Research and Evaluation, National Technical AssistanceRequest for Grant Proposals

SUMMARY: A total of $340,000,000 is available to EDA for all of its

programs for FY 1998 (See Notice of Funding availability for FY 1998 at

63 FR 10116), of which approximately $1,600,000 is or will be available

for National Technical Assistance and for Research and Evaluation. EDA

is soliciting proposals for the specific projects described herein: (1)

Development and dissemination of cutting-edge and innovative techniques

in economic development; (2) evaluation of technology transfer and

commercialization efforts; (3) evaluation of the impact of EDA

revolving loan fund investments; (4) development of information on

effective Indian economic development projects and practices.

These projects will be funded if acceptable proposals are received.

Remaining funding, if any, may be used to fund additional projects. The

average funding level for a Research and Evaluation grant is $171,000

and for a National Technical Assistance grant is $176,000. Additional

funding may or may not be available. EDA issues this Notice describing

the conditions under which eligible applications for these National

Technical Assistance under 13 CFR Part 307, Subpart C, and Research and

Evaluation under 13 CFR Part 307, Subpart D, projects will be accepted

and selected for funding.

DATES: Prospective applicants are advised that EDA will conduct a pre-

proposal conference on May 7, 1998, at 10:00 a.m. EDT in the Department

of Commerce, Herbert C. Hoover Building, 14th and Constitution Avenue,

N.W., Washington, DC 20230, Room 1414, at which time questions on the

National Technical Assistance and Research and Evaluation projects can

be answered. Prospective applicants are encouraged to provide written

questions (See ADDRESSES section below) by May 4, 1998. Prospective

applicants unable to attend the pre-proposal conference may participate

by teleconference. Teleconference information may be obtained by

calling (202) 482-4085 between 9:00-4:00 EDT on May 6, 1998.

Initial proposals for funding under this program will be accepted

through May 28, 1998. Initial proposals received after 5:00 p.m. EDT in

Room 7005, on May 28, 1998, will not be considered for funding.

By June 16, 1998, EDA will advise successful proponents to submit

full applications (containing complete proposals as part of the

application), OMB Control Number 0610-0094. Completed applications must

be submitted to EDA by July 7, 1998. EDA will make these awards no

later than September 30, 1998.

ADDRESSES: Send initial proposals to John J. McNamee, Director,

Research and National Technical Assistance Division, Economic

Development Administration, Room 7005, U.S. Department of Commerce,

Washington, DC 20230.

FOR FURTHER INFORMATION CONTACT: John J. McNamee, (202) 482-4085.

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Authority

The Public Works and Economic Development Act of 1965 (PWEDA),

(Pub. L. 89-136, 42 U.S.C. 3121 et seq.), as amended at Sec. 3151

authorizes EDA to provide technical assistance which would be useful in

reducing or preventing excessive unemployment or underemployment, and

enhancing the potential for economic growth in distressed areas (42

U.S.C. 3151 (a)); and a program of research to assist in the

formulation and implementation of national, state, and local programs

to raise income levels and other solutions to the problems of

unemployment, underemployment, underdevelopment and chronic depression

in distressed areas and regions (42 U.S.C. 3151 (c)(B)). Pub. L. 105-

119, makes funds available for these programs.

B. Catalog of Federal Domestic Assistance

11.303 Economic Development--Technical Assistance Program; 11.312

Economic Development--Research and Evaluation Program.

C. Program Descriptions

For descriptions of these programs see PWEDA and EDA's regulations

at 13 CFR Chapter III.

D. Briefings and Workshops

Unless otherwise noted, each of the proposals requested below

includes a requirement that the applicant conduct a total of up to

seven briefings and/or training workshops for individuals and

organizations interested in the results of the project. These will take

place when the project is completed in all other respects and the

results known. Potential applicants should be aware that the completion

dates set forth below are for completion of the project and submission

of the final written report. Briefings/workshops will take place no

later than one year after completion of the project and submission of

the final report, at seven locations and on seven dates at EDA's

discretion. The locations include one in Washington, DC and one in each

of EDA's six regions.

E. Additional Information and Requirements

Applicants should be aware that if they incur any costs prior to an

award being made, they do so solely at their own risk of not being

reimbursed by the Government. Notwithstanding any verbal or written

assurance that may have been received, there is no obligation on the

part of EDA to cover pre-award costs.

The total dollar amount of the indirect costs proposed in an

application under this program must not exceed either the indirect cost

rate negotiated and approved by a cognizant Federal agency prior to the

proposed effective date of the award, or 100 percent of the total

proposed direct costs dollar amount in the application, whichever is

less.

If an application is selected for funding, EDA has no obligation to

provide any additional future funding in connection with an award.

Renewal of an award to increase funding or extend the period of

performance is at the sole discretion of EDA.

Unless otherwise noted below, eligibility, program objectives and

descriptions, application procedures, selection procedures, evaluation

criteria, and other requirements for this program are set forth in

PWEDA and EDA's regulations at 13 CFR Chapter III, and EDA's Notice of

Availability of Funds for FY 1998 at 63 FR 10116.

No award of Federal funds will be made to an applicant who has an

outstanding delinquent federal debt until either: (1) the delinquent

account is paid in full; (2) a negotiated repayment schedule is

established and at least one payment is received; or (3) other

arrangements satisfactory to the Department of Commerce are made.

Unsatisfactory performance under prior Federal awards may result in

an application not being considered for funding.

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Applicants should be aware that a false statement on the

application is grounds for denial of the application or termination of

the grant award and grounds for possible punishment by a fine or

imprisonment as provided in 18 U.S.C. 1001.

Applicants are hereby notified that any equipment or products

authorized to be purchased with funding provided under this program

must be American-made to the maximum extent feasible.

Notwithstanding any other provisions of law, no person is required

to respond to, nor shall a person be subject to a penalty for failure

to comply with a collection of information subject to the requirements

of the Paperwork Reduction Act (PRA) unless that collection of

information displays a currently valid Office of Management and Budget

(OMB) control number. This notice involves a collection of information

requirement subject to the provisions of the PRA and has been approved

by OMB under Control Number 0610-0094.

II. How to Apply

A. Eligible Applicants

National Technical Assistance--See 13 CFR 307.12. Eligible

applicants are as follows: public or private nonprofit organizations

including nonprofit national, state, area, district, or local

organizations; accredited educational institutions or nonprofit

entities representing them; public sector organizations; Native

American organizations, including American Indian tribes; local

governments and state agencies. Technical Assistance grant funds may

not be awarded to private individuals or for-profit organizations.

Research and Evaluation--See 13 CFR 307.17. Eligible

applicants are as follows: private individuals, partnerships,

corporations, associations, colleges and universities, and other

suitable organizations with expertise relevant to economic development

research.

B. Proposal Submission Procedures

The initial proposals submitted by potential applicants may not

exceed ten pages in length and should be accompanied by a proposed

budget, resumes/qualifications of key staff, and proposed time line.

EDA will not accept proposals submitted by fax. Proposals must be

received in Room 7005 at the address and by the submission deadline

indicated above, in order to be considered.

III. Areas of Special Emphasis

A. National Technical Assistance Program

Cutting-Edge and Innovative Practices in Economic

Development.

EDA invites proposals to examine successful cutting-edge and

innovative techniques in economic development that could be replicated

in, adapted to, or serve as models for local economic development

efforts; to develop a system for disseminating this information to the

broadest possible audience through reports, brochures, Internet access/

Web pages, etc.; to document in final hard copy and electronic

report(s) the results of the research; and to facilitate making the

results of EDA-funded research--already completed or currently

underway--available on the Internet. The target audience is the

economic development professional at the local level.

Background: A recent evaluation of the federal role in economic

development noted that the evidence of the past decade shows states and

localities do not have adequate incentive to invest in evaluation or in

sharing their learning with peers in other localities or states. Word

about cutting-edge and innovative economic development ideas and

practices that work well does spread to other localities and states.

However, the pace at which that information sharing takes place can be

significantly accelerated and the quality of the information developed

and shared can be significantly improved. The purpose of this grant is

to develop and/or accelerate dissemination of cutting-edge and

innovative practices in economic development.

One part of this goal will be achieved by systematically gathering

and assessing exemplary practices, developing case studies, and

facilitating dissemination of the results rapidly, particularly through

use of the Internet. Case studies of interest, in addition to ones of

general economic development, include ones in the following areas:

trade and export development, technology transfer and

commercialization, technology deployment in distressed areas,

sustainable development and brownfields redevelopment, and projects

that result from or demonstrate the positive value of regional

cooperation. Exemplary practices in economic development through

technology transfer or commercialization are the subject of a separate

proposal, below. The exemplary practices selected need not be limited

to EDA-funded projects, but they should, when possible, serve as

examples of what EDA can and might fund. Since the purpose for

collecting and disseminating the information is to highlight recent

developments, projects selected for review should be limited to ones

completed no earlier than 1994. Each case study should provide

sufficient information about the project to be of maximum use to

practitioners.

A second part of this goal is achieved by disseminating the results

of major EDA-funded studies. EDA studies funded in the past two years

have already produced (or shortly will produce) significant new

information on such issues as the impact of incubator investments, the

role of cluster-based economic development as a regional strategy, an

assessment of state and regional business incentives, etc. This

information has been or will be made available in written report form.

It should also be made available on the Internet, in order to be

readily accessible and available to the greatest number of economic

development practitioners.

Scope of Work: The successful applicant will (1) survey a broad

range of economic development practitioners and organizations at the

local, state, and federal levels to gather information on a variety of

cutting-edge and innovative practices in rural and urban economic

development; (2) convene a panel of practitioners to evaluate the

cases; (3) in a final report, describe the context, design,

implementation, and results of--including lessons learned from--each

exemplary practice, and provide the rationale for selecting it; (4)

review selected governmental and non-governmental economic development

Web sites for effectiveness of information dissemination to

practitioners, identify deficiencies, and recommend appropriate design

and technical specifications and provide technical assistance so that

selected EDA-funded studies that were completed since FY 96 or will be

completed in FY 98 and the cutting-edge and innovative practices

studies that will be developed under this grant can be readily accessed

by practitioners; (5) recommend ``hot links'' to other appropriate

economic development Web sites; (6) recommend other information

dissemination vehicles, such as targeted brochures to disseminate the

information to the broadest possible audience in the economic

development community; and (7) conduct briefings and/or training

workshops as set forth in Section I.D. above.

Cost: If properly justified, the Assistant Secretary may consider a

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waiver of the required 25 percent local share of the total project

cost.

Timing: The project should be completed and the final report

submitted by March 31, 1999.

Evaluation of Technology Transfer and Commercialization

Efforts.

EDA invites proposals to evaluate the state of technology transfer

and commercialization projects, report on best practices in the field,

and present models for developing and implementing such types of

projects at the local level, including in distressed areas.

Background: Technology represents 50 percent of the nation's

economic growth and is the most important enabling industry. There has

been extensive Federal and state funding for technology transfer and

commercialization projects. Growing technology-based enterprises,

however, poses unique challenges. One of the purposes of this proposal

is to determine what the key ingredients of a successful technology

transfer and commercialization project are. A second is to identify the

appropriate tools and models for technology transfer and

commercialization in varying economic situations, including in

economically distressed communities. What are the characteristics,

structures and practices that drive technology transfer and

commercialization to successful outcomes? How effective are they (or

could they be)?

Information about the process of development and implementation of

technology transfer and commercialization projects, and the kinds of

projects that have been successful, is not readily available to

economic development practitioners. There is a need to educate public

and private sector leaders, especially those in economically distressed

areas, about the economic benefits of science- and technology-based

jobs and the potential coupling of those jobs with unemployed or

underemployed workers. When considering technology transfer and

commercialization projects, local leaders and economic development

professionals need to know what kinds of projects have worked in

various settings, such as urban or rural economies, the major elements

of successful development and implementation, appropriate partners,

etc.

Scope of Work: The successful applicant will (1) survey economic

development practitioners and technology transfer and commercialization

projects and specialists to identify technology projects in diverse

settings for evaluation, including those that are appropriate examples

for distressed area economic development; (2) visit a variety of such

projects to determine the major elements involved in the project

development and implementation process; (3) determine what the goals of

successful projects were and whether the chosen strategies and

practices were successful in achieving those goals; (4) define what the

measures of success for technology commercialization at the local level

are (job creation, diversification of the local economy, creation of

high quality, better-paying jobs, international competitiveness, etc.);

(5) determine what the most pressing problems are which local

communities and entrepreneurs face in technology transfer and

commercialization; (6) identify models for adoption or adaptation in

economically distressed areas; (7) convene a panel of practitioners to

review the identified development and implementation process and

identify exemplary practices; (8) in a final report, describe the

development and implementation process and exemplary practices in

technology transfer and commercialization projects, as well as models

for their implementation in distressed areas; and (9) conduct briefings

and/or training workshops as set forth in Section I.D. above.

Cost: If properly justified, the Assistant Secretary may consider a

waiver of the required 25 percent local share of the total project

cost.

Timing: The project should be completed and the final report

submitted by June 30, 1999.

B. Research and Evaluation Program

Impact of EDA Revolving Loan Fund (RLF) Investments:

EDA invites proposals to evaluate the extent to which EDA RLF

grants achieve structural economic adjustment in the target community

and the length of time required to do so.

Background: EDA's Economic Adjustment Program, which was

established in 1974, helps communities design and implement strategies

for facilitating adjustment to economic changes that are causing or

threaten to cause serious structural damage to the underlying economic

base. Such changes may occur suddenly or over time, and result from

industrial or corporate restructuring, reductions in defense

expenditures, natural disasters, depletion of natural resources, or new

Federal laws or requirements. EDA grants provide such communities with

the critical resources necessary to organize and carry out an

adjustment strategy tailored to their particular economic problems and

opportunities. EDA economic adjustment assistance may fund strategic

planning, technical assistance, construction of critical infrastructure

or establishment of a revolving loan fund (RLF). This research effort

is limited to an evaluation of RLFs as an economic adjustment tool.

Each EDA RLF grantee must prepare a strategy which identifies the

approach it will use in providing RLF financing, as part of the broader

business development strategy designed to support achieving the goals

and objectives of the community's economic adjustment process. The

strategy incorporates the particular opportunities identified for

stimulating business investment and productivity, and defines the types

of RLF investments believed to be most effective in supporting the

objectives of the adjustment program. All RLF investments must be

consistent with the strategy.

The fundamental impact of an EDA RLF economic adjustment grant

should be the economic adjustment of the target area. Much of that

impact will occur a considerable time after the grant is made. The

proposed research should determine the extent to which target

communities have begun (or achieved) structural economic adjustment,

factors that affect the length of time needed to achieve full

adjustment, and the contribution that the RLF funding made (or did not

make) in stimulating/enabling positive structural economic change

within a community.

Scope of Work: The successful applicant will develop a methodology

for determining and evaluating the economic impact of RLF investments

in achieving structural economic adjustment. In doing so, it will

examine such issues as whether the RLF strategy was the appropriate

one, i.e., was the underlying adjustment strategy rational, realistic,

and responsive to the structural dislocation; was the community

committed to following the strategy; and were the loans made consistent

with the strategy, i.e., whether the potential categories of borrowers

identified in the strategy were in fact targeted for loans, and whether

initial and subsequent loans were made in a timely manner. The

applicant will examine briefly the distinctions among EDA-funded RLFs

and those funded by other federal agencies such as HUD, USDA, SBA, etc.

The applicant will make the evaluation using a sample group of RLF

projects. The sample should be stratified to include RLF grants funded

under EDA's (a) regular Economic Adjustment Program, (b) Defense

Adjustment Program, and (c)

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other special initiatives, including disaster relief. EDA expects the

methodology to consider the core performance measures that are

currently applied to RLF grants, as well as other relevant measures

suggested by the above-described analysis. It should determine whether

these measures in fact demonstrate the value of an RLF strategy in

achieving structural economic adjustment. The research should also

evaluate whether failure to achieve structural economic adjustment

correlates with failure to implement the RLF economic adjustment

strategy, or whether the strategy itself was an appropriate one. The

final report must fully document the methodology used for the project,

as well as revisions suggested by testing the methodology on the actual

projects. The results must be presented in briefings and/or training

workshops as set forth in Section I.D. above.

Cost: No local match is required for this project.

Timing: This project should be completed and the final report

submitted by September 30, 1999.

American Indian Economic development.

EDA invites proposals to develop and disseminate information on

effective economic development projects and practices in Indian

economic development.

Background: Economic development on American Indian reservations

presents a unique set of circumstances and opportunities, as well as

challenges. Successful projects do occur within the context of those

unique circumstances. The factors that contribute to their success,

however, often remain unknown outside a particular reservation or

tribe. This project will examine reservation economic development to

identify a wide variety of successful economic development projects,

determine the principal factors that contributed to their success,

document the results in case studies, and disseminate the results both

through the case studies and conferences. EDA has partnered with a

number of tribes in developing and implementing economic development

projects. This project will also examine EDA's effectiveness in doing

so.

Scope of Work: The successful applicant will:

1. Compile approximately 20 examples of practices in Indian

economic development that are viewed as successful by the local tribal

communities. These examples should be drawn from across the country and

from across the range of reservation settings. For example, the

examples could address telecommunications and technology, workforce

development, tourism, manufacturing, and microenterprise, among others.

2. Define the unique characteristics of each successful project,

and describe the major elements of the process for developing and

implementing such projects.

3. Study EDA's historic role in reservation economic development,

evaluate the success of that role, and identify the ways in which EDA

has been most effective.

4. Within the context of the above examples of effective EDA

involvement in reservation development, assemble several examples of

how partnerships were effective, and outside resources, as well as

tribal resources, were leveraged effectively.

5. Consider the option of creating a small panel of experts that

could further focus the issues.

6. At completion of the project, hold two conferences targeted to

economic development practitioners on Indian reservations to

disseminate the project results. These conferences will be held at

locations agreed to by EDA and take the place of the conferences set

forth in Section I.D. above.

Cost: No local match is required for this project.

Timing: This project should be completed and the final report

submitted by September 30, 1999.

IV. Selection Process and Evaluation Criteria

Proposals will receive initial reviews by EDA to assure that they

meet all requirements of this announcement, including eligibility and

relevance to the specified project as described herein. If a proposal

is selected, EDA will provide the proponent with an Application form,

and EDA will carry out its selection process and evaluation criteria as

described in 13 CFR Chapter III, Part 304 and Sections 307.13, 307.14,

307.18, and 307.19.

From the full proposals and application, EDA will select the

applicants it deems most qualified and cost effective. EDA anticipates

that more full proposals and applications will be invited than will

eventually be funded.

Dated: April 16, 1998.

Phillip A. Singerman,

Assistant Secretary for Economic Development.

[FR Doc. 98-10507 Filed 4-20-98; 8:45 am]

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