capital Challenge, and (3) the Industry Challenge. Applicants may apply to all three challenges but may only submit one application per competition. As discussed further below, these activities are designed to develop and support regional innovation initiatives.

2. Program Information

i. Venture Challenge The Venture Challenge invites organizations to submit competitive proposals that seek to support entrepreneurship and accelerate company growth in their community, region, or combination of regions.

Applicant organizations should be addressing issues within their innovation systems in order to strengthen economic competitiveness through new product innovation or new technology adoption, improve the commercialization of research, enhance the overall innovation capacity and resilience of a region, and/or leverage regional competitive strengths to stimulate innovation and job creation. Companies served by the applicant organization should be challenging the status quo of established markets, commercializing technologies, and furthering job creation within their businesses. Organizations should apply with a clearly defined strategy on how their organization will leverage funds to address challenges, launch new programming and/or scale existing programming. Funding will primarily support operational and programmatic costs and may not go directly to companies (i.e., startups) being served by the applicant organization.

The Venture Challenge is a single competition but is comprised of two funding levels – Build and Scale.

Venture Challenge Build applicants may not request in excess of $600,000 over the three-year period of

1 Stevenson-Wydler Technology Innovation Act of 1980, Section 27(a)(2) defines regional innovation initiatives as geographically-bounded public or nonprofit activities or programs that address issues in local innovation systems in order to: (A) increase the success of innovation driven industry; (B) strengthen the competitiveness of industry through new product innovation and new technology adoption; (C) improve the pace of market readiness and overall commercialization of innovative research; (D) enhance the overall innovation capacity and long-term resilience of the region; (E) leverage the region’s unique competitive strengths to stimulate innovation; and (F) increase the number of full-time equivalent employment opportunities within innovation-based business ventures in the geographic region.

performance. Venture Challenge Scale applicants must request greater than $600,000 and may not request in excess of $1,500,000 over the three-year period of performance.

Venture Challenge Build applicants:

• May be piloting a solution to a demonstrated need

• May be implementing a proven solution for a new region or community

• Demonstrate a commitment and ability to collect agreed upon impacts

• Request may not exceed $600,000 over a 3-year project period

• Provide a 1:1 match

Venture Challenge Scale applicants:

• May be scaling an existing initiative that has established and achieved impacts

• Have a proven track record of successful deployment of programs

• Demonstrate a commitment and ability to collect agreed upon impacts

• Request must be greater than $600,000 and may not exceed $1,500,000 over a 3-year project period

• Provide a 1:1 match

Examples: Organizations interested in applying to the Venture Challenge are encouraged to review project profiles of past awardees of the i6 Challenge (the predecessor to the Venture Challenge), at https://www.eda.gov/oie/historical/.2

ii. Capital Challenge The Capital Challenge provides operational support for the formation, launch, or scale of investment funds that seek to invest their capital in scalable startups or to organizations with a goal to expand capital deployment within a community, region, or regional industry (i.e., angel networks or investor training programs). Funding will primarily support operational and programmatic costs and may not be used as investment capital.

Capital Challenge applicants should:

• Practice equity-based investing, whether through traditional or hybrid models, or be supporting an initiative whose participants practice equity-based investing

• Evaluate companies for high-growth potential as a central factor of their investment strategy

• Utilize grant funds to catalyze the deployment of capital within their region and/or related regions

• Demonstrate a commitment and ability to collect agreed upon impacts

• Request an amount not to exceed $300,000 over a 3-year project period

• Provide a 1:1 match

Examples: Organizations interested in applying to the Capital Challenge are encouraged to review project profiles of past awardees of the Seed Fund Support competition (the predecessor to the Capital Challenge), at https://www.eda.gov/oie/historical/.3

2 While the Venture Challenge succeeds the i6 Challenge, they are not entirely the same. Please carefully read the description of the Venture Challenge.

3 While the Capital Challenge succeeds the Seed Fund Support Competition, they are not entirely the same. Please carefully read the description of the Capital Challenge.

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

iii. Industry Challenge – Innovation in the Blue Economy EDA and the U.S. Department of Energy Water Power Technologies Office (DOE WPTO) are jointly seeking solutions under this competition.4 The Industry Challenge – Innovation in the Blue Economy5 invites organizations to submit competitive proposals that seek to support entrepreneurship and accelerate company growth in their community, region, or combination of regions specializing in innovation within the blue economy. Applicant organizations should be addressing one or more of the following topics:

supporting commercialization of blue economy related technologies for freshwater or marine activities;

improving the competitiveness of relevant startups and companies; increasing connectivity and collaboration between ocean technology innovation hubs as well as government and research stakeholders to enhance the overall innovation capacity and resilience of a region; solving user-adoption challenges in marine sectors; and leveraging the blue economy to stimulate innovation and job creation in their respective region.

The purpose of the Industry Challenge is to support projects addressing energy innovation in the Blue Economy. Proposed projects should focus on energy innovation related to ocean activities, or complementary, broader blue economy innovations. Energy topics of interest include, but are not limited to, marine energy technologies (waves, current and tidal, as well as thermal and salinity gradients), offshore wind, floating offshore solar, maritime fuels, port microgrids, vessel supplemental propulsion, etc. Blue economy sectors that may benefit from energy innovation include, but are not limited to: marine energy, offshore wind, marine conservation, marine ecosystem biodiversity, aquaculture, ocean observing, maritime transport, or other lines of business directly connected to oceans, rivers, or other freshwater and marine waterways. Applicant organizations should clearly articulate how their organization will leverage funds to launch new programming and/or scale existing programming to address the energy-specific challenges facing blue economy companies outlined above.

Industry Challenge applicants:

• May be piloting or scaling a solution related to innovation in the blue economy

• May be implementing a proven solution, specific to innovation in the blue economy, within a new region

• May be creating a support network related to a specific sector or sectors in the blue economy ecosystem to increase collaboration

• Demonstrate a commitment and ability to collect agreed upon impacts

• May request an amount not to exceed $600,000 over a 3-year project period

• Provide a 1:1 match in funds

3. Statutory Authority The statutory authority for the Build to Scale Program is Section 27 of the Stevenson-Wydler Technology Innovation Act of 1980, as amended (most recently by the National Defense Authorization Act for 2020, 4 DOE WPTO and EDA are collaborating to create the Industry Challenge because DOE WPTO seeks to promote energy innovation within the Blue Economy, which aligns with EDA’s goal for the Build to Scale program to develop and support regional innovation initiatives that advance the growth of connected, innovation-centric economies that increase job growth and global competitiveness through technology commercialization and entrepreneurship.

5 The blue economy is generally defined as sustainable use of ocean resources for economic growth, improved livelihoods and jobs, while preserving the health of marine ecosystems. For the purpose of this solicitation the definition is broadened to include freshwater as well as marine activities.

Section B

Pub. L 116-92, sec. 1742, 133 Stat. 1837 (December 20, 2019)), 15 U.S.C. § 3722. The regulations governing the Build to Scale Program are located at subparts A and B of 13 C.F.R. part 312.

B. FEDERAL AWARD INFORMATION

1. Available Funding Under this Announcement EDA has been appropriated $33 million for grants authorized by Section 27 pursuant to the Consolidated Appropriations Act, 2020.6 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, EDA, and DOE priorities at the time of award. DOC, EDA, and DOE will not be held responsible for application preparation costs. Publication of this announcement does not obligate DOC, EDA, or DOE to make any specific grant award or to obligate all or any part of available funds.

Subject to the availability of funding and based on applications received, EDA expects to make awards under this NOFO as follows:

i. Venture Challenge EDA plans to award approximately $26,000,000 under the 2020 Venture Challenge. The maximum Federal share of each Venture Challenge Build award is $600,000; the maximum Federal share of each Venture Challenge Scale award is $1,500,000.

ii. Capital Challenge EDA plans to award approximately $5,000,000 under the 2020 Capital Challenge. The maximum Federal share of each Capital Challenge award is $300,000.

iii. Industry Challenge EDA plans to award approximately $4,000,000 under the 2020 Industry Challenge. These funds will include $2,000,000 from DOE WPTO and $2,000,000 from EDA funding authorized by Section 27. The maximum Federal share of each Industry Challenge award is $600,000.

2. Type of Funding Instrument Used; Period of Performance Under this NOFO, EDA may award grants to eligible applicants to support project activities. Periods of performance are dependent on the type of project and the scope of work of the grant award. See Section F.1(p. 25) of this NOFO for award notification information. For all competitions, anticipated awards typically will have an initial period of performance of approximately three (3) years with an estimated start date on or about 45 days after the date on which EDA makes the award.

EDA expects all projects to proceed efficiently and expeditiously, and EDA expects applicants to document clearly in their applications a reasonable and appropriate timeline that includes the start and completion dates of the proposed scope of work. As a condition of their respective awards, grantees will be required to provide timely periodic progress reports and performance data as set forth in Section F.3(p. 25).

C. ELIGIBILITY INFORMATION

1. Eligible Applicants Entities that are eligible for funding include:

6 Pub. L 116-93, Title 1 of Division B, 133 Stat. 2317 (December 20, 2019).

Section C

• a State;

• an Indian tribe;

• a city or other political subdivision of a State;

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

o an institution of higher education;

o a public-private partnership;

o a science or research park;

o a Federal laboratory;

o a venture development organization7; or o an economic development organization or similar entity8; or

• a consortium of any of the immediately aforementioned entities.

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

Organizations that are or plan to be operating within the period of performance of a previously-awarded grant for the i6 Challenge (the predecessor to the Venture Challenge) are not eligible for a 2020 Venture Challenge grant. Correspondingly, organizations that are or plan to be operating within the period of performance of a previously-awarded grant for Seed Fund Support (the predecessor to the Capital Challenge) are not eligible for a 2020 Capital Challenge grant.

2. Cost Sharing or Matching The minimum required match for all Challenges is 1:1. Applicants must demonstrate at the time of the Full Application (not at the time of the Concept Proposal), a matching share of at least 50 percent of the total project cost; i.e., for every dollar of Federal funds requested, applicants must demonstrate a commitment of at least one dollar of matching share. Funds from other Federal financial assistance awards can serve as matching share funds only if authorized by statute, which may be determined by EDA’s reasonable interpretation of the statute. Matching share in excess of the 1:1 requirement will be accepted but is not necessary to qualify for funding and will not make an application more competitive.

Applicants must submit from each organization providing matching share, including the applicant organization if applicable, a commitment letter or equivalent document signed by an authorized representative of that organization demonstrating that matching share will, at the time of award:

• be committed to the project for the period of performance,

• be available as needed, and

• not be conditioned or encumbered in any way that may preclude its use consistent with the requirements of EDA investment assistance.

Under this NOFO, separate matching share is required for each submitted application. Additional documentation may be requested by EDA to substantiate the availability of the matching funds.

7 To be eligible for funding, a venture development organization must be a State or nonprofit organization that contributes to regional or sector-based economic prosperity by providing services for the purposes of accelerating the commercialization of research. Section 27(a)(4).

8 EDA strongly encourages applicants that may be eligible under this entity category to contact the representative listed in Section G of this NOFO (p. 26) with any questions regarding eligibility.

Section D

In-kind contributions may be used for the required matching share and must consist of contributions directly related to the proposed project, such as services, equipment, or space. The purchase of equipment and equipment-related modifications or renovations of a facility may comprise matching share but only to the extent that such equipment and any related modifications or renovations are used to support another eligible activity. EDA will fairly evaluate all in-kind contributions, which must be eligible project costs and which must meet applicable Federal cost principles and uniform administrative requirements. Applicants are strongly encouraged to work with the appropriate EDA representative listed in Section G (p. 26) of this NOFO to determine how in-kind contributions may be utilized to satisfy the matching share requirement based upon the project concept and application and how those in-kind contributions may be valued.

Please note that all project funds—both Federal funds and matching funds—are subject to certain restrictions. NEITHER FEDERAL NOR MATCHING SHARE FUNDS CAN INCLUDE FUNDS TO BE INVESTED IN STARTUPS OR OTHER COMPANIES, whether through equity, debt, or hybrid mechanisms. Additionally, neither Federal nor matching share funds can be used for construction activities, except in limited circumstances related to equipment installation, as approved by EDA.

D. APPLICATION AND SUBMISSION INFORMATION

There is a two-step application process for all competitions under this NOFO: (1) the Concept Proposal and

(2) the Full Application. EDA will only review Full Applications submitted by applicants who submitted a Concept Proposal by the Concept Proposal Deadline. Any Full Application received from an applicant that did not submit a Concept Proposal by the Concept Proposal Deadline will be deemed ineligible and eliminated from the competition without further review.

1. Address to Request Application Package An applicant may utilize the optional template for the Concept Proposal at https://www.eda.gov/oie/buildtoscale/. An electronic version of the Full Application may be obtained at https://www.grants.gov/ (Grants.gov); a paper version of the Full Application may be obtained by contacting EDA’s Office of Innovation and Entrepreneurship (OIE) via email at oie@eda.gov or via phone at (202) 482- 8001.

2. Content and Form of Application Submission

i. Concept Proposal In order to be considered for funding, applicants must submit a slide-deck that does not exceed 10 slides in the format below as well as documentation of SAM registration or proof that SAM registration has been initiated (SAM registration is discussed further in Section D.4 (p. 16)). The presentation deck must be submitted as a PDF and should address the items identified in the outline below.

Concept Proposal Deck Structure Slide 1: Organization Information Slide 2: Mission, Vision and Summary Slides 3 and 4: Organization Approach Slide 5: Collaboration and Service Area Slides 6 and 7: Implementation Strategy Slide 8: Estimated Budget (should include match) Slide 9: Team Slide 10: Outcomes https://www.eda.gov/oie/buildtoscale/

Slide 1: Organization Information

- Name of Organization

- Concept Proposal name

- Headquarter location (City, State)

- Website

- Contact Person (First Name, Last Name)

- Contact Email Address

- Contact Phone Number

- Additional contact, if applicable

- A statement attesting that you already have obtained or have started the process to obtain a

SAM registration (documentation of SAM registration or proof that SAM registration has been initiated must be submitted along with the Concept Proposal)

Slide 2: Mission, Vision and Summary

- What is your organization’s mission/vision in one sentence?

- How would you summarize your project in two to three sentences?

Slides 3 and 4: Organization Approach

- What challenges does your community or region face, and how are you addressing within your project?

- What specific elements or assets within your Organization will be used to address these challenges and capitalize on the opportunities?

- How you will help entrepreneurs scale? (Venture Challenge and as applicable to Industry

Challenge)

- What is or will be your investment thesis and/or strategy? (Capital Challenge)

Slide 5: Collaboration and Service Area

- What areas are you serving? These could include cities, counties, regions, states, etc.

- Discuss key collaborations and partnerships. What other organizations and stakeholders will participate and in what capacity?

- How will you ensure you achieve diversity of people and organizations that are underrepresented in or unconnected to entrepreneurial activity within your collaborators, partners, and participants?

Slides 6 and 7: Implementation Strategy

- Provide basics of the plan and phases for implementation (i.e., tasks and timeline)

- What risk factors have you identified that could hinder implementation, and how will you mitigate these?

- What is your plan to ensure sustainability post grant?

Slide 8: Estimated Budget

- How much will this cost? (rough calculations are fine)

- How will you provide the match?

Slide 9: Team

- Who from your team will work on this and in what capacity?

- What makes your team uniquely qualified?

Slide 10: Outcomes

- If you are successful, what outcomes will there be? What data and/or methodology are you using to forecast these metrics?

- Optional: Address relevant metrics in the “Metrics Template” provided in the Appendix C

Concept Proposals are due by no later than 11:59 PM ET on Tuesday, March 24, 2020 and should be submitted to applyB2S@eda.gov with the subject line as follows “Competition Name – Organization Name

– Concept Proposal Name”.

The slide deck and proof of SAM registration (such as a registration email or screenshot of an active account) or proof that SAM registration has been initiated must be submitted together.

ii. Full Application An applicant may obtain the appropriate application package electronically at https://www.grants.gov/ (Grants.gov). Applicants may search for this funding opportunity on Grants.gov using Funding Opportunity Number “EDA-HDQ-OIE-2020.” All components of the appropriate application package may be accessed and downloaded via https://www.grants.gov/web/grants/search-grants.html. The preferred electronic file format for attachments is Adobe portable document format (PDF) and, where appropriate, Microsoft Excel;

however, EDA will accept Microsoft Word-formatted electronic files.

In order to be considered for funding, applicants must have submitted a Concept Proposal and then a Full Application by the applicable deadline for each competition to which they are applying. Any Full Application received from an applicant that did not submit a Concept Proposal by the Concept Proposal Deadline will be deemed ineligible and eliminated from the competition without further review. A complete Full Application includes all required documents outlined below. All documentation and data submitted as part of the Full Application should be current as of the date of application submission. All application forms submitted through Grants.gov must be signed electronically by an Authorized Organizational Representative (AOR); see Section D.8.ii (p. 18) of this NOFO for information on AOR requirements. See also Sections D.5 (p. 16) and D.5 (p. 16) of this NOFO for important information on submitting your application.

Applications must include the following documents:

Project Design and Substance Project Narrative Budget Narrative and Staffing Plan Matching Share Commitment Letters State/Local Government Support (if applicable)

Forms and Supporting Documentation SF-424 (Application for Federal Assistance) SF-424A (Budget Information Non-Construction Programs)

SF-424B (Assurances Non-Construction Programs)9 CD-511 (Certification Regarding Lobbying) SF-LLL (Disclosure of Lobbying Activities) (if applicable) State Single-Point-of-Contact (SPOC)/Executive Order 12372 Compliance Documentation (if applicable)10 Organizational Documentation (if applicable)11 Indirect Cost Rate (ICR) Documentation (if applicable)12

a. Project Design and Substance

Document Number Project Narrative One per application Budget Narrative and Staffing Plan One per application Matching Share Commitment Letters One per match source State/Local Government Support (if applicable) One per application

1) Project Narrative As outlined in Section D.2.ii (p. 10) of this NOFO, all applicants must provide a Project Narrative of no more than ten (10) total pages with margins no less than one-half inch (0.5”) using Arial, Calibri, Times New Roman, or a similar font of size no less than eleven (11) points in order to be considered for funding.

Material beyond the tenth page will not be read or considered. Applicants are strongly encouraged to provide a clear and concise narrative that includes a compelling justification for the project and articulates a clearly defined regional economic gap, how the proposed project will uniquely meet this need, and the expected outcome(s) that will result from the proposed project. Lengthy applications will not receive greater consideration. A competitive application will contain the following elements in the Project Narrative:

• an executive summary that includes a project title, the Challenge to which the application is being submitted (i.e., Venture Challenge, Capital Challenge, or Industry Challenge), and a summary of no more than 250 words (note: this may be published on EDA’s website if your application is selected for funding);

• a description of the project’s location and region, including its primary service area, a description of the communities or regions served (e.g., assets, financial and business resources, workforce, and infrastructure), and the communities or region’s needs and opportunities. The location and region should directly correspond to Questions 14 and 16 of the SF-424. If the applicant expects impacts beyond the noted region, the applicant should note the region of expected impact.

Additionally, applicants must identify their proposed primary service area(s) by county or counties.

Counties should be identified by both name and 5-digit FIPS codes. See https://www.census.gov/geo/reference/codes/cou.html. These should be used in correspondence to Questions 14 of the SF-424; this should not exceed two pages;

9 The SF-424B is not required if the applicant has already completed the assurances for non-construction programs as part of the registration process for SAM.gov.

10 Only certain States participate in the SPOC compliance process. See Section D.2.ii.b.2)i) (p. 14).

11 Only certain types of eligible entities are required to submit organization documents, and the documentation required varies by eligible entity type. See Section D.2.ii.b.2)ii) (p. 14).

12 Applicants that currently do not have and never have had an ICR agreement with a Federal agency are not required to submit this documentation and may elect to adopt a de minimis ICR. See Section D.2.ii.b.2)iii) (p. 15).

https://www.census.gov/geo/reference/codes/cou.htm

• a description of the proposed project, including a clear statement of its purpose, the roles of the applicant’s or applicants’ key personnel, the project’s essential partners, and an outreach and engagement plan;

• a scope of work of no more than one page linked to the project’s purpose and key milestones and including deliverables, which must clearly indicate the specific activities that are part of the scope of work of the proposed project;

• a project timeline including an estimated project start date, key milestones with expected completion dates, and an estimated project completion date;

• evidence- and data-based anticipated impacts (see Appendix C for suggested template), including outputs and outcomes, metrics, and tracking mechanisms. Of note: Applicants whose applications are selected for funding must employ a data and client management system to track their metrics in a machine-readable format; applicants should include a description of their respective systems and, if no such system exists, should include their acquisition and implementation in the project narrative and budget;

• a sustainability plan, including anticipated challenges, potential barriers, and a forecast of post-award period operations; and

• If raising or operating a fund proposed under the Capital Challenge, fund information, whether existing or planned, including total assets under management, proportions of assets invested and on hand, historical performance (both direct—e.g., returns, and indirect—e.g., jobs created), proportions of assets invested to date inside and outside the primary service area, and fund age.

2) Budget Narrative & Staffing Plan Appendix B contains an optional budget and staffing plan template that may be used for the Full Application.

Applicants must provide a clear Budget Narrative that identifies and justifies how funds in each line item of the budget will be used to support the proposed project and that links each line item to its relevant commitment letter. The Budget Narrative should specifically address each budget line item (including both the Federal Share and matching Non-Federal Share) and the narrative total should match the total project costs listed in both the SF-424, Question 18, Line g (“TOTAL”) and the appropriate totals fields of the SF- 424A. The Budget Narrative should include itemized valuations of any in-kind matching funds (which, for personnel costs, should be supported by the Staffing Plan). Each line item in the budget narrative should clearly indicate

• a description of the intended use of funds for each line item;

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

• the Federal Share allocated to the line item;

• the matching share allocated to the line item; and

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

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

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

3) Matching Share Commitment Letters Applicants must submit commitment letters or equivalent documents that demonstrate that all matching funds (whether cash or in-kind) from all sources (i.e., any applicant, any co-applicants, and any other sources of matching funds) referenced in the application will be unencumbered, unrestricted, and committed at the time of award and that are signed by authorized representatives of the sources of the matching funds. Authorized representatives must have the authority to execute documents and to obligate and expend funds on behalf of their respective organizations.

4) State/Local Government Support Applicants must submit one or more resolutions or letters that demonstrate that the application is supported by one or more States or political subdivisions of States (e.g., counties, municipalities) that encompass all or a substantial portion of the communities served by this project. Support from Federal officials, including but not limited to members of the United States Congress, does not meet this requirement. Examples of authorities who may indicate such support include State and local executive branch officials (e.g., State governors, State cabinet members, mayors or other municipal executives) and State and local legislators (e.g., State legislators, city councilpersons). If, however, the applicant or co-applicant is a State, an Indian tribe, or a city or other political subdivision of a State, this requirement does not apply.

b. Forms and Supporting Documentation

1) Forms Applications must include the following documents, either per applicant or per application, as noted:

Form Description Number SF-424 Application for Federal Assistance One per applicant SF-424A Budget Information—Non-Construction Programs One per application SF-424B Assurances—Non-Construction Programs13 One per applicant CD-511 Certification Regarding Lobbying One per applicant SF-LLL Disclosure of Lobbying Activities (if applicable) One per applicant

2) Supporting Documentation Applications must include the following documentation, as applicable, depending on a given project’s primary service area and the type and history of each applicant organization.

Documentation Number SPOC Compliance (if applicable) For each participating State in primary service area

13 The SF-424B is not required if the applicant has already completed the assurances for non-construction programs as part of the registration process for SAM.gov.

Organizational Documentation (if applicable)

For each applicant, depending on entity type

ICR Documentation (if applicable) For each applicant

i) SPOC Compliance For projects with primary service areas located within one or more States that participate in the intergovernmental review process established by Executive Order 12372, “Intergovernmental Review of Federal Programs,” applicants must submit documentation demonstrating compliance with that State’s or those States’ processes. See Section D.6 (p. 17) “Intergovernmental Review” of this NOFO. The current list of participating States and their Single Points of Contact (SPOC) can be found at https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf. Each State may participate for all or a subset of Federal grant programs. EDA strongly encourages applicants to contact SPOCs early in the application period in order to determine the relevant State’s or States’ processes. If an application’s primary service area encompasses one or more participating States but that application does not include documentation of compliance with each participating State’s process, THAT APPLICATION WILL BE REJECTED WITHOUT FURTHER REVIEW. Based on the applicant’s State, EDA requires the following documentation:

State does not participate No documentation required State participates; this grant program not subject to review

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

State participates; this grant program subject to review

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

14 EDA strongly encourages applicants that may be eligible under this entity category to contact the representative listed in Section G of this NOFO (p. 26) with any questions regarding eligibility.

ii) Organizational Documentation Each applicant and co-applicant must provide documentation that supports each applicant’s or co-applicants’ organizational status as an eligible entity where applicable (Section C.1 (p. 6) of this NOFO) (e.g., articles of incorporation, certificates of good standing, bylaws, proof of tax-exempt status).

• States, Indian tribes, cities or other political subdivisions of States, and institutions of higher education that are 100% publicly-controlled are not required to submit organizational documentation.

• Nonprofit organizations must submit documentation that demonstrates their status as nonprofit organizations. See 13 C.F.R. § 312.3 (referring to 2 C.F.R. § 200.70).

• Applicants applying as (a) institutions of higher education that are not 100% publicly-controlled, (b) science or research parks, (c) Federal laboratories, (d) venture development organizations, or (e) economic development organizations14 or similar entities must provide documentation that demonstrates their organization’s status as the relevant entity type as defined in EDA’s regulations.

See 13 C.F.R. § 312.5.

https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf

iii) ICR Documentation If indirect costs are included in the budget, the applicant must include documentation to support the indirect cost rate they are using. The applicant must submit a copy of their current, approved, and negotiated indirect cost rate agreement (NICRA). The maximum dollar amount of allocable indirect costs for which EDA will reimburse a recipient shall be the lesser of the (i) line-item amount for the Federal share of indirect costs contained in the EDA approved budget for the award, or (ii) Federal share of the total allocable indirect costs of the award based on either (i) the indirect cost rate approved by EDA (or applicable cognizant Federal agency), provided that the cost rate is current at the time the costs were incurred and provided that the rate is approved on or before the award end date, or (ii) other acceptable documentation as indicated below.

If the applicant does not have a current or pending NICRA, it may propose indirect costs in its budget;

however, the applicant must prepare and submit an allocation plan and rate proposal for approval within ninety days from the award start date. See 2 C.F.R. part 200 Apps. III, IV, V, VI, VII for guidance. The allocation plan and the rate proposal shall be submitted to EDA’s Office of Regional Affairs (or applicable cognizant Federal agency). The applicant should include a statement in its Budget Narrative that it does not have a current or pending NICRA and will submit an allocation plan and rate proposal to EDA or the applicant’s cognizant Federal agency for approval.

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

Note that if the applicant is a state or local unit of government (or an Indian tribe) that receives less than $35 million in direct Federal funding per year it may submit any of the following:

1. A Certificate of Indirect Costs from the Department of the Interior (DOI) or EDA;

2. Acknowledgment received from EDA and Certificate of Indirect Costs;

3. Cost Allocation Plan approved by a Federal agency; or

4. NICRA.

3. Environmental and Historic Preservation Requirements Applications may be reviewed by EDA for compliance with the National Environmental Policy Act of 1969, as amended (NEPA), depending on the nature and specific elements of each given application. During the NEPA review process, applicants may be instructed to contact the designated State and/or Tribal Historic Preservation Officer (SHPO/THPO), provide approvals from other governmental agencies, or provide more detailed environmental information. EDA, after compliance with requirements for consultation with Federally-recognized Indian tribes, may require applicants to participate in Tribal consultation, as necessary. The implementing regulations for NEPA require EDA to provide public notice of the availability of project-specific environmental documents, such as environmental impact statements, environmental

• Entities applying as public-private partnerships must submit documentation of their contractual relationship. See 13. C.F.R § 312.5. Regardless of entity type, EDA reserves the right to request documentation or other proof of organizational status.

assessments, findings of no significant impact, and records of decision, to the affected public.15 For further guidance and information, please contact the representative listed in Section G (p. 26) of this NOFO.

4. Unique Entity Identifier and System for Award Management (SAM) To enable the use of a universal identifier and to enhance the quality of information available to the public as required by the Federal Funding Accountability and Transparency Act of 2006, to the extent applicable, applicants are required to: (i) be registered in SAM before submitting an application; (ii) provide a valid unique entity identifier in the application; and (iii) continue to maintain an active SAM registration with current information at all times during which they have an active Federal award or an application or plan under consideration by a Federal awarding agency. EDA may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the EDA is ready to make an award, EDA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. Recipients will be subject to reporting requirements, as identified in OMB guidance published at 2 C.F.R. parts 25 and 170. The guidance set out at 2 C.F.R. part 25 may be located at https://www.govinfo.gov/app/details/CFR-2018-title2-vol1/CFR-2018-title2-vol1-part25, and the guidance set out at 2 C.F.R. part 170 may be located at https://www.govinfo.gov/app/details/CFR-2018-title2-vol1/CFR-2018-title2-vol1-part170. Note that SAM now encompasses the Central Contractor Registration (CCR) and that the unique entity identifier is commonly referred to as the Data Universal Numbering System (DUNS) Number.

5. Submission Dates and Times

i. Concept Proposal A Concept Proposal is mandatory; EDA will only review Full Applications submitted by applicants who submitted a Concept Proposal by the Concept Proposal Deadline. The closing date and time for receipt of Concept Proposals is 11:59 EASTERN TIME ON TUESDAY, MARCH 24, 2020. Concept Proposals should be submitted via email to applyB2S@eda.gov. Concept Proposals received after the deadline will not be considered for review.

ii. Full Application The deadline for the receipt of Full Applications is 11:59 P.M. EASTERN TIME ON SUNDAY, JUNE 14, 2020.

Applications received after this deadline will not be reviewed or considered. Full Applications will only be accepted electronically through www.grants.gov (Grants.gov) at the web address that EDA will provide with its response to on-time Concept Proposals. Applications received after this deadline will not be reviewed or considered. Applicants are advised to carefully read the submission information provided in Section D (p. 8) of this NOFO.