2018 SBDC Clearinghouse Terms and Conditions.docx

Table of Contents

I. ADMINISTRATIVE PROVISIONS

A. Points of Contact

1. Grants Management Officer (GMO)

XXX

XXX

XXX

2. Grant Officer's Technical Representative (GOTR)

XXX

XXX

XXX

3. SBDC Program Point of Contact for Reporting Fraud, Waste, or Abuse

XXX

XXX

XXX

4. Grant Recipient's Authorized Organizational Representative (AOR)

B. Project and Budget Periods

The period of performance for this Award will consist of a base period of 10 months and 4 option periods of 12 months each (if exercised).

The base and option periods for this Award will run as follows:

· 12/01/2018 – 09/30/2019 (Base Period)

· 10/01/2019 – 09/31/2020 (First Option)

· 10/01/2020 – 09/31/2021 (Second Option)

· 10/01/2021 – 09/31/2022 (Third Option)

· 10/01/2022 – 09/31/2023 (Final Option)

The base period and each option period will constitute a separate budget period. Option periods will be exercised at the sole discretion of SBA. For further guidance regarding the exercise of option periods, see Part III (A)(9) below.

C. Governing Authority/Order of Precedence

This Award is subject to the following requirements and representations, whether stated explicitly or incorporated by reference:

1. The statutes, regulations, and policy documents cited in Blocks 1 and 14 of the Notice of Award cover page and any other relevant, subsequently enacted laws.

2. Program Announcement No. OSBDC-2019-04, and any subsequently issued SBA policy guidance.

3. Those terms and conditions set forth below.

4. Your accepted application for this Award, including all forms and assurances, and any subsequently approved additions or modifications.

In the event of a conflict between these requirements, the Order of Precedence listed above will determine which prevails. Unless explicitly stated otherwise, all deadlines discussed in this Notice of Award will be measured in terms of calendar days. By signing Block 23 of the Notice of Award cover page, You acknowledge Your acceptance of all these requirements.

II. SPECIAL TERMS AND CONDITIONS

A. Corrective Action Required

None.

B. Grant Recipient Responsibilities

You, the Recipient, acknowledge you will:

1. Comply with the requirements and authorities set forth in Parts I(B) above and III(A)(16) below.

2. Conduct the project funded under this Award in accordance with your approved Technical Proposal, and budget. Changes to these guiding documents must be submitted to SBA for pre-approval in accordance with Part III(A)(11) below.

3. Be responsive to SBA requests for information and communication. Changes to your organization’s contact information, including your AOR or other designated representatives, must be reported promptly to SBA.

4. Promptly advise SBA of any difficulties You encounter or anticipate encountering that may affect the conduct of your project.

5. Cooperate with all programmatic and financial examinations and any accreditation or certification reviews conducted by SBA, its agents, or contractors. You will promptly address and act upon all findings regarding your project made as part of any such process.

6. Coordinate with SBA and other Agency resource partners operating within your project service area to maximize the effectiveness of your efforts and avoid duplication of products and services.

7. Promote SBA programs, products, and services to clients, as appropriate.

8. Maintain adequate, readily accessible facilities for assisting clients, including satellite locations where appropriate.

9. Provide meaningful access to project services for clients with limited English language proficiency and/or disabilities.

10. Maintain adequate staffing levels for the delivery of client services, including replacing Key Personnel no more than 60 days after they cease their involvement with the project.

11. Participate in SBA surveys and studies regarding the effectiveness and outcomes of the program/project, curriculum, types of assistance, service delivery methods, etc.

12. Submit and update information to USASpending.gov, as required.

III. GENERAL TERMS AND CONDITIONS

A. Administrative Requirements

This award is subject to the requirements listed below. For further guidance regarding the administrative requirements applicable to this award see 2 C.F.R. Part 200 (Subparts A-E).

1. Non-Transferability

This award may not be transferred or assigned (either in whole or in part) without prior written approval from SBA. Additionally, no interest in this award may be conferred upon a third party and the award may not be pledged as collateral or security. For further guidance regarding the prior approval process, see Part III(A)(11) below.

2. Subgranting/Subcontracting

This award may not be sub-granted, either in whole or in part, to one or more third parties. You also may not act as a pass-through or fiscal agent channeling award funds to other parties. You also may not contract out the overall administration or day-to-day management of this project to any other party.

You may follow your own procurement policies and procedures when contracting with Project Funds, but you must comply with the requirements of 2 C.F.R. Part 200 (Subparts A-E).

3. Record-Keeping

You must maintain complete and accurate records and supporting documentation of sufficient detail to facilitate a thorough financial and/or programmatic audit or examination of this project. You must make these records available to SBA, its agents, its Office of Inspector General, and/or Federal investigators on demand and provide them with unrestricted access to review and make copies of all products, materials, and data, including those prepared or stored electronically. At a minimum, the records you must maintain on this project include:

a. The time and attendance of employees whose salaries are charged to this award, with sufficient detail to substantiate the claimed percentage of work performed in support of this project.

b. An inventory of equipment purchased, in whole or in part, with award funds. This inventory must comply with the requirements of 2 C.F.R. 200 (Subparts A-E).

c. Your ledgers and annual A-133 Audit Report. If you are not subject to the requirements of the Single Audit Act, you must have an annual audited financial statement. Unaudited financial statements are not an acceptable substitute.

d. Copies of receipts, invoices, contracts, leases, and other supporting documentation for all expenses paid with Project Funds.

e. Copies of checks, receipts, letters of donation, and other supporting documentation for all matching contributions related to this award.

Records may be kept in hard copy, electronic, or facsimile form and must be retained for no less than three years from the date the final project report is due.

4. Reporting Requirements

You must submit the reports identified in Parts III(A)(5) and (6) below to the GOTR on a quarterly basis. The required reporting forms may be obtained at http://www.sba.gov/content/sbdc-forms-and-worksheets. Reports must be submitted to the GOTR in electronic format via email attachment. Quarterly reports must be received by the GOTR no later than 30 days after the conclusion of the applicable reporting period. The final quarterly report must be received by the GOTR no later than 90 days after the conclusion of the budget year. If you fail to submit timely or adequate reports, SBA may withhold funding until this deficiency is corrected.

The quarterly reporting periods for this Award are as follows:

· 12/01/2018 – 12/31/2018 report due by 01/31/2019

· 01/01/2019 – 03/31/2019 report due by 04/30/2019

· 04/01/2019 – 06/30/2019 report due by 07/31/2019

· 07/01/2019 – 09/30/2019 report due by 12/31/2019

5. Performance Reports

In accordance with the schedule listed in Part III(A)(4) above, You must submit your Performance Progress Reports using either Standard Form PPR (SF PPR) or your own custom-designed format that includes all the same information required by the SF PPR. You must attach a narrative statement to Your SF PPR that details:

1. All project accomplishments for the reporting period, including a comparison between actual accomplishments and those predicted in the project goals and milestones you presented in your Technical Proposal. Where you failed to achieve the predicted accomplishments, you must explain the reason(s) for that shortfall and describe how you will bring project performance back into alignment with the goals and milestones. Report will also include the status of the following required program components: Resources and holdings, personnel changes, annual needs assessment, and additional services conducted by the Clearinghouse.

2. Any lessons learned, best practices identified notable success stories, and problems encountered and steps taken to address those problems.

3. You must maintain an on-going Inquiry/Response Record of the number, type and mode of inquiries received (including market/industry research conducted for the clients of SBDCs), referrals made, and the nature of the problems addressed and solved. This record must be made available for review by the Grant’s Officer Technical Representative (GOTR) when requested.

4. A quarterly performance report consolidating the Inquiry/ Response Record data will be compiled and submitted to the GOTR for review. Refer to Part III(A)(4) for reporting dates.

5. Consolidated Annual Performance Report. A consolidated Annual Performance Report must be submitted to the GOTR within 90 days after the completion of each 12 month budget period. This report will serve as the Quarterly Performance Report for the fourth quarter. See Part III(A)(4) above.

6. Technology Reports The Clearinghouse must serve as the SBDC network’s “Tech Forward” flagship by gathering best practices in supporting technological innovations developed throughout the network and enabling the transfer, duplication or deployment of those innovations. To accomplish this, the recipient of the Clearinghouse grant must:

a. Report quarterly on new or ongoing technology initiatives, via website.

b. Create and maintain the SBDC Network’s National Blog.

c. Organize and facilitate an SBDC Clearinghouse Workshop to be presented at the Association of Small Business Development Centers’ (ASBDC) Annual conference showcasing the best technology accomplishments.

d. Maintain a presence on the ASBDC committees related to technology and research and development..

e. Prepare an Annual Needs Assessment; refer to Program Announcement, Section 6.5.

7. Financial Reports

In accordance with the schedule listed in Part III(A)(4) above, You must submit your Federal Financial Reports using Standard Form 425 (SF 425). You must also provide detailed information regarding your actual expenditures broken down by the same cost category line items identified in your approved budget. SBA recommends use of the Quarterly Detailed Expenditure Worksheet for this purpose, but you may present the detailed cost data using your own format provided that format addresses all the required categories of information. You must include a narrative explanation each time your actual expenditures exceed the amount you budgeted for a given cost category. For further guidance on varying from budgeted cost category amounts, see Part III(B)(4) below.

You must report the amount of Program Income and matching contributions expended during the reporting period under the “Recipient Share” block on Your SF 425, as applicable. If you did not expend the required level of match for that reporting period, you must include a narrative explanation detailing the extent of, and reason(s) for, the shortfall and describing how and when you will come into compliance with the match requirement. For further guidance regarding matching contributions, see Part III(B)(6) below.

8. Project and Program Integrity

You must avoid engaging in any actions that may harm the integrity of this project or the SBDC Program. In the event key project employees are determined to have engaged in conduct reflecting a material lack of business integrity or honesty, you must immediately remove them from involvement in this project.

You must avoid both organizational and individual conflicts of interest and your organization may not assist clients with whom it or its principals have business relationships, or in which it or its principals hold financial interests, whether based on debt or equity. Furthermore, you must not permit your employees or agents to assist clients in which they or their immediate family members have financial interests. Your organization, principals, employees, and agents also must not take advantage of any involvement in this project to direct or refer clients to outside business endeavors in which they or their immediate family members have financial interests.

You, your principals, employees, and agents are obligated to report all instances of fraud, waste, or abuse related to this project or to the SBDC Program to the Point of Contact designated in Part I(A)(3) above. If, in your view, that individual does not satisfactorily address its allegations of fraud, waste or abuse, you should report the matter to SBA’s Office of Inspector General via the online complaint submission system at http://web.sba.gov/oigcss/client/dsp_welcome.cfm or the Fraud, Waste, and Abuse Hotline at 1-800-767-0385.

9. Exercise of Option Periods

In deciding whether to exercise an option period under this award, SBA will consider, among other things, the continuing SBDC Program authority, the availability of funds, and your record of past performance. SBA will notify you in writing of the Agency’s decision to exercise or decline an option period no later than 60 days prior to the end of the current budget period. If SBA exercises an option period, you must submit an updated Standard Form 424 – Application for Federal Financial Assistance (SF 424) covering the budget period for that option to the GOTR. SBA must receive that updated SF 424 no later than 60 days prior to the end of the current Budget Period.

If you fail to submit your updated SF 424 before this deadline ends, SBA may reverse its prior decision and decline to exercise the option period. Disputes regarding SBA’s decision to exercise or decline an option period will be handled in accordance with Part III(A)(17) below.

10. Project Closeout

For general guidance regarding project closeout procedures, see Subpart D of 2 C.F.R. 200.

At the end date of this award (i.e., after the base period concludes and all available option periods have been exercised or declined and any no cost extension has expired, as applicable), this project will cease and you may not incur any new reimbursable expenses. You must submit your final performance and financial reports and your final requests for payment within 90 calendar days of the project end date. If you do not submit your final payment requests within 90 days of the project end date, all remaining, undisbursed Federal funds will be de-obligated and will no longer be available to you If you have not received a follow-on award, you must include a list of all equipment purchased with Project Funds along with your final performance and financial reports. That list must describe each piece of equipment and identify its purchase price, the percentage of that purchase price paid with project funds, and its current, depreciated value. You must also ask the GOTR how to should dispose of that equipment. For further guidance regarding the disposition of equipment purchased with Project Funds, see 2 C.F.R. 200 (Subparts A-E). Where you have unexpended program income remaining at the end date of this award, you must either remit that money to SBA or obtain approval from SBA to use it to fund further activities consistent with the objectives of this award. For further guidance regarding Program Income, see Part III(B)(7) below.

Where SBA has designated another organization as your successor for purposes of the SBDC Program, you must turn over all equipment, materials (including top-level domains and web content), and unexpended supplies purchased with project funds, as well as copies of all project records (including client files), to your designated successor in accordance with the procedures and timeline provided by SBA. You must make a good faith effort to facilitate the smooth transition of the project to your designated successor.

11. Actions Requiring Prior Approval

Before taking any of the following actions, you must obtain advance approval from SBA:

a. Changing the scope of the project (including eliminating previously approved activities, adding new unapproved activities, altering the project service area, or amending the approved project goals/milestones);

b. Transferring Project Funds between individual cost categories where the cumulative amount involved equals 10 percent or more of Your total approved budget;

c. Changing your Key Personnel;

d. Entering into a contract calling for the expenditure of $250,000 or more in Project Funds, with the exception of subrecipient agreements or entering into a contract that, when combined with other contracts held by a single individual or organization (including affiliates, subdivisions, and subsidiaries), would result in that entity receiving $250,000 or more in aggregated Project Funds unless included in the proposal. The contracts must be awarded via competition. Non- competitive contracting at this level is only allowed if you can demonstrate to SBA’s satisfaction either: (i) there is only one possible source for a particular good or service or (ii) there is an emergency involving the risk of imminent damage to property or injury to people. For contracts between $10,001 and $250,000, you do not need to submit copies of the proposed contracts to the GOTR for approval before executing them. However, you must obtain price quotes (either orally or in writing) from at least three qualified sources and inform SBA of these quotes in the corresponding payment requests/financial reports. If you do not choose to go with the lowest quote, you must explain why. For contracts of $10,000 or less, you do not need to submit copies of the proposed contracts to the GOTR for approval before executing them and the contracts are not required to be awarded via competition if your organization considers their prices to be reasonable. Sole source contracts should not exceed 50% of federal funding for this award without prior approval.

e. Purchasing a piece of equipment that has an acquisition cost of $5,000 or more, or disposing of a piece of equipment purchased with Project Funds that has a value of $5,000 or more;

f. Making improvements to land, buildings, or equipment, or making project-specific alterations to facilities;

g. Establishing or reorganizing a legal entity;

h. Incurring costs associated with individuals’ attendance at meetings, conferences, symposia, or training programs;

i. Making use of SBA’s logo;

j. Selling or marketing products or services that are necessary for the performance of this project; or

k. Engaging in foreign travel.

You must submit requests for prior approval to the GOTR 30 calendar days prior to the date of the proposed action. See 13 C.F.R. Part 130 and 2 CFR 200 (Subparts A-E) for further guidance regarding prior approval requirements, as applicable.

12. Acknowledgment of SBA Support/Use of SBA’s “Powered by SBA” logo Publication Requirements

It is important that your clients and the general public are aware of the SBDC Program and SBA’s role in this project, as well as the taxpayer funded support the Agency is providing under this Award. Therefore, you must include the following acknowledgment of support statement on all materials produced in whole or in part with Project Funds:

“Funded in part through a Cooperative Agreement with the U.S. Small Business Administration.”

For purposes of this requirement, the term “materials” includes, but is not limited to, press releases, brochures, pamphlets, handouts, reports, advertisements, books, curricula, websites, video or audio productions, and similar items regardless of the medium employed. The term “materials” does not include stationery or business cards and the “Powered by SBA” logo may not be used on such items. The “Powered by SBA” logo will be provided by your GOTR.

Where you use Project Funds to produce materials featuring editorial content, you must use the following alternate acknowledgment of support statement (either independently or in conjunction with the “Powered by SBA” logo):

“Funded in part through a Cooperative Agreement with the U.S. Small Business Administration. All opinions, conclusions, and/or recommendations expressed herein are those of the author(s) and do not necessarily reflect the views of the SBA.”

In addition, you must display signage featuring the “Powered by SBA” logo at all facilities that are open to the public and which are being used for project activities. Such signage must prominently feature the acknowledgment of support statement identified above.

Where used, the acknowledgment of support statement must be presented in a legible typeface, font size, and (where applicable) color contrast and must appear verbatim and may not be altered or replaced with substitute language. However, on materials with severe space constraints such as signs and banners, you may use “SBA” in the acknowledgment of support statement instead of “U.S. Small Business Administration.”

You must make a reasonable effort to use the “Powered by SBA” logo on materials produced with Project Funds. You may contact the GOTR in order to obtain a high resolution copy of the “Powered by SBA” logo and a copy of SBA’s Graphic and Use Guide. Where used, the “Powered by SBA” logo may be positioned in close proximity to your organization’s logo or may be placed in a prominent location elsewhere in the material. However, the “Powered by SBA” logo may not be placed in proximity to any third party’s logo, or used in such a way as may imply that a relationship exists between SBA and any third party (Note: Your organization’s parent entity is not considered a third party). Additionally, in each instance where you use the “Powered by SBA” logo, you must also include the acknowledgement of support statement in reasonable proximity to the logo.

Neither the “Powered by SBA” logo nor the acknowledgment of support statement may be used in connection with activities outside the scope of this Award. In particular, UNDER NO CIRCUMSTANCES may the “Powered by SBA” logo or acknowledgment of support statement appear on items used in conjunction with fundraising, lobbying, or the express or implied endorsement of any goods, service, entity, or individual. For further guidance regarding the prior approval process, see Part III (A) (12) above.

13. Project Website

You must maintain a website, or a clearly defined subsection of an existing website, for the purpose of publicizing and conducting project activities. The project website must make reasonable accommodations for access by persons with disabilities and must feature the SBA logo and acknowledgement of support clause in a prominent location in accordance with Part III (A)(12) above. In addition, project websites are subject to the project closeout requirements of Part III(A)(10) above.

You may not use the project website to advertise, promote, or endorse alcoholic beverages, tobacco products, sexual products (including dating services and pornographic materials); illegal or controlled substances or materials; gambling or gaming products or services; or any other products, services, or materials which may be harmful to the image or reputation of this project, the SBDC Program, or SBA.

14. Co-Sponsored Activities

Your organization may collaborate with SBA and other current SBA grant recipients for the purpose of co-hosting activities within the scope of this Award without the need for a separate written agreement. SBA’s logo may be used in conjunction with such co-hosted activities. However, where a proposed activity includes contributors, co-hosts, or co-sponsors that are not current SBA grant recipients or involves undertakings that are outside the scope of this Award, the parties must work with SBA to execute a separate written co-sponsorship agreement. For further guidance regarding the use of SBA’s logo, see Part III (A)(12) above.

15. Accessibility of Facilities and Events

In accordance with the Americans With Disabilities Act of 1990 (42 U.S.C. § 12101 et seq.) and § 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794), all facilities You use to provide services to the public in connection with this project must be accessible by persons with disabilities. In addition, all notices, promotional items, brochures, publications, and media announcements informing the public of events, programs, meetings, seminars, conferences and workshops conducted pursuant to this project must include the following accessibility/accommodations notice:

Reasonable accommodations for persons with disabilities will be made if requested at least two weeks in advance. Contact [insert contact information for the person who will make the arrangements].

16. Applicable Law

Except for circumstances in which Federal law defers to State or local law – such as zoning matters, building and business permits, and recording requirements – this award will be governed by and construed under Federal law. Specifically, this award is subject to the following laws, regulations, and policies in addition to those enumerated in the SF 424B (Assurances: Non-Construction Programs) you submitted as part of your approved application:

· 2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;

· 5 U.S.C. App. 1 (Inspector General Act of 1978);

· 15 U.S.C. § 631 et seq. (Small Business Act);

· 22 U.S.C. § 7101 et seq. (Trafficking Victims Protection Act of 2000);

· 41 U.S.C. § 701 et seq. (Drug-Free Workplace Act of 1988), as implemented by 2 C.F.R. Part 182;

· 41 U.S.C. § 6306 (Prohibition on Members of Congress making contracts with Federal Government);

· 42 U.S.C. § 12101 et seq. (Americans with Disabilities Act of 1990), as implemented by 28

· C.F.R. Parts 35 and 36;

· 48 U.S.C. § 1469a (Waiver of Matching Fund Requirements for Awards to Insular Areas);

· 49 U.S.C. App. 1517 (Fly America Act);

· 2 C.F.R Parts 200

· 2 C.F.R. Parts 180 and 2700 (Nonprocurement Debarment and Suspension);

· 13 C.F.R. Parts 112, 113, and 117 (Civil Rights Compliance);

· 13 C.F.R. Part 146 (Restrictions on Lobbying);

· 37 C.F.R. Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements);

· Executive Order 13166 (Improving Access to Services for Persons with Limited English Proficiency);

· Executive Order 13513 (Federal Leadership on Reducing Text Messaging While Driving);

· Executive Order 13333 (Amending Executive Order 13257 to Implement the Trafficking Victims Protection Reauthorization Act of 2003);

· 22 USC § 7104 (Prevision of Trafficking)

· Title 13, Code of Federal Regulations (CFR), Chapter 1, or SBA’s Standard Operating Procedures (SOPs);

· Title VI of the Civil Rights Act of 1964;

· 44 USC § 3501 (Paperwork Reduction Act);

· Executive Order 12600 (Pre-disclosure notification procedures for confidential commercial information);

· 5 USC § 552 (Freedom of Information Act);

· 15 USC § 648 (SB Act, SBDC Program)

· 15 U.S.C. § 78dd-1 et seq. (Foreign Corrupt Practices Act)

· 22 U.S.C. § 7207 (Prohibition on United States Assistance and Financing to Certain Foreign Nations)

· 15 C.F.R. Parts 730-774 (Export Restrictions)

· 22 C.F.R. Parts 120-130 (International Traffic in Arms)

· 31 C.F.R. Parts 500-598 (Foreign Assets Control)

17. Dispute Resolution

If a dispute arises between your organization and SBA regarding on any matter not involving the suspension, termination, or non-renewal of this Award, you may request formal resolution of that dispute in accordance with 13 C.F.R. Part 130. You may appeal the matter to SBA’s Grant Appeals Committee. To be considered timely, your appeal petition must be received by the Committee within 30 calendar days of the date of the GMO’s decision. Your appeal petition must be mailed to the following:

Chairman, Grant Appeals Committee U.S. Small Business Administration Office of Grants Management 5th Floor, 409 3rd Street, SW Washington, DC 20416.

You must also send copies of your appeal petition to the GMO and GOTR.

There is no prescribed format for the submission of an appeal petition. Formal briefs and other technical forms of pleading are not required, nor are you required to obtain legal representation. However, your appeal petition must be in writing and must be concise, factual, and logically arranged. In addition, your appeal petition must contain the following:

a. your organization’s name and address;

b. Identification of the relevant SBA program office and the Award number;

c. A statement of the facts underlying the dispute and the basis for the appeal (i.e., a specific explanation as to why you believe SBA’s decision was incorrect);

d. Copies of any documents or other evidence supporting the appeal;

e. A request for the specific relief desired on appeal; and

f. A statement as to whether an oral hearing is being requested, and if so, the reasons why such a hearing is necessary.

The Committee will first rule on a request for an oral hearing before proceeding to consider the merits of an appeal petition. Within 60 calendar days of receiving your appeal petition, the Committee will present its decision in writing to you, the GMO, and the GOTR. The Committee’s ruling will represent the final Agency decision on the subject of the dispute and will not be further appealable within SBA.

18. Termination/Suspension/Enforcement

If you materially fail to comply with the terms and conditions of this Notice of Award, or with any requirement imposed by statute, regulation, executive order, or other source of law or policy, SBA will take whatever enforcement measures it deems appropriate to remedy that non-compliance. For further guidance regarding the enforcement measures that apply to this Award, see 13 C.F.R. Part 130. SBA may also institute suspension or debarment proceedings against your organization as it deems necessary.

B. Financial Requirements

This Award is subject to the requirements listed below. For further guidance regarding the cost principles applicable to this award see 2 C.F.R. Part 200.

1. Charging Costs to this Award

All costs charged to this award are subject to audit and examination. You are responsible for insuring proper management and accounting of Project funds in order to avoid cost disallowances. All direct costs charged to this award must be reasonable given the relevant market and industry area and the nature of the good or service involved. Direct costs claimed by your organization must also be allowable under the relevant cost principles and be clearly and specifically allocable, either in whole or in part, to the project funded by this award. In addition, you are not permitted to charge costs associated with any of the following items or activities to this award:

· Transactions with suspended or debarred entities, as discussed in Part III(B)(2) below;

· Construction or renovation of facilities or acquisition of real estate;

· Litigation, whether civil, criminal, or administrative;

· Providing matching contributions to any other Federal awards; and

· Meals, lodging, per diem, or other subsistence expenses associated with local travel (however, Project Funds may be used to pay transportation expenses for local travel). Local travel is any travel conducted entirely within a 50-mile radius of your organization’s address of record.

2. Transactions with Suspended or Debarred Entities

You cannot use project funds or project resources to provide services to individuals or firms that are currently under suspension or debarment by a Federal agency. In addition, you cannot use project funds to pay salaries of employees or costs of consultants, contractors, or other service providers (e.g., accountants, lawyers, etc.) where such entities are currently suspended or debarred.

You are responsible for verifying that entities paid or assisted with project funds or project resources are not suspended or debarred in order to avoid subsequent disallowance of costs under this award. To determine if an individual or firm is suspended or debarred, you may consult the Excluded Parties List (https://www.sam.gov/). For further guidance regarding suspension and debarment, see 2 C.F.R. Parts 180 and 2700.

3. Liability/Indemnification

Any liability arising from the conduct of this project, except as it directly relates to SBA employees or facilities, is solely your responsibility. SBA will not indemnify you or your employees or officers and, with the exception of insurance, no project funds may be used to cover costs related to liabilities arising under this award. For further guidance regarding insurance costs, see 2 C.F.R. Part 200

SBA is not a party to any contracts, subgrants (where permitted), or other agreements between your organization and third parties. SBA will have no involvement in any disputes arising from such agreements. You are liable to SBA for any amounts paid from project funds to third parties which are subsequently determined to have been unallowable or otherwise improper.

4. Adherence to the Approved Budget

You must expend project funds in accordance with your approved budget. However, you do have the discretion to transfer Project Funds between individual cost categories provided the cumulative result of all such transfers in a given budget period does not exceed 10 percent of your total approved budget. Before making any transfers that would cumulatively result in your exceeding this 10 percent cap, you must obtain approval from SBA. Failure to adhere to the approved budget or obtain the necessary prior approval will result in denial of payment by SBA. For further guidance regarding the prior approval process, see Part III(A)(12) above.

5. Funds from Multiple SBA Awards

If your organization holds any other current financial assistance awards from SBA, you must avoid commingling of funds and overlapping or double-claiming of costs among those awards. You must treat each project as separate and discrete with individual reporting, accounting, and audit trails.

6. Matching Contributions

Your organization is not required to provide any matching contributions under this award. However, the availability of private sector resources or non-Federal funds should be noted in the technical proposal. Matching funds should not be included in the cost proposal budget nor in the quarterly budget reports, but may be included in the narrative. For further guidance regarding the budget, see 13 C.F.R. Part 130.

7. Disposition of Program Income

Program Income generated under this award must be added to the project funds and used to further eligible project or program objectives. In addition, on each SF 425 you submit, you must note all program income earned and expended during that reporting period. For further guidance regarding Program Income, see 2 C.F.R. Part 200.

8. Refunds of Award Expenses

If you receive a refund of FICA/FUTA taxes or other project costs previously paid under this Award, you must immediately report such refund to SBA, regardless of whether the Project Period has ended. The amount of the refund must be remitted to SBA if the cost was paid with Federal funds.

9. Financial Stability

In order to continue being entrusted with public funds, your organization must maintain a sufficient level of financial stability. Examples of failure to maintain sufficient financial stability include, but are not limited to, excessive and/or unresolved indebtedness (whether to the Federal government or other parties), repeated failure to make payroll, and/or operating at a deficit for an extended period of time. Your lack of financial stability may lead SBA to suspend, terminate, or decline to renew this and any other awards you receive from the Agency and may also lead to your debarment by SBA.

For further guidance regarding enforcement actions SBA may take under this award, see Part III(A)(18) above. For further guidance regarding debarment, see 2 C.F.R. Parts 180 and 2700.

10. Payment

Payment will be made by reimbursement. For general guidance regarding payments under this Award, see 2 C.F.R. Part 200. You must draw down Federal funds only as needed to meet actual or estimated expenditures for the relevant reporting period. You must avoid accumulating Federal funds in excess of current disbursement needs. For further guidance regarding matching contributions see Part III(B)(6) above.

To receive payments, your organization must be in the Centralized Contract Register (CCR) and provide SBA with valid bank routing and account information for SBA’s administrative accounting system and submit a signed Standard Form 270 – Request for Advance or Reimbursement signed by the authorized representative of your organization. Alternative formats for submissions without complete and accurate information will be denied payment and you will be notified accordingly.

a. Forms should be submitted via email to the GOTR. See Part 1(A)(2) above.

b. Problems or questions relating to payment under this Cooperative Agreement should be direct promptly to Your GOTR at the above email, or mailing address; telephone number, and facsimile; see Part I (A)(2) above.

c. You must enter in block 4 (Standard Form 270), the appropriate Agreement/Document Number to identify the budget year of the Federal Funds requested for payment.

d. You must fill-in block 5 of the SF-270 (Partial Payment Request Number) in sequential order to indicate the cumulative number of forms submitted to the OSBDC.

You are responsible for submitting all payment requests in a timely manner. SBA will not process any payment request you submit more than 90 calendar days after the conclusion of the relevant budget period. For further guidance regarding project closeout procedures, see Part III(A)(10) above.

For all Federal funds disbursed under this award, you must retain copies of receipts, invoices, subcontracts, evidence of matching contributions, and similar items providing documentary support in accordance with Part III(A)(3) above. All payments will be made based on your demonstrated, bona fide disbursement requirements, consistent with the approved budget and project goals and milestones.

When requesting payment in advance, you must certify that you have the required level of matching contributions, justify why an advance is necessary, and detail how the advance funds will be expended over the specified period covered by the request. Advances are limited to the minimum amounts needed and must be timed to be in accordance with your actual, immediate disbursement requirements. You must deposit and maintain advances of Federal funds in interest-bearing, FDIC-insured accounts. You are encouraged to use banks that are at least 50 percent owned by women or minorities. If you do not fully expend an advance payment within 30 calendar days of disbursement, you must promptly refund any remaining amount to SBA. For further guidance regarding interest earned on advances of Federal funds, see 2 C.F.R. Part 200 or 13 C.F.R. Part 130, as appropriate.

11. Request for Carryover of Funds

Carryover requests will not be permitted.

12. Request for a No-Cost Extension

You may request that SBA grant a one-time extension of the expiration date of this award for up to 12 additional months if you can demonstrate more time is necessary for the adequate completion of specific project objectives. A request for an extension must be in writing (with supporting justification) and must be received by the GOTR at least 45 calendar days prior to the scheduled expiration of this Award. SBA will not approve any extension request that:

· Is solely for the purpose of expending remaining funds;

· Is for a project that previously received an extension;

· Is more than 12 months in length;

· Requires the commitment of additional Federal funds; or

· Involves any change in the objectives or scope of the project.

Because a project may only be extended once, you are encouraged to request a full 12-month extension even if you believe less time is necessary for the completion of this project. For additional guidance regarding extensions, see 2 C.F.R. Part 200.

IV. DEFINITIONS

The following definitions apply to this Award. For additional definitions relating to the SBDC Program, see 13 CFR § 130.110 and Program Announcement OSBDC-2014-04.

Award – a conferral of Federal financial assistance to support a specific public project, whether in the form of a grant or cooperative agreement.

Cataloging – A complete enumeration of items arranged systematically with descriptive details.

Clearinghouse Holdings – Publications, documents, resource lists, and other materials acquired and maintained by the Clearinghouse.

Client – an entity receiving technical assistance under this Award. A Client may be an existing small business concern or an individual interested in owning and operating a small business concern.

Client Information – files and records concerning a Client, as well as any information that could be used to identify, contact, or locate a Client. Does not include statistics or similar data that is not attributed to a particular Client.

Key Personnel – those individuals who play a crucial role in the conduct of a project. Examples include directors, managers, counselors, and instructors, but not support staff.

Office of Grants Management: The Office of Grants Management serves as the technical representative for most of the Agency’s grants.

Program Income – additional funds generated through the conduct of project activities. Includes, but is not limited to, income derived from service or event fees, sales of commodities, repayments of interest or principal on loans made with Project Funds, and usage or rental fees. Does not include interest earned on advances of Federal funds.

Project Funds – all funds covered by the project budget. Includes both Federal funds and matching contributions (cash and in-kind) dedicated to the project.

Project Resources – non-monetary items such as facilities, equipment, supplies, and staff time that are utilized to further project objectives and whose costs are supported (in whole or in part) with Project Funds.

Recipient (Awardee) – an entity serving as the Lead center of an SBDC network operating under an existing cooperative agreement with SBA.

You – the recipient organization for this Award.