oppEDAP-2017-cfda11.300-cidPW-EAA-CC-instructions.pdf

NOTICE OF FUNDING AVAILABILITY

Public Works and Economic Adjustment Assistance Programs

EXECUTIVE SUMMARY

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

• Funding Opportunity Title: FY 2017 Economic Development Assistance Programs - Application submission and program requirements for EDA’s Public Works and Economic Adjustment Assistance programs.

• Announcement Type and Date: FY 2017 Notice of Funding Availability (NOFA) announcement publishing EDA’s proposal and application submission requirements and review procedures for proposals and applications received under EDA’s (i) Public Works and (ii) Economic Adjustment Assistance (EAA) programs, authorized under the Public Works and Economic Development Act of 1965, as amended (42 U.S.C. § 3121 et seq.).

Effective date: June 19, 2017

• Funding Opportunity Number: EDAP-2017

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

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

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

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

FULL ANNOUNCEMENT TEXT

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

EXECUTIVE SUMMARY

FULL ANNOUNCEMENT TEXT

A. Program Description

1. Overview

2. EDA Investment Priorities

3. EDA Program Information

B. Federal Award Information

1. What funding is available under this announcement? ................................. ….11

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

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

3. EDA Economic Distress Criteria

D. Proposal and Application Submission Information

1. Address to Request a Proposal or Application Package

2. Content and Form of the Proposal and Application Submission

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

4. Submission Dates and Times

5. Intergovernmental review

6. Funding Restrictions

7. Will I be required to provide any additional forms or documentation?

E. Proposal and Application Review Information

1. Criteria- Phase I: Proposal Review

2. Review and Selection Process

3. Federal Awardee Performance Integrity System (FAPIIS) Review

F. Federal Award Administration Information

1. Federal Award Notices https://www.eda.gov/pdf/EDAs_regs-13_CFR_Chapter_III.pdf

2. Administrative and National Policy Requirements

3. Reporting

4. Regulations, administrative requirements, and cost principles

G. EDA Contact Information

Atlanta Regional Office

1. Alabama, Georgia

2. Florida

3. Kentucky and ACC

4. Mississippi

5. South Carolina

6. North Carolina

7. Tennessee

8. Environmental Officer

Austin Regional Office

1 Arkansas, Louisiana

2. New Mexico, West Texas

3. Oklahoma, North Texas

4. South Texas

5. Environmental Officer

6. ACC

Chicago Regional Office

1. Illinois, Indiana, Ohio

2. Michigan, Minnesota, Wisconsin

3. Environmental Officer and ACC

Denver Regional Office

1. Colorado, Utah

2. Montana, Wyoming and ACC

3. North Dakota, South Dakota

4. Iowa, Eastern and Central Missouri

5. Nebraska, Kansas, Western Missouri

6. Environmental Officer

Philadelphia Regional Office

1. Connecticut

2. District of Columbia, Maryland, Puerto Rico, Virgin Islands

3. Maine, New Hampshire, Rhode Island

4. Massachusetts, Virginia

5. Northern New Jersey, New York

6. Pennsylvania, Southern New Jersey, and Delaware

7. West Virginia and ACC

8. Environmental Officer

Seattle Regional Office

1. Alaska

2. Arizona, Washington

3. California (Coastal and Northern)

4. California (Central and Southern), Nevada

5. Hawaii, Guam, Northern Mariana Islands, American Samoa, Marshall Islands, Federated States of Micronesia, Palau

6. Oregon, Clark County, Idaho, and Eastern Washington

7. Environmental Officer

8. ACC

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)

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

A. Program Description

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

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

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

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

Competitive applications will be responsive to the evaluation criteria listed in Section E.2.a. of this NOFA, and will fund projects which create assets that will achieve at least one of the following investment priorities:

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

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

c) National Strategic Priorities Projects that:

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

ii. assist communities severely impacted by the declining use of coal through activities and programs that support economic diversification, job creation, capital investment, and workforce development and re-employment opportunities;

1 EDA defines clusters as geographic concentrations of firms, workers and industries that do business with each other and have common needs for talent, technology, and infrastructure. Clusters are essentially networks of similar, synergistic, or complementary entities that are engaged in or with a particular industry sector; have active channels for business transactions and communication; share specialized infrastructure, labor markets, and services; and leverage the region’s unique competitive strengths to stimulate innovation and create jobs. Clusters may cross municipal, county, and other jurisdictional boundaries.

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

iv. assist with natural disaster mitigation and recovery;

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

vi. assist and/or support:

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

b. communities severely impacted by industry restructuring;

c. job-driven skills development;

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

e. innovations in science and health care; and

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

d) Global Competitiveness

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

e) Environmentally-Sustainable Development

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

f) Underserved Communities

Investments that strengthen diverse communities that have suffered disproportionate economic distress and job losses and/or are rebuilding to become more competitive in the global economy, including economic development initiatives that help unemployed and underemployed young adults obtain the skills and knowledge necessary to succeed.

3. EDA Program Information

This section provides detailed information on the two programs to which this NOFA applies. Additional information about EDA’s programs, including information about the eligibility of specific kinds of projects, is available through EDA staff.

http://www.eda.gov/pdf/GreenGrowthOverview.pdf

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

Except for a “Strategy Grant” as described below, each project funded under Public Works and EAA must be consistent with the region’s current Comprehensive Economic Development Strategy (CEDS) or equivalent EDA-accepted regional economic development strategy that meets EDA’s CEDS or strategy requirements. Applicants must clearly detail how the proposed project will support the economic development needs and objectives outlined in the CEDS or equivalent strategy. Applicants should identify the CEDS or strategy and provide a copy of this planning document, either by attaching the document to the application or by submitting a hard copy. In addition, applicants should highlight where and how the proposed project will be aligned with, integrated into, and/or will further leverage other public and private investments in the community and region.

Under this NOFA, applicants may also seek funding in the form of a “Strategy Grant” to develop, update, or refine a CEDS that alleviates long-term economic deterioration or a sudden and severe economic dislocation, as described in EDA’s regulations at 13 C.F.R. § 307.3.

Additional information and a summary of EDA’s CEDS and strategy requirements may be obtained through the applicable EDA representative listed in Section G. of this NOFA.

a) Public Works2 Through the Public Works program, EDA provides catalytic investments to help distressed communities build, design, or engineer critical infrastructure and facilities that will help implement regional development strategies and advance bottom-up economic development goals to promote regional prosperity. The Public Works program provides resources to meet the construction and/or infrastructure design needs of communities to enable them to become more economically competitive. Prior examples of investments EDA supported through the Public Works program include projects supporting water and sewer system improvements, industrial parks, high-tech shipping and logistics facilities, workforce training facilities, business incubators and accelerators, brownfield redevelopment, technology-based facilities, wet labs, multi-tenant manufacturing facilities, science and research parks, and telecommunications infrastructure and development facilities.

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

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

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b) Economic Adjustment Assistance (EAA)3 Through the EAA program, EDA provides investments that support a wide range of construction and non-construction activities (including infrastructure, design and engineering, technical assistance, economic recovery strategies, and capitalization or re-capitalization of Revolving Loan Funds (RLF)) in regions experiencing severe economic dislocations that may occur suddenly or over time. EDA utilizes EAA investments to provide resources that help communities experiencing or anticipating economic dislocations to plan and implement specific solutions to leverage their existing regional economic advantages to support economic development and job creation. Like Public Works investments, EAA investments are designed to help communities catalyze public-private partnerships to foster collaboration, attract investment, create jobs, and foster economic resiliency and prosperity. For example, EDA might provide funding to a university or community college to create and launch an economic diversification strategy to promote and enhance the growth of emerging industries in a region facing job losses due to declines in regionally important industries. As another example, EDA might provide funding to a city to support the construction of a publically-owned multi-tenant business and industrial facility to house early-stage businesses.

Assistance to Coal Communities (ACC)

EDA designates a portion of its EAA funding to support communities and regions that have been negatively impacted by changes in the coal economy4. To support these projects, EDA prioritizes ACC implementation projects and activities that:

o Will produce multiple economic and workforce development outcomes, such as promoting regional economic growth and diversification, new job creation, and re-employment opportunities for displaced coal economy workers; and o Are specifically identified under local and regional economic development plans that have been collaboratively produced by diverse local and regional stakeholders.

Under this NOFA, EDA will also support ACC planning through strategy grants that develop, update or refine a CEDS or an equivalent planning document.

ACC projects should respond to one or more of the following funding principles, as appropriate:

• Collaborative Partnerships: Competitive proposals and applications will successfully demonstrate that the applicant is engaged in collaborative relationships with a variety of local and regional stakeholders (public, private, for-profit and nonprofit) whose combined contributions will be invested to support the development and implementation of the proposed project.

• Economic and Workforce Development Integration: Competitive proposals and applications will clearly demonstrate how the project is designed to simultaneously

3 CFDA No. 11.307. The regulations implementing the EAA program may be found at 13 C.F.R. part 307. Please note that Section 307.3 of EDA’s regulations describe the differences between an EAA implementation grant and an EAA strategy grant. See also 42 U.S.C. § 3149(b)(2) (EAA planning project is not required to be carried out in an area with a CEDS or be consistent with an existing CEDS).

4 “Coal economy” is a term that reflects the complete supply chain of coal-reliant industries. This includes, but is not limited to: coal mining, coal-fired power plants, along with related transportation, logistics, and supply chain manufacturing.

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• High Quality Jobs and Worker Advancement: Numerous communities, regions, and states across the country have historically relied upon the coal industry to provide good, reliable jobs and economic prosperity. Contractions in the coal economy and the resulting loss of these jobs are particularly harmful to workers in the various sectors of the coal economy. Competitive proposals and any resulting applications will include those that propose to implement or otherwise incorporate workforce development strategies that prioritize:

o The creation and growth potential of family-supporting jobs and careers;

o Workforce development activities that offer workers “career pathways” upon re-employment – the provision of additional educational and skills attainment opportunities directly linked to employee career advancement and better paying jobs within the targeted industry; and o The provision of job training courses that equip workers with industry-recognized credentials that enhance their economic mobility and advancement.5

• Multi-Jurisdictional Project Impact: Among other factors, applications that strive to produce economic diversification and job creation on a multi-jurisdictional basis will be prioritized for selection and funding. “Multi-Jurisdictional” is a term that can include, but is not limited to:

o Multiple communities within a county;

o Multiple counties within a region;

o Multiple regions within a state; and o Multiple regions in two or more states.

ACC projects can include but are not limited to:

• Supporting the creation of new businesses and jobs in a variety of industry sectors, including, but not limited to advanced manufacturing, agriculture, energy, information technology (IT), health care, telecommunications, tourism and recreation, transportation, and cultural and natural assets.

5 EDA recognizes that the quality of jobs created in emerging industries is often evolving, and such industries typically do not yet have mature career pathways or skill standards. Applicants focused on emerging industries where these circumstances prevail should explain how their proposed strategies will create the conditions for increasing job quality and better defined pathways for worker advancement over the longer term (which may extend beyond the time frame of eligible funding).

• Implementing local and regional job creation and growth and economic diversification strategies targeted towards affected workers and businesses.

• Strengthening or developing existing or emerging industry clusters6.

• Developing business incubator programs.

• Enhancing access to and use of broadband services to support job growth through business creation and expansion.

• The development of economic development diversification strategies in accordance with CEDS criteria7.

• Facilitating access to private capital investment and providing related capacity building and technical assistance; re: effective utilization of capital investment for business development and job creation.

• Facilitating and promoting market access for goods and services created and manufactured by businesses in the impacted community/region.

Applicants are strongly encouraged to contact the regional ACC program point of contact (POC) listed in Section G. of this NOFA for specific guidance pertaining to the eligible use of program funds.

Note: In addition to providing ACC, EDA’s EAA program supports a wide range of technical, planning, and public works and infrastructure assistance in regions that are experiencing adverse economic changes that may occur suddenly or over time. For further details regarding the full scope of the EAA programs and recent examples of awarded projects, Applicants are encouraged to visit www.eda.gov.

c) Statutory authorities for EDA’s programs

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

Applicant eligibility and program requirements are set forth in EDA’s regulations

(codified at 13 C.F.R. chapter III) and all applicants must address these requirements. Specific program requirements for the Public Works program are set out at 13 C.F.R. part 305 and for the EAA program at 13 C.F.R. part 307. For EDA’s Public Works and EAA programs, this announcement supersedes the EDAP NOFA announcement dated December 23, 2016. EDA’s regulations are accessible at the U.S. Government Publishing Office (GPO) website at https://www.gpo.gov/fdsys/8. Under “Browse”, select the Code of Federal Regulations, choose the most recent year, and scroll down to find Title 13, Chapter III.

6 Industry clusters are networks of interconnected firms and supporting institutions in a common geographic region.

Clusters also are generally defined by and benefit from shared labor pools, infrastructure and markets.

7 See 13 C.F.R. § 303.7.

8 In the event of discrepancies between the instructions and information provided in this NOFA and EDA’s regulations, EDA regulations will control.

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B. Federal Award Information

1. What funding is available under this announcement?

The funding periods and amounts referenced in this NOFA 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. In FY 2017, EDA has been appropriated $100 million for the Public Works program, $35 million for the EAA program, and an additional $30 million in EAA funds for ACC pursuant to the Consolidated Appropriations Act, 2017 (P.L. 115-31) (Division B - Commerce, Justice, Science, and Related Agencies Appropriations Act, 2017). Neither DOC nor EDA will be held responsible for proposal or 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.

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

In FY 2016, the Consolidated Appropriations Act, 2016 (P.L. 114-113) (Division B- Commerce, Justice, Science, and Related Agencies Appropriations Act, 2016) appropriated $100 million for the Public Works program, $35 million for the EAA program, and $15 million for the Partnership for Opportunity and Workforce and Economic Revitalization (POWER) Initiative, which, similar to the ACC program, provided support to communities and regions negatively impacted by changes in the coal community.

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

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

In FY 2016, EDA awarded 10 implementation grants under the POWER Initiative ranging between approximately $300,000 - $4.9 million and 11 strategy grants for planning activities ranging between approximately $50,000 - $960,000. In FY 2017, EDA will continue to support assistance to coal communities through the ACC program and expects to award grants generally ranging between $500,000 - $2,000,000 for implementation projects and $100,000-$350,000 for planning activities.

DOC or EDA may cancel or withdraw this NOFA at any time.

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

Subject to the availability of funds, EDA may award grants or cooperative agreements to eligible applicants to help support economic development project-based activities. EDA will award a cooperative agreement on a case-by-case basis if substantial agency involvement is required. Situations that may warrant substantial involvement by EDA include: (1) authority to halt immediately an activity if detailed performance specifications (e.g., construction specifications) are not met, (2) stipulation that the recipient must meet or adhere to specific procedural requirements before subsequent stages of a project may continue, (3) approval by an appropriate DOC official of substantive provisions of proposed subawards and/or (4) notification of changes to key recipient personnel. The period of performance for a given project will depend on the type of project, scope of work, and the EDA program under which the grant or cooperative agreement for the project is awarded. For example, the period of performance for a construction investment under EDA’s Public Works program may last for three years, while a strategy investment under the EAA program may allow for one to three years for completion of the scope of work, depending on its complexity or urgency. EDA expects that all projects will proceed efficiently and expeditiously, and EDA encourages applicants to clearly document how quickly the applicant will be able to start and complete the proposed work. All construction projects are expected to be completed within five years from the date of award.

C. Eligibility Information

1. Eligible Applicants Pursuant to PWEDA, eligible applicants for and eligible recipients of EDA investment assistance under this NOFA include a(n):

a. District Organization;

b. Indian Tribe or a consortium of Indian Tribes;

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

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

e. Public or private non-profit organization or association acting in cooperation with officials of a political subdivision of a State.9

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

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

In general, EDA’s maximum investment rate (percent of the total project cost) is determined by the average per capita income or unemployment rate of the region in which the project is located, as outlined in Table 1 below:10

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

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

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TABLE 1

Projects located in regions in which:

Maximum allowable investment rates

(percentage of total project cost)

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

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

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

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

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

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

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

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

For projects subject to a Special Need, as outlined in Section C.3 below, EDA will determine the maximum allowable investment rate, not to exceed 80 percent of the total project cost, based on the actual or threatened overall economic situation of the Region in which the project is located.

In addition, the Secretary of Commerce has delegated to the Assistant Secretary for Economic Development the discretion to establish a maximum EDA investment rate of up to 100 percent of the total project cost for projects: (i) of a State (or political subdivision of a State) that the Assistant Secretary for Economic Development determines has exhausted its effective taxing and borrowing capacity or (ii) of a non-profit organization that the Assistant Secretary for Economic Development determines has exhausted its effective borrowing capacity.11 Additionally, EDA’s regulations provide discretion to establish a maximum EDA investment rate of up to 100 percent for projects of Indian Tribes.12

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

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

12 See 13 C.F.R. § 301.4(b)(5).

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The applicant must document that the matching share will: (i) be committed to the project for the period of performance, (ii) be available as needed, and (iii) not be conditioned or encumbered in any way that may preclude its use consistent with the requirements of EDA investment assistance.13 In order to meet these requirements, applicants may submit for each source of matching share, a commitment letter or equivalent document signed by an authorized representative of the organization providing the matching funds. Additional documentation may be requested by EDA in order to substantiate the availability of the matching funds. For example, if bonds are contemplated as match, counsel opinion of the applicant’s bonding authority and eligibility of the bonds for use as match, along with full disclosure of the type of bonds and the schedule of the applicant’s intended bond issue, are required. Please contact the applicable EDA representative listed in Section G. of this NOFA with questions regarding EDA’s matching share requirements.

In the application review process, EDA will consider the nature of the contribution (cash or in-kind) and the amount of the matching share funds. Documented in-kind contributions may provide the required non-Federal share of the total project cost. All in-kind contributions must be eligible project costs and meet applicable Federal cost principles and uniform administrative requirements. Examples of in-kind contributions can include space, equipment, services, or forgiveness or assumptions of debt.14 Funds from other Federal financial assistance awards may be considered matching share funds only if authorized by statute, which may be determined by EDA’s reasonable interpretation of the statute.15

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

3. EDA Economic Distress Criteria In order to be eligible for funding under this NOFA, an applicant must propose a project that meets EDA’s distress criteria as of the date EDA receives a proposal or complete application for Proposal Review Committee (PRC) review. Applicants must self-define the appropriate Region geographically. The geographic area comprising a Region need not be contiguous or defined by political boundaries but should constitute a cohesive area capable of undertaking self-sustained economic development. Applicants must provide third-party data that clearly indicate that the relevant Region16 is subject to one (or more) of the following economic distress criteria: (i) an unemployment rate that is, for the most recent 24-month period for which data are available, at least one percentage point greater than the national average unemployment rate; (ii) per capita income that is, for the most recent period for which data are available, 80 percent or less of the national average per capita income; or (iii) a “Special Need,” as determined by EDA.17

EDA will review and evaluate documentation submitted by the applicant to determine eligibility. EDA will reject any documentation of eligibility that the agency determines is inaccurate or incomplete, which may cause the proposal or application to be rejected. EDA

13 See 13 C.F.R. § 301.5.

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

§ 300.3.

15 See the definition of “Local Share or Matching Share” at 13 C.F.R. § 300.3. See also 2 C.F.R 200.306.

16 As defined in 13 C.F.R. § 300.3 17 See Section 301(a)(3) of PWEDA (42 U.S.C. § 3161(a)(3)) and 13 C.F.R. § 301.3.

https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl reserves the right to request additional documentation or information from the applicant to make an eligibility determination. In cases where EDA receives a proposal or complete application for PRC review six months or more before the time of award, EDA will re-evaluate the project to determine continued eligibility for investment assistance before making an award.

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

A proposed project may meet the Regional eligibility criteria in one of the following three ways:

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

2. The proposed project is located in an Economic Development District that is located in a Region that does not meet EDA’s economic distress criteria, and EDA determines the proposed project will be of substantial direct benefit to a geographic area within the District that meets EDA’s economic distress criteria;

or

3. The proposed project will be located in a geographic area of poverty or high unemployment that meets EDA’s economic distress criteria, but which is located in a Region that overall does not meet EDA’s distress criteria.

Following are further details on economic distress criteria. See also 13 C.F.R. § 301.3(a).

a) Unemployment Rate & Per Capita Income For economic distress levels based upon per capita income requirements, EDA will base its determination upon the most recent American Community Survey (ACS) published by the U.S. Census Bureau. For economic distress levels based upon the unemployment rate, EDA will base its determination upon the most recent data published by the Bureau of Labor Statistics (BLS), within the U.S.

Department of Labor. For eligibility based upon either per capita income requirements or the unemployment rate, when the ACS or BLS data, as applicable, are not the most recent Federal data available, EDA will base its decision upon the most recent Federal data from other sources (including data available from the Census Bureau and the Bureaus of Economic Analysis, Labor Statistics, Indian Affairs, or any other Federal source determined by EDA to be appropriate). If no Federal data are available, an applicant must submit to EDA the most recent data available from the State. The required State data must be for the Region where the project will be located, the geographic area where substantial direct project benefits will occur, or the geographic area of poverty or high unemployment, as applicable.18

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

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

A project may be eligible pursuant to a Special Need if the project is located in a Region that meets one or more of the criteria described below19:

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

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

below; or

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

AND

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

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

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

b. Substantial out-migration or population loss.

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

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

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

ii. A defense contractor reduction-in-force refers to a defense contractor(s) experiencing defense contract cancellations or reductions resulting from

19 The following criteria are published in accordance with 13 C.F.R. § 301.3(a)(l)(iii) and define what may constitute a “Special Need” (as defined in 13 C.F.R. § 300.3) sufficient to make a project eligible for Public Works or EAA investment assistance, as described in Section C.3. of this announcement.

https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=27c9ade511973b6ad6d352fba5b86138&mc=true&tpl=/ecfrbrowse/Title13/13chapterIII.tpl official DOD announcements that have aggregate value of at least $10 million per year. Actual dislocations must have occurred within one year of the date a proposal or complete application is submitted to EDA for PRC review and threatened dislocations must be anticipated to occur within two years of submittal of a proposal or complete application to EDA for PRC review. Defense contracts that expire in the normal course of business will not be considered to meet this criterion.

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

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

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

§ 5121 et seq.)); or

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

the Consolidated Farm and Rural Development Act, as amended (7 U.S.C. § 1961); or the Small Business Act, as amended (Pub. L. No. 85- 536, 15 U.S.C. § 631 et seq., 72 Stat. 384 (1958)).

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

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

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

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

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

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

http://www.hud.gov/promisezones

Additional Requirements Applicable to ACC Applicants

In addition to the requirements described in Section C above, ACC projects must also:

• Be located within and targeted to communities or regions that have been impacted20, or can reasonably demonstrate that they will be impacted, by coal mining or coal power plant employment loss, or employment loss in the supply chain industries21 of either.

Complete applications must provide appropriate third party economic and demographic statistics for the applicable community or region in order to document the extent to which contractions in the coal economy have negatively impacted the community or region22. Applicants are encouraged to cite federal data resources that may include, but are not limited to:

o U.S. Department of Commerce

Bureau of Economic Analysis (BEA), http://www.bea.gov/

U.S. Census Bureau, American Community Survey (ACS), https://www.census.gov/programs-surveys/acs/ o U.S. Department of Labor

Bureau of Labor Statistics (BLS), http://www.bls.gov/ o U.S. Department of Energy

Energy Information Administration (EIA), https://www.eia.gov/ o U.S. Department of the Interior

Mine Safety Health Administration (MSHA), http://www.msha.gov/OpenGovernmentData/OGIMSHA.asp

Bureau of Indian Affairs (BIA), American Indian Population and Labor Force Reports http://www.bia.gov/WhatWeDo/Knowledge/Reports/index.htm.

20 In general, EDA will consider applications for projects in communities and regions where the primary coal economy contraction “event” (e.g., closure of a coal mine or a coal-fired power plant, closure of various coal economy supply chain businesses, etc.) took place within 1-15 years prior to the application submission date.

21 Examples of supply chain industries include, but are not necessarily limited to, manufacturers of mining equipment and parts for coal-fired power plants and transportation companies that carry coal. Note, this timeframe is a range during which projects will generally be eligible; applicants may propose projects outside this timeframe, but should take special care to demonstrate that the primary coal economy contraction “event”…