oppEDA-HDQ-OIE-2018-2005523-cfda11.020-cid2715260-instructions.pdf

2018 REGIONAL INNOVATION

STRATEGIES PROGRAM

N o t i ce o f Fu 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

2018 Regional Innovation Strategies Program

Announcement Type

2018 Notice of Funding Opportunity (NOFO) publishing EDA’s application submission requirements and review procedures for applications received under EDA’s Regional Innovation Strategies (RIS) Program as authorized by the Stevenson-Wydler Technology Innovation Act of 1980 § 27, 15 U.S.C. § 3722 (2015) (originally enacted as the America COMPETES Reauthorization Act of 2010, Pub. L. No. 111-358, sec. 603, § 27, 124 Stat. 3982, 4030-37 (2011) and subsequently amended by the Revitalize American Manufacturing and Innovation Act of 2014, Pub. L. No. 113-235, sec. 705, § 27, 128 Stat.

2130, 2231-34 (2014)) [hereinafter Section 27]; see also 13 C.F.R. §§ 312.1- .12 (2017).

Funding Opportunity Number

EDA-HDQ-OIE-2018-2005523

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

11.020 Cluster Grants

Key Dates

The deadline for receipt of applications is 11:59 P.M. EASTERN TIME ON

WEDNESDAY, AUGUST 29, 2018. Applications received after this deadline will not be reviewed or considered. Applications will only be accepted electronically through www.grants.gov (Grants.gov). Applicants are advised to read the application carefully and submission information provided in Section D (p. 10) of this NOFO.

Funding Opportunity Description

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

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

the 2018 i6 Challenge; and the 2018 Seed Fund Support (SFS) Grant Competition.

Applicants must provide a matching share from non-Federal sources of at least 50 percent of the total project cost; i.e., applicants must match each Federal dollar requested with at least one dollar of local match. See Section C.2 (p. 9) of this NOFO.

Eligible Applicants EDA is not authorized to provide grants or cooperative agreements to individuals under this Program. Requests from individuals will not be iii considered for funding. 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, or an economic development organization or similar entity; or

A consortium of any of the immediately aforementioned entities.

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

Award Notification

Subject to the availability of funding, successful applicants should expect to receive grant award notification approximately 90-120 days from the application closing date set forth in this NOFO.

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

FULL ANNOUNCEMENT TEXT

2018 REGIONAL INNOVATION STRATEGIES PROGRAM

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

1. Overview

2. 2018 i6 Challenge

3. 2018 SFS Grant Competition

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

B. Federal Award Information

1. Available Funding Under this Announcement

2. Type of Funding Instrument Used; Period of Performance

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

D. Application and Submission Information

1. Address to Request Application Package

2. Content and Form of Application Submission

3. Environmental and Historic Preservation Requirements

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

5. Submission Dates and Times

6. Intergovernmental Review

7. Funding Restrictions

8. Other Submission Requirements

E. Application Review Information

1. Criteria

2. Review and Selection Process

3. Awards in Excess of the Simplified Acquisition Threshold

4. Anticipated Announcement and Federal Award Dates

F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

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

1. Right to Use Information

2. Freedom of Information Act Disclosure

3. Notice of Government-Wide Procurement Restriction

4. Past Performance and Non-Compliance with Award Provisions

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

6. EDA’s Non-Relocation Policy

7. Audit Requirements

8. Implementing the Americans with Disabilities Act (ADA)

9. Instructions for Application Submission via Grants.gov

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

Appendix C Example Output and Outcome Measures

1. Output Measures

2. Outcome Measures

Appendix D Optional Checklist-Style Guide for Required Documents

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

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

Section A

A. PROGRAM DESCRIPTION

1. Overview

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

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

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

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

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

In order to retain and increase global competitiveness and to realize job growth, regions must build public and private capacity for entrepreneurship and innovation to invent, improve, and bring to market new products and services. The Regional Innovation Strategies (RIS) Program catalyzes this community and regional capacity-building, ultimately helping to better identify and align assets to help manufacturers innovate and succeed, support businesses’ export-related needs, attract foreign direct investment (FDI), and creating and implementing strategies that create jobs. The RIS Program empowers communities to provide proof-of-concept and commercialization assistance to innovators and entrepreneurs and operational support for organizations that provide essential early-stage funding to startups, building platforms from which they can best leverage public and private sector infrastructure investments in broadband and digital connectivity, transportation, education, and beyond. Under this 2018 RIS Program Notice of Funding Opportunity (NOFO), EDA is soliciting applications for two separate competitions—the 2018 i6 Challenge and the 2018 Seed Fund Support (SFS) Grant Competition—which are described in more detail below:

2. 2018 i6 Challenge

The i6 Challenge is designed to increase entrepreneurship that is driven by innovations, ideas, intellectual property (IP), and applied research through the process of technology commercialization and that results in new businesses, accelerated paths to export, increased FDI, and new jobs.

Proof-of-concept and commercialization programs can be physical or virtual, existing or new. Existing programs need not have previously received EDA funds to be considered for an i6 Challenge award.

Pursuant to Section 27, i6 Challenge funding may be used for a variety of purposes, including but not limited to personnel, program development, and equipment; however, construction costs are not eligible3.

For further details regarding funding restrictions, see Section D.7 (p. 18) of this NOFO.

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

2 § 3722(f)(1).

3 See infra note 12 (p. 10) (explaining the limited exception to this rule).

i. Proof-of-Concept and Commercialization Programs

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

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

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

EDA expects to fund proposals that develop or expand regional capacity to create high-growth entrepreneurial ventures and that have a high likelihood of accelerating economic competitiveness and job creation in their respective regions and in the United States. Applicants must demonstrate how they will leverage regional strengths, capabilities, and competitive advantages. Applicants should avoid the duplication of already existing, planned, or budgeted initiatives of the applicant’s organization or by other organizations or consortia in the relevant regional innovation cluster.

iii. Example Activities and Desired Outputs and Outcomes

The i6 Challenge will provide funding to invest in the development, creation, or expansion of proof-of-concept and commercialization programs that accelerate innovation-led economic development in pursuit of vibrant, innovative economies and economic growth. Proposed projects may aim for some of or all the following outputs and outcomes or others, as appropriate in light of each given proposed project’s regional, sectoral, and economic contexts.

4 Technology Readiness Levels (TRLs) are a standardized system that categorizes the status of a technology innovation and its readiness for commercialization. The definitions of the TRLs used by EDA for the purposes of this NOFO can be found in Appendix B (p. 36) of this NOFO. Other TRL definitions include those developed by the Department of Defense, see http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf; by the Department of Energy, see https://www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04-admchg1; and by the National Aeronautics and Space Administration, see, e.g., http://www.hq.nasa.gov/office/codeq/trl/trl.pdf, http://esto.nasa.gov/files/trl_definitions.pdf.

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

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

a. Innovation

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

engaging an inclusive set of researchers, innovators, and practitioners that support commercialization of inventions, ideas, or research while equipping entrepreneurs with the knowledge and resources to strongly protect their IP; and exposing industry professionals, investors, and successful entrepreneurs to innovations at their earliest stages in order to create the best climates, teams, and opportunities for emerging, high-growth startups or for the acceleration of existing startups that create high-quality jobs.

b. Entrepreneurship

Projects should aim to develop a large number of entrepreneurs within a region and to create an ecosystem in which those entrepreneurs can experiment with and can create businesses and jobs from their innovations, including by supporting educational programs or work experiences to prepare students6 and researchers for entrepreneurial challenges and work environments;

connecting innovators and entrepreneurs to facilitate teams of technology experts and skilled business operators and executives; and growing innovation and entrepreneurial ecosystems to ensure a steady stream of high-growth startups that drive job and value creation in the primary service area, community, and region.

c. Regional Connectivity

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

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

d. Commercialization of Research

Projects should aim to convert ideas, research, or prototypes into viable products and services that can be brought to market by new or existing businesses in a financially manageable and rapid manner, including by

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

providing access to mentors, industry catalysts, and entrepreneurs-in-residence that provide advisory services and that link technology and researchers to external networks;

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

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

iv. i6 Challenge Examples: Past Recipients

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

3. 2018 SFS Grant Competition

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

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

Through the SFS Grant Competition, EDA provides funding for technical assistance and operational costs, such as conducting feasibility studies, engaging in planning activities, etc., that support the formation, launch, or scale of cluster-focused seed funds that invest their capital in innovation-based startups with a potential for high growth and job creation. For the purposes of this NOFO, a seed fund is an investment fund that, through equity-based instruments, generally invests in new and young companies with high growth potential and that is operated by one or more professional fund managers. These managers develop an investment strategy, capitalize the fund with investment capital from one or more institutions or individuals, and deploy the investment capital by funding early-stage companies in exchange for equity stakes or similar financial interests in those portfolio companies. Seed funds typically sustain their operations through those interests as they raise and deploy capital (e.g., through management fees) and as their portfolio companies increase in value and reach exit events (e.g., through carried interest at acquisition, initial public offering (IPO), another realization of a return on equity).

Neither EDA funds nor matching funds may be used to invest in startups or any other companies, nor can the funds be used to invest in a seed fund; i.e., project funds cannot capitalize a seed fund like a limited partner would. The technical assistance and operational costs funded by EDA can jumpstart the creation or expansion of a seed fund by funding, for example, operations to raise investment capital for a fund, to market the fund to potential startups and investors, to educate potential seed fund investors about seed fund investing, or to evaluate potential investments in startup companies. Accordingly, SFS Grant funding may be used for a variety of purposes, including but not limited to personnel, program development, and equipment; however, construction costs are not eligible. For further details regarding funding restrictions, see Section D.7 (p. 18) of this NOFO.

Seed funds may be existing or new; existing funds need not have previously received EDA funds to be considered for an SFS award.

i. Example Activities and Desired Outputs and Outcomes

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

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

Projects should aim to increase access to equity-based investments for new and young businesses with high growth and job creation potential that are commercializing or using innovative technologies or other IP in the development or delivery of their products or services by creating or expanding a new or existing equity-based investment fund and by exploring novel investment models that fit the needs of the regional innovation cluster and its entrepreneurs. The businesses in which the fund invests should demonstrate potential for high growth and include performance targets for job creation.

b. Increased Regional Fund Management Capacity

In addition to increasing the rate of success and regional retention of entrepreneurs and high-growth potential companies, projects should aim to bolster regional fund management capacity. Projects should demonstrate not only the experience and past successes of lead project fund managers or of existing funds, as applicable, but also a plan for developing new fund managers to increase the sustainability of the project’s fund(s), regional retention of fund management talent, and the likelihood of the establishment of other funds in the region.

c. Plan for Sustainability

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

d. Demonstrated Ecosystem and Downstream Support

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

ii. SFS Grants Examples: Past Recipients

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

Section B

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

The statutory authority for the RIS Program is Section 27.7

B. FEDERAL AWARD INFORMATION

1. Available Funding Under this Announcement

The funding periods and funding amounts referenced in this notice are subject to the availability of funds at the time of award as well as to DOC and EDA priorities at the time of award. EDA has been appropriated $21 million for grants authorized by Section 27 pursuant to the Consolidated Appropriations Act, 2018.8 Neither DOC nor EDA will be held responsible for application preparation costs. Publication of this announcement does not obligate DOC or EDA to award any specific grant or cooperative agreement or to obligate all or any part of available funds.

Subject to the availability of funding and based on applications received, EDA expects to allocate funds among competitions under this NOFO as follows:

i. 2018 i6 Challenge Grants

EDA plans to award approximately $16,000,000 under the 2018 i6 Challenge. The maximum Federal share of each i6 Challenge grant is $750,000.

ii. 2018 SFS Grants

EDA plans to award approximately $5,000,000 under the 2018 SFS Grant Competition. The maximum Federal share of each SFS Grant is $300,000.

2. Type of Funding Instrument Used; Period of Performance

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

Periods of performance are dependent on the type of project, the scope of work, and the EDA program under which the grant for the project is awarded. See Section F.1 (p. 30) of this NOFO for award notification information.

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

For the SFS Grants Competition, anticipated awards will have an initial period of performance of approximately three (3) years with an estimated start date on or about 30 days after 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. 31) of this

NOFO.

7 See supra note 1 (p. 3).

8 Pub. L. No. 115-141, div. B, tit. I, ___ Stat. ___ (Mar. 23, 2018).

Section C

C. ELIGIBILITY INFORMATION

1. Eligible Applicants

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

Pursuant to Section 279, eligible applicants for and eligible recipients of EDA investment 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; or an economic development organization or similar entity10; or a consortium of any of the immediately aforementioned entities.

Additionally, while entities that have completed the performance period of a previously-awarded RIS Program grant under a given competition are eligible for a grant under that competition, entities that are or plan to be operating within the performance period of a previously-awarded RIS Program grant at the time of the award of a grant under this NOFO are not eligible for a grant under the same competition. (E.g., a 2017 i6 Challenge grantee that is within that grant’s performance period as of the expected date of award under this NOFO would not be eligible for a 2018 i6 Challenge grant under this NOFO but may be eligible for a grant under the 2018 SFS Grant Competition.)

2. Cost Sharing or Matching

Under this NOFO, applicants must demonstrate AT THE TIME OF APPLICATION a matching share of at least 50 percent of the total project cost from non-Federal11 sources; i.e., for every dollar of Federal funds requested, applicants must demonstrate a commitment of at least one dollar of matching share.

Applicants must show, by submitting from each source organization providing matching share a commitment letter or equivalent document signed by an authorized representative of that organization, that matching shares will, at the time of award: (i) be COMMITTED to the project for the period of performance, (ii) be AVAILABLE as needed, and (iii) NOT BE CONDITIONED OR ENCUMBERED in any way that may preclude its use consistent with the requirements of EDA investment assistance.

Under this NOFO, a separate match is required for each submitted application. The amount of an EDA

9 See also 13 C.F.R. § 312.6.

10 Examples of economic development organizations or similar entities include regional planning organizations, chambers of commerce, community development corporations, and economic development corporations, whether operated as for- or nonprofits. EDA strongly encourages prospective applicants that may be eligible under this entity category to contact the representative listed in Section G (p. 31) of this NOFO with any questions regarding eligibility.

11 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.

Section D grant may not exceed 50 percent of the total cost of each project. Additional documentation may be requested by EDA in order to substantiate the availability of the matching funds.

i. In-Kind Matching Share

In-kind contributions may provide the required non-Federal share of the total project cost and can consist of contributions directly related to the proposed project, such as services, equipment12, or space. 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.13 Applicants are strongly encouraged to work with the appropriate EDA representative listed in Section G (p. 32) 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.

ii. Certain Specific Matching Share Restrictions

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

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

Additionally for these competitions, neither Federal nor matching share funds can be used for construction activities, except in limited circumstances14. See Section D.7 (p. 18) of this NOFO.

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

An applicant may obtain the appropriate application package electronically at http://www.grants.gov/ (Grants.gov). Applicants may search for this funding opportunity on Grants.gov using Funding Opportunity Number “EDA-HDQ-OIE-2018-2005523.” All components of the appropriate application package may be accessed and downloaded via www.grants.gov/web/grants/search-grants.html. The preferred electronic file format for attachments is Adobe portable document format (PDF) and, where appropriate, Microsoft Excel;

however, EDA will accept Microsoft Word-formatted electronic files. Alternatively, an applicant eligible for assistance under this announcement may request a paper application package by contacting EDA’s Office of Innovation and Entrepreneurship (OIE) via email at oie@eda.gov or via phone at (202) 482-8001.

Applicants must submit their applications via Grants.gov, see Section D.8 (p. 19), and are advised that they must complete the registration process prior to submitting an application through Grants.gov; however, registration is not required for applicants to access, view, or download the application package. Even though an applicant may be able to view and download an application, if the applicant has not correctly completed the Grants.gov registration process, the applicant will not be able to submit the application for EDA’s review. See Sections D.2 (p. 11), D.5 (p. 17), and H.9 (p. 34) of this NOFO for details of the Grants.gov registration process.

12 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.

See 13 C.F.R. § 312.9.

13 See 2 C.F.R. § 200.306.

14 See supra note 12 (p. 10) (noting that equipment-related modifications or renovations of a facility are eligible activities).

http://www.grants.gov/ http://www.grants.gov/web/grants/search-grants.html mailto:oie@eda.gov

2. Content and Form of Application Submission

i. What Is Required for a Complete Application?

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

All application forms submitted through Grants.gov must be signed electronically by an Authorized Organizational Representative (AOR); see Section D.8.ii (p. 19) of this NOFO for information on AOR requirements. See also Sections D.5 (p. 17) and D.8 (p. 19) of this NOFO for important information on submitting your application.

Applications must include the following documents:

Part A: Project Design and Substance

Project Narrative

Budget Narrative and Staffing Plan

Matching Share Commitment Letters

State/Local Government Support15

Part B: Forms and Supporting Documentation

SF-424 (Application for Federal Assistance)

SF-424A (Budget Information Non-Construction Programs)

SF-424B (Assurances Non-Construction Programs)

CD-511 (Certification Regarding Lobbying)

SF-LLL (Disclosure of Lobbying Activities)

State Single-Point-of-Contact (SPOC)/Executive Order 12372 Compliance Documentation16

Organizational Documentation17

Indirect Cost Rate (ICR) Documentation18

ii. Part A: Project Design and Substance

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

Document Number

Project Narrative One per application

Budget Narrative and Staffing Plan One per application

Matching Share Commitment Letters One per match source

15 Only certain types of eligible entities are required to provide documentation of support from relevant States or political subdivisions thereof. See Section D.2.ii.d (p. 14).

16 Only certain States participate in the SPOC compliance process. See Section D.2.iii.b.1 (p. 15).

17 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.iii.b.2 (p. 15).

18 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.iii.b.3 (p. 16).

State/Local Government Support19 One per application20

a. Project Narrative

As outlined in Section D.2.i (p. 11) 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 competition to which the application is being submitted (i.e., i6 Challenge or SFS Grants Competition), 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 region21, including its primary service area22, a description of the regional innovation cluster served (e.g., assets, financial and business resources, workforce, and infrastructure), and the region’s needs and opportunities;

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 work23 of no more than one page linked to the project’s purpose and key milestones and including deliverables;

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

19 Only certain types of eligible entities are required to provide documentation of support from relevant States or political subdivisions thereof. See Section D.2.ii.d (p. 14).

20 Any State or subdivision thereof supporting an application must encompass at least a portion of the application’s primary service area in order to satisfy this requirement. Applicants should strive to ensure that the one or more supporting States or subdivisions thereof (i.e., a local government) encompass all or a reasonably substantial portion of the primary service area.

21 Applicants must clearly describe the specific geographic location of the project within the region, corresponding to applicants’ answers to Questions 14 and 16 of the SF-424. If the applicant expects the project’s impact to expand beyond the noted region, the applicant should note the region of expected impact.

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

Applicants should submit their primary service area’s county names and FIPS codes in response to Question 14 of the SF-424, using an attachment as necessary.

23 Applicants must clearly indicate throughout the project narrative the specific activities that are part of the scope of work of the proposed project; applicants must clearly distinguish between aligned ancillary activities, if any, and project activities.

https://www.census.gov/geo/reference/codes/cou.html evidence- and data-based anticipated impacts24, including outputs and outcomes, metrics, and tracking mechanisms25;

a sustainability plan, including anticipated challenges, potential barriers, and a forecast of post-award period operations; and for applications to the SFS Grant Competition, fund information26 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.

b. Budget Narrative and Staffing Plan

As outlined in Section D.2.i (p. 11) of this NOFO, all applicants must provide a Budget Narrative of no more than four (4) 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 that includes a Staffing Plan in order to be considered for funding. Material beyond the fourth page will not be read or considered.

1. Budget Narrative

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; see Section D.2.ii.b.2 (p. 14) of this NOFO).

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, see Section D.2.ii.c (p. 14), that documents each relevant matching organization’s commitment to provide the matching share of the given line item.

24 Applicants must provide a clear and compelling justification of the long-term potential economic impact of the proposed project by including metrics (e.g., anticipated job creation or retention, anticipated private investment leveraged, anticipated number of businesses or collaborations supported, and other appropriate measures; see Appendix C (p. 38) of this NOFO). All impact estimates, including but not limited to job and private investment leverage estimates, should reflect the anticipated impact at the end of the grant performance period, two years after the end of the grant performance period, and five years after the end of the grant performance period. In all cases, applicants must document the baseline of and expected benefit to the primary service area, provide third-party data or information to support these claims, and include practical and clear tracking and reporting mechanisms for metrics that will measure the economic impact during and after the project.

25 Applicants whose applications are selected for funding must employ a data and client management system to track its metrics in a machine-readable format; applicants should include a description of their respective systems and, if no such system exists, should include its acquisition and implementation in the project narrative and budget.

26 SFS Grant Competition applications should provide this information for the subject fund of the application and/or, where the application is for a new fund or where other fund data are relevant, for prior funds led by the applications’ fund managers and/or operating organizations.

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.

2. Staffing Plan

As part of the Budget Narrative, applicants also must submit a Staffing Plan that lists all positions that would be charged to the Federal and Non-Federal 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.

c. 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 representatives27 of the sources of the matching funds.

d. 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 regional innovation cluster 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.

iii. Part B: Forms and Supporting Documentation

a. 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 Programs One per applicant

CD-511 Certification Regarding Lobbying One per applicant

SF-LLL Disclosure of Lobbying Activities One per applicant

27 Authorized representatives must have the authority to execute documents and to obligate and expend funds on behalf of their respective organizations.

b. 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 Compliance28 For each participating State in primary service area

Organizational Documentation29 For each applicant, depending on entity type

ICR Documentation30 For each applicant

1. 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. 18) 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/2017/11/SPOC-Feb.-2018.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

2. 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 (see footnote 29 (p. 15) and

28 See supra note 16 (p. 11).

29 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, or (d) economic development organizations 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. 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.

30 See supra note 18 (p. 11).

https://www.whitehouse.gov/wp-content/uploads/2017/11/SPOC-Feb.-2018.pdf

Section C.1 (p. 9) of this NOFO) (e.g., articles of incorporation, certificates of good standing, bylaws, proof of tax-exempt status).

3. 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).