SOW-Clusters-2018.pdf

SBA – Regional Innovation Cluster Initiative Services – 2018 Page 1 of 10

PERFORMANCE-BASED STATEMENT OF WORK

SBA – Regional Innovation Cluster Initiative Services – 2018

1 – OVERVIEW

The SBA is seeking proposals from entities that lead regional cluster initiatives. SBA is interested in proposals that: (a) support the growth of a regional cluster; (b) demonstrate strong regional, bottom-up support; (c) are market-driven; (d) demonstrate high potential for success and sustainability; and (e) closely align with emerging entrepreneurial development trends. These clusters initiatives will involve public-private partnerships that align federal resources and programs – including SBA’s entrepreneurial education network, lending and investing partners, business development programs and the Small Business Innovation

Research (SBIR) program – with existing state and local resources, regional strengths, and economic growth opportunities in communities both within the region and beyond to build more prosperous and inclusive small business ecosystems across the United States.

Successful cluster initiative proposals will include partnerships with and between business and industry groups, academic institutions, economic development organizations, entrepreneurial education programs, and training initiatives and will reflect an industry-specific focus and collaboration. In keeping with the SBA’s commitment to fostering a more inclusive small business ecosystem, successful proposals will reflect the diversity of the communities in which they are providing services and will reflect particular attention to ensuring the inclusion of businesses in emerging markets. These cluster initiatives will assist businesses in matching innovative technology to industry needs and increase the number of innovative small businesses and entrepreneurs in the nation’s supply chain.

The SBA intends to award contracts to seven contractors to provide cluster initiative services.

As part of the administration’s focus on economic prosperity in rural areas, proposals that focus on or contain elements that impact economic prosperity in rural areas may be preferred.

Additionally and among awards contemplated awards this year, the SBA will take into consideration whether proposing entities are part of and will provide services to communities with a HUBZone or Opportunity Zone designation.

As used in this performance-based Statement of Work (SOW), “Offeror” and “Contractor” are interchangeable.

2 – DEFINITION OF REGIONAL CLUSTERS AND CLUSTER INTIATIVES

For the purposes of this Performance-Based Statement of Work (SOW), the following terms are defined as follows:

A regional cluster is a geographically-concentrated, interconnected network of synergistic or complementary businesses, suppliers and associated organizations engaged in or with a particular industry sector or sectors, with active channels for business transactions, communications, and dialogue that share specialized infrastructure, labor markets and services.

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A cluster initiative is a formally organized effort to promote a regional cluster’s growth and competitiveness through collaborative activities among cluster participants. Additional information on the definitions of clusters and cluster initiatives can be found at:

http://www.clustermapping.us/content/clusters-101

A cluster’s region may cross municipal, county, and other jurisdictional boundaries. A cluster often encompasses local universities, government research centers, and/or other research and development (R&D) resources, which serve as catalysts for innovation and drivers of regional economic growth. In addition, participants in the cluster may have strategic partnerships with entities outside of the cluster’s geographic region. A successful cluster initiative will leverage the region's unique competitive strengths across geographies and identify and develop networks for business financing, business-to-business sales, education, and workforce development as well as opportunities to expand into markets nationally and internationally. These networks work in concert with cluster participants, which include but are not limited to local governments, venture capitalists, private banks, private investors, workforce investment boards, non-profit organizations, and institutions of higher education (including community colleges), as well as other public and private agencies and institutions that may extend beyond the geographic region.

3 - TECHNICAL PROPOSALS

The Technical Proposal shall include Offeror’s proposed efforts to align federal resources – including SBA’s entrepreneurial education network, lending and investing partners, business development programs and the Small Business Innovation Research (SBIR) program – with existing state and local resources, regional strengths and economic growth opportunities in communities. Offeror’s proposal shall illustrate how these partnerships will support the development and growth of small businesses in the cluster region.

Technical Proposals shall identify plans and strategies to enhance the region’s ability to create jobs, compete on a national and global scale, develop and constantly refine a commercialization roadmap, and attract further business investments.

3a – TECHNICAL APPROACH

In its Technical Proposal, an Offeror shall address how it will collaborate with other clusters receiving SBA funding to share best practices and, as appropriate, connect its cluster participants with other clusters.

In its Technical Proposal, an Offeror shall further address how it will provide at least four of the following services to small businesses involved in the cluster:

Business acceleration

Mentoring;

Technology transfer counseling/consulting;

Commercialization of existing research and development (R&D) counseling/consulting;

http://www.clustermapping.us/content/clusters-101

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Engagement with Department of Defense, Department of Energy or other federal agency’s Small Business Innovative Research & Development

Programs;

Support in obtaining Facility Clearance status and holding of security clearances;

Export readiness counseling/consulting;

Access to capital assistance, to include:

o Assistance in obtaining capital from SBA and/or USDA guaranteed/affiliated programs, to include SBA 7(a), SBA 504, USDA Intermediary Relending Program

Support for emerging businesses; and/or

Other defined services relevant to small businesses.

In addition, in its Technical Proposal, an Offeror shall address how it will link small businesses with other small and large businesses, technology, development and financing opportunities, as well as initiatives to establish mentoring, matchmaking, and networking opportunities with seasoned entrepreneurs to help potential high-growth small businesses.

This part of the Technical Proposal may include, but is not limited to, the following services:

Build customer bases with federal agencies’ Contracting, Procurement, and Program Offices;

Build networks and partnerships;

Provide opportunities for showcasing and demonstration;

Assist in market development in the region and beyond;

Assist in ascertaining federal agency technology development requirements and priorities, matching; and/or operationalizing cluster technology and capabilities to best meet these needs; and/or

Facilitate opportunities for accessing new resources and markets.

In its Technical Proposal, an Offeror shall also address how the proposed cluster initiative will align itself with emerging entrepreneurial growth initiatives, and/or other federal agency programming and initiatives. Examples of possible alignment information include, but are not limited to, the following:

Affiliation with recipients of USDA grant programs with a focus on economic growth in rural areas, to include:

o Rural Business Development Grant Program o Value Added Producer Grant Program o Rural Business Investment Program

Incorporation or linkage to an accelerator program;

Brokering of public private partnerships to enhance the entrepreneurial ecosystem within the cluster;

Alignment with rapid prototyping centers (e.g. Maker Spaces); and/or

A focus on advanced industries which include, but are not limited to, manufacturing, electronics, robotics, defense systems, power/energy innovations, cyber security.

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An Offeror shall report at least quarterly on the impact its spending through this SBA contract vehicle has on the region’s economic growth and how much the region benefited from these activities; access to new markets; the creation of new products or business lines;

accelerated business growth and economic activity of small businesses; and increased job creation. This information shall be reported to the SBA using a required format which may be adjusted from time to time. This information may be used by the SBA in its reporting to

Congress and to the Federal Administration.

An Offeror shall manage its clusters initiative to work collaboratively and to coordinate its efforts to expand services and avoid duplication, particularly with other federally-funded programs and entities and also SBA-funded programs, such as Small Business Development

Centers (SBDCs), Women’s Business Centers (WBCs), SCORE, Veterans Business

Outreach Centers (VBOCs) and U.S. Export Assistance Centers (USEACs). Where a

Regional Innovation Cluster is located in regions with these programs, the Regional

Innovation Cluster shall proactively explore opportunities to coordinate with other government-funded programs in offering counseling and training, and other forms of assistance to cluster participants. Regional Innovation Clusters are encouraged to fully employ the resources of other federal, state and local government, academic and private sector programs concerned with aiding small businesses in order to provide seamless business development assistance at every stage of business growth.

An Offeror may also be required to collaborate with their local SBA Regional and District

Offices.

Offerors will vary in size and maturity, but Offerors' past performance, experience, and demonstrated success will be important evaluation factors. Specifically, SBA will evaluate each Offeror’s existing partnerships with relevant stakeholders, including but not limited to universities, community colleges, local community leaders, businesses, business leaders, workforce development boards, and strategic investors. Demonstration of successful collaborative efforts in the past is a critical element.

An Offeror shall provide details as to how its proposal aligns with the SBA’s commitment to fostering a more inclusive small business ecosystem. In particular, the proposal should address in detail how the planned course of action will enhance opportunities for and provide benefits to emerging businesses, inner-city and rural populations, etc.).

Contracts will be awarded on a firm-fixed level-of-effort basis with a not-to-exceed price.

3b – CLUSTER QUALIFICATIONS AND EXPERIENCE

As part of its Technical Proposal, an Offeror shall provide certain key information and documentation, in order for SBA to evaluate whether the entity meets the definition of leading or co-leading an existing regional cluster. Offeror shall specifically identify the cluster, by region and by sector(s), to be supported by the cluster initiative and specifically state whether the proposed cluster is currently being supported through active SBA contracts.

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A Proposal will be ranked more highly that focuses on a regional cluster not being currently supported through active SBA contracts. SBA is looking for proposals that either embody a different sector or a different region than those initiatives currently being supported.

Offerors will vary in size and maturity, but each Offeror’s past performance, experience, and demonstrated success in cluster work will be evaluated. Offeror’s Technical Proposal shall include sufficient information to demonstrate the Offeror’s expertise in performing clusters services and how services. This information may include Offeror’s leadership or co-leadership within existing partnerships between business and industry groups, economic development organizations, entrepreneurial education programs, and training initiatives, and shall reflect an industry-specific focus and collaboration. This information shall include existing partnerships with relevant stakeholders, including, but not limited to, universities, community colleges, community leaders, businesses, business leaders, political leaders and workforce development boards. Demonstration of successful collaborative efforts in the past is a critical element of the information to be provided in the Technical Proposal.

A. The following information will be used, along with the Past Performance Form, to evaluate Offeror’s Technical Proposal as to Factor 2, Cluster Qualification and

Experience - Cluster Qualifications and Cluster Experience:

1. The Offeror shall demonstrate in its Technical Proposal that it is an established regional cluster initiative of the region and sector proposed by the Offeror, or that it leads or co-leads an established cluster initiative in the region and sector proposed by the Offeror. The Offeror shall demonstrate it has a defined management and governance structure, well-defined strategic objectives. Offeror shall demonstrate it has the authority to bind the existing regional cluster it proposes (as defined in

Section 2- definitions), and the manpower and/or network to deliver the services indicated in its technical proposal;

2. The Offeror shall demonstrate in its Technical Proposal that it is recognized as a leader or co-leader of the cluster initiative by key cluster partners and stakeholders who comprise the cluster initiative and proposed regional cluster;

3. The Offeror shall demonstrate in its Technical Proposal that it currently represents, convenes, and coordinates, and has a history of representing, convening, and coordinating, a variety of stakeholders, including academic, business, and political partners as well as community leaders, diverse and underrepresented stakeholders, workforce development boards, and strategic investors;

4. The Offeror shall demonstrate in its Technical Proposal that it is devoted to implementing a strategic plan for growth and competitiveness of a region, centered on a particular industry or set of complementary industries. One of the Offeror’s core business objectives or competencies shall be expertise in leading and performing cluster work within the cluster proposed by the Offeror as defined in this SOW;

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5. The Offeror shall demonstrate in its Technical Proposal that it clearly aligns its efforts in its Technical Proposal with emerging entrepreneurial growth trends, and/or other federal agency programming and initiatives; and

6. The Offeror shall demonstrate in its Technical Proposal that its efforts will promote a more inclusive small business ecosystem with respect to businesses in emerging markets.

B. Each Offeror shall submit the following Required Documents in an Appendix to the

Technical Proposal - to inform SBA’s evaluation of Offeror’s Cluster Expertise and

Competency (Part 2 of Technical Proposal):

Required Documents and Information of

Offeror

1. Mission Statement

2. List of cluster partners and stakeholders

3. DUNS number, Representatives and

Certifications showing a registration in SAM for NAICS Code 541690, and a statement as to Offeror’s organization - that is, large for-profit, small for-profit, non-profit organization, educational institution

4. Outline of management and governance structure

5. Regional strategic plan

6. Tax status

7. Year founded

Each Offeror is strongly encouraged to include other documents that would further inform the evaluators’ assessment. Providing additional documentation may improve Offeror’s evaluation under Factor 2, Cluster Expertise and Competency.

Suggested documents are listed in, but not limited to, the items listed in the Recommended

Applicable Documents, below.

Recommended Applicable Documents

1. Articles of Incorporation

2. By-laws

3. Operating guidelines

4. Memorandums of Understanding

5. List of Board of Directors

6. Principals’/Key Personnel resumes

7. Letters of Support from other supporting entities in proposed regional cluster

3c – PAST PERFORMANCE

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The Technical Proposal shall include information as required on the form for that purpose attached to the combined synopsis/solicitation.

4 - KEY PERSONNEL

Offeror shall provide a work force possessing the skills, knowledge and training to satisfactorily perform the services required under this contract, in order to achieve core performance metrics and the reporting of these metrics. As part of its Technical Proposal, Offeror shall identify key personnel who will work on the proposal, the estimated percentage of a full 40 hour work week each key personnel will work on this technical proposal, and a summary of the technical skills possessed by each key personnel. Resumes of key personnel may be attached to the Technical

Proposal.

When a key personnel member of Offeror’s work force no longer works on Offeror’s Technical

Proposal, Offeror shall notify the Contracting Officer by email and provide the new key personnel’s qualifications and how the new person or resource is equivalent to the one it is replacing.

At a minimum the following labor categories shall be provided in Offeror’s Technical Proposal, along with the identification by name of the proposed person to occupy this position:

(1) Project Manager

Offeror shall designate a Project Manager to oversee implementation and execution of the

Contract and to serve as the Contractor’s primary point of contact with the SBA

Contracting Officer’s Representative (“COR”). Contractor shall not bill SBA directly for the time and services of the Project Manager. The services of the Project Manager shall be considered a management function of the Contractor and shall be absorbed in the overall cost of general and administrative expenses. The Project Manager shall have comprehensive knowledge of operational performance, as well system design and integration. Project Manager shall ensure that the requirements of this SOW are fully met. The Technical Proposal shall identify the percentage of work time this Project

Manager will devote to this Technical Proposal.

(2) Project Associates

Offeror shall designate a team of, at a minimum, 2 to 3 Project Associates to assist in the work of the Project Manager. The Technical Proposal shall identify the percentage of work time each Project Associate will devote to this Technical Proposal.

If other than a small business, contractor should include a subcontracting plan.

6 - PERFORMANCE PERIOD

The base term shall be 12 months, with the dates identified in the SF-1447. An option to extend the contract for four (4) additional 12 month periods is included, and shall be addressed and

SBA – Regional Innovation Cluster Initiative Services – 2018 Page 8 of 10 priced by the Offeror, based on the firm fixed rates its provides for each Option Year. The exercising of any options will be at the sole discretion of the SBA.

Successful awardees will be required to provide annual data for two years after contract termination.

7 - DELIVERABLES

Offeror shall provide the services outlined in its Technical Proposal in an effort to meet the objectives outlined in this SOW. Offeror shall outline and periodically report on the impact their spending has on small businesses in the cluster area, as well as the broader region’s economic and job growth metrics. The report shall be submitted to the SBA COR within 15 calendar days following the last day of the quarter reported. At the end of the base term or option period (if applicable), the contractor shall report on the extent to which it provided all of the services proposed in the contractor's proposals. In reports the Offeror shall clearly establish the links between spending initiatives and regional outcomes. Outcome measures and narratives shall also include benefits to the region from cluster activities; development and access to new markets; increase in patents applied for and obtained; licensing and commercializing new technologies; the creation of new products, services or business lines;

the development of new partnerships within the region as well as beyond the region;

accelerated growth of small businesses; creation of new businesses; regional economic growth and increased job creation.

A. Quarterly Reporting

The Contractor shall provide a status report at the end of every quarter detailing activities completed, activities delayed, problem areas determined, problems resolved, and progress to date towards meeting specified metrics in section 1.0. The report shall be submitted to the SBA COR within 15 calendar days following the last day of the quarter reported.

B. Annual Reporting

At the end of the base term or option period (if applicable), the contractor shall provide a detailed report on the extent to which it provided all of the services proposed including activities completed and outcomes from those activities, as well as any activities not completed with explanations. This report hall highlight accomplishments and outcomes, including but not limited to:

C. Small Business Metrics: In preparing its quarterly and annual reports, Offeror shall use the following Small Business Metrics:

Growth in number of small businesses participating in cluster partnerships;

Growth in number of small businesses participating in cluster and support industries;

Growth in number of small business starts in the cluster area;

Growth in total capital flowing to small business participants in the cluster

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(grants, contracts, loans and investments from public and private sources), including description of the relationship between the funding opportunities obtained by the small businesses and the engagement activities of the cluster with such businesses (e.g., value of small businesses’ economic activity tied directly to cluster assistance as well as economic activity tied indirectly to the cluster by virtue of the small businesses being active participants in the cluster);

Growth in job creation of small businesses;

Growth in new products, services, or business lines;

Number of small businesses receiving counseling, training, mentoring, or other technical assistance;

Growth in creation of new business, employment or new business opportunities in emerging markets

Number of small businesses participating in other activities and services provided by the cluster, including showcasing events, networking events, matchmaking opportunities, and other convening activities; and.

Number of patents obtained and /or applied for by small business participants in the cluster, as well as number of new technologies licensed.

The Contractor shall provide the deliverables as defined in this document to the COR in PDF or compatible electronic format unless otherwise noted. All reports shall be provided in PDF format.

8 - AGENCY-FURNISHED PROPERTY AND INFORMATION

The SBA does not anticipate that it will provide any property or information as a result of this contract. An Offeror may utilize property and information of existing cluster participants, as appropriate.

9 - PERFORMANCE-BASED STANDARDS

Performance Standard for

Tasks two and three

Acceptable Quality Level

(AQL)

Method of Monitoring

Contractor shall meet the defined deadlines in developing, drafting, and finalizing quarterly and annual reports

SBA program manager and

COR have documents in-hand on agreed dates for deadlines

Direct SBA contact – through the SBA COR assigned to this contract and through SBA personnel in the workplace.

Contract incentives and disincentives are not considered appropriate for this SOW.

10 - CONTRACTOR EMPLOYEES – WAGES / SECURITY / DATA OWNERSHIP

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1) The Contract Service Act of 1965 applies to this Contract, and contractor employees shall be compensated accordingly.

2) Personal identity verification (PIV) of contractor personnel is not required as the nature of the work will not require Contractor personnel to work within the SBA IT environment or within an SBA facility.

3) Data generated by this contract may not be disclosed to a third-party without SBA’s prior written consent. All data and reports generated by this contract are owned by the SBA and may be used by the SBA without restriction.

11-TRAVEL AND OTHER DIRECT COSTS

1) All travel must be pre-approved by the COR in writing.

2) Travel must be undertaken in accordance with the rules and regulations governing Federal employee travel published by the General Services Administration.

3) Travel receipts or legible copies must be attached to each invoice requesting travel cost reimbursement.

4) Other Direct Costs not previously identified by Contractor shall be preapproved by the COR in writing.

12- INVOICING

Invoicing shall occur once a month in arrears. Invoices shall include the contract number, the requisition number, and the period of time (beginning and end date) for the services detailed on the invoice. Invoicing shall be in accordance with Contractor’s Pricing Schedule. Back up detail shall be provided for travel, Other Direct Costs, and subcontracting efforts.