i6green-ffo-final.pdf

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

FOR THE i6 GREEN CHALLENGE: PROOF OF CONCEPT CENTERS

EXECUTIVE SUMMARY

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

• Funding Opportunity Title: i6 Green Challenge under EDA’s Economic Adjustment

Assistance Program.

• Announcement Type and Date: Initial announcement of Federal Funding Opportunity

(FFO) dated March 10, 2011.

• Catalog of Federal Domestic Assistance (CFDA) Number: 11.307, Economic Adjustment

Assistance.

• Dates:

Letter of Intent: To be eligible to be considered for an i6 Green award, applicants must email a letter of intent to i6@eda.doc.gov no later than 11:59 p.m. Eastern Time on May 2, 2011. The letter must be signed by an authorized representative of the applicant and should be included as an email attachment in Adobe portable document format (PDF) (preferred) or Microsoft Word format. Letters of intent should not exceed two double-spaced pages (at least 11 point font).

In the letter, applicants should describe how i6 Green funding will be used, identifying any co-applicants and project partners and outlining the proposed scope of work and budget, including any proposed use of supplemental funding from the i6 Green Federal partner agencies, (see section II.B. of this FFO for information on supplemental funding opportunities). The letter should provide information on how the proposed Proof of Concept Center will increase the commercialization potential of regional green technology (see section I.A. of this FFO for complete program information). Finally, please indicate whether the applicant and any proposed co-applicant currently is receiving funding for economic development, technology transfer, commercialization, innovation, or any related purpose from any of the i6 Green Federal partner agencies:

EDA, EPA, DOE, USDA/NIFA, or NSF. Failure to timely submit a letter of intent as described above will eliminate an applicant from consideration. EDA, in its sole discretion, will determine whether a letter of intent is adequate.

Note that the applicant’s complete application should be consistent with the proposed scope of work and budget presented in the letter of intent.

The letter of intent must be received by EDA no later than 11:59 p.m. Eastern Time on May 2, 2011. The time stamp on the email as received by EDA will be considered the

– 1 – mailto:i6@eda.doc.gov time and date of submission. Please note that a copy of the letter of intent as submitted and the email transmitting it should be uploaded as an attachment in the complete application. Please see section V.A. of this FFO for more information on letters of intent.

Complete Application: To be considered timely, a complete application must be transmitted and time-stamped at www.grants.gov no later than 11:59 p.m. Eastern Time on May 26, 2011. Any application transmitted and time-stamped after 11:59 p.m.

Eastern Time on May 26, 2011, will be considered non-responsive and will not be considered for funding.

Awards: Winning recipients should expect to receive awards by September of 2011, subject to the availability of funds.

Funding Opportunity Description: This FFO announces i6 Green, which focuses on the nexus between economic development and environmental quality, spotlighting the best ideas that contribute to a vibrant, innovative clean economy. EDA solicits competitive applications to encourage and reward innovative, ground-breaking ideas that accelerate technology commercialization and new venture formation across the United States. i6 Green will reward communities that utilize Proof of Concept Centers to accelerate technology-led economic development in pursuit of a clean economy. Applicants must address a persistent problem or an unaddressed opportunity with a sense of urgency and demonstrate how an i6 Green Proof of Concept Center will remove existing road blocks and spark sustainable economic opportunities in the applicant’s region. Applicants will be expected to incorporate a credible plan to access additional resources and demonstrate how the proposed effort will be sustained by a well-qualified team and partners. Please see section I.A. of this FFO for more information on the program requirements and expectations of i6 Green.

Additional information and frequently asked questions can be found on the i6 Green website at www.eda.gov/i6. In addition, please see section VIII. of this FFO for regional contacts.

• Application Submissions: Applications must be submitted electronically via www.grants.gov, as described in section V. of this FFO.

• Informational Session: EDA will hold at least one informational session to answer questions about i6 Green. More details on the session and on any additional sessions will be posted on the i6 Green website at www.eda.gov/i6.

• Award Amount: EDA intends to award at least six winning applicants grants of up to

$1,000,000 each for a project period of up to two years from date of award. In addition, Small Business Innovation Research (SBIR) grantees that are part of or central to winning applications may be eligible to receive supplemental awards from the following participating agencies:

the National Science Foundation (NSF), the Environmental Protection Agency (EPA), and

– 2 – http://www.grants.gov/ http://www.eda.gov/i6 http://www.grants.gov/ http://www.eda.gov/i6 the U.S. Department of Agriculture/National Institute of Food and Agriculture

(USDA/NIFA).

In addition to SBIR funding, i6 Green recipients may be eligible for additional non-SBIR funding from the EPA and the U.S. Department of Energy (DOE). Also, recipients may be eligible for additional services from the U.S. Patent and Trademark Office (USPTO) as well as the Manufacturing Extension Partnership (MEP) of the National Institute of Standards and Technology (NIST). See section II.B. of this FFO for more information on these opportunities.

Please note that all amounts are contingent upon the availability of funding.

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FULL ANNOUNCEMENT TEXT

I. Overview of Funding Opportunity

“Each of us has a part to play in a new future that will benefit all of us. As we recover from this recession, the transition to clean energy has the potential to grow our economy and create millions of jobs – but only if we accelerate that transition. Only if we seize the moment.

And only if we rally together and act as one nation – workers and entrepreneurs, scientists and citizens, the public and private sectors.”

─ President Barack Obama, June 15, 2010

A. i6 Green Background and Program Information

1. Background

The mission of the Economic Development Administration (EDA), which is an agency within the U.S. Department of Commerce (DOC), is to lead the Federal economic development agenda by promoting competitiveness and preparing American regions for growth and success in the global economy. EDA partners with distressed communities throughout the United States to foster job creation, collaboration, and innovation. The Office of Innovation & Entrepreneurship (OIE), which was established to promote innovation-based, high-growth entrepreneurship in pursuit of job creation and economic growth, is central to these efforts across EDA, DOC, and the Administration as a whole.

2. i6 Green Program Information i6 Green, which builds on the success of last year’s inaugural i6 Challenge, is designed to encourage and reward innovative Proof of Concept Centers. Proof of Concept Centers accelerate technology commercialization by assisting entrepreneurs and existing companies, encouraging new venture formation and sparking job creation and economic growth across the United States. This year’s challenge focuses on the nexus between economic development and environmental quality. i6 Green will reward communities that utilize Proof of Concept Centers to accelerate technology-led economic development in pursuit of a vibrant, innovative clean economy. See section I.A.2.b. below for more information on the definition of “Proof of Concept Center” as used in this FFO.

Applicants are required to leverage regional strengths, capabilities, and competitive advantages. EDA expects to fund proposals that enable the facilitation and creation of innovative Proof of Concept Centers that in turn will accelerate the launch of new firms, spur job creation, and contribute to economic growth here in the United States. All applications should avoid any duplication of existing efforts or supplanting existing or budgeted efforts. i6 Green funding will reward Proof of Concept centers that bring transformative economic development and job growth to distressed regions.

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Eligible applicants under this announcement include a(n):

• District Organization (as defined in 13 C.F.R. § 304.2);

• Indian Tribe or a consortium of Indian Tribes;

• State, 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;

• Institution of higher education or a consortium of institutions of higher education; or

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

EDA cannot provide grants directly or indirectly to individuals or to for-profit entities. However, supplemental Small Business Innovation Research (SBIR) funds provided through the National Science Foundation (NSF), Environmental Protection Agency (EPA), and U.S. Department of Agriculture/National Institute of Food and Agriculture (USDA/NIFA) may be available to for-profit entities that are existing SBIR grantees (Phase II only) and are part of or central to the scope of work of winning applications. See also section II.B. of this FFO for information on additional funding opportunities and section III.A. for complete information on EDA’s eligibility requirements.

a. Expectations

Applications must identify how i6 Green funding will support the development, creation, or expansion of a green, clean tech-focused Proof of Concept Center. Applicants must address a persistent problem or an unaddressed opportunity with a sense of urgency and demonstrate how an i6 Green Proof of Concept Center will avoid duplication of existing efforts, remove road blocks, and spark sustainable economic opportunities in the applicant’s region. Applicants will be expected to incorporate a credible plan to access additional resources and demonstrate how the proposed effort will be sustained by a well-qualified team and partners. Applications should include frameworks and mechanisms for accomplishing the proposed scope of work, including a description of various regional resources or institutions and actively seek to avoid replicating existing services or supplanting existing or budgeted funding for those services. Existing regional resources that should be considered include:

• Technology-based economic development organizations,

• Universities and community colleges,

• Small business development centers,

• MEP centers,

• Investors (for example, venture capitalists and business angels),

• Industry partners,

• Economic development organizations,

• Foundations,

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• Export promotion organizations, and

• Other non-profit organizations.1

The plan should address how the anchor entity, as applicable, of the Proof of Concept

Center will engage partnering organizations and the roles these resources will contribute in new and innovative ways to form or expand a Proof of Concept Center. Applicants must identify the currently existing gaps or weaknesses in the region’s economic ecosystem that impede technology-led economic development and explain how i6 Green funding will be leveraged along with additional resources in an effective and efficient manner to respond to the identified needs. Finally, applications should demonstrate how establishing or expanding a Proof of Concept Center will help drive the development of a regional innovation cluster, promote job creation, support entrepreneurial based activities, enable new venture financing, and contribute to economic growth and prosperity.

EDA expects that a Proof of Concept Center funded under i6 Green will help catalyze regional innovation cluster development centered on the green economy and its supporting industries. This broad goal requires the support of the entire region, and EDA strongly encourages applicants to form partnerships amongst key stakeholders, including educational institutions, regional development entities, and commercialization experts. In addition, when developing a proposal, it is key that applicants keep in mind the potential to access future supplemental funds, such as SBIR or Small Business Technology Transfer (STTR) grants from other Federal agencies. Therefore, applicants may wish to partner with multiple stakeholders in order to maximize and leverage potential available funding. Ideally a competitive application would not only address the evaluation criteria set out under section IV.A. of this FFO from EDA’s perspective, but also from the viewpoints of agencies partnering under this opportunity, including the EPA, DOE, USDA/NIFA, and NSF. Please see section II.B. of this FFO for more information on supplemental funding opportunities.

Through i6 Green, EDA can provide a wide range of technical, planning, and innovation infrastructure assistance through a Proof of Concept Center, including technology transfer and commercialization. Assistance can support the development of a strategy to alleviate economic dislocation or support strategy implementation projects, such as innovation infrastructure, entrepreneurial development support investments, and revolving loan funds (RLFs). Generally, costs that are allowable include salaries, supplies, and other expenses that are reasonable and necessary for the completion of the scope of work. Please note that funding provided under this competition will not support construction activities and generally may only support equipment purchases incidental to the total scope of work.

1 While private sector entities, including investors, are crucial to the success of a Proof of Concept Center and EDA expects that partnerships will form to leverage all the resources a region has to offer, please note that EDA cannot provide funding directly or indirectly to for-profit entities. In addition, recipients must avoid the appearance of a conflict of interest and actual conflicts of interest, and must establish safeguards to prohibit recipient interested parties from receiving a direct or indirect financial benefit in connection with an award. See EDA’s conflict of interest requirements as set out at 13 C.F.R. § 302.17.

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b. Economic Development, Regional Innovation Clusters, and Proof of Concept Centers

Regional economic vitality is best accomplished through multi-stakeholder partnerships and collaborations that draw upon public, corporate, university, non-profit, and philanthropic resources. Regional innovation clusters, which share active commercial interaction channels, specialized infrastructure, labor markets, and services, often fuel these partnerships and collaborations. They are the regional building blocks of national competitiveness.

An emerging contributor to the establishment, growth, and success of regional innovation clusters is the Proof of Concept Center. Proof of Concept Centers, such as the Deshpande Center for Technological Innovation at the Massachusetts Institute for Technology (MIT) in Cambridge, Massachusetts and the William J. von Liebig Center at the University of California, San Diego, function at the heart of regional innovation clusters. Proof of Concept Centers serve as a hub of collaborative, innovative, and entrepreneurial activity. They incorporate a range of services in support of innovation-based, high growth entrepreneurship—from technology and market evaluation, through business planning and mentorship, and on to early stage access to capital.

Key services of a Proof of Concept Center include, but are not limited to:

• Facilitating and fostering the exchange of ideas between university innovators and industry;

• Incorporating mentors and industry catalysts that provide advisory services and link technology and researchers to external networks;

• Providing seed funding to support the commercialization of promising research;

• Assisting with market evaluation and business plan development;

• Supporting educational programs to prepare students and researchers for entrepreneurial challenges and work environments; and

• Holding special events to showcase technologies and entrepreneurs, promote the exchange of ideas, and formation of new collaboration.2

c. Green Clean Tech Focus i6 Green will invest in the development, creation, or expansion of Proof of Concept

Centers that accelerate technology-led economic development in pursuit of a vibrant, innovative clean economy. To be eligible under i6 Green, a proposed project must be focused on one or more of the following green project outputs:

• Renewable Energy: Projects that support the development, production, or use of energy derived from renewable resources that have smaller carbon footprints than hydrocarbon-based energy sources, including wind, solar, biomass, and geothermal energy.

• Energy Efficiency: Projects that support a reduction in the energy produced or the energy consumed for the same level of output with the goal of lowering energy costs.

2 Christine A. Gulbranson and David B. Audretsch, Proof of Concept Centers: Accelerating the Commercialization of University Research, J. Technol.Transfer (2008) 33: 249—258.

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• Reuse/Recycling/Restoration: Projects that support the reuse of a given product (or products), or produce a new or innovative product from recyclable materials. This may include technological advances in waste management practices that reduce raw material usage and the amount of waste that ends-up in landfills, as well as ecosystem restoration and other activities that protect and revitalize natural and cultural systems.

• Innovations in Green Building Technology/Manufacturing: Projects that facilitate technological advances, processes, and materials that minimize environmental and public health impacts of buildings over their lifecycles. This may include areas such as energy and water efficiency, materials, and indoor air quality. Projects that support manufacturing process innovations that utilize green technology and improve process efficiency while reducing pollution.

Please note that funds provided under i6 Green will not support construction activities, but may support projects that promote advances in green building technologies.

d. i6 Green Examples

The following are examples of regions and economic ecosystems that illustrate how the establishment of a green, innovation-focused Proof of Concept Center can become the catalyst for economic growth. Please note that these scenarios are informational only and are intended to provide applicants with a clearer picture of how i6 Green is intended to function. These examples in no way limit the range of potential proposed projects, combinations of eligible applicants, or anchoring organizations.

• Scenario 1: A region has a strong university and research-intensive industry that can be adapted to address renewable energy and/or efficiency based technologies, but lacks an entrepreneurial culture and the capital to spur start-up businesses and other activities.

The university has an underfunded technology transfer office and has not collaborated extensively with local entrepreneurs or industry in the past on technology commercialization. However, it does encourage mentorship and has strong alumni networks. The university and a non-profit local economic development organization could partner to create an i6 Green Proof of Concept Center that develops and leverages university programs and strengths, builds partnerships with industry, and engages economic development officials and alumni to spur green technology-led economic development.

• Scenario 2: A region benefits from several community colleges and universities, a concentration of retired business executives and entrepreneurs, and a sizable small business community with a highly motivated labor force. Community economic development officials have been pursuing a plan to develop a “green economy” regional innovation cluster, but have not created an anchor institution to drive its implementation. A regional technology-based economic development organization could use an i6 Green award to expand its partnerships and services into a Proof of Concept Center that could become the driver, providing a central hub for the provision of numerous services and support systems.

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• Scenario 3: A region faces the prospect of sustained high unemployment after the downsizing of a major, technology-based employer. Significant local human and physical resources exist, as does a regional research university with proactive leadership interested in contributing to regional economic development. The i6 Green Proof of Concept Center, catalyzed by a local economic development organization in partnership with community leaders and supported by a regional Angel group, could bring all the assets together, focusing on pushing new technologies to market and creating new jobs.

B. Program Authority

EDA’s authorizing statute is the Public Works and Economic Development Act of 1965, as amended (42 U.S.C. § 3121 et seq.) (PWEDA). EDA is making i6 Green awards from the agency’s Global Climate Change Mitigation Incentive Fund (GCCMIF), subject to the availability of funds. EDA typically receives Congressional direction to allocate an amount of funds otherwise made available for the Economic Development Assistance Programs authorized under PWEDA to the GCCMIF to support projects that foster economic competitiveness while enhancing environmental quality. In making i6 Green awards, EDA uses the authorities of its Economic Adjustment Assistance program, which is authorized under section 209 of PWEDA (42 U.S.C. § 3149). EDA’s regulations at 13 C.F.R. parts 300–302 and subpart A of 13 C.F.R.

part 307 set forth the general and specific regulatory requirements applicable to the Economic Adjustment Assistance Program. More information on the GCCMIF may be found on EDA’s website at www.eda.gov. EDA’s regulations and PWEDA are accessible on EDA’s website at www.eda.gov/InvestmentsGrants/Lawsreg.xml.

II. Funding Availability and Award Information

A. EDA Funds and Project Period

For FY 2011, EDA will allocate a total of $6,000,000 for i6 Green. EDA will make at least six awards of up to $1,000,000, one in each of its six regions. EDA expects that the project period of each award will not exceed two years.

The project period and funding amounts referenced in this competitive solicitation are subject to the availability of funds and DOC and EDA priorities at the time of award. The DOC and EDA will not be held responsible for application preparation costs. Publication of this FFO does not obligate DOC or EDA to award any specific grant or cooperative agreement or to obligate all or any part of available funds. Although EDA expects to make grant awards, EDA may choose to make awards via cooperative agreements based on the anticipated amount of interaction between EDA and the recipient during the project period. EDA appropriations typically are available until expended.

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B. Supplemental Awards and Assistance from i6 Green Federal Partners

1. Supplemental SBIR Funding

NSF, EPA, and USDA SBIR grantees that are part of or central to winning i6 Green applications may be eligible to receive a supplemental award from their respective SBIR funding agency. Applicants that incorporate active Phase II SBIR Grantees from NSF, EPA, or USDA that wish to be considered for supplemental SBIR funds must demonstrate how the active Phase II project integrates with the overall scope of the proposed i6 Green application. Additionally active Phase II grantees will need to provide the current SBIR grant award number in the i6 Green application. All costs proposed for supplemental SBIR funding must be eligible under the relevant SBIR program. All amounts are contingent upon the availability of funding.

a. NSF SBIR Grantees

NSF SBIR grantees (Phase II only) that are part of or central to winning i6 Green applications may be collectively eligible for a total of up to $3,000,000 in supplemental awards from NSF, up to $500,000 per EDA region. Each NSF SBIR grantee may not receive more than $100,000 in supplemental awards from NSF. Please note that only an NSF SBIR grantee that has an active SBIR grant at the time the relevant i6 Green application is received by EDA is eligible for supplemental funding consideration. NSF will provide specific details about the supplemental awards directly to all its active SBIR Phase II grantees.

b. EPA SBIR Grantees

All EPA SBIR grantees (Phase II only) that are part of or central to winning i6 Green applications may be collectively eligible for a total of up to $420,000 in supplemental awards from EPA. Each EPA SBIR grantee may not receive more than $70,000 in supplemental awards from EPA. Please note that only an EPA SBIR grantee that has an active SBIR grant at the time the relevant i6 Green application is received by EDA is eligible for supplemental funding consideration. EPA will provide specific details about the supplemental awards directly to all of its active SBIR Phase II grantees.

c. USDA/NIFA SBIR Grantees

All USDA SBIR grantees (Phase II only) that are part of or central to winning i6 Green applications may be collectively eligible for a total of up to $600,000 in supplemental awards from USDA. Each USDA SBIR grantee may not receive more than $100,000 in supplemental awards from USDA. Only USDA SBIR grantees that have an active SBIR grant at the time of supplemental award, which is expected to be approximately September of 2011, are eligible.3 USDA will provide specific details about the supplemental awards directly to all its active SBIR Phase II grantees. To be considered for USDA’s supplemental funds, the applicant must demonstrate clearly how the active Phase II project integrates with the overall scope of the i6 Green application. Also, the use of supplemental USDA/NIFA SBIR funds must adhere to the

3 USDA expects a no-cost extension, if necessary, to be in place before a request for supplemental award is submitted.

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USDA’s “Content of proposals” regulation as set out at 7 CFR § 3403.6. USDA/NIFA supplemental SBIR funding is only available for scientific/technological research activities, and will not be provided for product development, technical assistance, demonstration projects, classified research, or patent applications.

2. EPA and DOE Supplemental Funding (Non-SBIR)

To leverage Federal resources in support of green-focused innovation, the EPA and DOE expect to partner with DOC to provide additional non-SBIR funding to support i6 Green and may provide additional funds to assist i6 Green recipients. To be considered for these additional funds, an i6 Green recipient must be selected by EPA and DOE as addressing certain core criteria as described below. The applicant must choose whether they wish to pursue these additional funds and clearly indicate such in the project narrative. In addition, an applicant that wishes to be considered for supplemental EPA and/or DOE funds must submit an additional budget form (Form SF-424A) and budget narrative specific to the proposed use of the EPA/DOE funds. All amounts are contingent upon the availability of funding.

a. Supplemental Funding from the Environmental Protection Agency

EPA has allocated $280,000 that may be awarded as additional funding for one or more i6 Green recipients to encourage innovation in commercializing environmental technologies that address priorities in the water/energy nexus, water management, or innovative applications of materials for environmental improvement. i6 Green recipients will be evaluated based on eligibility and technical criteria as described below.

Eligibility for Supplemental EPA Funding Applicants that wish to be considered for EPA funding must demonstrate:

• Innovation in the areas of Renewable Energy, Energy Efficiency, Reuse/Recycling/Restoration, and/or Green Building Technology (see section I.A.2.c.

of this FFO).

• Alignment with the EPA mission to protect human health and the environment.

Technical Criteria for Supplemental EPA Funding In addition to addressing i6 Green eligibility and evaluation criteria (described in sections III. and IV.A. of this FFO), i6 Green recipients may be eligible for additional EPA funding by addressing at least one of the following technical criteria in the context of a Proof of Concept Center:

• Systems approaches for promoting energy recovery, energy self-sufficiency, and conservation at the water/energy nexus. Illustrative examples include:

(i) Nonpoint source nutrient reduction through energy-efficient animal waste management and cost-effective options for energy recovery, potentially in combination with wastewater treatment biosolids;

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(ii) Innovative technologies for energy recovery to help achieve Net Zero energy use at wastewater treatment facilities;

(iii)Innovative energy conservation for drinking water and wastewater conveyance and treatment facilities; and

(iv) Integrated water resource management approaches including innovation in wastewater reclamation and re-use.

• Innovative, cost effective, and energy-efficient technologies and approaches for sustainable drinking and wastewater management. Illustrative examples include:

(i) Nutrient removal at wastewater facilities to limit of technology (LOT) concentrations;

(ii) Treatment (or prevention) of wastes from hydraulic fracturing used for natural gas extraction;

(iii)Innovative approaches to rehabilitation or replacement of water and wastewater infrastructure; and

(iv) Technologies and tools for green water infrastructure, to reduce the cost and impact of managing stormwater runoff.

• Innovative applications of new and emerging materials in environmental systems to reduce cost and improve performance. Illustrative examples include:

(i) Environmentally responsible recycling of electronic-waste, including recovering critical metals/materials used in renewable energy and energy efficiency; and

(ii) Environmentally responsible applications of nanotechnology to improve how we measure, monitor, manage, and reduce contaminants in the environment.

In addition, under this FFO, in order to receive the EPA portion of funding, applicants must demonstrate a matching share of at least 50% of the EPA funding, which must be available and committed to the project from non-Federal sources. EPA will give preference to applications with higher matching shares to further leverage Federal funds and help ensure additional project impact. The matching share requirement may be met through in-kind contributions, consisting of contributions of space, equipment, or services.

EPA expects that supplemental awards to an i6 Green recipient will range from $70,000 to $140,000. If an applicant wishes to be considered for EPA’s supplemental funds, the applicant should submit an additional budget form (Form SF-424A) and a budget narrative specific to this additional amount. It is expected that EPA funding will be incorporated under the EDA award to the i6 Green recipient.

b. Supplemental Funding from the U.S. Department of Energy

The Office of Energy Efficiency and Renewable Energy (EERE) at the DOE anticipates allocating $2,000,000 that may be awarded as additional funding for i6 Green recipients to encourage innovation in energy efficiency and renewable energy. i6 Green recipients will be evaluated based on eligibility and program policy factors as described below.

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Eligibility for Supplemental DOE EERE Funding Applicants that wish to be considered for EERE funding must demonstrate:

• Innovation in the areas of Renewable Energy, Energy Efficiency, Reuse/Recycling/Restoration, and or/ Green Building Technology see section I.A.2.c.

of this FFO).

• Alignment with the EERE mission statement: The Office of Energy Efficiency and

Renewable Energy works to strengthen the United States’ energy security, environmental quality, and economic vitality in public-private partnerships. It supports this goal through:

(i) Enhancing energy efficiency and productivity;

(ii) Bringing clean, reliable and affordable energy technologies to the marketplace;

and (iii)Making a difference in the everyday lives of Americans by enhancing their energy choices and their quality of life.

• A Federally Funded Research and Development Center (FFRDC) contractor may not be a recipient of an award under i6 Green, but may be proposed as a partner or team member of an i6 Green recipient subject to the following guidelines:

(i) Authorization from the cognizant contracting officer for a non-DOE FFRDC contractor on the proposed project is required, and this authorization must be submitted with any application proposing a non-DOE FFRDC contractor. The use of an FFRDC contractor must be consistent with the contractor’s authority under its award and must not place the FFRDC contractor in direct competition with the private sector.

(ii) Authorization for DOE or National Nuclear Security Administration (NNSA)

FFRDCs. The cognizant contracting officer for the FFRDC must authorize in writing the use of a DOE/NNSA FFRDC contractor on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization.

Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of the Laboratory, will not adversely impact execution of the DOE/NNSA assigned programs at the Laboratory, and will not place the Laboratory in direct competition with the domestic private sector.

Program Policy Factors for Supplemental DOE EERE Funding The EERE selection official will consider the following program policy factors in the selection process:

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• Extent to which the proposed concept involves innovative or transformative approaches based on an understanding of the role and best practices of a Proof of Concept Center;

• Extent to which the proposed model promotes sustained movement of clean energy technologies into the marketplace beyond the project period;

• Diversity, among i6 Green recipients, of approaches and methods within EERE’s overall innovation program;

• Complementary efforts or projects within EERE’s overall innovation program, which, when taken together, will best achieve the goals and objectives of i6 Green; and

• Diversity in the types or sizes of organizations within EERE’s overall innovation program to provide a balanced programmatic effort and a variety of different technical perspectives.

DOE expects that supplemental awards to an i6 Green recipient will range from

$150,000 to $300,000 for FYs 2011 and FY 2012. If an applicant wishes to be considered for DOE’s supplemental funds, the applicant should submit an additional budget form (Form SF-424A) and a budget narrative specific to this additional amount for the two year project period.4 DOE may make awards to any number of i6 Green recipients, up to one supplemental award per EDA region. It is expected that any DOE award will be incorporated under the EDA award to the i6 Green recipient.

3. Technical Assistance from USPTO

The U.S. Patent and Trademark Office (USPTO) will provide customized intellectual property seminars to entrepreneurs and innovators associated with winning applicants. In addition, entrepreneurs and innovators associated with i6 Green recipients will be eligible for special recognition at the annual Independent Inventors Conference, co-hosted by USPTO and the National Inventors Hall of Fame.

4. Technical Assistance from NIST MEP Centers

The Department of Commerce’s National Institute of Standards and Technology (NIST) manages the Hollings Manufacturing Extension Partnership (MEP), a nationwide network of locally managed extension centers whose purpose is to provide training, tools, and connections to small- and medium-sized manufacturers to accelerate innovation; leading to new opportunities in domestic and export markets. MEP centers have existing relationships with clients looking for growth opportunities incorporating the use of new technologies. These manufacturing clients provide a “demand-pull” opportunity for new technologies into the commercial marketplace that can accelerate technology transfer and Proof of Concept center efforts within existing companies to support the green project definitions provided in this announcement. Specific support services and expertise offered by MEP Centers to small- and medium-sized manufacturers that are integral to the needs of companies include, but are not limited to, the following:

4 DOE expects to make supplemental awards for a two year project period; however, DOE may make a longer- or shorter-term award at its discretion.

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MEP Industrial/Engineering-Related Support:

• Prototype development support;

• Lean product development (LPD);

• Form and function – fit to final specifications/platform;

• Quality Management System (QMS);

• Lean processes;

• Design for manufacture—manufacturability readiness; and

• Manufacturing systems—design of manufacture processes and systems.

MEP Commercialization Assistance/Growth Expertise:

• Innovation and Business Ideation;

• Marketing information;

• Size and characteristics of market;

• Needs/expectations/buyer behavior;

• Channels to market and export readiness;

• Required product or process certifications; and

• Pricing, promotion/message, positioning.

Applicants should involve their local MEP center, given the center’s specific capabilities, as a major partner in the proposed Proof of Concept Center. The local MEP partner can be identified by either calling 1-800-MEP-4-MFG (1-800-637-4634) or through the NIST MEP website at www.nist.gov/mep.

III. Eligibility Requirements

A. Applicant Eligibility

Pursuant to PWEDA and as defined in EDA’s regulation at 13 C.F.R. § 300.3, only the following types of entities are eligible to receive funding assistance from EDA:

1. District Organization (as defined in 13 C.F.R. § 304.2);

2. Indian Tribe or a consortium of Indian Tribes;

3. State, 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

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

5 For projects of significant regional scope, EDA may consider waiving the requirement that a non-profit organization demonstrate it is acting in cooperation with officials of a political subdivision of a State. See 13 C.F.R.

§§ 301.2(b) and 307.5(b).

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The eligibility of the organization will be determined by its articles of incorporation, enabling legislation, or by State and local laws applicable to the formation of the organization. An applicant applying as a consortium must be: (1) formed in accordance with any relevant State or local law and as an entity to which EDA can make a grant, generally as a non-profit organization working with a political subdivision of a State; or (2) comprised exclusively of eligible applicants who apply as co-applicants for the project.6 If a consortium is not structured as a legal entity independently eligible for funding, the consortium cannot be considered an applicant, but still can function as part of a project under a specific eligible applicant with the remaining eligible organizations serving as co-applicants. Please contact EDA with any questions and work closely with necessary authorities to determine whether any relevant State or local laws apply.

EDA cannot provide grants directly or indirectly to individuals or to for-profit entities.

However, as noted above, supplemental SBIR funds provided through the NSF, EPA, and USDA/NIFA may be available to for-profit entities that are existing SBIR grantees (Phase II only) and are part of or central to the scope of work of winning applications. See section II.B. of this FFO for information on additional funding opportunities.

B. Regional Eligibility

EDA can only fund proposals that are located in an area that, on the date of application, meets one (or more) of the following economic distress criteria:

1. 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;

2. 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

3. Has a “Special Need,” as determined by EDA pursuant to 13 C.F.R.

§ 301.3(a)(1)(iii)).

The following examples help to explain what may constitute a “Special Need” (as defined in 13 C.F.R. § 300.3):

1. Closure or restructuring of industrial firms or loss of a major employer essential to the area’s economy.

2. Substantial out-migration or population loss.

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

6 In general, an application submitted by co-applicants should detail each co-applicant’s responsibilities up front and provide for a lead applicant that is responsible for all administrative purposes, including managing award finances and communicating with the granting agency. Note that each co-applicant is individually responsible for performing the scope of work and complying with all statutory, regulatory, and cost principle requirements applicable to an award. Please also see section V.B. of this FFO, which details application requirements, including those for co-applicants.

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

5. Natural or other major disasters or emergencies, including terrorist attacks.

6. 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 to avoid an extraordinary depletion of natural resources.

7. Communities undergoing transition of their economic base as a result of changing trade patterns.

8. Regions with a weak or deficient innovation ecosystem that is impeding technology commercialization or creation of new businesses and jobs in the region.

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

For eligibility based on Special Need, the applicant must present appropriate and compelling economic, demographic, or other applicable third-party statistics to demonstrate the Special Need.

C. Cost Sharing or Matching Share Requirement

Under this FFO, applicants must demonstrate at the time of application a matching share of at least $500,000, which must be available and committed to the project from non-Federal sources. EDA will give preference to applications with higher matching shares to further leverage Federal funds and help ensure additional project impact. Generally, the amount of an EDA grant may not exceed 50 percent of the total cost of the project. Projects may receive up to 80 percent of total costs, based on the relative needs of the region in which the project will be located, as determined by EDA. See section 204(a) of PWEDA (42 U.S.C. § 3144) and 13 C.F.R. § 301.4(b)(1).

The matching share requirement may be met through in-kind contributions, consisting of contributions of space, equipment, or services or forgiveness or assumptions of debt. See section 204(b) of PWEDA (42 U.S.C. § 3144). EDA will fairly evaluate all in-kind contributions, which must be eligible project costs, verifiable through audit, and meet applicable Federal cost principles and uniform administrative requirements. Please note that because EDA funds cannot be used as venture capital or as an equity investment, the matching share may not include venture capital or equity. At the time of application, applicants must provide matching share commitment letters to demonstrate that the matching share is committed to the project for the project period, will be available as needed, and is not conditioned or encumbered in any way that precludes its use consistent with the requirements of EDA investment assistance.

See 13 C.F.R. § 301.5.

Please also see section II.B.2.a. of this FFO for information on matching requirements for supplemental EPA funds. If you have questions about matching requirements or any aspect of the competition, please contact the appropriate regional contact listed in section VIII. of this

FFO.

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D. Nonrelocation

Applicants are advised that should an application be selected for award, the recipient will be required to adhere to a special award condition relating to EDA’s nonrelocation policy as follows:

In signing this award of financial assistance, Recipient(s) attests that EDA funding is not intended by the Recipient to assist its efforts to induce the relocation of existing jobs that are located outside of its jurisdiction to within its jurisdiction in competition with other jurisdictions for those same jobs. In the event that EDA determines that its assistance was used for those purposes, EDA retains the right to pursue appropriate enforcement action in accord with the Standard Terms and Conditions of the Award, including suspension of disbursements and termination of the award for convenience or cause.

For purposes of ensuring that EDA assistance will not be used to merely transfer jobs from one location in the United States to another, each applicant must inform EDA of all employers that would constitute primary beneficiaries of their proposed project. EDA will consider an employer to be a “primary beneficiary” if the applicant estimates that such employer will create or save 100 or more permanent jobs as a result of the investment assistance, provided that such employer also is specifically named in the application as benefiting from the project, or is or will be located in an EDA-assisted building, port, facility, or industrial, commercial, or business park constructed or improved in whole or in part with assistance prior to EDA’s final disbursement of funds. In smaller communities, EDA may extend this policy to the relocation of 50 or more jobs. A for-profit entity that is partnering with a recipient may be considered a beneficiary if the entity estimates it will create or save the requisite number of jobs.

IV. Application Review Information

A. Merit Evaluation Criteria

Review panels, convened pursuant to section IV.B. of this FFO, will evaluate applications based on the following criteria, which will be weighted equally:

1. Concept

Applications will be evaluated based on their plan to effectively use the services of a Proof of Concept Center as described in section I.A.2. of this FFO (“i6 Green Program Information”) to address their regional commercialization needs towards a green economy. This will be evaluated to the extent an application demonstrates:

• A clear understanding of a real or persistent problem or an unaddressed opportunity, its urgency, and the ability of the proposed Proof of Concept Center model to solve the problem or capitalize on the opportunity;

• Creative or even potentially transformative models or solutions based on an understanding of the role, benefit, and best practices of a Proof of Concept Center;

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• A clear understanding of the challenges facing the region’s entrepreneurs and innovators; and

• A ‘roadmap’ for how the proposed Proof of Concept Center would fill the gaps in the research-to-commercialization continuum and eliminate obstacles to commercialization.

2. Feasibility of Implementation

Applications must show that establishing or enhancing the capabilities of a Proof of Concept Center and its accompanying features (as described in section I.A.2. of this FFO (“i6 Green Program Information”) is a likely outcome from i6 Green funding. Moreover, the application should present a clear, specific, and realistic approach to accelerating the movement of clean economy technologies to the marketplace, including technologies to advance renewable energy, energy efficiency, reuse and recycling, and green buildings. An application will be evaluated to the extent it demonstrates:

• A coherent plan to leverage regional strengths, mitigate regional weaknesses, and capitalize on strategic opportunities and resources while minimizing short- and long-term challenges;

• A sound strategy to support entrepreneurs and innovators at appropriate phase(s) of the process, such as assessments of commercialization potential, patenting, licensing, venture formation, financing, and marketing;

• A reasoned discussion of an intellectual property strategy appropriate for protecting the core creative and technological attributes of employees, organizations, existing companies, and new venture formations that will utilize the services of the Proof of Concept Center;

• Adequacy of the proposed schedule and budget, including the extent to which appropriate targets, metrics, and milestones are clearly defined;

• Adequacy of the plan to measure progress toward targets and the likelihood that metrics and milestones will be met;

• Extent to which challenges and risks are identified and mitigation strategies are proposed; and

• Adequacy of the…