[Federal Register Volume 63, Number 76 (Tuesday, April 21, 1998)]
[Notices]
[Pages 19790-19793]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10507]



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Part II





Department of Commerce





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Economic Development Administration



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Research and Evaluation, National Technical Assistance--Request for 
Grant Proposals; Notice

  Federal Register / Vol. 63, No. 76 / Tuesday, April 21, 1998 / 
Notices  

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DEPARTMENT OF COMMERCE

Economic Development Administration
[Docket No. 980331082-8082-01]
RIN 0610-ZA06


Research and Evaluation, National Technical Assistance--Request 
for Grant Proposals

AGENCY: Economic Development Administration (EDA), Department of 
Commerce (DoC).

ACTION: Notice of availability of funds.

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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]
BILLING CODE 3510-24-P