Full Federal Funding Opportunity Announcement for AMJIAC

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY
ADVANCED MANUFACTURING
JOBS AND INNOVATION ACCELERATOR CHALLENGE
EXECUTIVE SUMMARY
Federal Agency Names: Economic Development Administration (EDA) and the
National Institute of Standards and Technology (NIST), Department of Commerce (DOC);
Advanced Manufacturing Office, Department of Energy (DOE); Employment and Training
Administration (ETA), Department of Labor (DOL); and, Small Business Administration (SBA).
Funding Opportunity Title: The Advanced Manufacturing Jobs and Innovation
Accelerator Challenge
Announcement Type: Initial announcement of Federal Funding Opportunity (FFO)
dated May 24, 2012.
Grants.gov Funding Opportunity Number: JIAC2012AM
Catalog of Federal Domestic Assistance (CFDA) Numbers: 11.307, Economic
Adjustment Assistance; 11.611, Manufacturing Extension Partnership; 81.086, Conservation
Research and Development; 17.268, H-1B Job Training Grants; 59.007, 7(j), Technical
Assistance Program.
Dates: The deadline for receipt of applications is 11:59 p.m. Eastern Time on July 11,
2012. Applications received after this deadline will not be reviewed or considered. Review of
applications, selection of successful applications, and award processing is expected to be
completed by September 30, 2012. The earliest anticipated start date for awards under this FFO
is expected to be November 1, 2012. Applicants are advised to carefully read the application and
submission information provided in section V. of this FFO.
Funding Opportunity Description: This FFO announces the availability of funding for
the Advanced Manufacturing Jobs and Innovation Accelerator Challenge (Advanced
Manufacturing Jobs Accelerator). Under this FFO, regional partnerships across the nation can
compete to access complementary Federal resources to support advanced manufacturing
activities in order to drive high potential industry clusters. The Advanced Manufacturing Jobs
Accelerator is designed to foster job creation, increase public and private investments, and
enhance economic prosperity by harnessing the economic growth and job creation potential
resulting from advanced manufacturing activities within high-growth industry clusters that have
been identified by regional stakeholders. This initiative is designed to leverage existing financial
and technical resources from five distinct Federal agencies through awards to approximately 12
projects that will be selected through competitive multi-agency grants. Funds awarded to the
selected applicants will be used to achieve measurable outcomes, as described within section
VI.A of this FFO.

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The participating funding agencies anticipate providing approximately $26 million in Federal
support for the Advanced Manufacturing Jobs Accelerator that will be used to fund
approximately 12 new awards, each with a project period of up to three years. The funding level
of each participating Federal Agency will vary, subject to the availability of their respective
appropriations. See section III, Award Information, in the Full Announcement Text of this FFO.
The funding agencies and programs are:
The U.S. Department of Commerce’s (DOC) Economic Development
Administration (EDA);
The DOC’s National Institute of Standards and Technology’s (NIST’s) Hollings
Manufacturing Extension Partnership (MEP);
The U.S. Department of Energy’s (DOE’s) Advanced Manufacturing Office
(AMO);
The Department of Labor’s (DOL) Employment and Training Administration
(ETA); and,
The Small Business Administration (SBA).
This collaboration allows applicants to submit one application to leverage multiple
complementary Federal funding sources to comprehensively promote advanced manufacturing
activities and support cluster development. In addition, the National Science Foundation (NSF)
is making funds available for existing Small Business Innovation Research (SBIR) grantees
(Phase II only) that are part of or central to awarded projects.
Informational Webinar: An informational webinar for the Advanced Manufacturing
Jobs Accelerator will be available for viewing at http://manufacturing.gov/accelerator/index.html
approximately two weeks following the announcement of the FFO.
Designated Contact: General questions on the Advanced Manufacturing Jobs
Accelerator should be emailed to [email protected]. Agency-specific questions
should be directed to the applicable Agency point of contact for EDA, NIST, DOE, DOL, or
SBA. See Appendix C to this FFO for contact information.

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THE ADVANCED MANUFACTURING
JOBS AND INNOVATION ACCELERATOR CHALLENGE
A Coordinated Initiative to Advance Regional Competitiveness
Table of Contents
I.

Program Overview and Objectives ..................................................................................... 4
A. What are the objectives of the Advanced Manufacturing Jobs and Innovation Accelerator
Challenge?................................................................................................................................... 4
B. What are the benefits of the Advanced Manufacturing Jobs Accelerator? ......................... 6
II. Participating Federal Agencies and Programs................................................................... 7
A. Funding Agencies ............................................................................................................... 7
B. Support Agencies and Federal Support Teams ................................................................... 8
III. Award Information ............................................................................................................... 8
A. How much funding is available from the Funding Agencies? ............................................ 8
B. What are the elements of a multi-agency project? ............................................................ 10
IV. Agency Specific Information ........................................................................................... 12
A. EDA .................................................................................................................................. 12
B. NIST MEP ........................................................................................................................ 17
C. DOE .................................................................................................................................. 19
D. ETA ................................................................................................................................... 22
E. SBA ................................................................................................................................... 33
V. Application and Submission Information ......................................................................... 35
A. How do I obtain an application package? ......................................................................... 35
B. Deadline for Receipt of Applications ............................................................................... 35
C. Required Application Forms and Content ........................................................................ 35
D. Application Submission Requirements ............................................................................. 42
VI. Application Review Information .................................................................................... 46
A. Project Narrative Requirements and Evaluation Criteria.................................................. 46
B. Review Process ................................................................................................................. 59
C. Transparency ..................................................................................................................... 61
VII. Award Administration Information ............................................................................... 61
A. Award Notification ........................................................................................................... 61
B. Unsuccessful Competition ................................................................................................ 62
C. National and Agency Specific Policies ............................................................................. 63
D. Project Outcomes Evaluation and Data Collection ........................................................... 70
E. Reporting Requirements ................................................................................................... 70
VIII. Additional Information and Requirements ................................................................... 73
A. No Obligation for Future Funding .................................................................................... 73
B. Freedom of Information Act Disclosure ........................................................................... 73
C. Past Performance and Non-Compliance with Award Provisions ..................................... 73
D. Employer/Taxpayer Identification Number (EIN/TIN), Dun and Bradstreet Data
Universal Numbering System (DUNS), and Central Contractor Registration (CCR).............. 73
Appendix A. Integrated Work Plan – Suggested Template ................................................... 75
Appendix B. Advanced Manufacturing Jobs Accelerator Support Agencies ...................... 77
Appendix C. Contact Information............................................................................................ 81
Appendix D. Representation by Corporations Regarding an Unpaid Delinquent Tax
Liability or a Felony Conviction Under Any Federal Law ..................................................... 84
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I.

Program Overview and Objectives

A.
What are the objectives of the Advanced Manufacturing Jobs and Innovation
Accelerator Challenge?
“Today, I’m calling for all of us to come together--private sector industry, universities, and the
government--to spark a renaissance in American manufacturing and help our manufacturers
develop the cutting-edge tools they need to compete with anyone in the world.1”
President Barack Obama
June 24, 2011
The Advanced Manufacturing Jobs and Innovation Accelerator Challenge (Advanced
Manufacturing Jobs Accelerator) will provide strategic, catalytic funding for competitive, high
potential regional partnerships that accelerate innovation and strengthen capacity in advanced
manufacturing. The objectives of the challenge are to create jobs, grow the economy, and
enhance the competitiveness of U.S. manufacturers in the global marketplace. Resources are
being made available through the following agencies and programs:
The U.S. Department of Commerce’s (DOC) Economic Development
Administration (EDA);
The DOC’s National Institute of Standards and Technology (NIST) Hollings
Manufacturing Extension Partnership (MEP) program;
The U.S. Department of Energy’s (DOE) Advanced Manufacturing Office
(AMO);
The U.S. Department of Labor’s (DOL), Employment and Training
Administration (ETA); and
The Small Business Administration (SBA).
In addition, the National Science Foundation (NSF) will participate by providing additional
financial support to existing Small Business Innovation Research (SBIR) grantees (Phase II only)
that are part of or central to awarded projects.
This multi-agency funding opportunity will provide regional partnerships across the nation
access to complementary Federal resources to support advanced manufacturing activities and
drive high potential industry clusters. Awardees will implement coordinated, flexible, and
customized strategies that will remove obstacles and/or promote advanced manufacturing growth
in targeted industries by:

1

President Obama Launches Advanced Manufacturing Partnership, Carnegie Mellon University,
http://www.whitehouse.gov/the-press-office/2011/06/24/president-obama-launches-advanced-manufacturingpartnership

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1. Strengthening a region’s capacity to create high-quality sustainable jobs, develop a
skilled and diverse advanced manufacturing workforce, increase exports, encourage the
development of small businesses, and accelerate technological innovation; and,
2. Growing a region’s industry clusters by strengthening connections to regional economic
development opportunities and advanced manufacturing assets, thereby improving
manufacturing competitiveness and energy efficiency.
Industry clusters are networks of interconnected firms and supporting institutions that accelerate
innovation, business formation, and job creation. Clusters emerge as a result of private
enterprises taking advantage of a region’s assets and strengths in the business environment, and
are often supported by intermediaries and other institutions that help provide information and
networks, such as economic development organizations, workforce development boards,
business incubators or accelerators, chambers of commerce and university-based consortia.
Advanced manufacturing is a family of activities that (a) depend on the use and coordination of
information, automation, computation, software, sensing, and networking, and/or (b) make use of
cutting edge materials and emerging capabilities enabled by the physical and biological sciences
(for example, nanotechnology, chemistry, and biology). It involves both new ways to
manufacture existing products and the manufacture of new products emerging from new
advanced technologies.2
Manufacturing is critical to the health of the national economy: it drives the creation of highquality jobs, fuels exports, fosters innovation, drives national competitiveness, and is key to
ensuring the economic security of the United States. For example, manufacturing has a larger
multiplier effect than any other major economic activity—a dollar spent in manufacturing drives
an additional $1.35 in economic activity. The manufacturing sector is the largest contributor to
U.S. exports with more than $1.1 trillion of manufactured goods exported in 2010, accounting
for 86% of all U.S. goods exports and 60% of U.S. total exports. The manufacturing sector also
accounts for about 72% of all private-sector research and development (R&D) spending and
employs about 60% of U.S. industries’ R&D workforce.3
Advanced manufacturing, in particular, is emerging as an important potential driver of future
economic growth. Advanced manufacturing provides essential goods and equipment for a wide
range of industries and consumers, including the nation’s energy production and agricultural
industries, medical and computing industries, security and intelligence sectors, and the military
and other government agencies.4 The acceleration of innovation to support advanced
manufacturing requires bridging the gaps in the present U.S. innovation system, particularly the
gap between R&D activities and the deployment of technological innovations into domestic
production. To help close this gap, the Advanced Manufacturing Jobs Accelerator is designed to
foster intensive collaboration and forge partnerships among diverse stakeholders, including
industry, labor, academia, and government, at the national, state, and regional levels.
2

President’s Council of Advisors on Science and Technology, Report to the President on Ensuring American
Leadership in Advanced Manufacturing, June 2011, pg. ii.
3
National President’s Council of Advisors on Science and Technology, Report to the President on Ensuring
American Leadership in Advanced Manufacturing, June 2011, pg. 4.
4
National Science and Technology Council, A National Strategic Plan for Advanced Manufacturing, February
2012, pg. 2.

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Manufacturing-related small and medium-sized enterprises (SMEs) comprise 86% of all
manufacturing establishments and employ 41% of the U.S. manufacturing workforce.5 Regional
clusters provide SMEs with an opportunity to enhance their technological base using a set of
shared knowledge assets; physical facilities; and access to other supporting organizations such as
academic and training institutions, capital resources, third-party service providers and technical
advisors, and larger companies that need suppliers. These resources help accelerate innovation
and subsequent market penetration in a way that no isolated firm could typically manage on their
own. For manufacturers, this concept is referred to as “network centric manufacturing.”
As advanced manufacturing supersedes traditional manufacturing, and domestic manufacturers
deepen their investment in advanced technologies, the skill requirements for manufacturing jobs
are rising. In addition there has been a substantial shift in the demographics of the manufacturing
workforce, with approximately 2.8 million manufacturing workers (nearly 25%) now 55 years of
age or older. The Advanced Manufacturing Jobs Accelerator is also designed to help promote
long term education and training programs that span from “cradle-to-career” and respond to the
high skill demands of advanced manufacturing employers.6
B.

What are the benefits of the Advanced Manufacturing Jobs Accelerator?

The Advanced Manufacturing Jobs Accelerator coordinates complementary Federal investments,
providing applicants the opportunity to submit one Project Narrative to compete for multiple
funding sources to support the development and implementation of regionally driven economic
development strategies that will support advanced manufacturing activities and cluster
development. Through these coordinated investments, the Advanced Manufacturing Jobs
Accelerator will:
Strengthen and expand existing cluster-based partnerships to foster advanced
manufacturing-related company growth and accelerate high-quality job creation;
Develop a skilled and diverse advanced manufacturing workforce through
targeted training and employment activities that move workers up and along a
career pathway and support the needs of employers in emerging and growing
regional clusters;
Accelerate investment in and deployment of advanced manufacturing
technologies through public-private partnerships;
Expand advanced manufacturing capabilities, networks, supply chains, and assets
that contribute to regional and national manufacturing competitiveness and
potential for growth;
Leverage and expand collaborative R&D between universities, Federal labs, and
industry to support manufacturing technology needs;
Accelerate commercialization of technologies for advanced manufacturing needs;

5

National Science and Technology Council, A National Strategic Plan for Advanced Manufacturing, February
2012, pg. 8.
6
National Science and Technology Council, A National Strategic Plan for Advanced Manufacturing, February
2012, pg. 14.

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Support testing of new products and processes using advanced modeling and
simulation tools;
Spur new entrepreneurial companies that harness advanced manufacturing; and,
Increase exports, repatriate7 jobs back to the U.S., and attract increased domestic
and foreign direct investment.
II.

Participating Federal Agencies and Programs

The participating agencies in the Advanced Manufacturing Jobs Accelerator intend to offer a
combination of funding and technical assistance to approximately 12 projects across the United
States.8 The Funding Agencies anticipate providing a total of approximately $26 million in
federal support, subject to the availability of funds. In addition, multiple Support Agencies are
committing to provide streamlined support to selected applicants for qualifying projects.
A.

Funding Agencies

The EDA, NIST, DOE, ETA, and SBA (each a Funding Agency, and collectively, the Funding
Agencies) are offering funding, subject to the availability of appropriations, for the Advanced
Manufacturing Jobs Accelerator through separate funding sources.
EDA funds will be made available through the Economic Adjustment Assistance
(EAA) program under section 209 of the Public Works and Economic
Development Act of 1965, as amended (42 U.S.C. § 3149.) (PWEDA). EDA’s
regulations at 13 C.F.R. parts 300 302 and 13 C.F.R. part 307, subpart A, set forth
the general and specific regulatory requirements applicable to the EAA program.
EDA’s regulations are accessible at http://www.gpo.gov/fdsys/pkg/C.F.R.-2011title13-vol1/pdf/C.F.R.-2011-title13-vol1-chapIII.pdf.
NIST funds will be made available through the Hollings Manufacturing
Extension Partnership (MEP) Program. The statutory authority for NIST’s
Hollings MEP Program is set forth in 15 U.S.C. § 278k(f). The purpose of the
program under this subsection is to add capabilities to the MEP program,
including the development of projects to solve new or emerging manufacturing
problems.
DOE funds will be made available through its Advanced Manufacturing Office
subject to the availability of funds. This program is authorized under Section 911
of the Energy Policy Act of 2005 (42 U.S.C. § 16191).
ETA funds will be made available through the H1-B Technical Skills Training
Grant funds. This program is authorized under Section 414(c) of the American
Competitiveness and Workforce Improvement Act of 1998, as amended (29 U.S.C.
§ 2916a).

7
8

Also referred to as “on-shoring,” “re-shoring,” or the “relocation” of jobs back to the United States.
The participating agencies include Funding Agencies and Support Agencies, as defined below.

7

SBA funds will be made available through the Technical Assistance Program,
subject to the availability of appropriations, which is authorized under section 7(j)
of the Small Business Act (15 U.S.C. § 638(j)(l)).
B.

Support Agencies and Federal Support Teams

Recognizing that the U.S. Government has complementary resources that can support the
development of vibrant regional economies in which clusters may thrive, the Taskforce for the
Advancement of Regional Innovation Clusters (TARIC)9 is coordinating an expanded Federal
partnership to leverage resources to support regions and clusters. Each applicant selected for
funding will have the opportunity to receive assistance from a Federal Support Team made up of
Federal staff of Funding Agencies and Support Agencies. The Federal Support Teams will help
to ensure that successful applicants are aware of available Federal resources relevant to their
project and region.
While most Support Agencies will provide non-financial support to successful applicants, the
National Science Foundation (NSF) is making available up to $1 million, subject to the
availability of funds, through its Small Business Innovation Research (SBIR) program to active
NSF SBIR grantees (Phase II only) that are part of or central to winning Advanced
Manufacturing Jobs Accelerator applications. NSF expects to award each SBIR Phase II grantee
that is part of or central to a winning application up to $100,000 in supplemental funds. Only
NSF SBIR Phase II grantees that have an active SBIR grant at the time of the application
deadline given in section V.B. of this FFO are eligible for these funds. NSF will provide specific
details about the supplemental awards directly to any eligible active SBIR Phase II grantees
following the announcement of the Advanced Manufacturing Jobs Accelerator successful
applicants. Please contact NSF directly if you have any questions. See Appendix C. of this FFO
for NSF contact information.
Please see Appendix B. of this FFO for a list of Federal agencies and bureaus that may
participate with non-financial support as a part of the Federal Support Teams.
III.

Award Information

A.

How much funding is available from the Funding Agencies?

This coordinated, multi-agency initiative offers applicants the opportunity to submit one Project
Narrative to multiple funding sources to support the development of advanced manufacturing
within their applicants’ identified industry clusters. All awards and the funding amounts
referenced in this FFO are subject to the availability of funds at the time of the award, and the
Funding Agencies will not be held responsible, individually or collectively, for application
preparation costs. The Funding Agencies reserve the right to fund, in whole or in part, any, all,
or none of the applications submitted in response to this FFO. Awards will be made in the form
of grants or cooperative agreements, depending on the level of involvement anticipated on the
part of the Federal Agency making the award. Publication of this FFO does not obligate the
Funding Agencies to award any specific grant or cooperative agreement or to obligate all or any
part of available funds.
9

TARIC is a Federal inter-agency body designed to support best practices, engage in joint activities, and share
information to develop strong regional economies through clusters.

8

The Funding Agencies expect to make individual awards to the same 12 projects selected under
this competition. This project period includes all necessary start-up and implementation
activities. Applicants should plan to fully expend grant funds during the period of performance
while ensuring full transparency and accountability for all expenditures. Specific details about
each Funding Agency’s available funding and period of performance are outlined below:
EDA is making up to $10 million available to advance cluster development
activities capable of leading to job creation, expanded markets, economic growth,
and global competitiveness. EDA expects to make 12 awards as part of selected
Advanced Manufacturing Jobs Accelerator projects, with individual grant awards
of approximately $800,000 over an expected project period of three years. EDA
may consider extending the project period depending upon the availability of
funds, satisfactory performance, and acceptable progress in achieving milestones
and program objectives set forth in the Scope of Work, as determined by EDA
and expressed in written notice. EDA expects that all projects will proceed
efficiently, and encourages investments with a demonstrated capacity to be
implemented expeditiously in order to accelerate the potential positive economic
impacts possible as a result of this investment.
NIST is making up to $3 million available through the Manufacturing Extension
Partnership (MEP). MEP expects to issue new cooperative agreements of up to
$125,000 per year over three years to up to 12 MEP Centers as part of selected
Advanced Manufacturing Jobs Accelerator projects, subject to availability of
funds and satisfactory performance. The project period for funds provided by
NIST MEP to MEP Centers is anticipated to be up to three years, subject to the
availability of funds and satisfactory performance.
DOE is making up to $5 million available through its Advanced Manufacturing
Office to assist manufacturers with research, development and demonstration
projects that will enable the adoption of new, energy-efficient processing and
materials technologies. DOE expects to make 12 awards as part of selected
Advanced Manufacturing Jobs Accelerator projects, with individual grant awards
or cooperative agreements of approximately $150,000 per year for up to three
years. The project period for funds provided by DOE is anticipated to be up to
three years, subject to the availability of funds and satisfactory performance.
ETA is making up to $5 million available in H-1B Technical Skills Training
Grant funds for training and training-related employment activities to develop a
skilled advanced manufacturing workforce for the cluster. ETA expects to make
12 awards as part of selected Advanced Manufacturing Jobs Accelerator projects,
with individual grant awards of approximately $400,000. The project period for
H-1B Technical Skills Training Grant funds provided by DOL will be up to 36
months from the date of execution of the award documents. Grantees are
encouraged to begin providing skills training to participants within the first six
months of grant award.
SBA is making up to $2 million available for technical assistance support for
eligible small businesses. SBA expects to make 12 awards as part of selected
Advanced Manufacturing Jobs Accelerator projects, with individual grant awards
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of approximately $167,000. For 7(j) Technical Assistance Program grant funds,
awards will be made for a base project period not to exceed three years, subject to
the availability of appropriations. SBA may, at its discretion, exercise one
additional option year, subject to the availability of funds, and subject to a
recipient organization’s compliance with the terms of the Small Business Act,
applicable regulations, this FFO, and the relevant cooperative agreement.
B.

What are the elements of a multi-agency project?

All applications must propose one integrated project with five distinct Scopes of Work that are
consistent with the Evaluation Criteria discussed in section VI.A. of this FFO. Applicants must
propose projects that include each of the following Scopes of Work:
Enhancing Cluster Networks and Regional Assets (see section VI.A.3.a) – funded
by EDA;
Assisting SMEs (see section VI.A.3.b) – funded by NIST MEP;10
Reducing Technical Risk (see section VI.A.3.c) – funded by DOE;
Building a Highly-Skilled and Diverse Workforce – funded by ETA (see section
VI.A.3.d); and,
Assisting Entrepreneurial Development in Disadvantaged/Underserved
Communities (see section VI.A.3.e) – funded by SBA.
Applicants must also address how any NSF SBIR Phase II grantee(s) in the region will be
engaged in the project, if applicable.
Applicants cannot use multiple funding sources available under this FFO to fund the same
activities. Applicants must clearly demonstrate that there will be no duplication of efforts
and costs across funding sources.
An application package must be submitted by an organization or a team made up of
organizations (referred to as the Applicant Team) that individually meet the eligibility
requirements outlined in section IV. of this FFO for each of the funding sources. An individual
organization or an Applicant Team must address each of the five distinct Scopes of Work. For
example, one organization that meets all the agencies’ eligibility requirements could submit an
application package that proposes activities for all funding sources. Alternatively, two or more
organizations, known as an Applicant Team, could submit an application for a project that
proposes activities with each organization responsible for their portion of the Scope of Work for
each distinct Funding Agency.
Each project will consist of one award from each of the Federal Funding Agencies. However,
NIST will not award funds to an Applicant Team that does not include an MEP Center. For
projects where an MEP Center is not reasonably available,11 the applicant or Applicant Team
10

While all applicants must identify ways that they will assist SMEs, NIST MEP will only fund existing MEP
Centers that are part of the applicant team.
11
“Not reasonably available” means that there is no MEP Center that can provide the desired services in the targeted
region. Applications that do not include an MEP Center as a Team Member must explain why services are not
available from an MEP.

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will still be expected to engage appropriate SMEs and partners to address the outreach, service
delivery, and technology commercialization needs of SMEs.
The following table indicates the section or appendix in this FFO where applicants can find a
complete description of activities that may be supported by each of the Funding Agencies.

Agency

Description of
supported activities

EDA

Section IV.A.

NIST

Section IV.B.

DOE

Section IV.C

ETA

Section IV.D

SBA

Section IV.E

Project Example: Aerospace Cluster Market Expansion.
The following is an example of how organizations could partner to propose one project with
distinct scopes of work that could be funded by the Funding Agencies.
An existing aerospace cluster could develop a team including an economic development
organization, an MEP center, a workforce investment board, a university, and a non-profit to
apply for funding to support aerospace businesses and suppliers within their region through the
following scopes of work:
EDA Scope of Work: An eligible economic development organization receives EDA funding to
conduct market research and analyze export markets/countries with the greatest potential for
current U.S. aerospace suppliers. Working with Federal and State export promotion experts,
they convene numerous resources in the region to assess available data and develop a plan for
increasing exports among cluster companies. They conduct research to determine key
certifications and requirements necessary for selling aerospace components in the targeted
foreign markets.
NIST Scope of Work: The region’s MEP Center receives funding from NIST MEP to work with
cluster aerospace suppliers in three ways: providing market intelligence about the advanced
manufacturing needs of aerospace suppliers; providing technical expertise to help suppliers
obtain certifications and meet the technical requirements of selling in foreign markets; and
helping suppliers move from idea generation to product and process innovations that reduce the
risks and accelerate speed to market.
DOE Scope of Work: A university receives DOE funding to support demonstration of a new
process control technology that can reduce energy use and lower material costs in the production
of aircraft parts and equipment. The technology is useful in the high-precision machining of
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steel, aluminum, and titanium parts for the aerospace industry and can reduce production costs
and time, helping to more competitively position those companies in the industry.
ETA Scope of Work: A local Workforce Investment Board (WIB) has identified an existing
skills gap in the aerospace workforce and identifies specific education and training needs for this
sector. Working with employers in the local aerospace industry, the WIB establishes an On-theJob Training (OJT) program. The WIB then works to identify, recruit and assess potential
applicants for this OJT program The WIB also works to collect, track and report participant
outcomes to ETA.
SBA Scope of Work: A non-profit organization receives SBA funding to provide technical
assistance to 7(j)-eligible small businesses, to include business training and counseling,
commercialization of R&D, export readiness, international and domestic marketing, and
exposure to the aerospace industry. The non-profit organization provides assistance to 7(j)eligible small businesses and connects these small businesses with large corporations’ supply
chains. For example, the non-profit provides targeted technical assistance to facilitate an
increase in technology/product transfer from laboratory to marketplace, enhance adoption of new
technologies or processes, and strengthen supply chains. It also creates a partnering program,
matching small businesses with larger ones to provide mentoring and identify business-tobusiness opportunities.
IV.

Agency Specific Information

A.

EDA

1.

EDA Overview

EDA’s mission is to lead the Federal economic development agenda by promoting innovation
and competitiveness, preparing American regions for growth and success in the worldwide
economy. In implementing this mission, EDA advances economic growth by providing
strategic, catalytic, and merit-based investments and technical assistance to distressed
communities and regions experiencing high unemployment and low-per-capita income to
develop and implement strategies that foster an environment conducive to economic growth and
job creation.
2.

Who is eligible to apply for EDA funding under this announcement?

Pursuant to section 3 of PWEDA (42 U.S.C. § 3122) and EDA’s regulation at 13 C.F.R. § 300.3,
the following entities are eligible to receive funding assistance from EDA:
a) District Organizations (as defined in 13 C.F.R. § 300.3);
b) Indian Tribes or a consortium of Indian Tribes;
c) States, cities, or other political subdivisions of a State, including a special purpose unit of
a State or local government engaged in economic or infrastructure development activities,
or a consortium of political subdivisions;
d) Institutions of higher education or a consortium of institutions of higher education; or
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e) Public or private non-profit organizations or associations acting in cooperation with
officials of a political subdivision of a State.12
An organization’s eligibility will be determined by its articles of incorporation, enabling
legislation, or as otherwise provided by applicable State and local laws. An applicant applying
as a consortium must be: (1) formed in accordance with relevant State or local law and as an
entity to which EDA can make a grant, generally as a non-profit organization working with a
political subdivision of a State; or (2) comprised exclusively of eligible applicants. If a
consortium is not structured as a legal entity independently eligible for EDA funding, the
consortium cannot be considered as an applicant, but may function as part of the project under a
specific eligible applicant. For questions about EDA eligibility, please contact the applicable
EDA Regional Office representative listed in Appendix C for more information. EDA cannot
provide financial assistance directly or indirectly to individuals or to for-profit entities.
Under the EAA program, a project must be located in a region that, on the date EDA receives the
application, meets at least one of the following economic distress criteria:
a) An unemployment rate that is, for the most recent 24-month period for which data are
available, at least one percentage point greater than the national average unemployment
rate;
b) Per capita income that is, for the most recent period for which data are available, 80% or
less of the national average per capita income; or
c) Is subject to a “Special Need,” as defined in 13 C.F.R. § 300.3 and as determined by
EDA. A project may be eligible pursuant to a “Special Need” if the project is located in a
region that meets one of the criteria described below:
Substantial outmigration or population loss.
Underemployment, defined as employment of workers at less than full-time or at less
skilled tasks than their training or abilities permit.
Military base closures or realignments, defense contractor reductions-in-force, or
Department of Energy defense-related funding reductions.
a. 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, 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.
b. A defense contractor reduction-in-force refers to a defense contractor(s)
experiencing defense contract cancellations or reductions resulting from official
DOD announcements and having aggregate value of at least $10 million per year.
Actual dislocations must have occurred within one year of application to EDA
12

For projects of significant regional scope, EDA may consider waiving the requirement that a non-profit
organization demonstrate it is acting in cooperation with officials of a political subdivision of a State. See 13 C.F.R.
§§ 301.2(b) and 307.5(b).

13

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.
c. 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 area 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.
Natural or other major disasters or emergencies.
Unless further extended by the Assistant Secretary, a region that has received one of
the following disaster declarations is eligible to apply for EDA assistance for a period
of 18 months after the date of declaration:
a. 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
b. A Federally Declared Disaster (pursuant to the Magnuson-Stevens Fishery
Conservation and Management Act, as amended (16 U.S.C. § 1861a(a); or
pursuant to the Consolidated Farm and Rural Development Act, as amended (7
U.S.C. § 1961); or pursuant to the Small Business Act, as amended (Pub. L. No.
85-536, 72 Stat. 384 (1958))).
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 to avoid 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.
Closing or restructuring of an industrial firm or loss of a major employer essential to
the regional economy. A region has experienced either:
a. an actual closure or restructuring of a firm within the past 12 months prior to the
submission of an application, resulting in sudden job losses and meeting the
dislocation criteria outlined in subsection c. below; or
b. a threat of a closure that results from a public announcement of an impending
closure or restructuring of a firm expected to occur within two years of
application receipt; AND
c. such actual or threatened closure results in sudden job losses meeting the
following dislocation criteria:
i. In 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.
ii. In 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.
14

Communities undergoing transition of their economic base as a result of changing
trade patterns. An area certified as eligible by the North American Development Bank
(NAD Bank) Program or the Community Adjustment and Investment Program
(CAIP).
Other Special Need. The area is experiencing other special or extraordinary
economic adjustment needs, as determined by the Assistant Secretary.
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 for either: the region where the proposed project will be
located; the geographic area where substantial direct project-related benefits will occur; or the
geographic area of poverty or high unemployment, as applicable. If recent ACS data is not
available to determine project eligibility, EDA will base its eligibility determination on the most
recent Federal data available 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).
For eligibility based on Special Need, the applicant must present appropriate and compelling
economic, demographic, or other statistics to demonstrate the Special Need. The timeframe in
which the Special Need occurred should be relevant to the proposed EDA Scope of Work. As
noted in the list above, some “Special Need” criteria involve items that must have occurred
within a specific timeframe. In such cases, applicants should ensure that provided data and
information meet the specified timeframes.
As noted above, the project must be eligible on the date EDA receives the application. EDA will
reject any documentation of eligibility that it determines is inaccurate or incomplete, which may
cause the application to be rejected.
3.

What activities are permitted in the EDA Scope of Work?

In keeping with the objectives of the Advanced Manufacturing Jobs Accelerator, EDA will target
investments that help distressed regions build on existing assets to create a supportive regional
economic ecosystem for manufacturing firms and associated clusters to establish and grow,
incorporate advanced processes, and create jobs. EDA especially encourages projects that will
promote the repatriation of jobs back to the U.S., retain and grow domestic investment, attract
foreign direct investment, and increase exports. Allowable activities include technical
assistance, feasibility studies, asset mapping, planning activities, technology or process
development, cluster networking, market expansion, and other activities critical for advancing
the regional economic ecosystem necessary for advanced manufacturing and associated clusters
to spur job creation, encourage economic growth, and foster global competitiveness. EDA may
consider advanced manufacturing equipment costs relevant to the proposed Scope of Work that
conform to the relevant cost principles and EDA’s equipment requirements, including recorded
statement and environmental requirements.13 Applicants should ensure that the Scope of Work
13

All equipment purchases must conform to the relevant cost principles (2 C.F.R. Part 220, “Cost Principles for
Educational Institutions (OMB Circular A-21),” 2 C.F.R. Part 225 “Cost Principles for State, Local, and Indian
Tribal Governments (OMB Circular A-87),” and 2 C.F.R. Part 230, “Cost Principles for Non-Profit Organizations

15

and individual activities for the EDA portion of work support the overall Advanced
Manufacturing Jobs Accelerator objectives, and that the relevant portion of the Project Narrative
discusses how the proposed EDA activities will directly affect the region or geographic area that
meets the economic distress criteria listed in section IV.A.2. of this FFO.
The EAA program is designed to help communities respond to pressing economic development
and recovery challenges. Examples of how EDA funding can be used to foster advanced
manufacturing and strengthen cluster linkages may include the following:
A university provides technical assistance to regional manufacturing businesses in
order to foster the development and deployment of advanced product and process
technologies to strengthen their global competitiveness.
A District Organization leads an effort to strengthen a growing cluster that utilizes
or fosters advanced manufacturing activities by attracting new private-sector
partners into the cluster, integrating small businesses into the cluster’s supplychain, promoting connections and communication among all cluster partners,
developing relationships and supporting the identification and implementation of
best practices among cluster members or with clusters in other regions, promoting
entrepreneurship among historically underrepresented and excluded communities,
and helping the cluster identify new markets to boost sales, exports, and job
growth.
4.

What is the cost sharing or matching share requirement for EDA funding?

Under this FFO, applications must include in their budgets a Matching Share (as defined in 13
C.F.R. § 300.3) from non-Federal sources that must be available and committed to the project.
EDA will give preference to applications with higher Matching Shares to further leverage
Federal funds and help maximize the return on investment and impact of Advanced
Manufacturing Jobs Accelerator investments. Generally, the amount of EDA assistance may not
exceed 50 % of the total cost of the project. However, projects may receive up to 80 % of total
cost, based on the relative needs of the region in which the project will be located, as determined
by EDA. See section 204(a) of PWEDA (42 U.S.C. § 3144) and 13 C.F.R. § 301.4(b)(1).
Table 1 sets forth the maximum allowable Investment Rate for Projects located in Regions
subject to certain levels of economic distress. In cases where Table 1 produces divergent results
(i.e., where Table 1 produces more than 1 maximum allowable Investment Rate based on the
Region’s levels of economic distress), the higher Investment Rate produced by Table 1 shall be
the maximum allowable Investment Rate for the Project.

(OMB Circular A-122). In addition, EDA’s provisions related to equipment costs will apply, including the
requirement that the recipient execute a security interest or other statement of EDA’s interest as set out at 13 C.F.R.
§ 314.9 and EDA’s provision on recipient-furnished equipment and materials at 13 C.F.R. § 305.8. Also, any
equipment must be vested with the recipient and not a third party. For certain types of equipment, especially any
equipment requiring a new air, water, or sewer permit, or any type of installation or other construction activities,
additional application requirements will apply. Please see section V.C.3.h of this FFO for more information.
Contact your local EDA representative listed in Appendix C for more information about these requirements.

16

Table 1: Maximum Allowable Investment Rate for EDA Assistance
Maximum
Allowable
Investment
Rates
(percentage)

Projects located in regions in which:
(A) The 24-month unemployment rate is at least 225% of the national
average.

80

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

80

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

70

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

70

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

60

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

60

(G) The 24 month unemployment rate is at least 1 percentage point greater
than the national average.

50

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

50

Source: 13 C.F.R. § 301.4(b)
The Matching Share requirements may be met through in-kind contributions, consisting of
contributions of space, equipment, services, or forgiveness or assumptions of debt. See section
204(b) of PWEDA (42 U.S.C. § 3144). EDA will fairly evaluate all in-kind contributions, which
must be eligible project costs, verifiable through clear documentation, and meet applicable
Federal cost principles and uniform administrative requirements. Matching funds must be used
to support the EDA Scope of Work and may be subject to audit. Funds from other Federal
financial assistance awards are considered Matching Share funds only if authorized by statute
that allows such use, which may be determined by EDA’s reasonable interpretation of such
authority. See 13 C.F.R. § 300.3. In addition, applicants must provide letters of commitment to
demonstrate that the Matching Share is committed to the project for the project period, will be
available as needed, and is not or will not be conditioned or encumbered in any way that would
preclude its use consistent with the requirements of EDA investment assistance. See 13 C.F.R. §
301.5. For more information about EDA’s Matching Share requirements, please contact the
applicable EDA Regional Office representative listed in Appendix C.
B.

NIST MEP

1.

NIST MEP Overview

NIST is making available funds to support the objectives of the Advanced Manufacturing Jobs
Accelerator through its Manufacturing Extension Partnership (MEP) program. In addition, other
programs within NIST will support Advanced Manufacturing Jobs Accelerator grantees by
17

providing non-financial assistance as a Support Agency. Please see Appendix B for more
information about available NIST support services.
MEP works with small and mid-sized U.S. manufacturers to help them create and retain jobs,
increase profits, and save time and money. The nationwide network of MEP Centers provides a
variety of services, from innovation strategies to process improvements to green manufacturing.
MEP also works with partners at the State and Federal levels on programs that put manufacturers
in position to attract new customers, expand into new markets, and create new products. The
MEP Centers’ staff includes over 1,400 technical experts serving as trusted business advisors,
focused on solving manufacturers’ challenges and identifying opportunities for growth.
The objective of the MEP funding is to ensure that small and mid-sized manufacturers are fully
engaged in growing cluster activities, and that these efforts receive support from existing MEP
Centers where there is mission alignment.
2.

Who is eligible to apply for NIST funds under this announcement?

Only an existing MEP Center is eligible to receive NIST funding under this FFO. Existing MEP
Centers must be U.S.-based 501(c)(3) non-profit organizations, higher education-based, or State
government-based entities.
Individual NIST MEP Centers selected under this competition will receive funding directly from
NIST under this FFO. For projects where an MEP Center is not reasonably available, NIST
funds will not be awarded; however, all applications must propose engagement with appropriate
SMEs and partners to address outreach, service delivery, and technology commercialization
needs of SMEs.14 If the geographical scope of the identified cluster involves coverage areas of
more than one MEP Center, those MEP Centers should collaborate in developing the NIST MEP
component of the application. Only one MEP Center can be designated as the primary NIST
MEP recipient; the other MEP Center or Centers may be proposed as sub-awardee(s) for an
award with a single NIST Scope of Work in an amount not exceeding $125,000 per year.
3.

What activities are permitted in the NIST MEP Scope of Work?

Applicants should clearly identify and describe the proposed activities for which NIST MEP
funds will be awarded to an MEP Center. Permitted activities include those activities or services
typically provided by an MEP Center to enhance the competitive position of one or more U.S.
manufacturers. Activities that may be particularly relevant in support of an Advanced
Manufacturing Jobs Accelerator project include:
Providing market intelligence, industry trends, and data about advanced
manufacturing to support planning and strategy development for the cluster;
Outreach to existing manufacturing firms engaging in advanced manufacturing
activities in the region to secure their involvement in cluster initiatives
(particularly but not necessarily limited to small and medium- sized
manufacturers);
14

As noted above in section III.B of this FFO, “not reasonably available” means that there is no MEP center that can
provide the desired services in the targeted region. Applications that do not include an MEP Center as a Team
Member must explain why services are not available from an MEP.

18

Providing technical assistance, such as innovation and growth services,
technology acceleration, supplier development, sustainability, exporting,
workforce and continuous improvement services to manufacturing companies
engaging in advanced manufacturing activities in targeted clusters; and,
Tracking performance measures (e.g., jobs created/retained, sales increased or
retained, cost savings, new sales, new investments, commercialization of products
and/or parts using advanced manufacturing technologies, adoption of advanced
manufacturing processes by manufacturers).
4.

What is the cost sharing or matching share requirement for NIST funding?

There is no cost share requirement for the supplemental funds provided to an existing MEP
Center under this announcement as authorized in 15 U.S.C. 278k(f).
C.

DOE

1.

DOE Overview

The goal of the DOE’s Advanced Manufacturing Office (AMO) is to reduce energy consumption
of manufactured goods across product life-cycles by 50% over ten years by targeting the
production, use, and deployment of advanced manufacturing technologies through Research,
Development, and Demonstration (RD&D) of new energy-efficient manufacturing processes and
materials technologies at a scale sufficient to incentivize industry to invest.
Accordingly, the objective of DOE funding under this FFO is to support industry cluster
activities working to develop, demonstrate, and exploit energy efficient, rapid, and flexible
manufacturing technologies to advance U.S. competitiveness in critical areas. Specific
manufacturing technology goals include improving existing processes, materials, and products,
and enabling new capabilities and new products. Using advanced manufacturing technologies to
improve performance, increase flexibility, and lower costs by increasing throughput and
reducing materials use and life-cycle energy cost may achieve the overall objectives of this FFO
and enhance the competitiveness of U.S. manufacturing.
DOE has identified emerging technology opportunities that would maximize the impact of
Advanced Manufacturing Jobs Accelerator investments, for example:
Additive manufacturing;
Carbon fiber and low-cost composites;
Wide band-gap materials;
Titanium and low-cost, lightweight metals;
Advanced magnets;
Advanced membranes; and,
In-situ metrology and process controls.
This list is meant to be illustrative and does not prevent applicants from proposing other
technology focus areas.
19

2.

Who is eligible to apply for DOE funding under this announcement?

The following domestic entities are eligible to apply for DOE funding under this FFO: (1)
institutions of higher education; (2) nonprofit and for-profit private entities; (3) State and local
governments; and, (4) consortia of entities (1) through (3). All types of domestic entities,
including DOE/NNSA National Laboratory Contractors, are eligible to apply, except other
Federal agencies, non-DOE Federally Funded Research and Development Center (FFRDC)
Contractors, and nonprofit organizations described in section 501(c)(4) of the Internal Revenue
Code of 1986 that engaged in lobbying activities after December 31, 1995.
A DOE National Laboratory Contractor is eligible to apply for funding under this announcement
if its cognizant Contracting Officer provides written authorization and this authorization is
submitted with the application. If a DOE National Laboratory Contractor is selected for award,
the proposed work will be authorized under the DOE work authorization process and performed
under the laboratory’s Management and Operating (M&O) contract.
The following wording is acceptable for the authorization:
“Authorization is granted for the _____________ Laboratory to participate in the proposed
project. The work proposed for the laboratory is consistent with or complementary to the
missions of the laboratory, will not adversely impact execution of the DOE assigned programs at
the laboratory, and will not place the laboratory in direct competition with the domestic private
sector.”
FFRDC contractors may be proposed as co-applicants on another entity’s application, subject to
the following guidelines:
Authorization for non-DOE FFRDCs. The Federal Agency sponsoring the FFRDC contractor
must authorize in writing the use of the FFRDC contractor on the proposed project and this
authorization must be submitted with the application. The use of a FFRDC contractor must be
consistent with the contractor’s authority under its award.
Authorization for DOE FFRDCs. The cognizant Contracting Officer for the FFRDC must
authorize in writing the use of a DOE FFRDC Contractor on the proposed project and this
authorization must be submitted with the application. The following wording is acceptable for
this authorization:
“Authorization is granted for the _____________ Laboratory to participate in the proposed
project. The work proposed for the laboratory is consistent with or complementary to the
missions of the laboratory, will not adversely impact execution of the DOE assigned programs at
the laboratory, and will not place the laboratory in direct competition with the domestic private
sector.”
Value/Funding. The value of, and funding for, the FFRDC contractor portion of the work will
not normally be included in the award to a successful applicant. Usually, DOE will fund a DOE
FFRDC contractor through the DOE field work proposal system and other FFRDC contractors
through an interagency agreement with the sponsoring agency.
Cost Share. The applicant’s cost share requirement will be based on the total cost of the project,
including the applicant’s and the FFRDC contractor’s portions of the effort.
20

FFRDC Contractor Effort. The Scope of Work to be performed by the FFRDC contractor may
not be more significant than the Scope of Work to be performed by the applicant.
Responsibility. The applicant, if successful, will be the responsible authority regarding the
settlement and satisfaction of all contractual and administrative issues, including but not limited
to, disputes and claims arising out of any agreement between the applicant and the FFRDC
contractor.
3.

What activities are permitted in the DOE Scope of Work?

Successful applicants will use DOE funding to support activities that directly address the
development and demonstration of market-driven advanced manufacturing technologies.
Proposed projects should connect the core needs of the cluster’s identified industry to the core
manufacturing capabilities to be strengthened or established. DOE funding should bring together
different stakeholders to develop and execute programs that would not have been possible
without DOE involvement and cannot be accomplished by the stakeholders individually. DOE
funding may support pre-competitive R&D conducted by industry so long as there is a clear
pathway for knowledge transfer to other partners within the industry cluster.
DOE encourages applicants to propose projects that will reduce the technical risk associated with
new advanced manufacturing technologies or products and allow a business case to be made for
U.S. production. Activities that DOE could fund include:
Pre-competitive product, process, or design R&D;
Providing technical expertise at the proof-of-concept, prototype, or validation
stage;
Demonstration at a scale sufficient to incentivize private industry investment;
Materials analysis, durability and reliability testing, evaluation, and certification;
Supporting costs for interacting and collaborating with DOE-funded facilities or
other shared infrastructure; and,
Integrating RD&D institutions and centers with existing entrepreneurial and
manufacturing ecosystems.
The DOE AMO has existing tools and resources that provide assistance with industrial energy
management and efficiency including Industrial Assessment Centers (IACs), Clean Energy
Application Centers (CEACs), and the Better Plants program. In order to leverage DOE funding,
applicants are encouraged to identify activities that would allow for cooperation or partnerships
with existing DOE AMO resources and facilities. Applicants cannot utilize these other AMO
resources to meet the cost share requirement.
4.

What is the cost sharing or matching share requirement for DOE funding?

The minimum cost share must be at least 20% of the total allowable costs for R&D projects and
50% of the total allowable costs for demonstration and commercial application projects and must
come from non-Federal sources unless otherwise allowed by law. The sum of the Government
share, including FFRDC contractor costs if applicable, and the recipient share of allowable costs
21

equals the total allowable cost of the project. (See 10 C.F.R. Part 600 for the applicable cost
sharing requirements.)
The cost share requirement will not be waived or reduced.
D.

ETA

1.

ETA Overview

The H-1B Technical Skills Training Grant Program is designed to provide education, training,
and job placement assistance in occupations and/or industries that have high-growth potential for
which employers are using H-1B visas to hire temporary, high-skilled foreign workers, and the
related activities necessary to support such education, training, and placement activities. H-1B
training grants are financed by a user fee paid by employers to bring foreign workers into the
United States under the H-1B nonimmigrant visa program. The program is intended to raise the
technical skill levels of American workers so they can obtain or upgrade employment in highgrowth industries and/or occupations. Over time, these education and training programs will help
businesses reduce their use of skilled foreign professionals permitted to work in the United States
on a temporary basis under the H-1B visa program.
While the occupations at the H-1B skill levels are generally defined as requiring a bachelor’s
degree or comparable experience, education and training conducted through this program is not
limited to skill levels commensurate with four-year undergraduate degrees, and can include the
preparation of workers for employment along career pathways for a broad range of occupations
and/or industries in which employers are using H-1B visas to hire foreign workers. For example,
a worker with a high school diploma and some college credit could start on an industry-defined
career pathway in precision machining technology which results in a credential and placement as
a computer numeric control (CNC) operator. The worker could then follow this pathway to
progress toward the goal of a more advanced credential and occupation such as CNC
programmer or CNC machinist.
For this funding opportunity, ETA is providing funds to support training for occupations solely
within the advanced manufacturing workforce. Below is a list of the Top 20 H-1B visas by
Standard Occupational Classification (SOC) codes and occupation titles for the advanced
manufacturing workforce. Applicants should review this list of occupations that are using H-1B
visas to hire foreign workers. This list is not exhaustive and applicants are advised to also refer
to the Foreign Labor Certification Data Center website
(http://www.flcdatacenter.com/CaseH1B.aspx) for the latest database of occupations approved
under H-1B petitions.
SOC CODE DESCRIPTION
51-1011

First-Line Supervisors of Production and Operating Workers

51-4041

Machinists

51-9061

Inspectors, Testers, Sorters, Samplers, and Weighers

22

SOC CODE DESCRIPTION

2.

41-4012

Sales Representatives, Wholesale and Manufacturing, Except
Technical and Scientific Products

11-1021

General and Operations Managers

43-5071

Shipping, Receiving, and Traffic Clerks

49-9041

Industrial Machinery Mechanics

17-2112

Industrial Engineers

51-4011

Computer-Controlled Machine Tool Operators, Metal and Plastic

11-3051

Industrial Production Managers

17-2141

Mechanical Engineers

43-5061

Production, Planning, and Expediting Clerks

13-1023

Purchasing Agents, Except Wholesale, Retail, and Farm Products

43-5081

Stock Clerks and Order Fillers

15-1133

Software Developers, Systems Software

11-9041

Architectural and Engineering Managers

17-2071

Electrical Engineers

17-3023

Electrical and Electronics Engineering Technicians

15-1132

Software Developers, Applications

17-3026

Industrial Engineering Technicians

Who is eligible to apply for ETA funding under this announcement?

For the purposes of this FFO, entities eligible to be the grantee organization for the ETA funding
source are: a) business-related nonprofit organizations and employers; b) education and training
providers; and c) entities involved in administering the workforce investment system established
under Title I of the Workforce Investment Act of 1998.
The ETA grantee must partner with at least one employer or a consortium of employers;
however, if the applicant is an employer, this requirement does not apply.
ETA needs one Form SF-424 from the organization that will serve as the grantee. The grantee
must have overall fiscal and administrative responsibility for the grant. The grantee organization
must be the organization specified in section 8 of Form SF-424, and will be: a) the point of
contact with ETA to receive and respond to all inquiries or communications under this FFO and
any subsequent grant award; b) the entity with authority to withdraw or draw down funds
through HHS - Payment Management System (HHS-PMS); c) responsible for submitting to ETA
23

all deliverables under the grant, including all technical and financial reports related to the
project; d) the entity that may request or agree to a revision or amendment of the grant agreement
or statement of work; e) the entity with overall responsibility for carrying out the programmatic
functions of the grant, as well as for the stewardship of all expenditures under the grant; and f)
the entity responsible for working with ETA to close out the grant.
Eligible organizations for this FFO and their roles are defined as:
a) Business-related Nonprofit Organizations and Employers
Business-related non-profit organizations include trade or industry associations, such as local
Chambers of Commerce and small business federations, and labor organizations. Employers
and business-related non-profit organizations may contribute in one or more of the following
ways: defining the program goals and activities; identifying skills and competencies;
providing resources to support education/training (such as equipment, instructors, funding,
internships, or On-the-Job Training (OJT) and other work-based learning activities); providing
assistance with program design; and, where appropriate, hiring qualified participants who
complete grant-funded education and training programs.
b) Education and Training Providers
Under this FFO, education and training providers include education providers considered to be
institutions of higher education as defined in section 101(a) of the Higher Education Act of
1965 (20 U.S.C. § 1001). These “institutions of higher education” include public or other
nonprofit educational institutions. Applicants must identify their institution type in section 9 of
Form SF-424, Application for Federal Assistance. To be eligible as an education provider,
institutions must be accredited by a nationally recognized accrediting agency or association
that has been recognized by the U.S. Department of Education. A database of institutions that
are accredited by bodies recognized by the U.S. Department of Education can be found at
http://ope.ed.gov/accreditation/. Applicants are strongly encouraged to check this website, as
DOL will use this database in determining an applicant’s accreditation to ensure eligibility.
Generally, institutions of higher education include two-year and four-year colleges and
universities, Historically Black Colleges and Universities, Tribal Colleges and Universities,
and Hispanic-Serving Institutions, among others.
In addition, community-based organizations that provide training and other workforce
development services are also considered to be education and training providers for this
funding opportunity. Community-based organizations can be key providers of basic skills
training, technical skills training, supportive services, and workforce development services.
Community-based organizations generally understand the importance of leveraging resources,
engaging employers to better understand their workforce needs and secure employment for
their participants, and providing comprehensive supportive services in a manner that is
culturally and linguistically appropriate, to the extent legally allowed, for workers and training
participants.
c) The Workforce Investment System
Public workforce system entities are involved in administering the workforce investment
system established under Title I of Workforce Investment Act of 1998, and include State and
local Workforce Investment Boards and their One-Stop Career Center systems. These types of
organizations may participate in the grant activities, such as: 1) understanding and analyzing
24

the need for education and training in the local area including identifying targeted industries,
occupations, and hiring needs, as well as populations to be served, and providing relevant
sources of data including the workforce investment board’s strategic plan, labor market
information, and other tools or reports; 2) assessing potential participants for the grant
program; 3) identifying and referring candidates for education and training in the grant
program; 4) connecting and placing participants with employers that have job openings; and 5)
collecting, tracking, and reporting participant data to ETA.
3.

What activities are permitted in the ETA Scope of Work?
a) Training for a Skilled Workforce
To meet the legislative intent of training American workers to reduce the need for foreign
workers under the H-1B visa program, applicants must design their education and training
programs to support industries and/or occupations within the advanced manufacturing sector
for which employers are using H-1B visas to hire foreign workers.
Applicants must propose projects that provide job training and related activities that are
designed to assist workers in gaining the skills and competencies needed to obtain or upgrade
employment in high-growth industries and/or occupations, or along the career pathways for
such industries and/or occupations in the advanced manufacturing sector. A career pathway is
generally defined as a system of career options which allows opportunities for professional
growth and upward mobility. Training under this funding opportunity may not be used for
entry-level occupations, but should focus on occupations along the career pathways that require
higher skill levels.
ETA maintains a number of web-based resources that may be of assistance to applicants
seeking information about the advanced manufacturing sector and occupations:
Training and Employment Notice No. 19-10, an electronic guide to State and
local workforce data to support analysis and informed decision making:
http://wdr.doleta.gov/directives/corr_doc.cfm?docn=2965;
The CareerOneStop portal, http://www.careeronestop.org, provides national and
state career information;
The Occupational Information Network (O*NET) Online,
http://online.onetcenter.org, and companion sites, My Next Move and My Next
Move for Veterans (http://www.mynextmove.gov and
http://www.mynextmove.org/vets) provide occupational competencies and career
profiles;
mySkills myFuture, http://www.myskillsmyfuture.org/ provides career
exploration options based on past jobs and tools to compare careers, find training,
and search for jobs; and,
The Certification Finder, http://www.acinet.org/certifications_new/default.aspx,
assists in increasing personnel certifications related to in-demand manufacturing
careers.

25

In developing training strategies, applicants are encouraged to utilize the Industry Competency
Model Initiative, as appropriate. A competency model is a collection of competencies that,
taken together, define successful performance in a particular work setting. Competency
models serve as a starting point for the design and implementation of workforce and talent
development programs. Currently, there are three competency models designed for different
facets of the manufacturing sector: Advanced Manufacturing, Automation, and Mechatronics.
Each of these models has been validated by industry representatives and employers. To learn
about the industry-validated models visit the Competency Model Clearinghouse (CMC),
http://www.careeronestop.org/CompetencyModel. The CMC site also provides tools to build
or customize industry models, as well as tools to build career pathways for specific regional
economies.
b) Training Strategies
ETA will fund a range of training strategies, including but not limited to: OJT; classroom
occupational training; contextualized learning; distance learning; and customized training,
including incumbent worker training, for particular employers or groups of employers. With
each type of training strategy, there are a number of activities that applicants can include to
ensure that the programs meet participants’ needs. All training strategies must: a) target skills
and competencies in demand by industries and/or occupations in the advanced manufacturing
sector for which employers are using H-1B visas to hire foreign workers; b) provide education
and training for jobs currently available; c) whenever possible, result in an industry-recognized
credential.
ETA encourages applicants to use program models with demonstrated success in serving the
eligible participants, especially those with strong program evaluations showing positive
impacts on participants.
In implementing a training program, applicants may propose to use grant funds for a wide
range of activities that support the direct education and training of eligible participants,
including but not limited to, the following:
Cost of training as described above;
Work experience and internships;
Costs related to credential attainment for individual participants, e.g., certification
exam fees;
Recruitment of eligible participants;
Initial assessment of skill levels, aptitudes, abilities, and competencies;
Job search and placement assistance, as well as career counseling;
Scholarships, which may only cover the costs of tuition and other training-related
costs including books, tools, and academic fees;
Updating or replicating existing industry-recognized curricula to support direct
education and training provided through the grant.

26

Applicants may not use grant funds for any activities that do not directly support the education
and training of participants, including any capacity building activities such as:
New curriculum development;
Costs related to accrediting employer and/or industry-recognized credentials;
Other costs of program development such as using subject matter experts from
industry, education, and other areas to assist in curriculum design;
Equipment purchases over $5,000;
Payment of wages of incumbent workers.
Activities that are not directly related to the provision of education, training, and other related
services for high-growth industries and/or occupations in the advanced manufacturing sector
for which employers are using H-1B visas are not allowable activities under this grant.
Applicants should refer to section VII.C.3 of the FFO for a list of relevant OMB Circulars
related to cost principles, administrative and other requirements that apply to this FFO and to
section IV.D.6 for a discussion of costs that are not allowable for H-1B funds under this FFO.
c) Specific Requirements for Using OJT as a Training Strategy
OJT is distinguished from other types of workplace training by several factors: a) participants
are hired and earn wages from employers during training; b) it is based on an individualized
training plan that reflects the results of an individual skills assessment and an analysis of job
requirements; c) training is conducted in the work setting under the direction of one or more of
the employer’s supervisory personnel; and d) the employer is paid a reimbursement to cover
the extraordinary costs of the training.
Under this FFO, OJT will follow the definitions and requirements under the Workforce
Investment Act (WIA) section 101(31). Incumbent workers are not eligible for OJT under this
FFO. OJT is provided under a contract with an employer in the private-nonprofit or private
sector. Through the OJT contract, occupational training is provided for the grant participant in
exchange for the reimbursement to the employer of up to a negotiated percentage of the wage
rate to compensate for the employer’s extraordinary costs of training the individual. The
employer pays wages to the participant. For complete information on the specific WIA
parameters for OJT, please refer to WIA regulations 20 C.F.R. 663.700 – 663.710, as well as
20 C.F.R. 663.730. Applicants will be required to follow the parameters for OJT included in
the WIA law and regulations with the following policy exceptions:
Eligible participants cannot be currently employed by the employer;
Participant placements may only occur in private for-profit and non-profit sectors
(i.e., the grant does not allow for public sector placements);
No placement may be made in agencies providing workers on a temporary basis
to employers for which the agency receives compensation from the employer;
and,
The period of reimbursement to the employer should be an adequate length to
ensure the participant has acquired the technical skills needed for employment but
no longer than 12 months. Individuals may not be co-enrolled in other ETA
27

programs for the purpose of extending OJT beyond 12 months. Twelve months
exceeds the average length of time for current WIA OJT activities, so grantees
should negotiate contracts with employers that lead to transitioning participants to
permanent employment as soon as possible. ETA expects that grantees may
establish contracts for longer than 12 months; however, the reimbursement for
each individual that participates in OJT cannot be longer than 12 months.
Typically, the negotiated reimbursement percentage for OJT under WIA may be as high as
50% of the participant’s hourly wage. However, for grants awarded under this funding
opportunity, the negotiated reimbursement percentage may be as high as 90% of the
participant’s hourly wage based on employer size: up to 90% of the participant’s wage rate for
employers with 50 or fewer employees; up to 75% of the participant’s wage rate for employers
with 51-250 employees; and, up to 50% for employers with more than 250 employees.
Grantees are also encouraged to negotiate lower rates or variable rates (such as starting at 90
and reducing the subsidy over time) where possible to ensure that the maximum number of
participants are served by the project.
Finally, upon receipt of a grant, applicants must develop sound on-the-job training (OJT)
contracts. The contract process sets the ground rules for an OJT with an employer and assists
in making the determination of whether an employer is eligible to provide an OJT opportunity.
The contract must include the federally-required elements of an OJT agreement; however,
states, counties or municipalities may have additional contract requirements. Contracts also
outline the terms and conditions that the employer and OJT provider agree to provide for an
OJT experience. Contracts with an employer can be set up for a specific period of time but
need not necessarily specify the individual trainees to whom they apply. This allows the
employer to provide training to more than one trainee. If an employer only has one position or
plans to limit the training experience to one employee, then a contract must also include the
individual trainee’s information. For these grants, contracts must provide that the employer is
responsible for documenting skills gained by participants during the training period. It should
also include a description of how the reimbursement level was determined. For sample
templates and other resources, grantees may access ETA’s on-line technical assistance related
to an OJT contract at the following web address:
https://ojttoolkit.workforce3one.org/page/contracts_and_mods.
4.

What is the cost sharing or matching share requirement for ETA funding?
a) Match Requirement
Cost sharing or matching funds are not required for the ETA portion of funds under the FFO.
b) Definitions and Administrative Requirements
For applicants proposing cost sharing or matching funds, the general administrative
requirements related to cost sharing or match are found at 29 C.F.R. 97.25 or 29 C.F.R. 95.23.
c) Leveraged Resources
ETA strongly encourages grantees and their partners to document in their application how they
plan to leverage resources beyond those awarded by other funding agencies to support the
proposed project. Leveraged resources expand the scope of the federal investment and
demonstrate a commitment by the grantee and its partners to the project and its long-term
28

sustainability post award. These funds may be used to support activities that are not allowable
costs under the ETA Scope of Work. Additionally, leveraged resources carry quarterly
reporting requirements. The definition of and requirements about leveraged resources are
discussed in more detail below. Applicants should note that leveraged resources are NOT
listed on the SF 424 or SF 424a; however the amounts ARE included in the budget narrative.
Leveraged resources are all non-grant resources used by the grantee to support grant activity
and outcomes. For ETA programs, “leveraged resources” refers to both costs which would
qualify as an allowable match and other costs that do not meet the requirements of the match
regulations, but support the outcomes of grant activity. All leveraged resources must be
expended on costs that are allowable under the OMB Circulars (2 C.F.R. Parts 220, 225, and
230 and 48 C.F.R. Part 31) and used to further grant activity and outcomes. The costs of
leveraged resources may be paid for with either Federal or non-Federal funds. Examples of
costs that would be considered as leveraged resources are the costs of services provided to
grant participants that are funded by another Federal program such as the WIA formula grant
program, the provision of child care as a supportive service by a grantee sub-recipient, and the
purchase or construction of a structure that will house grant activity which is paid for by the
organization using non-Federal resources.
ETA requires that all leveraged resources be reported in grantee quarterly program narrative
reports. In addition, some leveraged resources are to be reported on the ETA-9130 Quarterly
Financial Report including: 1) all costs of the grant recipient and/or sub-recipients as well as all
third party in-kind contributions that would have qualified as match had it been required; and
2) all allowable costs for goods and services provided to grant participants or in support of the
grant program which are paid for by the grant recipient and/or sub-recipients using other
Federal grant funds. Instructions and the ETA Form 9130 may be found at
http://www.doleta.gov/grants/financial_reporting.cfm.
5.

Who is eligible to receive training under this announcement?
a) Participants Eligible to Receive Training
Applicants may propose projects that focus on providing education and training to unemployed
workers, incumbent (employed) workers, and/or post-secondary students who are pursuing a
high-skill occupation. Participants must be at least 18 years of age.
Candidates for education and training funded through these grants should not be at the
beginning of a career pathway and should have at least a high school diploma or a GED, as
well as some post-secondary education and/or work experience that would allow them to enter
the defined career pathway at a later point. Candidates may already have an associate’s or
bachelor’s degree, but they do not necessarily have to possess advanced degrees to be eligible.
In addition, one of the objectives of the Department of Labor is to ensure that the training
programs offered through this grant opportunity are available to historically underrepresented
and excluded communities in the region. Historically underrepresented and excluded
communities include areas or groups that face such socioeconomic challenges as a high
concentration of low income or unemployed individuals; high poverty; high unemployment;
discrimination in housing, credit, or the labor market; or mass layoffs. The make-up of the
individuals residing in these communities also may vary in different regions; for example, they
29

may include ethnic and racial minorities such as Native Americans, Alaskan Natives, Black or
African Americans, Latinos or Hispanics, Asian-Americans or Native Hawaiian or other
Pacific Islanders; or other groups such as veterans, women, or persons with disabilities.
b) Veterans Priority for Participants
The Jobs for Veterans Act (Public Law 107-288) requires grantees to provide priority of
service for veterans and spouses of certain veterans for the receipt of employment, training,
and placement services in any job training program directly funded, in whole or in part, by
ETA. The regulations implementing this priority of service can be found at 20 C.F.R. Part
1010. In circumstances where a grant recipient must choose between two equally qualified
candidates for a service, one of whom is a veteran or eligible spouse, the veterans priority of
service provisions require that the grant recipient give the veteran or eligible spouse priority of
service by first providing him or her that service. To obtain priority of service, a veteran or
spouse must first meet the program’s eligibility requirements. Grantees must comply with
ETA guidance on veterans’ priority. ETA’s Training and Employment Guidance Letter
(TEGL) No. 10-09 (issued November 10, 2009) provides guidance on implementing priority of
service for veterans and eligible spouses in all qualified job training programs funded in whole
or in part by ETA. TEGL No. 10-09 is available at
http://wdr.doleta.gov/directives/attach/TEGL/TEGL10-09.pdf
6.

Funding restrictions

All costs described in the application must be necessary and reasonable and in accordance with
Federal guidelines. Determinations of allowable costs will be made in accordance with the
applicable Federal cost principles. Disallowed costs are those charged to a grant that the grantor
agency or its representative determines not to be allowed in accordance with the applicable
Federal cost principles or other conditions contained in the grant.
a) Indirect Costs
As specified in the applicable Federal cost principles, which also are listed in section VII.C.3
of this FFO, indirect costs are those that have been incurred for common or joint objectives and
cannot be readily identified with a particular final cost objective.15 An indirect cost rate (ICR)
is required when an organization operates under more than one grant or other activity, whether
Federally assisted or not. Organizations must use the ICR supplied by the Federal Cognizant
Agency. If an organization requires a new ICR or has a pending ICR, the Grant Officer will
award a temporary billing rate for 90 days until a provisional rate can be issued. This rate is
based on the fact that an organization has not established an ICR agreement. Within this 90
day period, the organization must submit an acceptable indirect cost proposal to their Federal
Cognizant Agency to obtain a provisional ICR.
b) Administrative Costs
Under this FFO, an entity that receives a grant to carry out a project or program may not use
more than 5% of the amount of the grant to pay administrative costs associated with the
program or project. Administrative costs could be direct or indirect costs, and are defined at 20
C.F.R. 667.220. Administrative costs do not need to be identified separately from program
costs on the SF-424A Budget Information Form. However, they must be tracked through the
15

See 2 C.F.R. Parts 220, 225, and 230, and 48 C.F.R. 31.2, as applicable.

30

grantee’s accounting system. To claim any administrative costs that are also indirect costs, the
applicant must obtain an Indirect Cost Rate Agreement from its Federal Cognizant agency, as
specified above.
c) Intellectual Property Rights
The recipient may copyright any work that is subject to copyright and was developed, or for
which ownership was purchased, under an award. The Federal awarding agencies reserve a
royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the
work for Federal purposes, and to authorize others to do so. Recipients are subject to
applicable regulations governing patents and inventions, including government-wide
regulations issued by the Department of Commerce at 37 C.F.R. Part 401, ‘‘Rights to
Inventions Made by Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements.’’
Such uses include, but are not limited to, the right to modify and distribute such products
worldwide by any means, electronically or otherwise. The grantee may not use federal funds
to pay any royalty or license fee for use of a copyrighted work, or the cost of acquiring by
purchase a copyright in a work, where the Department has a license or rights of free use in such
work. If revenues are generated through selling products developed with grant funds,
including intellectual property, these revenues are program income. Program income is added
to the grant and must be expended for allowable grant activities.
d) Payments to Participants
For the purposes of grants awarded under this FFO, organizations may only use grant funds to
pay for the wages of participants in two specific activities - paid work experience and paid
internships. Grant funds may not be used to pay incumbent worker salaries.
(1) Work Experience and Internships
Work experience and internships are defined as a planned, structured learning experience that
takes place in a workplace for a limited period of time, and may be paid or unpaid. Labor
standards apply in any work experience where an employee/employer relationship, as defined
by the Fair Labor Standards Act (FLSA), exists. For more information on the FLSA,
applicants may visit http://www.dol.gov/whd/.
For a work experience or internship that supports training, applicants will need to describe how
the work experience or internship is connected to and supports the education and training
activities included in the grant. Grantees have flexibility in the design and implementation of
work experience and internships; however, they must meet the following parameters:
Provide an individual with monitored or supervised work or service experience in
his or her expected career field where the individual has prescribed learning goals
and reflects actively on what he or she is learning throughout the experience.
These learning goals can include a) academic learning, career development, and
skill development, and b) the attainment of credentials in the individual’s
expected career field;
Are part of structured programs where the grantee established the criteria for
determining who will participate in these programs;
31

Are for a set period of time;
Relate to training provided through the grant, and help participants prepare for the
employment opportunities on which the grant focuses;
May or may not carry an offer of regular employment upon successful completion
of the internship.
(2) Incumbent Worker Salaries
Incumbent worker training is defined as training developed with an employer or employer
association to upgrade the skills of a particular workforce. It usually takes place in the
workplace or after work hours for employees of a specific employer or employer association.
Salaries paid to incumbent workers may not be reimbursed using grant funds.
Payments directly to help support participants’ training, such as stipends for the purposes of
wage replacement or incentives to participate in training, are not allowable costs under these
grants.
e) Use of Funds for Supportive Services
Under this FFO, supportive services for training participants follow the definitions in WIA
Sections 101(46), 134(e)(2), and 134(e)(3). They include services such as transportation, child
care, dependent care, and housing that are necessary to enable an individual to participate in
education and training activities funded through this grant. Under WIA Section 134(e)(3),
supportive services can include needs-related payments (NRPs) that are necessary to enable
individuals to participate in training activities funded through this grant. Supportive services
activities may include, but are not limited to, provision of the actual supportive service (i.e.,
childcare); providing participants with a voucher for the service (i.e., public transportation
cards or tokens); or providing a stipend directly to the participant. Applicants should note that
where stipends for supportive services are provided, the stipend amount must be for costs of a
specific supportive service (i.e., childcare), rather than simply based on an unidentified need.
For the purposes of this FFO, grantees may use up to 5% of grant funds to provide supportive
services only to individuals who are participating in education and training activities provided
through the grant when: 1) they are unable to obtain such services through other programs, and
2) such services are necessary to enable individuals to participate in education and training
activities under the grant. Grantees may establish limits on the provision of supportive services
or provide their subrecipients with the authority to establish such limits, including a maximum
amount of funding and maximum length of time for supportive services to be available to
participants. Grantees must ensure that their use of grant funds on supportive services is
consistent with their organization’s established written policy on the provision of supportive
services and relevant WIA regulations. Additionally, ETA encourages grantees to leverage
other sources of funding for supportive services, including WIA formula funds.

32

E.

SBA

1.

SBA Overview

SBA will participate in the Advanced Manufacturing Jobs Accelerator by utilizing the Agency’s
7(j) Technical Assistance Program to foster entrepreneurship, attract investment, strengthen
competitiveness, and create well-paying 21st century jobs among eligible small businesses.
The 7(j) Technical Assistance Program allows SBA to provide, through a grant recipient, key
technical and management assistance to eligible small businesses and individuals located in areas
that can most benefit from the work of regional clusters by providing these clusters with the
resources to support small businesses and individuals that face the largest challenges.
Any assistance provided by the recipient must only be provided to small businesses or
individuals eligible for assistance under 7(i),7(j)(10) and 8(a) of the Small Business Act
(collectively referred to as 7(j) eligible). A small business (as defined in 13 C.F.R. Part 121) or
an individual is eligible to receive 7(j) assistance if such business/individual meets one of the
following four criteria:
The small business is a participant in SBA’s 8(a) Business Development Program;
OR
The individual/small business is located in a HUBZone; OR
The individual/small business is located in an area of high unemployment as
defined by the Department of Labor’s Bureau of Labor Statistics, meaning that
the county’s annualized unemployment rate exceeds the national annualized
unemployment rate; OR
The individual is an individual with a low income, or the small business is
majority-owned by one or more individuals each with a low income.
SBA will provide further guidance to grantees on 7(j) eligibility in the Notice of Award.
2.

Who is eligible to apply for SBA funding under this announcement?

SBA may provide 7(j) Technical Assistance awards to public or private organizations to pay all
or part of the cost of projects designed to provide technical or management assistance to 7(j)
eligible small businesses. Because of the 7(j) eligibility criteria, each 7(j) Technical Assistance
provider will be required to determine, document, and report on the eligibility of each recipient
of services provided under this grant.
In order to be eligible under this FFO, an applicant must:
Be a public, private, non-profit, or for-profit entity; and,
Have been in existence continually for at least the past three years;
3.

What activities are permitted in the SBA Scope of Work?

Funds awarded under the 7(j) Technical Assistance Program may be used to conduct planning
and research (including feasibility studies and market research); identify and develop new
business opportunities; furnish centralized services with regard to public services and Federal
33

government programs; establish and strengthen business service agencies (including trade
associations and cooperatives); and, furnish business counseling, management training, and legal
and other related services.
Applicants must address how their proposed project will provide at least one of the following
services to 7(j) eligible small businesses located within the cluster’s area of operations:
Business training;
General business counseling;
Technology transfer counseling;
Commercialization of existing R&D counseling;
Export readiness counseling; and,
Other services relevant to small businesses.
Applicants should also address how they will link 7(j) eligible small businesses with technology,
development, and financing opportunities, as well as initiatives to establish mentoring and
networking opportunities with seasoned entrepreneurs, to support growth and success of 7(j)
eligible small businesses. This may include, but is not limited to, the following services:
Managing business growth;
Building customer bases;
Building networks and partnerships;
Assisting in market development; and,
Facilitating opportunities for accessing new resources and markets.
4.

What is the cost sharing or matching share requirement for SBA funding?

Although matching contributions are not required under the 7(j) Technical Assistance Program,
applicants should note the availability of any additional funds and in-kind contributions pledged
to support the SBA Scope of Work in their Technical Proposal.
5.

Leveraging of Resources

Applicants selected for awards under this announcement are required to maximize their efforts to
leverage SBA funding by working with public and private organizations such as chambers of
commerce and trade and industry groups and associations that align Federal resources.
Applicants must explain how they will work with existing State and local resources and with
SBA’s partners such as SCORE, Small Business Development Centers, Women’s Business
Centers, Veterans Business Outreach Centers and the Agency’s lending and investing partners.
Applicants also must detail how they will utilize SBA’s business development programs and the
Small Business Innovation Research program, as applicable.

34

V.

Application and Submission Information

A.

How do I obtain an application package?

Applicants may access the application package for this FFO electronically at
http://www.grants.gov (Grants.gov). See section V.D. of this FFO for detailed instructions on
application submission.
B.

Deadline for Receipt of Applications

Applicants must submit their application electronically via Grants.gov. The deadline for receipt
of applications through Grants.gov is July 11, 2012 at 11:59 p.m. Eastern Time. Applications
received after the closing date and time will not be considered for funding.
The Funding Agencies will not accept any changes, additions, revisions or deletions to
applications after the closing date and time have passed. However, throughout the review and
selection process, the Funding Agencies, with the exception of DOL, reserve the right to seek
clarification in writing from applicants whose applications are being reviewed and considered.
See also section VI. of this FFO for application review and selection information.
C.

Required Application Forms and Content

To be considered complete, an application package must consist of:
All required forms for each Funding Agency;
The Proposal, which includes the Executive Summary, Project Narrative,
Integrated Work Plan and Budget Description; and,
Addenda to the Proposal.
Applications that do not contain all required forms listed in each part, or that fail to adhere to the
instructions in this FFO, may be considered incomplete and may not be considered for funding.
Additional application materials not requested under this FFO will not be reviewed or evaluated.
Applicants are advised to carefully read the instructions contained in this FFO and in all forms
contained in the application package. It is the sole responsibility of each applicant to ensure that
a complete application package is received.
1.

Required Forms

All applicants must include the following forms at the time of application submission. The
forms should be uploaded as separate Adobe portable document format (PDF) files. All forms
listed in this section will be available in the Grants.gov application package. Note that only the
forms pertaining to the EDA portion of the application will be found under the “Application” tab
in the application package generated by Grants.gov. All other forms pertaining to the application
can be found under the “Full Announcement” tab of the Grants.gov announcement and must be
included as attachments to the application package. Please see the application checklist at
http://manufacturing.gov/accelerator/index.html for detailed instructions.

35

a) Forms required by all Funding Agencies
Each Funding Agency requires that their respective applicant(s) (the team member(s) eligible
for that Funding Agency’s program) submit a complete set of the following forms specific to
the Scope of Work being proposed to that Funding Agency.16 For example, an Applicant
Team with five Team Members requesting funds will be required to submit five SF-424s-one each to EDA, NIST, DOE, ETA and SBA.
Form SF-424 – Application for Federal Assistance
Form SF-424A – Budget Information- Non-Construction Programs
Form SF-424B – Assurances – Non-Construction Programs
Form SF-LLL – Disclosure of Lobbying Activities, if applicable. Applicants may
be required to provide certain lobbying information using Form SF-LLL, and to
submit to a background screening using Form CD-346 (for more information on
Form CD-346, see section V.C.3). Please note that, if applicable, one Form SFLLL must be submitted for each applicant that has used or plans to use nonFederal funds for lobbying in connection with a covered Federal transaction.
b) Form required by both EDA and NIST
Each applicant to EDA and NIST is required to submit the following form at the time of
application submission, in addition to the forms listed under section V.C.1.a.
Form CD-511 – Certification Regarding Lobbying
c) Form required by EDA only
EDA applicants must submit the following form at the time of application, in addition to the
forms listed under sections V.C.1.a and V.C.1.b.
Form ED-900 – EDA Application for Investment Assistance. The applicant
should disregard the statement in the “Note on EDA’s Application Process” that
advises applicants that EDA will request the listed materials only after a project
has been determined to “merit further consideration.” All sections listed below
must be complete at the time of application submission.
The first page of section A of Form ED-900 contains a list of all EDA programs along with the
relevant sections that must be completed to apply under each. For purposes of this FFO,
sections, A, B, E, K, M, N and Exhibit C of Form ED-900 must be completed. For any
question in Form ED-900 that can be answered through reference to other parts of the
application (for example, the Proposal), the applicant may reference the specific part of the
application where the answer can be found, including the specific page number, as applicable.
The following special instructions apply for Form ED-900:

16

Form ED-900 Question/Section

Special Instruction

Questions A.2, A.4, and A.6.

Enter “See Proposal” and reference the relevant pages.

Co-applicants for EDA funding should submit a set of forms for each applicant.

36

Form ED-900 Question/Section

Special Instruction

Question E.3.

Enter “See Resumes of Key Personnel.”

Section K.

Select “no” in response to the question “Are you
applying for a Strategy Grant under 13 C.F.R. §
307.3?”

Exhibit C.

Each applicant must submit Exhibit C. To submit
additional copies of Exhibit C, please print out Exhibit
C, complete it, and upload it as an attachment to the
application package.

d)

Forms Required by DOE
For applications requesting DOE funding where a DOE FFRDC contractor is to
perform a portion of the work, you must provide a DOE Field Work Proposal
(FWP) in accordance with the requirements in DOE Order 412.1 Work
Authorization System. The DOE Order 412.1, Work Authorization System and the
DOE O 412.1, Field Work Proposal Form are available at the following link,
under “DOE Budget Forms”: http://energy.gov/management/officemanagement/operational-management/financial-assistance/financial-assistanceforms.
For activities planned to be funded with DOE funds, the applicant must justify the
costs proposed in each Object Class Category/Cost Classification category using
the PMC 123.1 Budget Justification Form. This form can be obtained at
https://www.eere-pmc.energy.gov/Forms.aspx.

2.

Proposal Content

The Proposal must clearly articulate the overall goals of the project, the specific and distinct
Scopes of Work and concrete activities that will be accomplished under awards from each
Funding Agency, and the anticipated outcomes that these activities are expected to yield. The
Proposal must also demonstrate each applicant’s capability to implement the proposed activities
in accordance with the requirements of this FFO. Together, the Scopes of Work should aim to
achieve the common objectives outlined in section I.A. Applications will be evaluated based on
the Evaluation Criteria outlined in section VI.A. Applicants should carefully adhere to any
page limits for each section of the proposal. Pages beyond the specified page limit for each
section will not be read or considered.
A complete Proposal must include the following components:
a) Executive Summary:
The Executive Summary should serve as a high-level summary of the proposed project,
including the overall goals and objectives that will be advanced, and must include a short
summary of the distinct Scopes of Work that will be supported by each Funding Agency.
Executive Summaries of proposals may be made public in the form originally submitted;
therefore, applicants should not include proprietary, confidential commercial/business, or
personally identifiable information in the Executive Summary. The Executive Summary
37

may not exceed two pages double-spaced 8.5x11-inch pages with 12-point font and 1-inch
margins. The Executive Summary must include the following information:
The project name;
The organizations composing the Applicant Team;
The identified region and cluster;
A summary of the integrated project and project objectives;
A brief description of the Scopes of Work to be funded and associated funding by
each funding source;
A summary of the associated performance measures; and,
A summary of how the innovation and job creation capacity of the targeted cluster
will be improved and regional economic strength will be increased.
b) Project Narrative:
The Project Narrative should provide a detailed description of all activities that will be
undertaken using each source of funds requested under this FFO, a summary of how these
activities support the overall project’s goals, and a clear data-driven overview of anticipated
impacts for each Funding Agency. The Project Narrative may not exceed 40 double-spaced
8.5x11-inch pages with 12-point font and 1-inch margins. Within the Project Narrative,
applicants should address all of the following evaluation criteria, which are set forth more fully
in section VI.A:
1. Overview of Region and Cluster
2. Integrated Project Concept
3. Agency-Specific Scopes of Work
a. Enhancing Cluster Networks and Regional Assets (funded by EDA)
b. Assisting SMEs (funded by NIST if an MEP Center is included in the applicant team)
c. Reducing Technical Risk (funded by DOE)
d. Building a Highly-Skilled and Diverse Workforce (funded by DOL)
e. Assisting Entrepreneurial Development in Disadvantaged/Underserved Communities
(funded by SBA)
4. Soundness of Approach
5. Project Impact and Measurable Outcomes
6. Sustainability of Project Outcomes
See section VI.A for narrative requirements and the evaluation criteria. Applicants may include
a map delineating the region at the end of the Project Narrative, which will not count towards the
40 page limit. Any Project Narrative text beyond the specified page limit will not be read or
considered. Applicants must consecutively number the pages of the Project Narrative, beginning
with page number one. The Project Narrative should be submitted as one PDF file, and only one
Project Narrative should be submitted per application.
38

c) Integrated Work Plan:
Applicants must document the major proposed activities, anticipated completion date of the
activities, and outcomes as a result of the activities in an Integrated Work Plan (IWP). A
suggested template for the IWP can be found in Attachment A to this FFO. Information for
objectives, resources/inputs, and activities should mirror the Agency-specific Scopes of Work.
Attachment A and section VI.A. provide instructions and further information on how to
complete the IWP. Only one IWP should be submitted with the application.
d) Budget Description (by Funding Agency):
A separate budget narrative must be created and submitted to support the Scope of
Work for each separate Funding Agency, and each narrative must provide a description
of the costs associated with each line item on each Form SF-424A over the project period.
Supporting documentation listing the components of these categories must be included. The
budget should be dated: Year 1, Year 2, Year 3, and Multi-year Total, as applicable. The
budget narrative should include a personnel plan listing all positions proposed to be charged to
the project whether as federal or non-federal costs, for each of the three years of the project
period. The personnel plan must include the position titles, salaries, percentage of time
dedicated to the project, and amount of salary charged to the project for each staff member
assigned to the project. The sum of all salaries charged to the project must equal the amount
on the “Personnel” budget line item on Form SF-424A. The personnel plan should provide a
description of how the personnel will carry out the proposed plan, including the adequacy and
previous performance of the proposed team to carry out project activities.
3.

Addenda to the Proposal

Applicants must also submit the following Addenda to the Proposal in PDF format. Applications
that do not include the required Addenda may be considered incomplete and/or non-responsive
and not be reviewed.
a) Résumés of Key Personnel (by Funding Agency) – required:
Applicants must attach the résumés of key project staff for each Scope of Work, which should
not exceed two pages in length (per résumé). Applicants also should provide a two-page
summary description of all personnel and contractors named in the application. Resumes
should be compiled and uploaded together as one PDF file.
b) Cluster Leadership:
Applicants should describe any existing or planned supporting structure for the targeted cluster,
identifying, as applicable: any intermediaries or other institutions supporting the cluster; the
targeted cluster’s leadership such as the director/administrator/group that is responsible for the
overall administration of the cluster; and, all associates or related personnel who report to the
cluster administrator. As applicable, applicants should provide an organizational chart
reflecting the cluster’s management structure and describe the targeted cluster’s governance
structure, identifying by name, position/title, and organization(s) each member of any Board of
Advisors, Steering Committee, or other similar governing body.
c) Verification of Matching Funds/Cost Share – required (EDA and DOE):
Each EDA applicant must provide a commitment letter from each identified prospective
matching share source. Each signed letter should include a short description of the matching
39

share source, type, availability, and amount of the matching share. A matching share letter
may not exceed one page, and information beyond this length will not be considered. See
section IV.A. for more information on the matching share requirement for EDA funding.
Each DOE applicant must have a letter from each third party contributing cost share (i.e., a
party other than those organizations constituting the Applicant Team) stating that the third
party is committed to providing a specific minimum dollar amount of cost share. The letter
must identify the following information for each third party contributing cost share: (1) the
name of the organization; (2) the proposed dollar amount to be provided; (3) the amount as a
percentage of the total project cost; and, (4) the proposed type of cost share – cash, services, or
property.
d) Applicant Team Agreement:
If more than one organization is applying for funds under this FFO, the Applicant Team must
provide a copy of a written agreement signed by the authorized representative of each Team
Member that reflects a binding commitment to undertake the proposed project, the respective
scopes of work, and perform the duties, roles, and responsibilities identified in the Project
Narrative. The Agreement must include the project title and list each applicant and the source
of funds for which they are applying. The Agreement should also identify a designated point
of contact for the Applicant Team.
e) Facilities and Administrative or Indirect Cost Rate Agreement (by Funding
Agency):
For EDA, NIST, DOE and SBA: If indirect costs (also known as facilities and administrative
costs) are included in the proposed budget, provide a copy of the approved cost rate agreement
that was negotiated with the Team Member’s cognizant Federal Agency. If there is no
negotiated rate agreement, provide a statement to this effect. Selected applicants with
budgeted indirect costs will be required to obtain such an agreement.
In the interest of maximizing program delivery, applicants are strongly encouraged to direct the
majority of funding received under this FFO to program implementation rather than to facilities
and administrative costs.
Additional information on indirect cost requirements for EDA and NIST can be found in the
DOC Pre-Award Notification Requirements for Grants and Cooperative Agreements (73 FR
7696 at 7699, February 11, 2008).
For more information on establishing a facilities and administrative cost rate agreement with
DOE, see Form PMC 400.2, Sample Rate Proposal at https://www.eerepmc.energy.gov/Forms.aspx.
For more information on ETA’s indirect cost requirements, see section IV.D. 6.a of this FFO.
f)
Comprehensive Economic Development Strategy – required (EDA):
Applications for EDA assistance must be consistent with the region’s Comprehensive
Economic Development Strategy (CEDS) or alternate EDA-approved economic development
strategic planning document. See section A.3 of Form ED-900, which requires applicants to
identify the relevant plan. If EDA does not already have the applicable plan, the applicant
40

must provide a copy of the plan or a functioning hyperlink to where the plan can be found
online. In addition, the applicant may be required to obtain a letter from the organization that
developed the plan certifying that the proposed project is consistent with the strategy. If you
have questions regarding this requirement, contact the appropriate EDA Regional Office
representative listed in Appendix C.
g) Additional Requirements for Non-Profit Organizations – required (EDA):
In addition to all applicable items listed above, EDA applicants that are non-profit
organizations must submit the following:
A certificate of good standing from the State of its incorporation;
A copy of the organization’s Articles of Incorporation and By-Laws;
A copy of the most recent (not older than 18 months) IRS Form 990 (Return of
Organization Exempt from Income Tax) (without attachments or schedules); and
A resolution (or letter) from a general purpose subdivision of a government of a
State, acknowledging that the organization is acting in cooperation with officials
of that unit of government.
Key individuals of non-profit applicants will be required to complete an individual background
screening using Form CD-346 (Applicant for Funding Assistance) before an award is made.17
In general, key individuals may include the executive director, project manager, chief financial
manager, and any other person or entity with authority to speak for and/or commit the
organization in the management of an award and/or expend funds. Please note that this form is
not required for a complete application and EDA will request it when necessary.
h) Additional Requirements for Projects with Equipment Costs - required (EDA):
For projects funded by EDA that include equipment costs, a list of the equipment to be
purchased or used in the project, its intended use (including percentage of time the equipment
is expected to be in use), useful life, and the estimated unit cost is required. In addition, if the
equipment requires a new air, water, or sewer permit or construction activities in order to be
installed at the project site, the following are also required:
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).
Letters of commitment and assurances of compliance (Exhibit A to Form ED900) from beneficiaries of the proposed project identified in section B.5. of Form
ED-900 as providing the economic justification for the proposed project.
Comments from the metropolitan area review/clearinghouse agency, if
applicable. If the comment period has not expired or comments were not
17

EDA may require Form CD-346 from other types of applicants as well and will so inform the applicant.
Individual background screening requirements are described in the Department of Commerce Pre-Award
Notification Requirements for Grants and Cooperative Agreements, 73 Fed. Reg.FR 7696, at 7697 (Feb. 11, 2008),
as updated in the Department of Commerce Grants Manual,
http://www.osec.doc.gov/oam/grants_management/policy/doc_grants_manual/documents/Ch21_020210.pdf.

41

received, a copy of the applicant’s request for comments is sufficient (see section
M.1. of Form ED-900); however, in that instance, the final determination will be
required prior to award.
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 Appendix A (Applicant’s Certification Clause) to the environmental
narrative signed by each co-applicant, as applicable.
Copies of any existing correspondence with and sign-offs/approvals from
other agencies with respect to the project, such as approvals from the U.S. Army
Corps of Engineers, the U.S. Fish and Wildlife Service, or a State or Tribal
Historic Preservation Officer. Please note that applicants are not required to
submit all required sign-offs/approvals by the application deadline for an
application to be considered complete. If the EDA subsequently determines that
sign-offs/approvals 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 EDA Regional Office representative
listed in Appendix C of this FFO.
Copies of any other environmental studies that have already been completed
for the project site, if available.
i)
Additional DOE Requirements:
If selected for award, DOE reserves the right to request additional or clarifying information for
any reason deemed necessary, including, but not limited to:
Other budget information;
Name and phone number of the Designated Responsible Employee for complying
with national policies prohibiting discrimination (See 10 C.F.R. 1040.5);
Representation of Limited Rights Data and Restricted Software, if applicable;
and,
Environmental Questionnaire.
D.

Application Submission Requirements

An applicant may obtain the appropriate application package electronically at Grants.gov. 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. Electronic files
must be submitted in PDF format. Please limit the total application size, including all
attachments or addenda, to 50MB. The Funding Agencies recommend that large files are
compressed and that large items within documents (such as maps or images) are removed. Files
over 50MB may not transfer correctly and could impact the ability to fully review all materials.
Please note: the EDA applicant must submit the application package on behalf of the
42

Applicant Team. The EDA applicant must complete the Grants.gov registration process to
submit applications through Grants.gov; however, please note that registration is not required for
an applicant to access, view, or download the application packages.
1.

Electronic Submission via Grants.gov

Applications must be submitted through Grants.gov. Applicants should not wait until the
application closing date to begin the registration and submission process. In order to submit an
application through Grants.gov, applicants first must register for a Grants.gov user ID and
password. Note that this registration process can take between three to five business days
or as long as two weeks if all steps are not completed in a timely manner (see
http://www.grants.gov/applicants/get_registered.jsp). Applicants should register as
organizations, not as individuals. Please note that organizations already registered with
Grants.gov do not need to re-register; however, all registered organizations must keep their
Central Contractor Registration (CCR) database registration up-to-date and must designate the
person submitting the application on behalf of the organization as an Authorized Organizational
Representative (AOR). See the following discussion of AOR requirements in this section.
An application that is not validated and time-stamped by Grants.gov by the applicable deadline
will not be processed.
Applicants need to be aware that once an application is submitted, it undergoes a validation
process through Grants.gov in which the application may be accepted or rejected by the system.
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 the Funding Agencies for review.
The applicant must correct the error before Grants.gov will accept and validate the application.
The Funding Agencies will not accept late applications that were rejected by Grants.gov due to
errors. Accordingly, the Funding Agencies strongly suggest that applicants submit their
applications at least four to five days before the application deadline to allow the
application to be accepted and validated by Grants.gov and to allow time for potential
errors to be identified corrected. The Funding Agencies will consider the time-stamp on the
validation from Grants.gov as the official submission time.
AOR requirement. Applicants must register as organizations, not as individuals, and must
register at least one Authorized Organizational Representative (AOR) for your organization.
AORs registered at Grants.gov are the only officials with the authority to submit applications via
Grants.gov. If the application is submitted to Grants.gov by anyone other than your
organization’s AOR, it will be rejected by Grants.gov and cannot be considered. Please note: an
Applicant Team must submit its application package using the registered AOR for the
organization applying for EDA funds.
The Funding Agencies will not accept submissions that are late because of Grants.gov
registration issues, including CCR and AOR issues.
The following instructions provide step-by-step instructions for accessing, completing, and
submitting an application via Grants.gov. Save the application package at regular intervals to
avoid losing work.
43

Navigate to the URL http://www.grants.gov.
Select “Apply for Grants” from the left-hand menu at Grants.gov.
Ensure that you have installed a Grants.gov compatible version of Adobe Acrobat
Reader on your computer. Incompatible versions of Adobe Acrobat Reader
may cause errors. (To check to see if your version of Adobe Acrobat is
compatible, go to
http://www.grants.gov/applicants/AdobeVersioningTestOnly.jsp.)
Select the link “Download a Grant Application” package.
Enter “JIAC2012AM” as the Funding Opportunity Number and click on
“Download Package.”
Click on the “Download” link.
Click on “Download Application Package.”
Save the application package to your computer or network drive. Note that the
application package file can be shared among multiple users; however, each user
must have a Grants.gov compatible version of Adobe Acrobat Reader installed in
order to save changes to the application package.
Click on each of the documents in the “Mandatory Documents” box and, after
selecting each one, click on the arrow to move these into the “Mandatory
Documents for Submission” box.
In the “Optional Documents” box, click on Form SF-LLL if non-Federal funds
have been or are planned to be used for lobbying in connection with a covered
Federal transaction, including this FFO and then move this to the “Optional
Documents for Submission” box. Also click on “Attachments” and move this to
the “Optional Documents for Submission” box. The Attachments Form also
allows applicants to attach the Proposal documents, forms, and other documents
required as addenda under this competition.
The application package should pre-populate with all selected forms embedded.
Complete all mandatory fields (highlighted in yellow) on the forms. Note that
mandatory fields will vary based on the type of applicant and the type of
assistance sought. On Form CD-511, type “not awarded yet” in the “project
number” field.
Attach the Proposal documents and other required forms and addenda. Note, the
mandatory SBA forms can be found on the “Full Announcement” tab, and must
be included as attachments to the application. The required electronic file format
for any attachments is PDF.
When all mandatory fields have been completed, scroll to the top and click on
“Check Package for Errors.”
Click “Save.”
Click “Save and Submit.” At this point, the registered AOR for the EDA
applicant must be connected to the Internet and will be prompted to enter the
44

appropriate Grants.gov user id and password in order to electronically submit the
application.
Verify submission was successful. Applicants should save and print written proof of an
electronic submission made at Grants.gov. Applicants can expect to receive multiple emails
regarding the status of their submission. Since email communication can be unreliable,
applicants must proactively check on the status of their application if they do not receive email
notifications within a day of submission. The first email should confirm receipt of the
application, and the second should indicate that the application has either been successfully
validated by the system before transmission to the Funding Agencies or has been rejected due to
errors. Please note that it can take up to two business days after Grants.gov receives an
application for applicants to receive email notification of an error. An applicant will receive
a third email once EDA has retrieved an application from Grants.gov.
Applicants should refrain from submitting multiple copies of the same application package.
Applicants should save and print both the submitted application confirmation screen provided on
Grants.gov, and the confirmation email sent by Grants.gov when the application has been
successfully received and validated in the system. If an applicant receives an email from
Grants.gov indicating that the application was received and subsequently validated, but does not
receive an email from Grants.gov indicating that EDA has retrieved the application package
within 72 hours of that email, the applicant may contact the appropriate person listed in
Appendix C. of this FFO to inquire if EDA received the submission.
It is the applicant’s responsibility to verify that its submission was received and validated
successfully at Grants.gov. To see the date and time your application was received, log on to
Grants.gov and click on the “Track My Application” link from the left-hand menu. For a
successful submission, the application must be received and validated by Grants.gov, and an
agency tracking number assigned. If your application has a status of “Received” it is awaiting
validation by Grants.gov. Once validation is complete, the status will change to “Validated” or
“Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been
received successfully. Some of the reasons Grants.gov may reject an application can be found at
http://www.grants.gov/applicants/submit_application_faqs.jsp.
Systems issues. If you experience a Grants.gov “systems issue” (technical problems or glitches
with the Grants.gov website) that you believe threatens your ability to complete a submission,
please (a) print any error message received and (b) call the Grants.gov Contact Center at 1 800518-4726 for immediate assistance. Ensure that you obtain a case number regarding your
communications with Grants.gov. Please note: problems with an applicant organization’s
computer system or equipment are not considered “systems issues.” Similarly, an applicant’s
failure to (a) complete the registration, (b) ensure that a registered AOR with the EDA applicant
submits the application, or (c) notice receipt of an email message from Grants.gov, are not
considered systems issues. A Grants.gov “systems issue” is an issue occurring in connection
with the operations of Grants.gov itself, such as the temporary loss of service by Grants.gov due
to an unexpected volume of traffic or failure of information technology systems, both of which
are highly unlikely.
Applicants should access the following link for assistance in navigating Grants.gov and for a list
of useful resources: http://www.grants.gov/help/help.jsp. Also, the following link lists
45

frequently asked questions (FAQs): www.grants.gov/applicants/submit_application_faqs.jsp. If
you do not find an answer to your question under the “Applicant FAQs,” try consulting the
“Applicant User Guide” or contacting Grants.gov via email at [email protected] or telephone
at 1 800-518-4726. The Grants.gov Contact Center is open 24 hours a day, seven days a week.
2.

Withdrawal of Applications

Applications may be withdrawn by written notice from the designated point of contact at any
time before an award is made. Please make the written request to [email protected].
VI.

Application Review Information

Applications received in response to this FFO will be reviewed and selected in accordance with
the following process. Throughout the review and selection process, the Funding Agencies, with
the exception of DOL, reserve the right to seek clarification in writing from applicants whose
applications are being reviewed and considered. Applicants may be asked to clarify objectives
and work plans, modify budgets or other specifics necessary to comply with Federal
requirements, or provide required supplemental information.
A.

Project Narrative Requirements and Evaluation Criteria

The following sections describe the requirements for the Project Narrative and the evaluation
criteria. Applications will be evaluated based on their ability to satisfy the core evaluation
criteria listed, with each criterion assigned the points indicated.
Overview of Region and Cluster: 5 points
Integrated Project Concept: 10 points
Agency-Specific Scopes of Work: 50 points total
o Enhancing Cluster Networks and Regional Assets—funded by EDA: 10
points
o Assistance for SMEs—funded by NIST MEP: 10 points (This section must be
included in all applications but will only receive funding from NIST MEP if
an MEP Center is a member of the applicant team.)
o Reducing Technical Risk—funded by DOE: 10 points
o Building a Highly-Skilled and Diverse Workforce—funded by ETA: 10 points
o Assisting Entrepreneurial Development in Disadvantaged/Underserved
Communities—funded by SBA: 10 points
Soundness of Approach: 10 points
Project Impact and Measurable Outcomes: 15 points
Sustainability of Project Outcomes: 10 points

46

1.

Overview of Region and Cluster (5 points)

Present a compelling description of the economic ecosystem of the region and the specific cluster
that will be targeted by the proposed project. The applicant must describe the advanced
manufacturing capabilities, networks, and assets that contribute to the region’s competitiveness
and potential for growth.
a) Overview of Region and Cluster – Narrative Elements:
For this Project Narrative section, the application must:
i.

Clearly describe the geographic region of the proposed project. Regions may be
single or multi-jurisdictional areas. Applicants have the flexibility to define their
region based on quantitative and qualitative information about where and how the
targeted cluster operates.18 The region description should include the location of
project recipients for the scopes of work. Applicants should provide information
about areas and/or sectors of economic distress.

ii.

Demonstrate that the region possesses unique assets to support the cluster, has a
competitive advantage in the identified industry, and identify any specific economic
gaps and opportunities for growth, including significant potential to cultivate new
jobs and the existence of institutions with programs focused on the skill needs of the
industry cluster. Applicants should include evidence of a concentration of firms in
the identified industry sector, available industry-specific infrastructure that supports
the cluster, and leadership at the regional level capable of organizing and
coordinating a region-wide initiative. Identify any entity that provides leadership or
coordination for the targeted industry cluster, and describe its membership,
organization, and role.

iii.

Demonstrate that the targeted cluster has a significant advanced manufacturing focus
as evidenced by regional efforts to develop and demonstrate industrially-relevant
advanced manufacturing research or a concentration of firms engaged in advanced
manufacturing (as described in section I.A.). The applicant should identify
technological needs and opportunities as well as the existing manufacturing
capabilities and gaps in the cluster. Identify how the project contributes to advancing
the nation’s capacity in advanced manufacturing and develops assets that are difficult
for competitors to imitate or appropriate.

iv.

Describe existing regional partnerships that are directly engaged in supporting the
targeted cluster, including a discussion of the extent of participation and effectiveness
of:
Private sector leadership and significant participation in cluster activities;
Any and all cluster intermediary organizations, such as an economic development
organization, Workforce Investment Board, business incubator or accelerator,
chamber of commerce, or a university-based consortium;

18

Regions can be non-contiguous (e.g., cluster “anchor” in one region with networked assets such as research
partnerships with Federal labs or supply chain linkages in other regions).

47

Universities, Federally funded labs, or privately funded research and development
centers;
Federally funded programs or centers, such as a Small Business Development
Center, and Preferred Sustainability Status holders within the Partnership for
Sustainable Communities;
Venture development organizations, venture capital firms, revolving loan funders,
angel investment groups, community lenders, community development financial
institutions, and other institutions focused on expanding access to capital;
Local and municipal governments, workforce development entities, communities
colleges, and community-based organizations; and
Private foundations focused on economic or community development, science,
business, and innovation.
b) Overview of Region and Cluster – Evaluation Criteria:
Applications will be evaluated in this section based on:
i.

Thoroughness and clarity of the description of the cluster and region of the proposed
project through narrative and data;

ii.

Concentration of manufacturers that currently, or have the potential to, utilize advanced
manufacturing;

iii.

Uniqueness of advanced manufacturing capabilities and assets to support the cluster,
including having a competitive advantage in the identified industry, and the potential to
make significant contributions to the nation’s capacity in advanced manufacturing;

iv.

Significance of the identified manufacturing capability gaps and cluster needs, including
opportunities for growing companies and jobs or deploying advanced manufacturing
technologies in the targeted cluster;

v.

Strength of existing cluster partnerships and amount of active involvement by partners in
cluster development and convening activities; and

vi.

Potential to cultivate high-quality job growth, domestic production, and business and
export opportunities.

2.

Integrated Project Concept (10 points)

Applicants must provide a coherent, comprehensive, and sound Integrated Project Concept
articulating the objectives of the overall project and detailing how each Scope of Work will be
complementary and support the overall Advanced Manufacturing Jobs Accelerator goals. The
Integrated Project Concept must be a narrative summary and must fully integrate the
requirements and opportunities specified by EDA, NIST, DOE, ETA, and SBA to reach the
objectives of this FFO. Moreover, the Integrated Project Concept should demonstrate the
Applicant Team’s complete understanding of all responsibilities and costs required to implement
each phase of the project within the timeframe of the individual Funding Agency performance
period.

48

a) Integrated Project Concept – Narrative Elements:
The narrative response must:
i.

Present how the applicant, by leveraging multiple resources, intends to meet project
objectives and the overall objectives of the FFO, address identified needs, and
capitalize on opportunities;

ii.

Clearly express how the proposed Agency-specific scopes of work will complement
one another and support the accelerated development and deployment of advanced
manufacturing technologies, leading to growth of the targeted cluster; and,

iii.

Describe how the project will promote the growth of companies within the cluster
through advanced manufacturing, including how the cluster will foster job creation.

b) Integrated Project Concept – Evaluation Criteria:
This section of the Project Narrative will be evaluated based on:

3.

i.

The degree to which the proposed concept leverages multiple resources and integrates
complementary Scopes of Work to meet the goals and objectives of the FFO;

ii.

Strength and likelihood of the concept to address the identified cluster needs and
opportunities;

iii.

Strength and likelihood that the concept will accelerate development and deployment
of advanced manufacturing technologies; and

iv.

Strength and likelihood that the concept will grow the cluster, create businesses,
foster job creation, and train high-skilled workers to fill new job openings.
Agency-Specific Scopes of Work (50 points total)

The Project Narrative should clearly delineate Scope of Work for each Funding Agency. In
developing the individual Scopes of Work, Applicants should clearly tie their activities to the
measurable outputs and outcomes that they include in the IWP within these four areas:
Project Outputs/Outcomes: This may include measures of the number of
organizations actively engaged, number and nature of services offered that
strengthen the cluster’s capabilities in advanced manufacturing; research
breakthroughs leveraged, and increased technological readiness for
commercialization.
Business Outcome Impacts: This may include measures of new businesses
formed, businesses directly impacted and assisted, growth in revenue overall and
share from exports by partner businesses, and reduction in energy use and costs
by partner businesses.
Number and Quality of Jobs: This may include number of jobs created and
retained as a direct result of funding from one or more of the Funding Partners.
Anticipated jobs should be reported as full time equivalent (FTE) or equivalents

49

which are annualized for the entire project period.19 The expected quality of the
jobs created and retained can be demonstrated through a discussion of the level of
wages, skills, etc. of the jobs.
Investment (number and amount): This may include measures of private
investment leveraged, direct investment generated from domestic and foreign
sources, and new equity investments or loans in cluster partner firms.
The following sections (a-e) describe the Project Narrative requirements and evaluation criteria
for the individual Scopes of Work funded by each Funding Agency.
a) Enhancing Cluster Networks and Regional Assets – funded by EDA (10 points)
The applicant must demonstrate how it will utilize EDA funds to help distressed regions build
on existing assets in an identified cluster that employs or has the potential to employ advanced
manufacturing. Applicants must indicate how the assets will be leveraged to enhance the
competitive environment for manufacturing firms in the region to establish themselves and
grow; incorporate advanced processes; increase productivity and exports; encourage foreign
direct investment; and create, repatriate and retain jobs.
(1) Enhancing Cluster Networks and Regional Assets – Narrative Elements:
The narrative response must:
i.

Describe the proposed Scope of Work to be implemented by the Applicant, including
the specific activities that will be undertaken and the anticipated completion date of
each major activity in narrative form;

ii.

Discuss how the proposed activity will directly affect the region or geographic
subdivision that meets the economic distress criteria listed in section IV.A.2. of this
FFO;

iii.

Describe how the proposed Scope of Work will help distressed regions build on
existing assets in an identified cluster that employs or has the potential to employ
advanced manufacturing to enhance the competitive environment for advanced
manufacturing firms to establish and grow;

iv.

Describe how the proposed Scope of Work is anticipated to contribute to the region’s
economic development, including the creation/retention of jobs and the project’s
ability to leverage private investment;

v.

Explain how the proposed Scope of Work will address an identified need or
opportunity to meet project objectives, including supporting innovation and
promoting the repatriation of jobs back to the U.S., increasing exports, and attracting
foreign direct investment; and

vi.

Explain how the Scope of Work will implement applicable goals, objectives, or
actions identified in a Comprehensive Economic Development Strategy (CEDS) or
other EDA approved regional strategic plan.

19

For purposes of determining outcomes, applicants should consider FTE employees as those who work a total of
40-hours per week, or 2080 hours per year. Part time jobs can be converted to FTE by summing the total part time
hours worked per week and dividing by the hourly work week for full-time employees, or 40 hours.

50

(2) Enhancing Cluster Networks and Regional Assets – Evaluation Criteria:
Applications will be evaluated based on the extent to which the proposed Scope of Work:
i.

Assists the distressed region that is the basis for eligibility, as described in section
IV.A.2. of this FFO;

ii.

Builds on existing regional assets;

iii.

Addresses an identified need or opportunity to achieve the objectives set forth in this
FFO, including supporting advanced manufacturing, promoting the repatriation of
jobs back to the U.S., increasing exports, and attracting foreign direct investment;

iv.

Demonstrates the project’s potential to foster job creation/retention and promote
private investment in the regional economy; and

v.

Implements goals, objectives or actions identified in a CEDS or regional strategic
plan.

b) Assisting SMEs – funded by NIST MEP (10 points)
This section must be included in all applications, but the applicants will only receive funding
from NIST MEP if an MEP Center is a member of the applicant team.
(1) Assisting SMEs – Narrative Elements:
Applicants should clearly identify the proposed activities for assisting SMEs and describe how
the proposed activities will advance the overall cluster effort: gathering and disseminating
market intelligence, industry trends, and data about advanced manufacturing to support
planning and strategy development for the cluster; outreach to existing manufacturing firms,
engaging advanced manufacturing activities in the region for their involvement in cluster
initiatives (particularly small and medium sized manufacturers); provision of innovation and
growth services, technical assistance such as technology acceleration, supplier development,
sustainability, exporting, workforce and continuous improvement services to manufacturing
companies engaging advanced manufacturing activities in targeted clusters; and tracking of
performance measures (e.g. jobs created/retained, sales increased or retained, cost savings, new
sales, new investments, sales to new customers and/or penetration in new markets, sales from
new products, commercialization of advanced manufacturing products, adoption of advanced
manufacturing technologies and processes by manufacturers).
(2) Assisting SMEs – Evaluation Criteria:
This section of the application will be evaluated based on the extent to which the applicant
clearly explains the specific activities the project proposes to:
i.

Assist manufacturing firms in adopting advanced manufacturing practices and
technologies;

ii.

Improve the competitiveness of the manufacturing industry in the existing cluster by
utilizing training, advanced manufacturing tools and processes;

iii.

Articulate how the technology assets in the region will be developed and deployed to
support innovation and growth of SMEs in the cluster, including energy efficiency
and tech transfer of environmentally focused material;
51

iv.

Explain how the proposed activities of the MEP Center (or other engaged
organization) will support job creation through the integrated work plan to address the
identified needs or opportunities for SMEs in the cluster; and,

v.

Demonstrate that the MEP Center (or other engaged organization) has the capacity
and expertise to provide the activities in the Scope of Work.

c) Reducing Technical Risk - Funded by DOE (10 points)
The applicant must demonstrate how they will utilize DOE funds to: bring advanced
manufacturing technologies to existing industries to make them globally competitive, energyefficient, and low cost; or foster new manufacturing industries that are transformational, crosscutting, and create new products or advanced manufacturing processes, tools, sensors, and
controls.
(1) Reducing Technical Risk – Narrative Elements:
The narrative response must:
i.

Present a list of candidate technologies or technology areas that will be the focus of
the proposed work and describe the significance of the technical opportunity;

ii.

Describe the proposed Scope of Work, presenting a clear technical approach that will
accelerate development or deployment of advanced manufacturing processes and
techniques or advanced materials;

iii.

Include a clear, concise description of all activities to be completed during the project
period (for R&D projects, the applicant must provide a clear process for selecting
which projects to fund);

iv.

Explain how the Scope of Work will address the identified advanced manufacturing
and technological needs and opportunities of the cluster industry;

v.

Outline cost shares and strategies for managing intellectual property; and,

vi.

Describe how the proposed use of DOE funds effectively leverages existing DOE
resources including, but not limited to, Industrial Assessment Centers, Better Plants
program, National Labs, and State Energy Offices.

(2) Reducing Technical Risk – Evaluation Criteria:
Applications will be evaluated based on:
i.

Significance of identified candidate technologies or technology areas for future U.S.
competitiveness;

ii.

Technical understanding of the identified candidate technologies;

iii.

Adequacy of the proposed technical approach and activities to accelerate
development and deployment of advanced manufacturing technologies;

iv.

If applicable, strength of the methodology for selecting and prioritizing RD&D work
that will be funded by the cluster and/or supported in regional facilities;

v.

If necessary, adequacy of plans to balance the intellectual property interests of
stakeholders with the need to deploy technologies to the market quickly; and,
52

vi.

Strength of the connection to existing DOE or Federal programs and the ability to
leverage or integrate existing state funding and support or engage state involvement.

d) Building a Highly-Skilled and Diverse Workforce - Funded by ETA (10 points)
The applicant must demonstrate how it will utilize ETA funds to provide training and
education that will raise the technical skill levels of American workers so they can obtain or
upgrade employment in high-growth industries and/or occupations.
(1) Building a Highly-Skilled and Diverse Workforce – Narrative Elements:
The application will be evaluated based on the capacity of the proposed ETA Scope of Work to
result in measurable and attributable outcomes based on the specific activities. Applicants
should present a comprehensive program plan that demonstrates the applicant’s understanding
of all the workforce needs in the identified industry(ies) and/or occupation(s) in the region and
cluster targeted by the project, the needs of participants, and how the proposed training
programs and strategies address these needs.
i.

Identify the high-growth industry(ies) and/or occupation(s) in the advanced
manufacturing sector targeted by the project, citing evidence that the industry and/or
occupation is one for which employers currently seek H-1B visas and/or is an
occupation(s) along the career pathway to the occupation or in the relevant industry;

ii.

Describe the current and future workforce needed by the identified cluster, including
the skills and/or credentials necessary for entry into or retention in the industry(ies)
and/or occupation(s); describe the education and training required to attain these
competencies;

iii.

Describe the targeted population, including: 1) the demographic characteristics of the
population including education and work experience; 2) the reason for targeting the
population; and 3) the recruitment strategies that will be used to attract sufficient
number of participants to the training program and any strategies for recruiting
participants from historically underrepresented and excluded communities in the
region;

iv.

Describe the proposed training program, including 1) the prerequisites for
occupational training programs; 2) the minimum requirements with respect to
education and work experience; and 3) how these requirements position trainees to
enter occupations for which H-1B visas are currently used and/or into higher levels
along the career pathways of those occupations;

v.

A list of the degrees and credentials that will result from the training programs and
how they fit the specific H-1B occupation(s) or those along the career pathway;

vi.

Describe the training strategy proposed, the proposed project work plan, and a
description of how the applicant and required partners will collaborate to develop and
implement the career training program(s);

vii.

Describe how the proposed project will help participants obtain employment or
advance along the career pathway upon completion of the training program; and,

viii.

Provide outcome projections for individual participants served with grant funds for
those projections in the following suggested format:
53

PROJECTED OUTCOMES
Appendix A:
UNEMPLOYED
PARTICIPANTS

Year 1

Year 2

Year 3

Total

Appendix B:
EMPLOYED
PARTICIPANTS AND
INCUMBENT WORKERS
Year 1

Year 2

Year 3

Total

Total Participants Served

Total Began Receiving
Education/Job Training Activities
Total Completed Education/Job
Training Activities
Number Completed Program
Activities and Obtained a Credential
Average Total Number of
Credentials each Participant
Received
Total Number of Completers who
Entered Unsubsidized Employment
Appendix C:
Total
Number Entered
Unsubsidized TrainingRelated Employment
Appendix D:
Total
Number Who Retain
Unsubsidized
Employment in the 1st
and 2nd Quarters
Appendix E:
Average
Wage at Placement
[Numerator]/[Denominator] =
[Average]

(2) Building a Highly-Skilled and Diverse Workforce– Evaluation Criteria:
The applicant will be evaluated based on whether the Scope of Work and projected outcomes
table fully address the following:
i.

The description of workforce needs includes the use of the average, current wages
offered in the industry cluster based on national, state, or local data;

ii.

The training being provided is for an industry and/or occupation in the advanced
manufacturing sector that qualifies as high-growth according to one or more of the
following factors: 1) it is projected to add substantial numbers of new jobs to the
economy; 2) it is being transformed by technology and innovation requiring new skill
54

sets for workers; 3) it is supporting new and emerging businesses that are projected
to grow; and 4) it will have a significant impact on the economy overall or on the
growth of other industries and occupations;
iii.

The recruitment strategies that will be employed will attract sufficient number of
participants to the training program. Additionally, the applicant will be evaluated
based on any description of strategies for recruiting participants from historically
underrepresented and excluded communities in the region;

iv.

The training program uses a proven, effective model and leads to credentials that are
valued by employers;

v.

The methodology for identifying and recruiting participants that are appropriate for
this training program is strong;

vi.

The training program demonstrates a clear career pathway and will ensure that
workers are moving up and along the career pathways towards higher skills and
wages;

vii.

The participant outcomes projected are adequate, appropriate, and reasonable; and,

viii.

The applicant has a clear commitment from the required employer partner(s) to
contribute to the training project in one or more of the following ways by: defining
the program goals and activities, identifying necessary skills and competencies,
providing resources to support education/training, providing assistance with program
design, and hiring qualified participants.

e) Assisting Entrepreneurial Development in Disadvantaged/Underserved
Communities – Funded by SBA (10 points)
(1) Assisting Entrepreneurial Development in Disadvantaged/Underserved
Communities – Narrative Elements:
i.
Applicants should clearly identify and describe the proposed activities for SBA funds
which may include assistance to 7(j) eligible small businesses such as planning and
research (including feasibility studies and market research), identifying and
developing new business opportunities, furnishing centralized services with regard to
public services and Federal government programs, establishing and strengthening
business service agencies (including trade associations and cooperatives), and
providing business counseling, management training, and legal and other related
services.
ii.

Applicants should also identify and describe their experience providing broad-based
assistance to small business concerns on a regional basis.

iii.

Finally, applicants should present a coherent project that demonstrates the applicant’s
complete understanding of all responsibilities and costs required to implement each
phase of the project within the timeframe of the SBA’s performance period.

(2) Assisting Entrepreneurial Development in Disadvantaged/Underserved
Communities – Evaluation Criteria:
Applications will be evaluated based on the extent to which the applicant:
55

i.

Presents a clear and well-organized Scope of Work for use of SBA funds;

ii.

Explains how proposed activities will address the identified needs or opportunities for
the cluster and reach articulated objectives;

iii.

Identifies and explains the roles of the entity or entities that lead activity development
and implementation;

iv.

Demonstrates that it has the capacity to provide assistance to 7(j) eligible small
businesses;

v.

Articulates how additional inputs and partnerships will be integrated into the project
to help meet objectives;

vi.

Describes how partners will manage the inclusion of historically underrepresented
and excluded communities into the proposed activity; and,

vii.

Demonstrates experience in providing broad-based assistance to small business
concerns on a regional basis.

4.

Soundness of Approach (10 points)

The feasibility and likelihood of success for the overall application will be considered under this
criterion based on the qualifications of the project’s key personnel and resources presented.
a) Soundness of Approach – Narrative Elements:
The narrative response must demonstrate the soundness of the proposed Integrated Project
Concept. The application must:
i.

Identify the lead institutions and key personnel that will oversee the development and
implementation of the five Scopes of Work;

ii.

Describe the relevant prior experience and accomplishments of the lead institutions
and key personnel in accelerating regional development and cluster development or
developing and deploying advanced manufacturing technologies;

iii.

Describe the resources available to support the targeted cluster, including access to
existing production facilities, manufacturing-relevant equipment, instrumentation,
data sources, characterization tools, and facilities;

iv.

Provide a plan for implementing (how and when) the Scopes of Work for the five
Funding Agencies including the individuals and entities that will manage or oversee
activities;

v.

Identify the governance structure of supporting institutions for the targeted cluster
(e.g., governed by a board of advisors, steering committee or other similar body)
including how strategic objectives of the cluster will be defined, how proposed cluster
activities will be managed, and how communication between organizational
management, members, partners, and other stakeholders will be coordinated; and,

vi.

Provide a detailed budget as described in section V.C.2.d.

b) Soundness of Approach – Evaluation Criteria:
Applications will be evaluated in this section based on:
56

i.

Capacity and commitment of the team to carry out the proposed work and achieve
success based on strength of previous experience and accomplishments, especially in
the areas of regional development and cluster development;

ii.

Appropriateness, quality, and availability of any facilities, materials and resources to
be used in implementing the proposed plan;

iii.

Capacity to effectively manage and implement, fiscal, and administrative aspects of
the proposed project;

iv.

Adequacy, appropriateness, and reasonableness of the proposed budget distribution
among the team members to accomplish the stated objective; and,

v.

Adequacy of the proposed implementation plan (how and when) to strengthen the
capabilities of U.S. manufacturing as demonstrated by the anticipated deployment and
incorporation of advanced manufacturing capacity and capabilities within domestic
manufacturing.

5.

Project Impact and Measurable Outcomes (15 points)
a) Project Impact and Measurable Outcomes – Narrative Elements:
Competitive applications will have clearly defined goals and impacts that are aligned with the
objective of this Advanced Manufacturing Jobs Accelerator FFO and adequately address the
elements and sub-elements that comprise the “Project Impact and Measurable Outcomes”
Evaluation Criteria.
Applicants are required to submit an Integrated Work Plan (IWP) as an addendum to their
application (see above at section V.C.2.c of this FFO). The IWP should be one chart that will
capture the combined proposed activities that will be supported by each Funding Agency, the
anticipated dates these activities will be completed, and the anticipated magnitude and nature
of impacts and measurable outcomes of these activities.
Applicants should input details from each Agency-Specific Scope of Work into the IWP (see
the suggested template provided in Appendix A). For each Funding Agency, applicants should
clearly identify each of the proposed activities.
For each activity, applicants should identify:
i.

The timeline for implementation and completion;

ii.

The resources/inputs used in this activity, including any leveraged resources from
other Federally funded activities and partnership networks;

iii.

The measurable program outcome or deliverables over the grant performance period
and the long-term. For example, applicants may consider Agency-specific metrics
such as: number of new businesses created; number of workers trained; increased
cluster cooperation; number of jobs created, etc.; and,

iv.

The methodology and mechanisms for tracking and reporting on these outcomes.

A successful applicant will also include an assessment of the challenge for meeting the targeted
metrics and milestones.
57

Applicants will be expected to utilize the IWP to report quarterly on the project-period
(within the 3 years funding period) outcomes of their activities. In addition, applicants may
utilize the IWP to capture any progress towards long-term (within six years after date of
award) outcomes of these targets that were identified in their Agency-specific project
narratives within the following four areas identified in section VI.A.3 above:
i.

Project Output

ii.

Business Outcome Impacts

iii.

Number and Quality of Jobs

iv.

Investment (number and amount)

Applicants should note that the submitted IWP and associated information will form the basis
by which selected projects will be monitored. Grantees will be required to submit regular
reports to the Funding Agencies which document project progress against the scopes of work,
deadlines, and measures outlined in the IWP. Grantees are encouraged to report progress in a
single unified document that follows the IWP outline and may be submitted to all agencies.
Other reporting requirements for grant recipients are detailed in section VII.E. below and are
identified within the Terms and Conditions of the grant award.
b) Project Impact and Measurable Outcomes – Evaluation Criteria:
The application will be evaluated based on the extent to which the applicant documents and
provides credible evidence through the Scopes of Work and IWP that the proposed activities
will lead to quantifiable impacts that benefit the cluster through advanced manufacturing. In
addition, applications will be evaluated on the extent to which applicants present practical and
clear tracking and reporting mechanisms for outputs and outcomes which are linked to
achieving the objectives identified in this FFO.
These include:

6.

i.

The proposed metrics are relevant to the proposed scopes of work and objects and
address Agency-specific requirements;

ii.

The quality and reasonableness of the proposed metrics and milestones that are
incorporated within the project plan;

iii.

Quality of the methodology presented to capture, report, and track progress against
identified metrics and milestones; and,

iv.

The quality and reasonableness of the proposed metrics and milestones within the
project plan and the use of available data to drive the development of baselines and
projections of overall impacts.
Sustainability of Project Outcomes (10 Points)

Applications will be evaluated in this section based on the extent to which the applicant
demonstrates resources to ensure institutional capacity to support the cluster in the long-term,
demonstrates strong potential to continue to develop the cluster without significant future Federal
funding, and describes how partnerships and leaders in the region have a deep commitment to
58

support and engage the cluster. The applicant should include this information for each activity in
the Scope of Work sections of the Project Narrative, as described in section V.C.2.b of this FFO.
a) Sustainability of Project Outcomes – Narrative Elements:
In this section, the application will describe the sustainability of the proposed project beyond
the project performance period by describing:
i.

Sources of funding or a revenue model which will support the project beyond the
award period, without future Federal funding;

ii.

Plans to promote sustained movement of technologies to the market as well as
continued improvements made by bringing advanced manufacturing technologies into
existing industries beyond the award period;

iii.

Plans to review needs of and opportunities for the industry cluster over time; and,

iv.

Additional resources and partnerships that will continue to support the project beyond
the award period.

b) Sustainability of Project Outcomes – Evaluation Criteria:
The application will be evaluated on the applicant’s plan for sustaining success beyond the
period of Federal funding, including:
i.

Demonstrated sustainable funding sources or likelihood for the proposed revenue
model to succeed and be sufficient for continuing Accelerator activities;

ii.

Adequacy and likelihood of the plan to promote the sustained growth of advanced
manufacturing technologies in SMEs beyond the award period;

iii.

Adequacy of plan to continuously identify needs and opportunities; and,

iv.

Strength of partnerships, level of commitment, and potential to take advantage of new
opportunities to maintain the cluster’s competitiveness and contribute to the
successful growth of the cluster.

B.

Review Process

1.

Agency-Specific Review

Each Funding Agency will conduct an initial review of applications submitted and received by
the deadline stated in section V.B. of this FFO. Each Funding Agency will conduct an
independent responsiveness review to ensure compliance with its agency-specific requirements.
This review will determine if the application satisfies: (a) all requirements for a complete
submission (including all required forms, documentation of cost share or matching funds, and
addenda to the Proposal); (b) agency-specific eligibility criteria (listed by agency in section IV of
this FFO); and, (c) agency-specific requirements for permitted activities. Applications
determined to be ineligible, incomplete, and/or non-responsive may be eliminated from further
review. Upon completion of the agency-specific review, applications that are determined to be
eligible, complete, and responsive by all Funding Agencies will proceed for full reviews in
accordance with the following review and selection processes.

59

2.

Merit Review Panels

Merit Review Panels, comprised of at least three qualified individuals, will evaluate the
applications against the evaluation criteria enumerated in section VI.A and award up to 100
points to each application. Merit Review Panels may be made up of Federal and non-Federal
reviewers. Application scores will be determined by each panelist on an individual basis, and the
average of the individual ratings will produce a panel score. Each Panel will forward its
evaluation findings and its top-scoring applications to the Policy Review and Recommendation
Committee.
3.

Policy Review and Recommendation Committee

Upon completion of the Merit Review, the Policy Review and Recommendation Committee
comprised of senior officials from the Funding Agencies will review applications forwarded by
the Merit Review Panels. The Committee will review forwarded applications, giving such
consideration to the following identified policy factors as it and its members consider
appropriate, and then recommend projects for funding to the agency selecting officials:
geographic balance in distribution of program funds, balance of diverse project types in the
distribution of program funds, balanced funding for a diverse group of organizations that may
form part of a broader consortium to serve diverse populations, the availability of funds, the
applicant’s performance under previous Federal financial assistance awards, and the extent to
which the applicant integrates and leverages multiple Federal resources to effectively support
regional and cluster development. Based on these combined factors, the Policy Review and
Recommendation Committee will recommend projects for funding to the agency selecting
officials.
4.

Agency Selecting Officials

Selecting officials are authorized to make selection decisions and will forward the results to a
Grants or Contracting Officer to process the awards. The selecting officials for EDA are the
Regional Directors in EDA’s six regional offices, who will review award recommendations from
the Policy Review and Recommendation Committee and select EDA awardees for their
respective region. The NIST selecting official will be the Director of the MEP program. The
DOE selecting official will be the Advanced Manufacturing Office Program Manager. The ETA
selecting official will be the ETA Grant Officer. The SBA selecting official will be the
Associate Administrator for Business Development. Selecting officials may follow the
recommendations of the Policy Review and Recommendation Committee, or may also consider
the policy factors listed above in making their selections. If the selecting officials select an
application that is not included in the set of applications recommended by the Policy Review and
Recommendation Committee, the selecting officials must document the rationale for the decision
in writing and confer with other agencies on final selections. Before final selection, the selecting
officials will verify that recommended awards will not violate financial, legal, or departmental
regulations. An application will not be considered for an award if the applicant organization:
Owes an outstanding and unresolved financial obligation to the Federal
government;
Is currently suspended, debarred, or otherwise prohibited from receiving awards
of contracts or grants from the Federal government;
60

Has an outstanding and unresolved material deficiency reported under the
requirements of the Single Audit Act or OMB Circular A-133 within the past
three years;
Has had a grant or cooperative agreement involuntarily terminated or not renewed
by any of the Funding Agencies for cause;
Has filed for bankruptcy within the past five years;
Proposes to serve as a pass-through and permit another organization to manage
the day-to-day operations of the project; and/or,
Was convicted, or had an officer or agent acting on its behalf convicted, of a
felony criminal violation under any Federal law within the preceding 24 months.
Funding Agencies reserve the right to negotiate the budget costs with the applicants that have
been selected to receive awards, which may include requesting that the applicant remove certain
costs. Additionally, Funding Agencies may request that the applicant modify objectives or work
plans and provide supplemental information. Funding Agencies also reserve the right to reject
an application where information is uncovered that raises a reasonable doubt as to the
responsibility of the applicant. Funding Agencies may select part, some, all, or none of the
applications. The final approval of selected applications and issuance of awards will be by the
Funding Agencies’ Grants Officer. The award decisions of the Funding Agencies’ Grants
Officers are final.
C.

Transparency

The agencies and bureaus involved in this initiative are committed to conducting a transparent
financial assistance award process and publicizing information about investment decisions.
Applicants are advised that their respective applications and information related to their review
and evaluation may be shared publicly. To the extent permitted by law, NIST will not release
applications or information related to applications that do not receive awards. For further
information on how proprietary, confidential commercial/business, and personally identifiable
information will be protected see section VIII.B of this FFO. In addition, information about
project progress and related results may also be made publicly available.
VII.

Award Administration Information

A.

Award Notification

Applicants selected for awards will be contacted directly before execution of the financial
assistance award documents. Unsuccessful applicants will be notified by mail or email that their
application was not selected for funding, and may, with the exception of applications for funding
from SBA and ETA, request a debrief on their submitted application. A list of successful
awardees may be posted on the Funding Agency websites (including the Advanced
Manufacturing Jobs Accelerator webpage at http://manufacturing.gov/accelerator/index.html).
Important: Selection of an organization under this FFO does not constitute approval of the
proposed project as submitted. Before any funds are awarded, the Funding Agencies may enter
into negotiations about such items as program components, staffing and funding levels, and
administrative systems in place to support implementation of the award. The amount of
61

available funding may require the final award amount to be less than that requested by the
applicant. If the negotiations do not result in a mutually acceptable submission, the Grants or
Contracting Officer for the applicable Funding Agency reserves the right to terminate the
negotiations and decline to fund the application. The Funding Agencies reserve the right not to
fund any application received under this FFO.
The EDA selecting official (who also serves as the Grants Officer) will issue the EDA grant
award (Form CD-450), which is the authorizing financial assistance award document. By
signing the Form CD-450, the recipient agrees to comply with all award provisions. The
grant award shall be submitted by postal mail or two day express mail to the appropriate
business office of the recipient organization and must be signed and returned without
modification by an authorized representative of the recipient within 30 days after receipt.
ETA may elect to award the H-1B Technical Training Grant funds with or without engaging
in discussions with the successful applicant. Should a grant be awarded without discussions,
the award will be based on the applicant’s signature on the Form SF-424, including
electronic signature via E-Authentication on www.grants.gov, which constitutes a binding
offer by the applicant.
DOE will notify applicants selected for award. This notice of selection is not an
authorization to begin performance. A Financial Assistance Award or Assistance Agreement
issued by the Contracting Officer is the authorizing award document. It normally includes,
either as an attachment or by reference: (1) Special Terms and Conditions; (2) Applicable
program regulations, if any; (3) Application as approved by DOE; (4) DOE assistance
regulations at 10 C.F.R. Part 600; (5) National Policy Assurances To Be Incorporated As
Award Terms; (6) Budget Summary; and, (7) Federal Assistance Reporting Checklist, which
identifies the reporting requirements. For grants and cooperative agreements made to
universities, non-profits and other entities subject to OMB Circular A-110, the Award also
includes the Research Terms and Conditions and the DOE Agency Specific Requirements
located at: http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp.
Successful NIST applicants will receive an award from the NIST Grants Officer. The award
cover page, i.e., CD-450, Financial Assistance Award is available at
http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/dev01_
002513.pdf and the DOC Financial Assistance Standard Terms and Conditions (March
2008), which may be updated by the time of award, are available at
http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf.
SBA applicants selected for awards will receive written notification.
B.

Unsuccessful Competition

On occasion, competitive funding opportunities or competitive panels produce less than optimum
results, such as a competition resulting in the receipt of no applications, a competition resulting
in the receipt of only unresponsive or unqualified applications, or too few highly rated
applications. In the event that these conditions arise, the Funding Agencies shall take the most
time- and cost-effective approach available that is in the best interest of the Federal government.
This includes (1) re-competition, (2) re-paneling, or (3) formal negotiation.

62

C.

National and Agency Specific Policies

Award recipients under this FFO are subject to all applicable Federal laws, regulations, and
applicable OMB Circulars.
1.

Department of Commerce Administrative and National Policies
a) EDA’s Non-Relocation Policy
Applicants are advised that should an application be selected for award, the recipient will be
required to adhere to a special award condition relating to EDA’s non-relocation policy.
For purposes of ensuring that EDA assistance will be used to advance new economic
opportunities and not to merely transfer jobs from one labor market area in the United States to
another, each applicant must inform EDA of all employers that constitute primary beneficiaries
of the project assisted by EDA. EDA will consider an employer to be a “primary beneficiary”
if the applicant estimates that such employer will create or save 100 or more permanent jobs as
a result of the investment assistance, provided that such employer also is specifically named in
the application as benefitting from the project, or is or will be located in an EDA-assisted
building, port, facility, or industrial, commercial, or business park constructed or improved in
whole or in part with assistance prior to EDA’s final disbursement of funds. In smaller
communities, EDA may extend this policy to the relocation of 50 or more jobs.
b) NIST MEP Funding Instrument
The funding instrument that will be used for each award is a cooperative agreement. The
nature of NIST’s “substantial involvement” will generally be collaboration between NIST
MEP and the recipient organizations. This includes MEP collaboration with a recipient on its
progress and approving changes in the statement of work. Additional forms of substantial
involvement that may arise are described in the DOC Grants and Cooperative Agreements
Interim Manual, which is available at
http://www.osec.doc.gov/oam/grants_management/policy/doc_grants_manual/default.htm
c) Award Notices and DOC Standard Award Terms and Conditions.
Successful applicants will receive an award from the EDA or NIST Grants Officer. The award
cover page, i.e., CD-450, Financial Assistance Award is available at
http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/dev01_00
2513.pdf and the DOC Financial Assistance Standard Terms and Conditions (March 2008),
which may be updated by the time of award, are available at
http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf .
d) Administrative and National Policy Requirements
Administrative and national policy requirements for all Department of Commerce awards are
applicable to EDA and NIST funds under this FFO. These requirements may be found in the
Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative
Agreements, published in the Federal Register on February 11, 2008 (73 FR 7696). This
notice may be accessed at the Federal Register’s website at http://www.federalregister.gov/.
e) Uniform Administrative Requirements and Federal Cost Principles
The uniform administrative requirements for DOC grants and cooperative agreements are
codified at 15 C.F.R. parts 14 and 24, as applicable. Generally, costs that are allowable include
63

salaries, supplies, and other expenses that are reasonable and necessary for the completion of
the Scope of Work. EDA allowable costs are determined in accordance with the following
regulations (incorporated by reference at 15 C.F.R. parts 14 and 24); (i) 2 C.F.R. Part 220, Cost
Principles for Education Institutions (OMB Circular A-210); (ii) 2 C.F.R. Part 225, Cost
Principles for State, Local and Indian tribal Governments (OMB Circular A-87); (iii) 2 C.F.R.
Part 230, Cost Principles for Nonprofit Organizations (OMB Circular A-122); and, (iv)
Federal Acquisition Regulation Subpart 31.2, Contracts with Commercial Organizations,
codified at 48 C.F.R. 31.2. Applicable administrative requirements and Federal cost principles
are incorporated by reference into the terms and conditions of each EDA and NIST award.
f)
Restrictions Governing Making Grants to Corporations Convicted of Felony
Criminal Violations and/or Unpaid Federal Tax Liabilities
Pursuant to sections 543 and 544 of the Commerce, Justice, Science and Related Agencies
Appropriations Act 2012, Pub. L. No. 112-55 (November 18, 2012), an applicant must execute
the Representation by Corporations Regarding a Unpaid Delinquent Tax Liability or a Felony
Conviction Under Any Federal Law (see Appendix D) in a format requested by the funding
agency before any cooperative agreement will be entered into or any award will be made under
this FFO.
g) Funding Availability and Limitation of Liability.
Funding for the program listed in this FFO is contingent upon the availability of
appropriations. In no event will NIST or DOC be responsible for application preparation costs
if this program fails to receive funding or is cancelled because of agency priorities. Publication
of this FFO does not oblige NIST or DOC to award any specific project or to obligate any
available funds.
h) NIST Award Implementation.
Given the partnership nature of MEP Centers, and to clarify and support the project activities
and budget, NIST may ask recipients to provide copies of sub-tier agreements, including
subawards and contracts. In addition, to better understand and implement the national
manufacturing extension network and partnership, NIST may ask recipients to provide an
Operating Plan and Budget showing manufacturing extension service activity and costs in
which the Center is engaged outside the Federal share.
i)
Collaborations with NIST Employees.
All applications should include a description of any work proposed to be performed by an
entity other than the applicant, and the cost of such work should ordinarily be included in the
budget. If an applicant proposes collaboration with NIST, the statement of work should
include a statement of this intention, a description of the collaboration, and prominently
identify the NIST employee(s) involved, if known. Any collaboration by a NIST employee
must be approved by appropriate NIST management and is at the sole discretion of NIST.
Prior to beginning the merit review process, NIST will verify the approval of the proposed
collaboration. Any unapproved collaboration will be stricken from the application prior to the
merit review.
j)
Use of NIST Intellectual Property.
If the applicant anticipates using any NIST-owned intellectual property to carry out the work
proposed, the applicant should identify such intellectual property. This information will be
64

used to ensure that no NIST employee involved in the development of the intellectual property
will participate in the review process for that competition. In addition, if the applicant intends
to use NIST-owned intellectual property, the applicant must comply with all statutes and
regulations governing the licensing of Federal government patents and inventions, described in
35 U.S.C. §§ 200-212, 37 C.F.R. Part 401, 15 C.F.R. § 14.36, and in Section B.21 of the DOC
Pre-Award Notification Requirements, 73 FR 7696 (February 11, 2008). Questions about these
requirements may be directed to the Chief Counsel for NIST, (301) 975-2803.
Any use of NIST-owned intellectual property by an applicant is at the sole discretion of NIST
and will be negotiated on a case-by-case basis if a project is deemed meritorious. The
applicant should indicate within the statement of work whether it already has a license to use
such intellectual property or whether it intends to seek one.
k) Collaborations Making Use of Federal Facilities.
All applications should include a description of any work proposed to be performed using
Federal facilities. If an applicant proposes use of NIST facilities, the statement of work should
include a statement of this intention and a description of the facilities. Any use of NIST
facilities must be approved by appropriate NIST management and is at the sole discretion of
NIST. Prior to beginning the merit review process, NIST will verify the availability of the
facilities and approval of the proposed usage. Any unapproved facility use will be stricken
from the application prior to the merit review. Examples of some facilities that may be
available for collaborations are listed on the NIST Technology Services Web site,
http://www.nist.gov/user-facilities.cfm.
2.

DOE Special Terms and Conditions and National Policies
a) Special Terms and Conditions
The DOE Special Terms and Conditions for Use in Most Grants and Cooperative Agreements
are located at http://management.energy.gov/business_doe/business_forms.htm for review.
Specific terms and conditions will be issued at time of award.
b) b) National Policy Requirements
The National Policy Assurances To Be Incorporated As Award Terms are located at
http://management.energy.gov/business_doe/business_forms.htm.
c) Intellectual Property Provisions
The standard DOE financial assistance intellectual property provisions applicable to the
various types of recipients are located at:
http://management.energy.gov/business_doe/business_forms.htm and will be incorporated into
awards issued as a result of this announcement.
d)

By submitting an application in response to this FFO the Applicant certifies that:
(1)
It is not a corporation that has been convicted (or had an officer or agent of such
corporation acting on behalf of the corporation convicted) of a felony criminal violation
under any Federal law within the preceding 24 months;
(2)
It is not a corporation that has any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies have been exhausted or have
65

lapsed, and that is not being paid in a timely manner pursuant to an agreement with the
authority responsible for collecting the tax liability; and,
(3)
If the Applicant’s financial assistance application is chosen for award and the
award is in excess of $1,000,000, the applicant will, by the end of the fiscal year, upgrade
the efficiency of their facilities by replacing any lighting that does not meet or exceed the
energy efficiency standard for incandescent light bulbs set forth in Section 325 of the
Energy Policy and Conservation Act (42 U.S.C. 6295).
e) Administrative Requirements
The administrative requirements for DOE grants and cooperative agreements are contained in
Title 10 C.F.R. Part 600 (See: 10 C.F.R. 600). Grants and cooperative agreements made to
universities, non-profits and other entities subject to Title 10 C.F.R. Part 600 are subject to the
Research Terms and Conditions located on the National Science Foundation web site at:
http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp.
f)
f) DUNS and CCR Requirements
Additional administrative requirements for DOE grants and cooperative agreements are
contained in 2 C.F.R., Part 25 (See: http://ecfr.gpoaccess.gov). Prime awardees must keep
their data at CCR current. Subawardees at all tiers must obtain DUNS numbers and provide the
DUNS to the prime awardee before the subaward can be issued.
g) g) Subaward and Executive Reporting
Additional administrative requirements necessary for DOE grants and cooperative agreements
to comply with the Federal Funding and Transparency Act of 2006 (FFATA) are contained in 2
C.F.R., Part 170. (See: http://ecfr.gpoaccess.gov). Prime awardees must register with the new
FSRS database and report the required data on their first tier subawardees. Prime awardees
must report the executive compensation for their own executives as part of their registration
profile in the CCR.
3.

ETA Administrative and National Policies
a) Administrative Program Requirement
The ETA funds awarded under this FFO will be subject to the following administrative
standards and provisions:
i.

Non-Profit Organizations – OMB Circular A–122 (Cost Principles), codified at 2
C.F.R. Part 230, and 29 C.F.R. Part 95 (Administrative Requirements);

ii.

Educational Institutions – OMB Circular A–21 (Cost Principles), codified at 2 C.F.R.
Part 220, and 29 C.F.R. Part 95 (Administrative Requirements);

iii.

State, Local and Indian Tribal Governments – OMB Circular A–87 (Cost Principles),
codified at 2 C.F.R. Part 225, and 29 C.F.R. Part 97 (Administrative Requirements);

iv.

Profit Making Commercial Firms – Federal Acquisition Regulation (FAR) – 48
C.F.R. Part 31 (Cost Principles), and 29 C.F.R. Part 95 (Administrative
Requirements);

66

v.

All grant recipient must comply with the applicable provisions of 20 C.F.R. 667
Subpart F.

vi.

All entities must comply with 29 C.F.R. Part 93 (New Restrictions on Lobbying), 29
C.F.R. Part 94 (Government-wide Requirements for Drug-Free Workplace (Financial
Assistance)), 29 C.F.R. 95.13 and Part 98 (Government-wide Debarment and
Suspension, and drug-free workplace requirements), and, where applicable, 29 C.F.R.
Part 96 (Audit Requirements for Grants, Contracts, and Other Agreements) and 29
C.F.R. Part 99 (Audits of States, Local Governments and Non-Profit Organizations);

vii.

29 C.F.R. Part 2, subpart D—Equal Treatment in Department of Labor Programs for
Religious Organizations, Protection of Religious Liberty of Department of Labor
Social Service Providers and Beneficiaries;

viii.

29 C.F.R. Part 31—Nondiscrimination in Federally Assisted Programs of the
Department of Labor—Effectuation of Title VI of the Civil Rights Act of 1964;

ix.

29 C.F.R. Part 32—Nondiscrimination on the Basis of Handicap in Programs or
Activities Receiving Federal Financial Assistance;

x.

29 C.F.R. Part 35— Nondiscrimination on the Basis of Age in Programs or Activities
Receiving Federal Financial Assistance from the Department of Labor;

xi.

29 C.F.R. Part 36—Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance;

xii.

29 C.F.R. Part 37 – Implementation of the Nondiscrimination and Equal Opportunity
Provisions of the Workforce Investment Act of 1998; and,

xiii.

29 C.F.R. Parts 29 and 30—Labor Standards for the Registration of Apprenticeship
Programs, and Equal Employment Opportunity in Apprenticeship and Training, as
applicable.

b) Other Legal Requirements
ETA notes that the Religious Freedom Restoration Act (42 U.S.C. § 2000bb) applies to all
Federal law and its implementation. If your organization is a faith-based organization that
makes hiring decisions on the basis of religious belief, it may be entitled to receive Federal
financial assistance under Title I of the Workforce Investment Act and maintain that hiring
practice even though Section 188 of the Workforce Investment Act contains a general ban on
religious discrimination in employment. If you are awarded a grant under this FFO, you will
be provided with information on how to request such an exemption.
c) Other Administrative Standards and Provisions
Except as specifically provided in this FFO, ETA’s acceptance of an application and an award
of Federal funds to sponsor any programs(s) does not provide a waiver of any grant
requirements and/or procedures. For example, the OMB Circulars require that an entity’s
procurement procedures must ensure that all procurement transactions are conducted, as much
as practical, to provide open and free competition. If an application identifies a specific entity
to provide services, ETA’s award does not provide the justification or basis to allow sole
source the procurement (i.e., avoid competition) unless the activity is regarded as the primary
work of an official partner to the application. Grantees that use sub-grantees are advised that
for commercial organizations, the earning of profits is not an allowable cost item. For
67

governmental, non-profit, and public or non-profit educational institutions, earnings above
actual costs incurred are to be treated as program income. Any program income earned must
be used towards program purposes.
General economic development projects, including revolving loan accounts, do not meet the H1B requirements for training and development of job opportunities in high-growth industries
and occupations. Examples of general economic development that may not meet this standard
include but are not limited to infrastructure investments in businesses, increases in inventory,
participation in trade shows, revolving loan accounts, new or additional equipment used for
purposes other than training activities, capital asset purchases, and other costs not specifically
related to increases in actual job opportunities.
d) Intergovernmental Review
This funding opportunity is not subject to Executive Order 12372, “Intergovernmental Review
of Federal Programs.”
4.

SBA Administrative and National Policies

All successful applicants will be required to comply with the requirements set forth in 2 C.F.R.
parts 215, 220, 225, and 230, 13 C.F.R. Part 143, and OMB Circular A-133 (as applicable); the
Assurances for Non-Construction Programs (Form SF-424B); and, the terms and conditions set
forth in their Notices of Award. In addition, SBA may, from time to time, advise recipients of
awards made under this announcement of new legal requirements and/or policy initiatives with
which they must agree to comply.
a)

Prior Approval
Certain actions on the part of a recipient organization require prior approval by SBA.
Where necessary, the recipient must submit written requests for prior approval to the
Technical Representative within 30 calendar days prior to taking the proposed action.

i.

ii.

Refer to 2 C.F.R. Part 215.25 or 13 C.F.R. Part 143.30 for a list of those actions that
require prior approval. Note especially that prior approval is required for changes in
the scope or objective of the project, changes to the budget, changes in key personnel
specified in the application or Notice of Award, and for any plans for contracting with
others to perform work covered by the award in the amount of $25,000 or above.

iii.

As noted above, SBA must approve in advance the employment or replacement of all
key employees (e.g., managers, directors, technical or subject matter experts, etc.)
who will be involved in the performance of the project. The recipient must submit
résumés and position descriptions for each key personnel to the Technical
Representative for approval prior to the employment of the candidate. Résumés must
contain sufficient detail regarding the experience and education of the candidate, as
well as a brief description of how the candidate meets other general and special
qualifications for the position.

iv.

In accordance with 2 C.F.R. Appendix A, Part 220.18; 2 C.F.R. Appendix B, Part
225.15; or 2 C.F.R. Appendix B, Part 230.15, the recipient must obtain advance
approval from SBA before it may use award funds to purchase equipment costing
more than $5,000. See 2 C.F.R. Part 215.30 through 215.37 or 13 C.F.R. Part 143.32
for guidance regarding the property management standards that apply to equipment
68

acquired with Federal funds. Items of equipment costing less than $5,000 are
considered supplies rather than equipment and should be identified as such in the
recipient’s budget. The use of award funds to purchase such items does not require
prior approval from SBA.
b)

Sub-awards and Contracting
The SBA award may not be sub-granted, either in whole or in part, to a third party.
The recipient may contract with other parties for the performance of certain project
support functions in accordance with the terms of the Notice of Award. However, the
recipient must perform a substantial portion of the work under this project utilizing its
own staff. In addition, the recipient may not, under any circumstances, contract out
the overall administration or day-to-day management of the project to any other party.

i.

5.

ii.

The recipient must submit to the Technical Representative copies of proposed
contracts for SBA approval when contracting with others to perform work covered by
the award when the amount of award funds involved is $25,000 or above.

iii.

Within 30 calendar days of the date of the Notice of Award, the recipient must submit
for SBA approval copies of all of the procurement policies and procedures that it will
follow in carrying out the project. These procedures must identify how the recipient
will comply with the requirements of 2 C.F.R. Part 215.40 through 215.48 or 13
C.F.R. Part 143.36, including the requirements for awarding contracts through full
and open competition. Non- competitive contracting may be permitted in limited
circumstances only upon a showing of necessity.

iv.

When contracting under this award, the recipient must comply with all applicable
procurement laws, including the Copeland “Anti-Kickback” Act (18 U.S.C. § 874 and
40 U.S.C. § 276c), the Davis-Bacon Act (40 U.S.C. § 276a), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. § 327 et seq.).

v.

The recipient also must comply with those Executive Orders and regulatory
requirements pertaining to Equal Employment Opportunities (E.O. 11246, E.O.
11375, and 41 C.F.R. Part 60) and Debarment and Suspension (E.O. 12549 and E.O.
12689).

vi.

The recipient shall agree to furnish the GMO and Technical Representative, upon
request, with copies of any requests for applications, invitations for bids, cost
estimates, contracts, rental agreements, leases, payment plans, studies, reports, and
other documents that pertain to the performance of the project, whether prepared by
the recipient or one of its contractors.
Grant Amount Determination

In the event the applicant is awarded a grant that is less than the amount requested, the applicant
will be required to modify its application to conform to the reduced amount before execution of
the grant agreement. The Agency reserves the right to reduce or withdraw the award if
acceptable modifications are not submitted by the awardee within 15 working days from the date
the request modification is made. Any modifications must be within the scope of the original
application.

69

6.

Other Legal Requirements
a) Lobbying or Fundraising the U.S. Government with Federal Funds
In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Pub. L. No. 104-65) (2
U.S.C. 1611), non-profit entities incorporated under Internal Revenue Service Code Section
501(c)(4) that engage in lobbying activities are not eligible to receive Federal funds. No
activity, including awareness-raising and advocacy activities, may include fundraising for, or
lobbying of, U.S. Federal, State or Local Governments (see OMB Circular A-122).
b) OMB Circular A-133 Audit Requirements
Single or program-specific audits shall be performed in accordance with the requirements
contained in OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit
Organizations,” and the related Compliance Supplement. OMB Circular A-133 requires a
non-Federal entity (i.e., non-profit organizations, including non-profit institutions of higher
education and hospitals, States, local governments, and Indian Tribes) that expends Federal
awards of $500,000 or more in the recipient’s fiscal year to conduct a single or programspecific audit in accordance with the requirements set out in the Circular. Applicants are
reminded that the agencies and their Offices of Inspector General also may conduct an audit of
an award at any time.

D.

Project Outcomes Evaluation and Data Collection

The Funding Agencies are considering a range of options for post-award evaluation of the
outcomes and benefits of the Advanced Manufacturing Jobs Accelerator, including evaluation
conducted with existing resources at each Agency as well as potential retention of an
independent evaluator. By accepting funds under this FFO, grantees agree to participate in any
such evaluation. Grantees will be expected to make records of their program participation,
metrics, underlying data, participants, employers and funding available and to provide access to
program operating personnel and to participants, as specified by any evaluator (whether
independent or within one or more of the Funding Agencies), including after the period of
operation.
E.

Reporting Requirements

All recipients are required to submit financial and performance reports in accordance with the
terms and conditions of the grant award. For all recipients, this includes a Quarterly Narrative
Report that updates all Funding Agencies on quarterly program activities, outcomes, and outputs
identified in the Integrated Work Plan (IWP). As noted above, recipients are encouraged to
report progress in a single unified document that follows the IWP outline and may be submitted
to all agencies. This collaborative report will be submitted electronically and provide a succinct
overview that describes how current quarter activities contribute to the long-term success of the
project.
Additional Agency-specific reporting requirements for recipients are detailed in sections (1-5)
below and are identified within the Terms and Conditions of each individual grant award.
1.

EDA Reporting Requirements

All recipients are required to submit financial, performance, and impact reports in accordance
with the terms and conditions of the grant award. The conditions of the grant award will be
70

developed based on the project performance metrics, as presented in the recipient’s Project
Narrative and Integrated Work Plan (see section VI.A.).
Award agreements will include additional information on reporting requirements, including
requirements for reporting on project progress and project impact and measurable outcomes as
outlined in section V.C.2. The recipient will be required to submit quarterly reports, as well as a
final project and financial report. The recipient may also be required to provide
qualitative/quantitative data on project progress and best practices, including through learning
events or forums.
2.

NIST MEP Reporting Requirements
a) Reporting Requirements.
In lieu of the reporting requirements described in sections A.01 Financial Reports and B.01
Performance (Technical) Reports of the DOC Financial Assistance Standard Terms and
Conditions dated March 2008
(http://www.osec.doc.gov/oam/archive/docs/GRANTS/DOC%20STCsMAR08Rev.pdf), the
following reporting requirements shall apply:
Financial Reports. Each award recipient will be required to submit Form SF425, Federal Financial Report in triplicate (an original and two copies), on a
quarterly basis for the periods ending March 31, June 30, September 30, and
December 31 of each year. Reports will be due within 30 days after the end of the
reporting period
Performance (Technical) Reports. Each award recipient will be required to
submit a technical progress report in triplicate (an original and two copies), on a
quarterly basis for the periods ending March 31, June 30, September 30, and
December 31 of each year. Reports will be due within 30 days after the end of the
reporting period. A final technical progress report shall be submitted within 90
days after the expiration date of the award. Two copies of the technical progress
report shall be submitted to the Project Manager and the original report to the
NIST Grants Officer. Technical progress reports shall contain information as
prescribed in 15 C.F.R. § 14.51.
b) Post Client Project Follow-Up:
For demonstration activities, as applicable, the recipient shall provide client and project data in
the specified format to the organization identified by NIST MEP in order for post-project
follow-up data to be obtained (OMB Control Number 0693-0032).
MEP Centers will be expected to report on activities implemented under this FFO as part of the
Annual and Panel Review process.

3.

DOE Reporting Requirements

Reporting requirements are identified on the Federal Assistance Reporting Checklist, DOE
F4600.2, attached to the award agreement.

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4.

ETA Reporting Requirements
a) Quarterly Financial Reports.
A Quarterly Financial Status Report (ETA 9130) is required until such time as all funds have
been expended or the project period has expired. Quarterly reports are due no later than 45
days after the end of each calendar year quarter, and reports will be accepted earlier to better
align with the other Federal Agency reporting timelines. Grantees must use ETA’s Online
Electronic Reporting System. Information and instructions will be provided to grantees.
b) Quarterly Performance Reports.
The grantee must submit a quarterly progress report no later than 45 days after the end of each
calendar year quarter, and reports will be accepted earlier to better align with the other Federal
Agency reporting timelines. The report must include quarterly information regarding grant
activities. Grantees must collect participant-level data on individuals who receive
education/training and other services provided through the grant. This data will be the basis
for reporting against the outcomes included in the Final Performance Report as well as
additional outcomes that will be defined through reporting requirements. An applicant must
collect and report participant-level data from the following categories: demographic (e.g. race,
ethnicity, gender, disability status) and socioeconomic characteristics; services provided; and,
outcomes achieved. Grantees will be required to report on post-program outcomes for all
participants, as well as on post-program follow-up and tracking activities for all participants.
c) Final Performance Report.
The last quarterly progress report that grantees submit will serve as the Final Performance
Report. This report should provide both quarterly and cumulative information on the grant
activities. It must summarize project activities, employment outcomes and other deliverables,
and related results of the project, and should thoroughly document the training or labor market
information approaches used by the grantee. ETA will provide grantees with formal guidance
about the data and other information that is required to be collected and reported on either a
regular basis or special request basis.
Applicants must follow Federal guidelines on record retention, which require grantees to
maintain all records pertaining to grant activities for a period of not less than three years from
the time of final award close-out.

5.

SBA Reporting Requirements

All recipients of SBA funds are required to submit reports on their activities. SBA may withhold
payment if reports are not received or are deemed inadequate. Failure to report in a timely
manner will also be weighed against future applications for grant funding from the same
organization and the exercise of any option periods. The reports provided by recipients may be
made public. In addition, SBA reserves the right to require recipients to post these reports on
their web sites.
a) Reports
The recipient must submit quarterly performance reports to SBA. SBA may withhold
requested payments if reports are not received or are deemed inadequate. SBA will provide
grantees with formal guidance about the data and other information that is required to be
collected and reported on either a regular basis or special request basis.
72

b) Financial Reports
A Quarterly Financial Status Report (Form SF-425) is required until such time as all funds
have been expended or the project period has expired. Quarterly reports are due 30 days after
the end of each calendar year quarter.
The final/fourth quarter report is due 90 calendar days after the end of each 12- month budget
period. Failure on the part of the recipient to submit an adequate financial report may result in
the suspension of continued funding until such time as the inadequacy is addressed to SBA’s
satisfaction.
VIII. Additional Information and Requirements
A.

No Obligation for Future Funding

If an applicant is awarded funding under this FFO, neither the DOC, EDA, NIST, DOE, DOL,
ETA, SBA, nor the NSF are under any obligation to provide any additional future funding in
connection with that award or to make future award(s). Amendment or renewal of an award to
increase funding or to extend the period of performance is at the discretion of the governmental
entities identified in section IV of this FFO.
B.

Freedom of Information Act Disclosure

The Freedom of Information Act (5 U.S.C. 552) (FOIA), the DOC’s implementing regulations at
15 C.F.R. Part 4; DOL’s implementation regulations at 29 C.F.R. Part 70; and SBA’s record
disclosure and privacy regulations at 13 C.F.R. Part 102, et seq., set forth the rules and
procedures to make requested material, information, and records publicly available. Unless
prohibited by law and to the extent permitted under FOIA, contents of applications submitted by
applicants may be released in response to FOIA requests.
C.

Past Performance and Non-Compliance with Award Provisions

An applicant’s unsatisfactory performance under prior Federal awards may be taken into
consideration when evaluating their application under this FFO and could result in their not
being selected. Failure to comply with any or all of the provisions of an award may have a
negative impact on future funding by the DOC (or any of its operating units), DOE, DOL, ETA,
SBA, or the NSF and may be grounds for any or all of the following actions: (1) establishing an
account receivable; (2) withholding payments to the recipient under any DOC, DOE, ETA, SBA,
or the NSF award(s); (3) changing the method of payment from advance to reimbursement only;
(4) imposing other special award conditions. Unsatisfactory performance under an award may
be grounds for referral to the relevant agency suspension and department official and for
suspending or terminating the relevant award.
D.
Employer/Taxpayer Identification Number (EIN/TIN), Dun and Bradstreet Data
Universal Numbering System (DUNS), and Central Contractor Registration (CCR)
All applicants for Federal financial assistance are required to obtain a universal identifier in the
form of DUNS number and maintain a current registration in the CCR database. On the Form
SF-424 items 8.b. and 8.c., the applicant’s 9-digit EIN/TIN and 9-digit DUNS number must be
consistent with the information on the CCR (http://www.ccr.gov) and Automated Standard
Application for Payment System (ASAP). For complex organizations with multiple EIN/TIN
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and DUNS numbers, the EIN/TIN and DUNS numbers MUST be the numbers for the applying
organization. Organizations that provide incorrect/inconsistent EIN/TIN and DUNS numbers
may experience significant delays in receiving funds if their application is selected for funding.
Confirm that the EIN/TIN and DUNS numbers are consistent with the information on the CCR
and ASAP.
1.

DUNS Number and CCR Registration

All applicants for Federal assistance are required to obtain a universal identifier in the form of
Dun and Bradstreet Data Universal Numbering System (DUNS) numbers and maintain a current
registration in the CCR database. Per the requirements of 2 C.F.R. Part 25, each applicant must:
Be registered in the CCR before submitting an application;
Maintain an active CCR registration with current information at all times during
which it has an active Federal award or an application under consideration by an
agency; and,
Provide its DUNS number in each application or plan it submits to the agency.
Please see also the Federal Register notice published on September 14, 2010, at
75 FR 55671.
2.

Reporting Under the Transparency Act

All recipients of Federal awards made on or after October 1, 2010, are required to comply with
reporting requirements under the Federal Funding Accountability and Transparency Act of 2006
(Transparency Act) per the requirements of 2 C.F.R. Part 170. Generally, all recipients are
responsible for reporting sub-awards of $25,000 or more. In addition, recipients that meet certain
criteria are responsible for reporting executive compensation. Applicants must ensure they have
the necessary processes and systems in place to comply with the reporting requirements should
they receive funding. Please see also the Federal Register notice published on September 14,
2010, at 75 FR 55663.

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Appendix A. Integrated Work Plan – Suggested Template
All applicants are required to submit an Integrated Work Plan that demonstrates how the
proposed project concept will produce substantial benefits and meet the objectives of this FFO
using the following suggested template or a format of their choice that provides the information
below.
Funding
Agency and
Objective

Activity
(list grant
activities by
agency)

Activity
Timeline

Resources:
Inputs,
Leveraged Funds

Program
Outcome or
Deliverables
(Grant Period of
Performance and
Long-term)

Methodology
(including
Tracking and
Reporting
Mechanism)

EDA
Enhancing
Cluster
Networks and
Regional Assets
NIST20
Assisting SMEs
DOE
Reducing
Technical Risk
ETA
Building a
Highly-Skilled
and Diverse
Workforce
SBA
Assisting
Entrepreneurial
Development in
Disadvantaged/
Underserved
Communities

20

For projects where there is not reasonable availability of an MEP center in the targeted region, the proposing
organization will still be expected to engage appropriate SMEs and partners to address outreach, service delivery,
and technology commercialization needs of SMEs and the requested information on this form is still required.
However, no NIST funds will be awarded. NIST MEP will only fund existing MEP Centers that are part of the
applicant team.

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Other Narrative Elements
Funding Agency/Project

Assessment of Challenges or Potential Barriers to Success

EDA
NIST
DOE
ETA
SBA

Integrated Work Plan Definitions
Activity: The specific proposed activities or programs that will address the objectives of
each funding agency.
Activity Timeline: The anticipated duration of each listed activity, denominated in quarteryears.
Resources/Inputs: The investment in the project such as funds, partnerships, equipment,
etc. that will be utilized to meet the objective.
Program Outcome or Deliverables (Period of Performance): The immediate, short-term
result(s) of each listed activity. Applicants should list activities according to the timeframes
associated with each requested funding source.
Program Outcome or Deliverables (Long-term): The long-term benefits that will ensue
from successful completion of the listed activities. These outcomes should be consistent with
the goals and objectives of each funding agency.
Methodology: A short summary outlining how the outcome will be measured/calculated and
the mechanism by which it will be tracked, as well as any additional information about the
numeric value that will be reported (for example, about the quality or type of jobs, source of
private investment or types of businesses assisted).
Project Contacts
Grantee Name

Project Name

EDA
NIST
DOE
ETA
SBA

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Project Lead/Point of Contact
and Contact Information

Appendix B. Advanced Manufacturing Jobs Accelerator Support Agencies
The section below briefly describes potential resources from each Support Agency. These
resources include assistance of Federally-funded assets that can be leveraged in the region or
integrated as a collaborative partnership to strengthen the region. Federal Support Teams,
described in section II.B. of this FFO, will work with clusters selected for funding to link them to
the resources available from Support Agencies.
The Denali Commission will support winning applications in Alaska with technical
assistance and coordination with Federal, State and local resources. The Commission offers
a suite of business and community planning tools and expertise for regions throughout the
state of Alaska. Extensive networks with regional organizations and the State of Alaska will
be brought together to enhance and strengthen innovation cluster and identify potential
partners.
Link to Denali Commission website: www.denali.gov.
U.S. Department of Agriculture - The U.S. Department of Agriculture’s (USDA’s) Rural
Development agency has field-level staff in all 50 states across the nation. Staff members can
provide information on business grants, loans, and loan guarantees that might be appropriate
for manufacturing firms. In addition, these field staff can often provide useful technical
assistance to manufacturers or other groups working in rural areas on advanced
manufacturing. Another resource available at the local level is Cooperative Extension
Service; they can provide valuable community and regional development expertise. Finally,
USDA has six other agencies that can provide expertise which might be useful to regions
focusing on specific manufacturing sectors. These other USDA agencies include specialists
on food, nutrition, natural resources, environmental issues, agricultural marketing, and more.
For more information on resources available from Rural Development, please visit
http://ric.nal.usda.gov/.
U.S. Department of Commerce’s International Trade Administration (ITA) is an agency
within the DOC that promotes United States exports of nonagricultural U.S. goods and
services. ITA consists of four sub-units: Import Administration, Market Access and
Compliance, Manufacturing and Services and the U.S. Commercial Service. ITA can
provide practical information to help Advanced Manufacturing Jobs Accelerator winners in
any export related activities.
Additional information about ITA is available at www.trade.gov.
U.S. Department of Commerce’s Minority Business Development Agency -- The
Minority Business Development Agency (MBDA), consistent with its ongoing mission, will
support efforts to provide strategic business consulting to minority-owned firms in
manufacturing to further their competitiveness and growth opportunities leading to job
creation in regional clusters, as well as to track job creation measures as a result of activities
supported by MBDA’s staff and its network of business development centers. To leverage
funding provided to MBDA’s network of business centers, applicants should consider
developing collaborative relationships and partnering with eligible operators of MBDA
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Business Centers. MBDA’s MBDA Business Centers provide services to minority-owned
businesses, including strategic business consulting, export assistance, and access to financial
and procurement opportunities leading to job creation. In fiscal year 2011, MBDA and its
network of funded centers facilitated $451 million in procurement and financial transactions
for manufacturing minority-owned businesses. These centers are located in 39 cities across
the nation.
For more information on MBDA services and its network of centers please visit
http://www.mbda.gov/main/business-services and http://www.mbda.gov/main/offices.
U.S. Department of Commerce’s National Institute of Standards and Technology -- In
addition to making funds available through the Hollings Manufacturing Extension
Partnership Program, (MEP), NIST will also serve as a support agency. To help accomplish
its mission, NIST seeks out high-quality partnerships, collaborations, and other interactions
with U.S. companies, universities, and agencies at the Federal, state, and local levels. NIST
collaborates with partners in a variety of ways designed to meet a broad spectrum of needs. A
key principle of the process is that both NIST and its partner benefit from the relationship.
NIST provides fair and equitable access to both its technical expertise and its designated user
facilities. Collaboration methods include:
o Formal collaborations with NIST researchers that can include Cooperative Research and
Development Agreements (CRADAs) and Guest Researcher Agreements.
o Fair and equitable access to NIST’s technical expertise and NIST’s dedicated user
facilities, including but not limited to the Center for Neutron Research and the Center for
Nanoscale Science and Technology (http://www.nist.gov/user-facilities.cfm).
o Access to NIST calibration services designed to help the makers and users of precision
instruments achieve the highest possible levels of measurement quality and productivity,
and to link a customer's precision equipment or transfer standards to national and
international measurement standards (http://www.nist.gov/calibrations/).
o Licensing, commercialization and technology transfer of NIST technology and patents
(http://www.nist.gov/tpo/).
o Services through the NIST Standards Coordination Office
(http://www.nist.gov/director/sco/index.cfm) and the National Center for Standards and
Certification Information (http://www.nist.gov/director/sco/ncsci/upload/NCSCIbrochure-1_08.pdf) that offer standards-related tools and information necessary to
effectively compete in the global marketplace.
The services and collaboration methods are offered either as reimbursable or nonreimbursable depending on the exact collaboration or service. NIST funds awarded under
this FFO may not be used to fund any of the activities listed above. Exceptions must be
approved by the Chief Counsel for NIST. More information about working with NIST can
be found at http://www.nist.gov/public_affairs/factsheet/workwithnist.cfm
http://www.nist.gov/public_affairs/factsheet/workwithnist.cfm.

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U.S. Department of Commerce’s U.S. Patent and Trademark Office (USPTO) is
committed to equipping the small business community with the tools and resources they need
to protect their intellectual property (IP) and business brands by navigating the U.S. patent
and trademark system. The Office recently launched its new IP Awareness Assessment tool
and is expanding its pro-bono program nationally that will allow inventors and small
enterprises to strategically leverage their products and services to expand business growth –
while connecting with legal resources in their communities. The USPTO will support the
Advanced Manufacturing Jobs Accelerator specifically by providing IP support to successful
applicants and engage clusters selected for funding with external professionals and low-cost
patenting and trademark tools – ultimately allowing them to grow their businesses in the
marketplace faster.
More information about working with the USPTO can be found at:
http://www.uspto.gov/inventors/independent/index.jsp.
The Department of Education will encourage the recipients of Federal education funds for
career and technical education programs to support the otherwise allowable costs under the
Federal education grant of the developing and improving career pathway programs and
program of study models that would align with significant employment opportunities that
would result from the awards under this FFO. Further, the Department of Education will
encourage the recipients of funds for adult education programs to align their programs with,
and support the otherwise allowable costs under the Federal education grant related to, such
employment opportunities.
Link to U.S. Department of Education, Office of Vocational and Adult Education (OVAE)
Website: http://www2.ed.gov/about/offices/list/ovae/index.html
The Department of Housing and Urban Development (HUD) Office of Sustainable
Housing and Communities created a capacity building program in 2011 to support
sustainable communities and develop on-line materials to support work by grantee
communities to enhance public engagement including scenario planning, data analysis, GIS
and performance measurement; enhancing the quality and breadth of strategies to improve
social equity and inclusion; and, implementation assistance including infrastructure and
affordable housing financing mechanisms.
Link to HUD Website: www.hud.gov/sustainability
The Environmental Protection Agency will support the selected regions through the E3
(Economy, Energy and the Environment) framework. E3 will support regions that require
direct technical assistance and collaborative support at the Federal, state and local levels. E3,
created during the Obama Administration, is an up-and-running strategic community-based
framework that can be customized by local leaders to meet local needs. The Federal agencies
which support the E3 framework include the National Institute of Standards and
Technology’s Manufacturing Extension Partnership program, the Environmental Protection
Agency, the Safety Administration, the Department of Energy’s Advanced Manufacturing
Office, the Small Business Administration, and soon, the U.S. Department of Agriculture.
With the support of these agencies and their constituencies at the local level, E3 brings
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together technical experts from multiple sources to help tune-up companies within a given
cluster or region. E3 tunes-ups improve productivity and resource efficiency so that each
participating company spends less money on managing waste and more money to hire and
retain workers and invest in new technologies and market.
Link to E3 website: www.e3.gov
The National Science Foundation (NSF) is making available up to $1 million, subject to the
availability of funds, through its Small Business Innovation Research (SBIR) program to
active NSF SBIR grantees (Phase II only) that are part of or central to winning Advanced
Manufacturing Jobs Accelerator applications. NSF expects to award each SBIR Phase II
grantee that is part of the winning application up to $100,000 in supplemental funds. Only
NSF SBIR Phase II grantees that have an active SBIR grant at the time of the application
deadline given in section V.B. of this FFO are eligible for these funds. NSF will provide
specific details about the supplemental awards directly to any relevant active SBIR Phase II
grantees following the announcement of the Advanced Manufacturing Jobs Accelerator
successful applicants. Please contact NSF directly if you have any questions.
See Appendix C. to this FFO for NSF contact information.

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Appendix C. Contact Information
The Advanced Manufacturing Jobs Accelerator website at
http://manufacturing.gov/accelerator/index.html contains additional information, including
an extensive list of frequently asked questions (FAQs). This website also includes
information that prospective applicants may find useful, including in-depth materials on regional
clusters. Questions regarding the content of this announcement must be submitted to
[email protected] not later than 3 business days prior to the application due date. In
addition, you may contact the appropriate person listed below for technical questions.
A. EDA Contact Information
Applicants should direct all technical questions regarding the EDA program to the appropriate
EDA Regional Office contact listed below. EDA’s website at www.eda.gov contains additional
information on EDA and its programs.
EDA Regional Office
Contact:
Austin Regional Office
Mitchell Harrison:
(512) 381-8175

States Served:

Atlanta Regional Office
Tom Pellegrino:
(404) 730-3028

Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, and Tennessee

Chicago Regional Office
Robin Bush:
(312) 353-8143 x146

Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin

Denver Regional Office
Laura Stein:
(515) 284-4746

Colorado, Iowa (excluding Muscatine and Scott
counties), Kansas, Missouri, Montana, Nebraska, North
Dakota, South Dakota, Utah, and Wyoming

Philadelphia Regional Office
Sanchia Gomez
(215) 597-4400

Connecticut, Delaware, District of Columbia, Maine,
Maryland, Massachusetts, New Hampshire, New
Jersey, New York, Pennsylvania, Rhode Island,
Vermont, Virginia, West Virginia, Puerto Rico, Virgin
Islands

Seattle Regional Office
Mary Rudokas:
(206) 220-7694

Alaska, Arizona, American Samoa, California, Guam,
Hawaii, Idaho, Republic of Marshall Islands, Federated
States of Micronesia, Nevada, Northern Mariana
Islands, Oregon, Republic of Palau, and Washington

Arkansas, Louisiana, New Mexico, Oklahoma, and
Texas

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B. NIST Contact Information
Questions should be directed to the following contact persons:
Subject Area
Programmatic and technical questions

Point of Contact
Mark Troppe
Manufacturing Extension Partnership
NIST
Phone: 301-975-5745
Fax: 301-963-6556
E-mail: [email protected]

Administrative, budget, cost-sharing,
and eligibility questions, and other
programmatic questions

Diane Henderson
Manufacturing Extension Partnership
NIST
Phone: 301-975-5105
Fax: 301-963-6556
E-mail: [email protected]

Grants.gov - Proposal submission

Christopher Hunton
Grants & Agreements Management Division
NIST
Phone: 301–975–5718
Fax: 301–840-5976
E-mail: [email protected]

Grant rules and regulations

Melinda Chukran
Grants & Agreements Management Division
NIST
Phone: 301-975-5266
Fax: 301-926-6458
E-mail: [email protected]

C. DOE Contact Information
Applicants should direct all technical questions regarding the DOE program to:
[email protected] not later than 3 business days prior to the application due date.
D. ETA Contact Information
Applicants should direct all technical questions regarding the ETA program to:
Jeannette Flowers
(202) 693-3322
[email protected]
Questions will be accepted by ETA up to 3 business days prior to the application due date.

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E. SBA Contact Information
Applicants should direct all technical questions regarding the SBA program to
[email protected] not later than 3 business days prior to the application due date.
F. NSF Contact Information
Rathindra (Babu) DasGupta
National Science Foundation
Program Director, Industrial Innovation and Partnerships
Phone: 703-292-8353
Email: [email protected]

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Appendix D. Representation by Corporations Regarding an Unpaid Delinquent Tax
Liability or a Felony Conviction Under Any Federal Law
Sections 543 and 544 of Public Law 112-55 Commerce, Justice, Science, and Related Agencies
Appropriations Act 2012, Title V (General Provisions) [the Act] prohibit funds made available
by the Act from being used to enter into a cooperative agreement with or make a grant to any
corporation thata) Was convicted of a felony criminal violation under any Federal law within the preceding
24 months, unless any agency has considered suspension or debarment of the corporation
and made a determination that this further action is not necessary to protect the interest of
the Government; and/or,
b) has any unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in
a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability, unless an agency has considered suspension or debarment of the
corporation and made a determination that this further action is not necessary to protect
the interest of the Government.
The Applicant represents thatIt is [ ] or it is not [ ] a corporation that was convicted of a felony criminal violation under a
Federal law within the preceding 24 months.
It is [ ] or it is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed
, for which all judicial and administrative remedies have been exhausted or have lapsed, and that
not being paid in a timely manner pursuant to an agreements with the authority responsible for
collecting the tax liability.
[signature of person who has authority to certify on behalf of the corporation]
[typed name of the signing individual]
[typed title of the signing individual]
[typed name of corporation]
[typed phone number of the signing individual]
[typed email address of the signing individual]

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