power ffo appendix a - edap ffo-final.pdf

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Appendix A: Economic Development Administration (EDA) Economic Adjustment

Assistance (EAA) FFO

I. Funding Opportunity Description

A. Agency Overview

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

B. EDA Investment Priorities

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

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

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

1. Collaborative Regional Innovation

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

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

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.

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3. National Strategic Priorities Projects that encourage job growth and business expansion in clean energy; green technologies; sustainable manufacturing; information technology infrastructure

(for example, broadband or smart grid); communities severely impacted by automotive industry restructuring; natural disaster mitigation and resiliency;

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

and innovations in science, health care, and alternative fuel technologies.

Under this FFO, EDA especially encourages projects that support increasing manufacturing, including advanced manufacturing, manufacturing supply chains and foreign direct investment in manufacturing facilities; projects that assist communities severely impacted by the declining use of coal; projects aimed at restoring or improving urban waters; projects that increase resiliency to the effects of climate change; and projects that advance science and research parks or other technology transfer or commercialization centers.

4. Global Competitiveness Projects that support high-growth businesses and innovation-based entrepreneurs to expand and compete in global markets, especially investments that expand U.S.

exports, encourage foreign direct investment, and promote the repatriation of jobs back to the U.S.

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

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

C. EDA Program Information

This section provides detailed information on the Economic Adjustment Assistance

(EAA) program, which will provide funding for FY 2015 POWER grants. Additional information about EDA’s programs, including information about the eligibility of specific kinds of projects, is available through EDA’s economic development representatives at the regional offices. EDA’s representatives provide technical assistance to prospective applicants to assist in proposal development and application submission. Applicants are strongly encouraged to contact the EDA representative listed for their applicable state in section VIII. of this Appendix to clarify technical matters involving their proposed project (especially business incubator projects), its alignment with EDA’s mission and investment priorities, and all other relevant publicly available information relating to technical matters before submitting an application to

EDA.

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

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1. Economic Adjustment Assistance

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 Fund (RLF) projects) 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. EAA investments are designed to help communities catalyze public-private partnerships to foster collaboration, attract investment, create jobs, and foster economic resiliency and prosperity. For example, EDA might provide funding to a university or community college to create and launch an economic diversification strategy to promote and enhance the growth of emerging industries in a region facing job losses due to a decline in the region’s coal industry. As another example, EDA might provide funding to a city to support the construction of a publically-owned multi-tenant business and industrial facility to house early-stage businesses. Planning assistance is also permitted under this opportunity; however, the planning involved should be clearly demonstrated as implementing existing economic development strategies for adapting the region to contractions in the coal economy.

2. Statutory authority for EDA’s programs

The statutory authority for the EAA program is listed in section 209 (42 U.S.C. § 3149) of PWEDA.

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 in their applications. Specific program requirements for the EAA program are set forth at 13 C.F.R. part

307.

II. Award information

Award information can be found in Section II of the POWER FFO.

III. Eligibility Information

A. Eligible Applicants

Eligible applicant information for EDA can be found in Section III.C of the POWER

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

B. EDA Economic Distress Criteria

In order to be eligible for EDA funding under this FFO, an applicant must propose a project located in a Region that meets EDA’s distress criteria, in addition to other POWER eligibility criteria, as of the date EDA receives the application. Applicants must provide third-

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

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Need,” as determined by EDA.

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

To determine eligibility, an applicant must define their Region in one of the following three ways:

a. The Region where the proposed project will be located;

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

c. The geographic area of poverty or high unemployment where the proposed project will be located.

See also 13 C.F.R. § 301.3(a).

To determine eligibility, applicants must self-define the appropriate geographical area that constitutes their Region. For construction projects (including design and engineering) the project must be located within an eligible Region. For non-construction projects, the investment’s scope of work must primarily benefit an eligible Region and stakeholders from that eligible Region must be directly engaged. EDA suggests that applicants work closely with their Regional Office as they define an eligible project in their Region.

1. Unemployment Rate & Per Capita Income

For economic distress levels based on the unemployment rate or per capita income requirements, EDA will base its determination upon the most recent

American Community Survey (ACS) data published by the U.S. Census Bureau.

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

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

State government).

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

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

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2. “Special Need” Criteria

For the purposes of determining eligibility based on a “Special Need”, an applicant must provide current and appropriate economic and demographic statistics for the applicable Region to support the identified “Special Need.” EDA will base its determination of eligibility for “Special Need” 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 below

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 (including coal mines, coal-fired power plants or other businesses strongly integrated within the coal economy) since 2011 prior to application submission, resulting in sudden job losses and meeting the dislocation criteria in a.iii. below; or

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

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

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

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

b. Substantial out-migration or population loss.

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

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

i. A military base closure refers to a military base that was closed or is scheduled for closure, realignment, or growth pursuant to the base closure and realignment process or other Department of Defense (DOD) process.

Unless further extended by the Assistant Secretary for Economic

Development, the Region is eligible from the date of DOD’s recommendation for closure, realignment, or growth until five years after the actual date of closing of the installation or five years after the announced realignment or growth actually occurs.

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 Economic Adjustment investment assistance, as described in section III.B. of this announcement.

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ii. A defense contractor reduction-in-force refers to a defense contractor(s) experiencing defense contract cancellations or reductions resulting from official DOD announcements that have aggregate value of at least $10 million per year. Actual dislocations must have occurred within one year of the date an application is submitted to EDA and threatened dislocations must be anticipated to occur within two years of application to EDA.

Defense contracts that expire in the normal course of business will not be considered to meet this criterion.

iii. A Department of Energy defense-related funding reduction refers to a

Department of Energy facility that has experienced or will experience a reduction of employment resulting from its defense mission change. The

Region is eligible from the date of the Department of Energy announcement of reductions until five years after the actual date of reduced operations at the installation.

e. Natural or other major disasters or emergencies. Unless further extended by the Assistant Secretary for Economic Development, a Region that has received one of the following disaster declarations is eligible and the applicant may apply for EDA assistance for a period of 18 months after the date of declaration:

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)).

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

g. Communities undergoing transition of their economic base as a result of changing trade patterns, for example, an area certified as eligible by the

North American Development Bank (NADBank) Program or the Community

Adjustment and Investment Program (CAIP).

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

http://www.hud.gov/promisezones

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

Economic Development.

C. Cost Sharing or Matching

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

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

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

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

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

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

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

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

(G) The 24-month unemployment rate is at least

1 percentage point greater than the national average; or

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

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

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

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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 to a: (i) 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) a non-profit organization that the Assistant Secretary for Economic

Development determines has exhausted its effective borrowing capacity.

Additionally, EDA’s regulations provide discretion to establish a maximum EDA investment rate of up to 100 percent for projects of Indian Tribes.

Potential applicants should contact the appropriate EDA regional office identified in section VIII. of this Appendix to obtain additional information regarding these EDA investment rate determinations.

In the application review process, EDA will consider the nature of the contribution (cash or in-kind) and the amount of the matching share funds. In-kind contributions may provide the required non-Federal share of the total project cost and can consist of contributions directly related to the proposed project, such as space, equipment, services, or forgiveness or assumptions of debt.

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.

EDA will fairly evaluate all in-kind contributions, which must be eligible project costs and meet applicable Federal cost principles and uniform administrative requirements. The applicant must show that the matching share will: (i) be committed to the project for the project period, (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.

Applicants are strongly encouraged to work with the appropriate EDA representative listed in section VIII. of this Appendix to clarify publicly available information relating to the technical matter of determining how in-kind contributions can be utilized to satisfy the matching share requirement for their respective project concept and application. Documentation of matching share is required at the time of application.

IV. Application and Submission Information

A. How to Obtain an Application Package

An applicant may obtain the appropriate application package electronically at www.grants.gov (Grants.gov). Applicants may search for this funding opportunity on

Grants.gov using Funding Opportunity Number “POWER2015”. All components of the appropriate application package may be accessed and downloaded (in a screen-fillable format) at http://www.grants.gov/applicants/apply_for_grants.jsp. The preferred electronic file format for

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

See 13 C.F.R. § 301.4(b)(5).

See section 204(b) of PWEDA (42 U.S.C. § 3144).

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

See 13 C.F.R. § 301.5.

http://www.grants.gov/applicants/apply_for_grants.jsp

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however, please note that registration is not required for an applicant to access, view, or download the application package. Even though an applicant may be able to view and download 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. Alternatively, an applicant eligible for assistance under this announcement may request a paper application package by contacting the applicable EDA regional office listed under section VIII. of this

Appendix.

B. Content and Form of Application Submission

1. What is required for a complete application?

In order to be considered for funding, applicants must submit a complete application package that includes all required documents outlined in section a. below, as well as all required documents in either section b. or section c. below, depending on the type of project the applicant is proposing (construction or non-construction), by the applicable funding deadline. Applicants proposing both construction and non-construction elements should follow instructions for submitting a construction application. All documentation and data submitted as part of the application package should be current and applicable.

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

a. Applications for all types of EDA assistance must include the following documents:

i. One Form ED-900 (Application for Investment Assistance) (OMB

Control Number 0610-0094) and accompanying supporting documentation. One complete form per project is required. Please read the information in section IV.B.2. below carefully for important instructions on required topics that must be included in Form ED-900 and the related Project Narrative.

ii. One Form SF-424 (Application for Federal Assistance) (OMB Control

Number 4040-0004) from each co-applicant, as applicable.

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

In the event of discrepancies between the Form ED-900 (Application for Federal Assistance) and this FFO, the requirements for a complete application as stated in this FFO will prevail.

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iv. One Form SF-LLL (Disclosure of Lobbying Activities) (OMB Control

Number 0348-0046) from each co-applicant, as applicable.

v. Documentation confirming non-EDA (matching or cost share) funding, for example letters of commitment and other documentation, as necessary. For example, if bonds are contemplated as match, counsel opinion of the applicant’s bonding authority and eligibility of the bonds for use as match, along with full disclosure of the type of bonds and the schedule of the applicant’s intended bond issue, are required. Please contact the applicable EDA representative listed in section VIII. of this

Appendix with questions regarding this requirement. See also section A.9.

of Form ED-900.

vi. If the applicant or co-applicant is a non-profit, a copy of the (1) Certificate of good standing from the State in which the non-profit organization is incorporated; (2) non-profit organization’s current Articles of

Incorporation or other formation documents, as applicable; (3) By-Laws;

and (4) resolution (or letter) from a general purpose subdivision of State government acknowledging that the non-profit organization is acting in cooperation with officials of that political subdivision (see 13 C.F.R.

§ 301.2).

vii. Comments from the State Clearinghouse to comply with Executive

Order 12372, “Intergovernmental Review of Federal Programs,” if applicable. If the comment period has not expired or comments were not received, a copy of the applicant’s request for comments is sufficient;

however, in that instance, the final determination will be required prior to award. Detailed information on the State Clearinghouse process can be accessed at http://www.whitehouse.gov/omb/grants_spoc.

b. Applications for EDA construction assistance (including design and engineering assistance) must include the following documentation in addition to the documents outlined in section a. above:

i. One Form SF-424C (Budget Information-Construction Programs) (OMB

Control Number 4040-0008) per project.

ii. One Form SF-424D (Assurances-Construction Programs) (OMB Control

Number 4040-0009) from each co-applicant, as applicable.

iii. Maps of the project site (U.S. Geological Survey (USGS) map(s) and

Federal Emergency Management Agency (FEMA) floodplain map(s)) with project components and beneficiaries noted (see section A.2. of

Form ED-900), as applicable.

iv. Letters of commitment and assurances of compliance (Exhibit A to

Form ED-900) from beneficiaries of the proposed project identified in section B.5. of Form ED-900.

http://www.whitehouse.gov/omb/grants_spoc

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v. Comments from the metropolitan area review/clearinghouse agency, if applicable. If the comment period has not expired or comments were not received, a copy of the applicant’s request for comments is sufficient

(see section M.l. of Form ED-900); however, in that instance, the final determination will be required prior to award.

vi. A preliminary engineering report, the requirements for which are listed in section M.3. of Form ED-900; special formatting of the report is not required. For additional guidance on preparing a preliminary engineering report, please contact the applicable EDA representative listed in section VIII of this Appendix.

vii. An environmental narrative that will enable EDA to comply with its

National Environmental Policy Act (NEPA) responsibilities. An environmental narrative outline that details required components may be accessed on EDA’s website at http://www.eda.gov/files/012_Environmental_Narrative_Template.zip.

Please note that the environmental narrative required for a complete application does not need to include all applicable approvals at the time of submission. Applicants must include the Applicant’s Certification Clause to the environmental narrative signed by each co-applicant, as applicable.

viii. Copies of any existing correspondence with or sign-offs/approvals from other agencies with respect to the project, such as the U.S. Army

Corps of Engineers, the U.S. Fish and Wildlife Service, or the State or

Tribal Historic Preservation Officer, if applicable. Please note that an applicant will not be required to submit all required sign-offs/approvals by a funding deadline for an application to be considered complete. If the application does not include sign-offs/approvals from appropriate agencies and EDA subsequently determines that these are required, the applicant will be required to obtain them before EDA will approve an award. For additional information about this requirement, please contact the applicable Regional Environmental Protection Specialist listed in section

VIII. of this Appendix.

ix. Copies of any other environmental studies that have already been completed for the project site, if available.

c. Applications for EDA non-construction assistance must also include the following documentation in addition to the documents outlined in section a.

above:

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

(OMB Control Number 4040-0006). One form per project is required.

ii. One Form SF-424 B (Assurances-Non-Construction Programs) (OMB

Control Number 4040-0007) from each co-applicant, as applicable.

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

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iii. If the project is to support the capitalization of a Revolving Loan Fund

(RLF) or the re-capitalization of an existing RLF, the application must include an RLF Plan for the RLF’s financial management. See EDA’s regulation at 13 C.F.R. § 307.9 and section L of Form ED-900.

All but one (i.e., CD-511) of the forms listed above contains collections of information subject to the Paperwork Reduction Act (PRA) and approved by the Office of Management and

Budget (OMB). Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA unless that collection of information displays a currently valid OMB Control Number.

2. Content of Form ED-900 and Instructions for Submitting a Complete

Application

This section provides detailed instructions on how to complete the Form ED-900, which is divided into lettered sections that correspond to the regulatory and application requirements for various EDA programs. Applicants must select the EAA program on the first page of section

A of the form; applicants are strongly advised to carefully select the appropriate box as the form.

Once the selection is made, the correct sections and exhibits required for a complete application under that program will automatically populate in the form.

An application that does not have all of the required Form ED-900 sections completed and supplemental documentation included may be considered incomplete. EDA, in its sole discretion, may accept an application that is missing non-substantive information if such errors can be easily rectified.

The following table details the sections and exhibits in Form ED-900 that the applicant must complete, as well as the required supporting documentation. Applicants for federal financial assistance are not required to submit “Name Check” form (Form CD-346). Please do not submit Form CD-346 as its use has been discontinued by DOC.

EDA Program Required Form ED-900 Sections

Economic Adjustment

Assistance

Complete Sections A, B, and K and Exhibit C. Also complete Sections M and Exhibits A, D, and E if the application has construction components and Section N if the application has only design/engineering requirements.

Complete Section E if the application has no construction components.

For Design and

Engineering Assistance under the Economic

Adjustment Assistance programs

Complete Sections A, B, M, and N and Exhibit C.

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EDA Program Required Form ED-900 Sections

Revolving Loan Fund

Assistance under the

Economic Adjustment

Assistance program

Complete Sections A, B, E, K, and L and Exhibit C.

Applicants submitting proposals for construction investments should note that the expected outcomes--notably the anticipated job creation and private investment leveraging potential of an investment--provided in Section B of the Form ED-900 must be reasonable, justifiable, and based on the most current and accurate information available. Estimates must reflect the expected impact from the EDA portion of the investment, using a nine-year time horizon. If EDA determines during the review process that job and private investment estimates are inflated or unsubstantiated, those estimates will not be considered, and may impact EDA’s investment decision.

In general, EDA does not reimburse pre-award project costs. Applicants that are in need of such reimbursement should work closely with EDA regional office staff to determine if their pre-award costs may be considered for reimbursement. In order for contracted pre-award costs to be eligible for reimbursement, the applicant must competitively procure services pursuant to the Federal government’s procurement procedures.

All pre-award costs are incurred at an applicant’s own risk and will be considered for reimbursement, in EDA’s sole discretion, only if an applicant receives an award. Neither EDA nor DOC will be held responsible for application preparation expenditures, which are distinguishable from pre-award project costs.

3. Requirements for the Project Narrative

As outlined in section IV.B.1 of this Appendix, all applicants must complete Form ED-

900 as part of the application package in order to be considered for funding. Section A of

Form ED-900 provides structured questions designed to assess the need and impact of a proposed project. While Form ED-900 itself provides space for responses, the applicant may use a separate attachment referencing the questions in Form ED-900 if extra space is needed to provide complete responses.

Applicants are strongly encouraged to provide a high-quality narrative in accordance with the guidelines set down by the POWER FFO. The project narrative should include the multi-agency “core” narrative described in section IV.D of the POWER FFO and additional narrative text to describe EDA-specific information, which included a compelling justification for the project and articulates a clearly defined regional economic gap, how the proposed project will meet this need, and the expected outcome(s) that will result from the proposed project Where the

EDA funding may not be used by the recipient to assist its efforts to induce the relocation of existing jobs within the U.S. that are located outside of its jurisdiction to within its jurisdiction in competition with other

U.S. jurisdictions for those same jobs. EDA’s non-relocation policy is discussed under section VI.E. of this

Appendix.

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

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“core” narrative sufficiently addresses an EDA-specific requirement, applicants do not need to reiterate any information. This should be addressed in a concise manner; lengthy applications will not receive greater consideration.

In all cases, the application must include a project narrative whether in the Form ED-900 or the supplemental attachments that includes the following:

a. Description of project region and project location: Applicants must clearly describe the Region where the project will be located, including the specific geographic location of the project within the Region, as well as a description of existing assets which may be used to support the project, which may include workforce, physical, educational and financial infrastructure and cluster-related industries. This description should expand the “core” narrative discussion that captures how the coal economy impacts the region and the project location.

b. Description of regional eligibility: Applicants must identify which distress criterion or criteria the project qualifies under, provide third-party data that clearly documents this claim, and clearly specify the geography and time period for which the data corresponds. For construction projects (including design and engineering) the project must be located within an eligible region and must be referenced in a CEDS or equivalent regional economic development plan. For non-construction projects, the investment’s scope of work must primarily benefit the eligible Region and stakeholders representing that Region must be directly engaged. For both construction and non-construction projects, there should be a reference to the CEDS or other equivalent economic development strategic plan that is described in the “core” narrative.

c. Clear description of proposed project: Applicants must clearly document the concrete activities that will be undertaken, and the specific deliverables that will be produced as a result of this investment. The description of the proposed project must include a clear statement of the overall purpose of the project, and key milestones and an associated schedule for when the project could start, when key milestones could be achieved, and when the project is anticipated to be completed.

d. Documentation detailing how project will meet regional needs: This information should be addressed in the “core” narrative. Additionally, if EDA does not have a copy of the CEDS or equivalent regional economic development plan, the applicant should provide it as an attachment. Additional information and a summary of EDA’s CEDS and strategy requirements may be obtained through the applicable EDA representative listed in section VIII of this Appendix.

e. Documentation on alignment with EDA investment priorities: Applicants should have addressed in the “core” narrative how the community has been impacted by changes in the coal economy, but may document how the proposed project aligns with more of EDA’s investment priorities as outlined in this

Appendix. Applicants are strongly encouraged to review EDA’s investment priorities, as outlined in section I.B of this Appendix.

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f. List of strategic partners and organizations to be engaged in this project:

This information should be discussed in detail in the “core” narrative. If the strategic partners and organizations to be engaged are intended to receive funding as part of the project, the applicant should capture the specific outcomes and extent to which they will be involved as part of that work.

g. Documentation supporting the budget request: Applicants must provide a clear budget justification that identifies how funds in each line item of the budget will be utilized to support the proposed project. 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 proposes otherwise, applicants must also include information that clearly indicates what project elements the matching share funds will support. Finally, the applicant must submit supporting documentation to indicate these funds are unencumbered, unrestricted and committed to support the proposed project.

h. Documentation on anticipated project impacts: Applicants should provide a clear and compelling justification of the long-term potential economic impact of the proposed project as part of the “core” narrative. In all cases, applicants must document the benefit and provide third-party data or information available to support these claims. In addition, they should have a plan for collecting data and a methodology for measuring impacts achieved.

C. Deadlines for submission

Applications are due by 11:59PM on July 10 th

, 2015.

EDA reserves the flexibility to make awards outside of the typical quarterly funding cycles in order to be most responsive to the economic distress needs in communities impacted by coal economy contractions. Any such awards will be processed in accord with the evaluation criteria set forth in section V. of this Appendix.

D. How to submit an application

1. Electronic submissions

EDA strongly encourages electronic submissions of applications through Grants.gov.

EDA will not accept facsimile or email transmissions of applications. Applications must be successfully validated and time-stamped by Grants.gov no later than 11:59 p.m. Eastern Time on

July 10 th

, 2015. An application that is not validated and time-stamped by Grants.gov by the funding deadline will not be processed under this opportunity; however, EDA staff may provide feedback to the applicant and may advise the applicant to resubmit or provide additional documentation for consideration under other EDA funding programs.

Once an application is submitted, it undergoes a validation process through Grants.gov during which the application may be accepted or rejected by the system. Please be advised that the validation process may take 24 to 48 hours to complete. Applications that contain errors will be rejected by Grants.gov, and will not be forwarded to EDA for review. The applicant must

A-16 correct the error before Grants.gov will accept and validate the application. EDA will not accept late applications that were rejected by Grants.gov due to applicant errors. Accordingly, EDA strongly suggests that applicants submit their applications at least five days before the funding deadline to allow the application to be accepted and validated in the system and to allow time for any errors to be corrected. EDA will consider the time-stamp on the validation from Grants.gov as the official submission time.

Please see section IX. of this Appendix for more detailed instructions and information on the requirements for submitting applications electronically via Grants.gov.

2. Paper submissions

An applicant has the option of submitting a completed paper application via postal mail or courier service, using the selected courier’s delivery confirmation service, to the applicable regional office listed in section VIII. of this Appendix. The applicant may download the appropriate application package, whether construction or non-construction as provided in section

IV.B. of this Appendix, in a screen-fillable format from http://www.grants.gov/applicants/apply_for_grants.jsp, save it electronically, and print it for paper submission.

One original and two copies of the complete application must be mailed with delivery confirmation that indicates the application has been received at or before 5:00 p.m. local time in the applicable regional office on the funding cycle deadline. Applicants are encouraged to include an electronic version of their application on a CD to facilitate processing of the application by EDA. If your application is received after the deadline, it will be considered late and will not be reviewed by EDA for that funding cycle. An application that is not received by the funding cycle deadline will not be processed during that funding cycle; however, EDA staff may provide feedback to the applicant on technical matters and issues involving publicly available information and may advise the applicant to resubmit or provide additional documentation for consideration during the following funding cycle.

DOC mail security measures may delay receipt of United States Postal Service mail for up to two weeks. Therefore, applicants that submit paper submissions are advised to use guaranteed overnight delivery services.

E. Optional Pre-application Consultation or Review with EDA

1. Pre-application consultation

EDA offers eligible applicants the option of consulting with their Economic

Development Representative (EDR) or cognizant EDA regional office staff member to discuss whether their project is in alignment with EDA’s investment priorities, eligibility requirements, cost-sharing requirements, or other requirements outlined in this FFO.

2. Pre-application review http://www.grants.gov/applicants/apply_for_grants.jsp

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Applicants may submit a copy of their application and receive feedback and allowable technical assistance on their application before a funding cycle submission deadline.

Applicants who submit complete applications for review in sufficient time for a review to occur prior to the applicable funding cycle will be told if their application is complete, eligible, and whether or not EDA would forward the application in its current state to the Project Review

Committee (PRC). Based on this pre-deadline feedback, the applicant may revise or supplement the application or submit a substantially revised application by the funding cycle deadline or in time for consideration in a subsequent funding deadline. EDA will apply the same evaluation criteria for pre-application consultations as used for reviewing complete applications received after the funding cycle deadline.

Pre-application review and technical assistance is designed to provide feedback on an application, and is not a process to provide assistance in the development of an application.

Applicants are strongly encouraged to seek feedback on their project and application package from EDA at least 30 days before the deadline to allow adequate time to incorporate feedback received into their application before final submission. The consultation, review, and feedback described in this subsection are optional. Applicants need not seek preliminary feedback on their application in order to submit an application for consideration. Please see section VIII. of this Appendix for contact information for EDA representatives.

V. Application Review and Selection Process

Throughout the review and selection process, EDA reserves the right to seek clarification in writing from applicants whose applications are being reviewed and considered. EDA may ask applicants to clarify application materials, objectives, and work plans, or modify budgets or other specifics necessary to comply with Federal requirements.

A. Application Review and Project Analysis

As set forth below, EDA’s regional office staff will review all applications received to ensure that they are complete and eligible to receive funding.

1. Review for eligibility and completeness

EDA staff will conduct an eligibility and technical completeness review of all applications received by each funding cycle deadline. Applications received from ineligible entities will not be considered for funding. Additionally, applications that do not contain all forms and required documentation listed in section IV.B. of this Appendix may be deemed non-responsive and excluded from further consideration. EDA expects all applicants to complete and include all required forms and documentation. However, EDA, in its sole discretion, may determine that an omission is a non-substantive technical deficiency if it can easily and quickly

Ineligible applicants will be informed that they are ineligible for EDA funding. Please see section III.A. of this

Appendix for eligibility requirements.

A-18 be rectified or cured, and therefore, may continue its consideration of the application in that funding cycle despite the deficiency.

2. Review for responsiveness to the FFO

The EDA will analyze complete applications from eligible applicants to document the responsiveness of each application to this FFO. The EDA will evaluate an application’s responsiveness to this FFO using the following criteria:

a. The project’s demonstrated alignment with at least one of EDA’s current investment priorities as outlined in section I.B. of this Appendix;

b. The project’s demonstrated ability to foster job creation and promote private investment (PI) in the regional economy;

c. The project’s feasibility;

d. The project’s sustainability/durability;

e. The applicant’s organizational capacity; and

f. The project’s alignment with the regional CEDS or other relevant strategic plan.

More specifically, for each of the above factors, the EDA will assess the application as

“Excellent,” “Very Good,” “Satisfactory,” “Poor,” or “Unacceptable.” These rating categories are defined as follows:

“Excellent”: The application contains a clear, well-detailed description. Based on information provided, the applicant demonstrates an exceptional understanding of the project needs and EDA eligible activities and expected outcomes, and has provided substantiated and credible information to support its claims. For example, the applicant may provide reasonable third-party estimates for expected jobs and private investment resulting from the project based on documented information from committed beneficiaries of the project.

“Very Good”: The application contains a clear, well-detailed description with only a few minor weaknesses/omissions. Based on information provided, the applicant demonstrates a high-quality understanding of the project needs and EDA eligible activities and expected outcomes, and has provided substantiated and credible information.