Revised STEP FY2020 Instructions 3-19-20.pdf

Office of International Trade

State Trade Expansion Program (STEP) Notice of Funding Opportunity Number: OIT-STEP-2020-01

IMPORTANT

ALL APPLICATIONS MUST BE SUBMITTED ELECTRONICALLY THROUGH

GRANTS.GOV.

APPLICATIONS WILL NOT BE ACCEPTED THROUGH THE MAIL.

If your organization hasn't already done so, it must register with Grants.gov before you will be able to apply for this funding opportunity.

THE REGISTRATION PROCESS, WHICH MAY TAKE UP TO 1 - 2 WEEKS, IS

REQUIRED TO SUBMIT YOUR APPLICATION ELECTRONICALLY.

WE STRONGLY SUGGEST THAT YOU START THE REGISTRATION PROCESS

IMMEDIATELY.

If you have any problems registering with Grants.gov, call the Grants.gov Support Line at 1-800-518-4726.

The hours of operation are Monday-Friday, 7 a.m. to 9 p.m., Eastern Standard Time.

1. Electronic Delivery

SBA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. Applicants must submit their applications online through Grants.gov.

2. How to Register to Apply through Grants.gov

a. Instructions: Read the instructions below about registering to apply for STEP funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

Organizations must have a Data Universal Numbering System (DUNS) number, active System for Award Management (SAM) registration, and Grants.gov account to apply for grants. If individual applicants are eligible to apply for this funding opportunity, then you may begin with step 3, Create a Grants.gov Account, listed below.

As of February 2, 2019, under the provisions of the Paperwork Reduction Act of 1995, the Regulatory Secretariat Division of the Office of Management and Budget (OMB) implemented a new process in the System for Award Management (SAM), to the currently approved information collection requirement regarding the pre-award registration requirements for federal Prime Grant Recipients. These revisions will enable non-Federal entities to submit common federal government-wide certifications and representations for Federal financial assistance at the time of registration in SAM. You must have an up-to-date SAM profile before your grant application can be reviewed for possible award.

Creating a Grants.gov account can be completed online in minutes, but DUNS and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines.

Complete organization instructions can be found on Grants.gov here:

https://www.grants.gov/web/grants/applicants/organization-registration.html

1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a DUNS Number from Dun & Bradstreet (D&B). Applicants must enter the DUNS Number in the data entry field labeled "Organizational DUNS" on the SF-424 form. For more detailed instructions for obtaining a DUNS Number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2) Register with SAM: All organizations applying online through Grants.gov must register with the System for Award Management (SAM). Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

3) Create a Grants.gov Account: The next step is to register an account with Grants.gov. Follow the on-screen instructions or refer to the detailed instructions here:

https://www.grants.gov/web/grants/applicants/registration.html

4) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile. For more detailed instructions about creating a profile on Grants.gov, refer to: https://www.grants.gov/web/grants/applicants/registration/add-profile.html

5) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the Authorized Organization Representative (AOR) role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role. For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

6) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize people https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html who are able to make legally binding commitments on behalf of the organization as a user with the AOR role; this step is often missed, and it is crucial for valid and timely submissions.

3. How to Submit an Application to SBA via Grants.gov

Grants.gov applicants must apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity (NOFA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out web forms you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS Number. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518- 4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist the SBA with tracking your issue and understanding background information on the issue.

4. Timely Receipt Requirements and Proof of Timely Submission

a. Online Submission. All applications must be received by [11:59 p.m.] Eastern Standard Time on April 6, 2020. Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov.

The applicant with the AOR role who submitted the application will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application. This applicant with the AOR role will also receive the official date/time stamp and Grants.gov tracking number in an email serving as proof of their timely submission.

When SBA successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role who submitted the application. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application.

Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by SBA.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role attempting to submit the application. The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

What you need to do:

1. Find out your institution's DUNS number

All institutions applying for federal grants are required to provide a DUNS number. The federal government has adopted the use of DUNS numbers to keep track of how federal grant money is dispersed.

Ask your grant administrator or chief financial officer to provide your institution's DUNS number.

Research universities and most colleges, independent libraries, and large organizations already have DUNS numbers.

If your institution doesn't have a DUNS number, call the special Dun & Bradstreet hotline at 1-866- 705-5711 to receive one free of charge. More information about DUNS numbers is available at http://www.dnb.com/get-a-duns-number.html?serv=UP-HP-07082014-new3 https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov http://www.dnb.com/get-a-duns-number.html?serv=UP-HP-07082014-new3

Time it takes:

You will receive a DUNS number at the conclusion of the phone call.

Tips:

Record and protect your DUNS number and have it available for quick reference in the following steps.

What you need to do:

2. Register your institution with System for Award Management (SAM)

SAM is a government-wide registry for organizations that seek grants from or otherwise do business with the federal government. SAM will house your organizational information, allowing Grants.gov to verify your identity and to pre-fill organizational information on your grant applications. Ask your chief financial officer, grant administrator, or authorizing official if your organization is already registered with SAM.

Remember that registration with the System for Award Management must be confirmed each year for your Grants.gov registration to remain valid. If your organization is not registered, you can register online at https://www.sam.gov/portal/SAM/#1 or apply by phone at the SAM Federal Service Desk (1-866-606-8220). When your organization registers with SAM, you must designate:

1) SAM Point of Contact (SAM POC). This individual is responsible for maintaining the accuracy and timeliness of the information in SAM's registry. Upon successful registration, SAM POC will receive a T-PIN (Trading Partner Identification Number) that will enable him or her to update your organization's SAM information as necessary.

2) An Ebiz Point of Contact (Ebiz POC). This individual will have sole authority to designate the staff member(s) who can submit grant applications on your organization's behalf through Grants.gov. The same individual may serve as both SAM POC and as Ebiz POC. During registration, you also will be asked to designate a special password called a Marketing Partner ID or "M-PIN." This password will be used in Step 4 below.

Time it takes:

This is the most cumbersome step. We recommend that you allow up to 3 days to gather information and prepare the application. After you submit your registration information, SAM will send an e-mail confirmation, generally on the same day.

Tips:

The SAM site uses terminology that is more appropriate for profit-making organizations than for non-profits. Do not be confused by terms such as vendor, contractor, etc.; just provide the requested information.

Record and protect your T-PIN and M-PIN. Keep track of the staff designated as Points of Contact.

What you need to do:

https://www.sam.gov/portal/SAM/#1

3. Register with Grants.gov

Finally, your organization's AOR(s) must register with Grants.gov at http://www.grants.gov/web/grants/applicants/organization-registration.html using their User IDs and passwords obtained in Step 3. Registration creates an account on Grants.gov that enables your organization to name and confirm authorization for one or more AORs and then allows the AOR(s) to submit applications on your organization's behalf.

When an AOR registers with Grants.gov, the Ebiz POC for your organization will receive an e-mail notification. Your Ebiz POC must then log on to Grants.gov (using the DUNS number from Step 1 and the MPIN password from Step 2) and approve the AOR, thereby giving him or her permission to submit applications. When an Ebiz POC approves an AOR, Grants.gov will notify the AOR via e-mail.

Time it takes:

Same day.

Registration will be complete when the AOR submits his or her information. Registration approval depends on the time it takes your Ebiz POC to log on and approve the AOR.

AORs will receive usernames and passwords when they submit their information.

Tips:

If you are uncertain about your organization's AORs, contact Grants.gov with your DUNS number and they can check AOR information for you.

AORs should record and protect their UserIDs and passwords, and have them available for quick reference.

Glossary

Authorized Organization Representative (AOR): A person authorized by your E-Business POC to submit applications to Grants.gov.

System for Award Management (SAM): Institutions receiving any type of award from the federal government must register with SAM.

DUNS Number: DUNS stands for "data universal numbering system." DUNS numbers are issued by Dun and Bradstreet (D&B) and consist of nine digits. If your institution does not have one, call 1- 866-705-5711 to receive one free of charge.

E-Business Point of Contact (Ebiz POC): Person who will designate which staff members can submit applications through Grants.gov. When you register with SAM, your institution will be asked to designate an Ebiz POC.

M-PIN: Password used by your Ebiz POC to designate which staff members can submit applications to Grants.gov.

Useful links and resources http://www.grants.gov/web/grants/applicants/organization-registration.html

DUNS Number information: http://www.dnb.com/get-a-duns-number.html?serv=UP-HP- 07082014-new3

System for Award Management (SAM): https://www.sam.gov/portal/SAM/#1

Register with Grants.gov: http://www.grants.gov/web/grants/applicants/organization-registration.html

Grants.gov website: http://www.grants.gov

Contact Grants.gov via e-mail: support@grants.gov

Grants.gov Customer Support Tutorials and Manuals:

http://www.grants.gov/web/grants/applicants.html

Grants.gov Support Line: 1-800-518-4726

SBA on GRANTS.GOV Grant Forms - Instructions and Guidelines All applications successfully submitted to SBA via Grants.gov will undergo a screening process, consisting of a review for Applicant eligibility and application completeness. Applications will be rejected without further evaluation if they are submitted by ineligible entities or they are non-responsive to the requirements of this Notice of Funding Opportunity.

For Applicant convenience, a technical proposal template and list of application elements are provided to ensure the application package follows the order listed in the Notice of Funding Opportunity.

The following documents are completed as part of the electronic application form on Grants.gov:

1) SF-424, Application Federal Assistance,

2) SF-424A, Budget Information, All documents must be submitted as separate attachments due to new Grants.gov workspace requirements.

Documents cannot be bundled together.

Instructions for file naming conventions: Please include the following attachments separately using the exact name and standard order outlined below. The Application elements as described below should be named with the Attachment number [#], Applicant’s State abbreviation (do not spell out state name), and name of document (identified in the left hand side of chart below). Do not add the word “attachment” in the file name.

For example: [1] [State abbreviation] Cover Letter. Applications must upload the following elements as attachments in Grants.gov:

REQUIRED APPLICATION ELEMENTS

The following Financial Assistance General Certifications and Representations are located within the System for Award Management (SAM.gov) and do not need to be submitted with this application:

Lobbying Disclosure Act of 1995, 2 U.S.C. 1601 et seq.

Financial Management Certification – 2 CFR 200.302 & 2 CFR 200.303 Debarment and Suspension – 2 CFR Part 180 Drug-Free Workplace – 41 U.S.C. 8103 Tax Compliance – Section 543 of PL 112-55 http://www.dnb.com/get-a-duns-number.html?serv=UP-HP-07082014-new3 http://www.dnb.com/get-a-duns-number.html?serv=UP-HP-07082014-new3 https://www.sam.gov/portal/SAM/#1 http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/ mailto:support@grants.gov http://www.grants.gov/web/grants/applicants.html

Conflict of Interest – 2 CFR 200.112

Cover Letter (Maximum 1 page) [1] [State abbreviation] Cover Letter - (Signed) Pdf format The first element of the application must be a cover letter containing a summary of each non-Federal entity’s key proposed export activities, which will be sent to Congress and appear on the SBA’s STEP webpage. Submit the Cover Letter electronically in pdf format. The cover letter is not counted in the 10-page requirement and must be one page and include the following information:

i. Non-Federal entity’s name and address (which must match the Governor’s Letter of designation);

ii. Non-Federal entity’s website address;

iii. Non-Federal entity’s STEP webpage, if one already exists;

iv. Name, telephone number, fax number, and email address of the non-Federal entity’s designated point of contact (the Authorized Organizational Representative);

v. Dollar amount of Federal assistance being requested;

vi. A one paragraph summary (110-125 words) of the proposed export activities supporting the proposed milestone goals. Use the following language to start this requirement:

“The (fill in State name) will use STEP award funds to support export development for eligible small business concerns to include (insert the proposed export activities)”.

Technical Proposal template (Maximum 10 pages) [2] [State abbreviation] Technical Proposal-Word format To expedite the proposal review process, Applicants must submit their Technical Proposal using the template provided in the application instructions Appendix. The proposal elements must be in the same order as the evaluation criteria in Section 5.2 of the Notice of Funding Opportunity. The proposal may not exceed 10 pages (excluding title page and cover page) and must be double-spaced on 8 ½ x 11- inch paper.

Times New Roman in 12-point font is required. Only the first 10 pages will be reviewed and evaluated.

An applicant will not be notified and consulted if additional pages are eliminated and not reviewed.

Non-Federal entities do NOT need to address every allowable statutory export activity (identified in Section 1.4). Non-Federal entities are strongly encouraged to prepare focused proposals including, performance measures and supporting activities that can realistically be achieved within the two-year performance period.

i. Introduction: Start the Technical Proposal with an ‘Introduction’ section on page one (not on the title page) that summarizes in no more than one (1) paragraph, your organization’s requested Federal and Non-Federal award amount, targeted number of eligible small business concerns, brief description of proposed statutory activities that will be achieved with STEP funds in the base year and in the option year, the total expected export sales, and anticipated return on investment that is realistic and achievable.

ii. Exporting Experience: In an estimated (1) page, the organizational capability to achieve success in the past and/or present to increase the number of small business exporters, export sales, and significant new trade opportunities.

iii. Project Design: In an estimated 1-7 pages, labeled with the main heading ‘Project Design’, this section should demonstrate how credible and impactful the non-Federal entity’s organization can leverage partnerships to produce new small business exporters, increase ESBCs’ export sales, and expand significant new export opportunities; as well as promote export services to a broad range of small business communities. This section must address all components as described in Section 5.2:

a. Performance Measures & Outcomes;

b. Direct Benefit to ESBCs;

c. Direct Benefit to Small Business Communities; and

d. Collaboration;

iv. Financial Assistance Plan - In an estimated 1 page, labeled with the main heading ‘Financial

Assistance Plan’, this section must outline the eight elements (detailed in Section 5.2) for ESBCs seeking assistance with award funds.

v. Data Collection & Measurement of Outcomes - In an estimated 1 page, labeled with the main heading ‘Data Collection and Measurement of Outcomes’, this section must address the required data collection elements identified in Section 5.2.7 (and listed in technical proposal template); and, the quality of Applicant’s ability to quantitatively measure progress towards achieving proposed outcomes. STEP’s proven results are measured by an increase in the number of firms, an increase in the value of ‘actual’ export sales, and an increase in significant new export trade opportunities. Refer to Technical Proposal template for more details. Applicants are encouraged to discuss the benefit that can be realized to Your state’s economy as a result of job created and/or job retained stemming from ESBCs participation in export activity. Non-Federal entities shall include a question on your STEP Application to capture the number of jobs created plus jobs retained completed by the client to collect this data.

Proposed Plan: Performance Measures & Outcomes [3] [State abbreviation] Proposed Plan - Excel format Non-Federal entities will be responsible for preparing a Proposed Plan including, Performance Measures and Outcomes in an excel spreadsheet (‘Instructions’ on how to complete proposed plan can be found in the application instructions as an Appendix., based on the Milestone Goals submitted in the Technical Proposal.

The Proposed Plan serves as the data blueprint to measure the extent to which the STEP grant recipient achieves program activities and the results (outcomes) of those measures. If awarded a grant, the grant recipient will be assigned a STEP Program Manager who is responsible for reviewing and approving your plan. Grant recipients will be required to report performance measures achieved, activities completed, and measurable results on a quarterly basis for the full two-year award period. SBA will collect, analyze and utilize this data to evaluate the program’s overall success. Client data will be confidential and used by SBA only if permission is given by a representative of the eligible small business concern

BUDGET INFORMATION

Each Applicant must provide budget information according to the specific instructions for each item. Submit budget information documents separately, in the following order, with the file name labeled as follows:

Standard Form (SF) 424, Application for Federal Assistance [4] [State abbreviation] SF 424 Online and Pdf format SF 424 Application for Federal Assistance. This standardized form requires basic information about your organization. The STEP Project Director must be listed in block 8f on the SF 424, not a grant writer or any other contact person, since this is where SBA obtains the contact information to generate the Notice of Award (NOA) for acceptance of the grant. Pertinent information regarding this announcement and all programmatic matters will also need to be provided to the STEP Project Director listed in block 8f.

SF-424A, Budget Information (Non-Construction Programs) [5] [State abbreviation] SF 424A - Online and Pdf format This form requires an estimate of the Applicant's total cost of executing STEP activities described in the technical proposal.

a. Do not show non-Federal funds overmatch. Include only Applicant staff travel in the “Travel” cost category and ESBC travel in the “Other” cost category;

b. For Section A, fill in columns (a) with ‘STEP’, (b) with 59.061, and appropriate total amounts in (e), (f), and (g);

c. For Section B, label column (1) ‘Federal’, label column (2) with exact ‘Non-Federal’ (Cash) match, label column (3) with any ‘Non-Federal’ (In-kind) contribution (from Applicant or a third party). The ‘Total’ Federal and Non-Federal amount is in column (5) and across line K;

d. For Section C, (Non-Federal Resources): Only complete columns 8(a) Grant Program with ‘STEP’, column (b) Applicant (combined Cash/In-kind, if applicable), and column (e) Totals; and;

e. Prepare SF424A, Section D to match Approved Plan expenditures for the first four quarters. In other words, the ‘forecasted cash needs’ for year ONE (base year), Federal amount (line 13) and non- Federal amount (line 14) must match the activity expenditure amounts on your proposed plan by quarter. Line 15, the total amount of expenditures you proposed in your Federal and Non-Federal budget and approved plan for all activities must be the same for the first four quarters; Do not merely divide the total amount by eight (quarters). They should match the technical proposal and proposed plan exactly for proposed activities and requested amounts.

f. Prepare SF424A, Section E, to match Approved Plan expenditures for the 2nd four quarters. In other words, the “forecasted cash needs” for the SECOND year (option year) of award. Federal amount (line 16) and non-Federal amount (line 17) must match the activity expenditure amounts on your proposed plan by quarter. Line 19, the total amount of expenditures you proposed in your Federal budget and Non-Federal budget and proposed plan for all activities must be the same for the 2nd four quarters. Do not merely divide the total amount by quarters. They should match the technical proposal and proposed plan exactly for proposed activities and requested amounts.

Attachments A-10 through A-12 (Budget Detail Worksheets) [6] [State abbreviation] A10 - A12- Pdf format

a. A non-Federal entity STEP Project Director must devote at least 50% of his/her time, to the STEP project if the non-Federal entity is NOT a recipient of a FY 19 STEP (Year 8) award. If the non- Federal entity is a FY 19 STEP (Year 8) grant recipient, the STEP Project Director may divide his/her time across both STEP years to meet the minimum 50% requirement.

b. On the A-10, identify all personnel who will be funded by Federal and Non-Federal amounts or who will support the STEP project without project funding (follow the sample shown on the A-9 ‘Supplementary Instructions’ for personnel calculations; do not include the A-9 instruction page in the application package);

c. All subtotals and totals on the A-10 through A-12 must match all dollar amounts reflected on SF- 424A; and,

d. Non-Federal entities may substitute their own forms or spreadsheets in place of the A-10 through A- 12, provided these alternate forms include all the same cost elements and columns in the same order as the A-10 through A-12.

Budget Narrative [7] [State abbreviation] Budget Narrative - Pdf format

a. Provide a detailed explanation of the components of each budget cost category listed on the SF-424A;

Section B.

b. Explain how each cost component directly benefits ESBCs.

c. Indicate which cost category (item and dollar amount) comprises the proposed Non-activity related

Federal Expense that was entered in the yellow highlighted section at the bottom row (P 21) in the Proposed Plan.

Match Certification [8] [State abbreviation] Match Certification - Pdf format

Provide a match certification letter that reflects the Applicant’s match components composed of the following elements:

-match dollar amount -type of match (cash, indirect expense, or in-kind) -description

A sample match certification letter is included in the application instructions package as an Appendix.

Include as attachments any commitment letter(s) from sources which the Applicant intends to obtain in-kind matching funds.

Commitment letter(s) [9] [State abbreviation] Commitment Letter - Pdf format

Commitment letter(s) from sources which the non-Federal entity intends to obtain in-kind matching funds (if applicable).

CERTIFICATION FORMS AND ASSURANCES

Submit certification and assurances forms separately in the following order, with the file name labeled as follows (Note: Where applicable, if the applicant has submitted these certifications and assurances via www.SAM.gov over the past 12 months, the applicant can rely on those forms instead of submitting new versions. Applicable forms are marked below. END NOTE):

Cost Policy Statement [10] [State abbreviation] Cost Policy Statement - (Signed) Pdf format

The Cost Policy Statement must describe non-Federal entities general accounting policies and a description of their cost allocation methodology (how each type of proposed cost is allocated: direct, indirect, or match).

This policy must be signed by the Chief Financial Officer (or equivalent thereof, holding analogous responsibilities, and having analogous expertise).

Designation Letter [11] [State abbreviation] Governor Designation Letter - (Signed) Pdf format

Governor’s letter, or equivalent thereof (e.g., Mayor of the District of Columbia), designating the Applicant as the State’s sole applicant and lead entity for conducting the State’s trade and export activities.

Address letter to:

Ms. Michele Schimpp, Deputy Associate Administrator Office of International trade 409 3rd Street, S.W.

Washington, D.C. 20416

For insular areas, the Governor, or equivalent must state that the Applicant is an agency or instrumentality of the area to receive the waiver of matching funds. See Section 3.1.

Consultation Letter [12] [State abbreviation] Consultation Letter - (Signed) Pdf format

This is a letter documenting consultation with the applicable trade agencies of the Federal Government on the export activities and contract services the non-Federal entity proposes to carry out using a STEP award to reduce duplication with existing Federal services. At a minimum, non-Federal entities must consult with:

a. The SBA District Office serving the non-Federal entity’s State (or the District Office that serves the non-Federal entity’s State capital or is located nearest to the non-Federal entity’s office for States with multiple SBA District Offices); and,

b. The U.S. Export Assistance Center (USEAC) serving the non-Federal entity’s State capitol or located nearest to the non-Federal entity’s office for States with multiple USEACs.

c. American Samoa, the Commonwealth of Northern Mariana Islands, and Guam should consult with the SBA District Office and the USEAC located in Hawaii.

d. The consultation letter’s purpose is to reduce STEP duplication of existing Federal services.

The Consultation Letter has no other purpose.

Use the template Consultation letter for this purpose, which is can be found in the application instructions as an Appendix.

ORGANIZATIONAL MANAGEMENT

Each Applicant must provide budget information according to the specific instructions for each item. Submit organizational management documents separately in the following order, with the file name labeled as follows:

Key Personnel Résumés and Position Descriptions [13] [State abbreviation] Key Personnel Resumes and Position Descriptions - Pdf format

Résumés and position descriptions for ALL key personnel (including vacant positions) supporting the STEP project.

http://www.sam.gov/

a. Résumé of STEP Project Director should reflect knowledge and experience with both administering a Federal award and executing the proposed export activities;

b. Other résumés must reflect experience and education relevant to the proposed STEP project.

Résumés may not be more than one page in length. Only the first page of each resume will be reviewed and evaluated. An applicant will not be notified and consulted if additional pages are eliminated and not reviewed.

Lists of Contractual and Consulting Agreements [14] [State abbreviation] List of Contractual and Consulting- Pdf format

Provides two separate lists of Contracts and Agreements as follows:

a. List of Contractual and Consulting Agreements - List of all extant or anticipated contractual and consulting agreements that directly support the Applicant’s proposed export activities which must include:

a. Contract provider name or TBD if contractor is anticipated;

b. Manner in which the provider was or will be selected (i.e., competitively or sole source);

c. Summary of support provided;

d. Actual or estimated contract cost to support the proposed STEP activities;

e. Identity of the employee or official of the Applicant organization who will be responsible for overseeing the agreements; and,

f. Description of oversight process.

Non-Federal entity may follow their own procurement policies and procedures when contracting with Project Funds but must comply with the requirements of 2 C.F.R. §§ 200.317-200.326.: Additionally, when using Project Funds to procure supplies and/or equipment, You are encouraged to purchase American-manufactured goods to the maximum extent practicable. American-manufactured goods are those products for which the cost of their component parts that were mined, produced, or manufactured in the United States exceeds 50 percent of the total cost of all their components. For further guidance regarding what constitutes an American-manufactured good (also known as a domestic end product), see 48 C.F.R. Part 25.

The following additional rules apply to contracts involving $10,000 or less:

a. You do not need to submit copies of the proposed contracts to the GOTR for approval before executing them.

b. The contracts are not required to be awarded via competition if Your organization considers their prices to be reasonable.

The following additional rules apply to contracts involving between $10,001 and $250,000 in Project Funds:

a. You do not need to submit copies of the proposed contracts to the GOTR for approval before executing them.

b. 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.

c. If You do not choose to go with the lowest price quote, you must explain why.

The following additional rules apply to contracts involving more than $250,000 in Project Funds:

a. You must submit copies of the proposed contracts to the GOTR for approval before executing the contract.

b. 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.

b. List of contracts that the non-Federal entity proposes to charge against the project as a direct cost or to meet matching funds requirement that will be outside the indirect cost rate agreement (e.g., a facilities lease).

a. Contract provider/lessor name.

b. Summary of support provided.

c. Actual or estimated contract cost.

If non-Federal entity does not propose any contract support for this award, include this attachment marked “N/A.”

FINANCIAL MANAGEMENT

Each Applicant must provide financial management information according to the specific instructions for each item. Submit financial management documents separately in the following order, with the file name labeled as follows:

A-133 Audit Report

[15] [State abbreviation] Audit Report - Pdf format

Attach the most recent A-133 audit report. If the Non-Federal entity is not subject to the requirements of the Single Audit Act, the non-Federal entity must instead submit a copy of its most recently audited financial statement and the CPA opinion of this audit (e.g., unqualified, qualified, adverse, etc.)

Note: if the Non-Federal entity’s A-133 or most recent financial statement audit is large, provide a blank page with website link and instruction on where to locate the audit.

Indirect Cost Rate Agreement (ICRA) or Extension Letter (if applicable)

[16] [State abbreviation] ICRA - Pdf format

For non-Federal entities that include indirect costs, provide a current, executed Indirect Cost Rate Agreement from the cognizant Federal agency or a letter from the non-Federal entities cognizant Federal agency approving an extension of a previous indirect cost rate for a period of time that covers the period of performance for this award. If the Non-Federal entity does not propose such charges for this award, include this attachment marked “N/A.”

APPLICATION INSTRUCTIONS APPENDIX

STEP Application Checklist Cover Letter Technical Proposal Template Proposed Plan Instructions to Complete ‘Proposed Plan’ Match Certification Consultation letter

STEP APPLICATION CHECKLIST

SAMPLE COVER LETTER

STATE TRADE EXPANSION PROGRAM

[STATE LETTERHEAD]

[DATE]

[Applicant STEP Project Director or Authorizing Official’s Name]

Ms. Michele Schimpp, Deputy Associate Administrator U.S. Small Business Administration Office of International Trade 409 3rd Street, SW Washington, DC 20416

RE: STEP Application Cover Letter

Dear Ms. Michele Schimpp:

In support of our STEP application, we submit the following information:

i. Non-Federal entities name and address (which must match the Governor’s Letter of designation);

ii. Non-Federal entities website address;

iii. Non-Federal entities STEP webpage, if one already exists;

iv. Name, telephone number, fax number, and email address of the non-Federal entity’s designated point of contact (the Authorized Organizational Representative);

v. Dollar amount of Federal assistance being requested;

vi. A one paragraph summary (110-125 words) of the proposed export activities supporting the proposed milestone goals. Use the following language to start this requirement:

SUMMARY: “The (fill in State name) will use STEP award funds to support export development for eligible small business concerns to include (insert the proposed export activities)”.

U.S. SMALL BUSINESS ADMINISTRATION

(APPLICANT NAME)

TECHNICAL PROPOSAL TEMPLATE

STATE TRADE EXPANSION PROGRAM

INSTRUCTIONS:

To expedite the proposal review process, Applicants must submit their Technical Proposal using the template provided on https://www.sba.gov/STEP website. The proposal elements must be in the same order as the evaluation criteria in Section 5.2 of the Notice of Funding Opportunity. The proposal may not exceed 10 pages (excluding title page and cover page) and must be double-spaced on 8 ½ x 11- inch paper. Times New Roman in 12-point font is required. Only the first 10 pages will be reviewed and evaluated. An applicant will not be notified and consulted if additional pages are eliminated and not reviewed. Non-Federal entities do NOT need to address every allowable statutory export activity (identified in Section 1.4). Non-Federal entities are strongly encouraged to prepare focused proposals including, performance measures and supporting activities that can realistically be achieved within the two-year performance period.

1. Read directions in each section,

2. Delete all content (including notes in yellow highlight) in each section,

3. Type or copy your content directly into empty block,

4. Update page numbers as needed in Table of Contents (on this title page),

5. Do NOT put any additional information on this page.

TABLE OF CONTENTS

Section I - Introduction

Section II - Exporting Experience

Section III - Project Design

Subsection A - Performance Measures and Outcomes

Subsection B - Direct Benefit to ESBCs

Subsection C – Direct Benefit to ESBCs in Small Business Communities

Subsection D - Collaboration

Section IV - Financial Assistance Plan

Section V - Data Collection & Measurement of Outcomes https://www.sba.gov/STEP

The following components must be included in the Technical Proposal in the same order.

SECTION I – INTRODUCTION

Start the Technical Proposal with an ‘Introduction’ section on page one (not on the title page) that summarizes in no more than one (1) paragraph, your organization’s requested Federal and Non-Federal award amount, targeted number of eligible small business concerns, brief description of proposed statutory activities that will be achieved with STEP funds in the base year and in the option year, the total expected export sales, and anticipated return on investment that is realistic and achievable.

SECTION II – EXPORTING EXPERIENCE

In an estimated (1) page, labeled with the main heading ‘Exporting Experience’, this section should include the Non-Federal entity’s organizational capability to achieve success in the past and/or present to increase the number of small business exporters, export sales, and significant new trade opportunities.

SECTION III – PROJECT DESIGN

In an estimated 1-7 pages, labeled with the main heading ‘Project Design’, this section should demonstrate how credible and impactful the non-Federal entity’s organization can leverage partnerships to produce new small business exporters, increase ESBCs’ export sales, and expand significant new export opportunities; as well as promote export services to a broad range of small business communities. This section must address the following components:

a. Performance Measures & Outcomes;

b. Direct Benefit to ESBCs;

c. Direct Benefit to Small Business Communities; and

d. Collaboration.

Subsection A – Performance Measures & Outcomes

This subsection must demonstrate the non-Federal entities’ capability and experience with developing credible and impactful performance measures and outcomes that are commensurate with statutory requirements.

Subsection B - Direct Benefit to ESBCs

This subsection must demonstrate the non-Federal entity’s capacity to recruit, prepare and assist new small business exporters including, specifically how at a minimum eighty-five percent (85%) of the proposed Federal award will directly benefit ESBC export activities. The following outcomes pertinent to your state’s landscape should be addressed:

a. Building a pipeline and developing small businesses into new exporters (e.g., recruiting, preparing, and assisting NTEs participate in export activities);

b. Building a pipeline of existing small business exporters and expanding their markets (e.g., recruiting, preparing, and assisting MEs participation in export activities); and,

c. Promoting export development opportunities to a broad range of small businesses, to include the following small business communities:

• Owned and controlled by socially and economically disadvantaged individuals;

• Owned and controlled by women;

• Owned and controlled by veterans and/or service-connected disabled veterans;

• Small businesses located in Opportunity Zones;

• Rural small businesses.

Subsection C - Direct Benefit to Small Business Communities

This subsection must include a plan to increase the number of ESBCs from Small Business Communities assisted (e.g., recruiting, preparing, and assisting ESBCs from Small Business Communities to participate in export activities).

Subsection D - Collaboration

This subsection must address how well the non-Federal entities will establish and leverage collaborative partnerships with each of their relevant organizations (drawn from the entities noted below) to accomplish the proposed performance measures and supporting export activities.

a. SBA’s District Offices, SBA’ Office of International Trade Export Finance Managers and SBA’s resource partners such as Small Business Development Centers (SBDC), SCORE, Women’s Business Centers, Veterans Business Outreach Centers, Small Business Investment Companies, Certified Development Companies, SBA lenders, and other SBA award recipients;

b. Other Federal, State, local and tribal government agencies. SBA is particularly interested in demonstrated collaboration with the U.S. Commercial Service;

c. Institutions of higher education (colleges & universities), trade and vocational schools; and

d. Private organizations, such as Chambers of Commerce, trade and industry groups, and associations.

SECTION IV – FINANCIAL ASSISTANCE PLAN

In an estimated 1 page, labeled with the main heading ‘Financial Assistance Plan’, this section must outline the elements (identified below) for ESBCs seeking assistance with award funds.

a. Application Process: Non-Federal entities application process for eligible small business concerns seeking STEP assistance including the following:

• Criteria and selection process to become a STEP client;

• Organization and title of the selection panel or committee members

(SBA employees cannot be members).

b. Internal Controls: The non-Federal entities financial management structure and systems – a clearly defined and documented internal control process that will ensure compliance related to the timely and reasonable expenditure of Federal funds.

• A specific response time (such as, 30-45 days) for issuing financial assistance awards to STEP clients, processing payments, and submitting reimbursement request in order to expend and report STEP funds in a timely manner must be outlined.

• The non-Federal entities’ process for ensuring that STEP funding is spread out to allow a multiplicity of ESBC participation and encouraging support to new STEP clients.

Non-Federal entities are strongly encouraged to develop requirements for ‘building the pipeline’ so that companies can ‘graduate’ from the program after a reasonable duration and amount of funding. STEP clients should not become dependent on receiving Federal STEP funds.

c. Threshold Amounts: Non-Federal entities ability to develop reasonable thresholds for ESBC reimbursement and participation in STEP activities. This includes: thresholds to define the total amount of Federal funding assistance

STEP client may apply for and the total number of export activities they are eligible to participate in during the two year period of performance.

• Maximum dollar amount of financial assistance available to a STEP client.

• Total number of activities that a STEP client can participate in…