AS Funding Opportunity Announcement Final_ 8.13.2021.pdf

U.S. Small Business Administration Office of Small Business Development Centers

OSBDC Funding Opportunity Funding Opportunity No. OSBDC-2021-03

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U.S. Small Business Administration Office of Small Business Development Centers

OSBDC FUNDING OPPORTUNITY

FUNDING OPPORTUNITY NO.

OSBDC-2021-03

FOR THE SBDC IN THE STATE OF AMERICAN SAMOA

The purpose of this Funding Opportunity is to fill the vacancy of the Host Institution for the American Samoa SBDC Program serving American Samoa. SBA invite proposals for funding from eligible entities which are institutions of higher education. Only application that are submitted by these entities will be considered for funding. For-profit businesses are not eligible for this award.

Opening Date: August 25 , 2021 Closing Date for Proposals: September 25, 2021

Proposals responding to this program must be posted to www.grants.gov. No other methods of submission will be permitted. Proposals submitted after the stipulated deadline will be rejected without being evaluated.

http://www.grants.gov/

OSBDC Funding Opportunity Funding Opportunity No. OSBDC-2021-03

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Table of Contents

1.0 Section I – Funding Opportunity Description

1.1 Program Overview

1.2 Introduction

1.3 Background

1.4 Purpose

1.5 Leveraging of Resources

1.6 SBA Involvement and Oversight

1.7 Changes or Cancellation

2.0 Section II – Award Information

2.1 Estimated Funding

2.2 Expected Number of Awards

2.3 Period of Performance/Budget Periods

2.4 Funding Information

2.5 Funding Instrument

2.6 Matching Requirement

3.0 Section III – Eligibility Information

3.1 General

3.2 Eligible Applicants

3.3 Ineligible Applicants

4.0 Section IV – Application and Submission Information

4.2 Submission Instructions

4.3 Required Proposal Submission Dates

5 Section V – Application Review Information

5.1 General

5.2 Evaluation Criteria

5.3 Review and Selection Process

6.0 Section VI – Award Administration Information

6.1 Award Notification

6.2 Administrative and National Policy Requirements

6.3 Reporting

6.4 Recordkeeping Requirements

7.0 Section VII – Agency Contacts

7.1 Small Business Development Center Program Point of Contact

7.2 Financial/Grants Management Point of Contact

7.3 Grants.gov Technical Support

8.0 Section VIII – Other Information

8.1 Definitions

8.2 Guidelines

8.3 Advance Understandings

8.4 Checklist of Required Submissions

4.1 Application Review Requirements

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1.0 Section I – Funding Opportunity Description

1.1 Program Overview

1.1.1. Federal Agency Name U. S. Small Business Administration, Office of Small Business Development Centers

1.1.2. Funding Opportunity Title Small Business Development Centers

1.1.3. Announcement Type Initial

1.1.4. Funding Opportunity Number: Funding Opportunity No. OSBDC-2021-03

1.1.5. CDFA Number 59.037

1.1.6. Closing Date for Submissions: September 25, 2021, Proposal due to the OSBDC via www.grants.gov at 11:59 p.m. EDT for Funding Opportunity No. OSBDC-2021-03 the SBDC serving American Samoa for CY 2021.

1.1.7. Authority: Small Business Act, Section 21 (15 USC § 648))

1.1.8. Duration of Authority: Permanent

1.1.9. Funding Instrument: Cooperative Agreement

1.1.10. Funding: Funding is for a twenty-four month period.

1.1.11. Award Amount/Funding Range: Section 21 of the Small Business Act sets forth a formula by which funds are to be distributed among the States. This formula, for the most part, rests upon a per capita basis, subject to the amount of an appropriation in any given fiscal year. The preliminary funding amount for the SBDC Program for calendar year 2022 is approximately $750,000. The Recipient Organization receiving the Cooperative Agreement is required to match funding received on a 1:1 ratio unless otherwise authorized. For the Core SBDC Grant, the Associate Administrator for the Office of Small Business Development Centers will, upon written request, waive the match requirement for the first $199,999.99.

1.1.12. Project Duration: Awards will be made for a two-year period. SBA intends to continue to fund the SBDC Program annually, subject to availability of funds.

However, an SBDC may not receive funding for future performance periods if there has been a clear showing of poor performance;

improper activity affecting the operation and integrity of the SBDC; or a failure to follow the rules and procedures set forth in the statute regulation and/or Funding Opportunity (see 13 C.F.R. Part 130.700) as incorporated into the Cooperative Agreement; or has been denied Accreditation.

1.1.13. Project Starting Date: Approximately 90 days after closing date Funding Opportunity No.

OSBDC-2021-03 for CY 2021.

http://www.grants.gov/ http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+15%2FChapter+14a%2FSec.+648&granuleId=USCODE-2010-title15-chap14A-sec648&packageId=USCODE-2010-title15&collapse=true&fromBrowse=true http://www.gpo.gov/fdsys/search/pagedetails.action?st=13+CFR+130.700&granuleId=CFR-2012-title13-vol1-sec130-700&packageId=CFR-2012-title13-vol1

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1.1.14. Proposal Evaluation: Proposals will be reviewed for sufficiency in meeting the requirements of the Program as defined in 13 C.F.R. Part 130.340. SBA may ask Applicants for clarification of the technical and cost aspects of proposals.

1.1.15. Agency Programmatic Point of

Contact:

Small Business Administration, Office of Small Business Development Centers, Email: SBDCGrantsq@sba.gov.

1.2 Introduction

The Small Business Development Centers (SBDC) Program is the U.S. Small Business Administration’s (SBA’s) largest matching grant-funded program providing quality service to the small business community.

The SBDC Program has 62 Recipient Organizations - one in each state (with the exception of four regional SBDC networks in Texas and five Recipient Organizations comprised of six regional SBDC networks in California), the District of Columbia, Puerto Rico, the Virgin Islands, Guam and American Samoa. The Recipient Organization is responsible for establishing a Lead Center and a network of Service Centers to cover its designated area of service. The SBDC Program links the resources of Federal, state and local governments with the resources of the educational community and the private sector to provide assistance to the small business community. In partnership with SBA’s Office of Small Business Development Centers (OSBDC) and District Offices, SBDCs develop business counseling and training programs, informational tools and other services that enhance the economic development goals and objectives of SBA, in their respective service areas and their local funding partners.

1.3 Background

Since its inception in 1953, SBA has served to aid, counsel, assist and protect the interests of small businesses.

While SBA is best known for its financial support of small businesses through its many lending programs, the Agency also plays a critical role in providing funding to organizations that deliver technical assistance in the form of counseling and training to small business concerns and nascent entrepreneurs in order to promote growth, expansion, innovation, increased productivity and management improvement. The mission of SBA’s OSBDC, which bears responsibility for administering and overseeing the SBDC Program, is to provide assistance to the small business community by linking the resources of Federal, state and local governments with the resources of the educational community and the private sector.

1.4 Purpose

Eligible organizations, as defined in Section 3.2, may apply to SBA for an award of financial assistance under this Funding Opportunity to fund an existing statewide or regional SBDC Program. SBDC Programs deliver professional, high quality, individualized business advising and technical assistance to existing small businesses and pre-venture entrepreneurs. SBDCs shall provide problem solving assistance to help small businesses access capital, develop and exchange new technologies, and improve business planning, strategy, operations, financial management, personnel administration, marketing, export assistance, sales and other areas required for small business growth and expansion, management improvement, increased productivity and innovation.

1.5 Leveraging of Resources

Applicants selected for awards under this Funding Opportunity are required to maximize their efforts to leverage SBA funding by working in conjunction with SBA District Offices and other Federal, state, local and tribal government small business development programs and activities; SBA resource partners such as SCORE, Women’s Business Centers (WBCs), Veterans Business Outreach Centers (VBOCs), 7(j) Technical Assistance providers, Small Business Investment Companies (SBICs), U.S. Export Assistance Centers http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+130%2FSection+130.340&granuleId=CFR-2009-title13-vol1-sec130-340&packageId=CFR-2009-title13-vol1&collapse=true&fromBrowse=true&bread=true mailto:SBDCGrantsq@sba.gov

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(USEACs), Certified Development Companies (CDCs) and SBA lenders; universities, colleges, and other institutions of higher education; and private organizations such as chambers of commerce and trade and industry groups and associations.

1.6 SBA Involvement and Oversight

The SBDC Program is managed by the Associate Administrator for Small Business Development Centers (AA/SBDC) at SBA Headquarters. The SBA will have substantial involvement in the administration, monitoring and oversight of the cooperative agreement. OSBDC shall assign a Grants Management Officer (GMO) to review the budget and all fiscal documentation for compliance with applicable Federal and program requirements and issue the Notice of Award. A Program Manager within OSBDC serves as the Grants Officer’s Representative (GOR) responsible for overall monitoring and oversight of the Recipient’s SBDC Program award, including compliance with the terms of the Cooperative Agreement and program service delivery and performance. The SBA District Office will review the proposal for Agency priorities and performance goals and will designate a Project Officer (PO) to conduct delegated grant monitoring activities on behalf of OSBDC. SBA will also conduct biennial financial and programmatic examinations of each SBDC Recipient, as required by statute. Performance goals are established by OSBDC and are not negotiated by the District Office.

1.7 Changes or Cancellation

SBA reserves the right to amend or cancel this Funding Opportunity, in whole or in part, at the Agency’s discretion. Should SBA make material changes to this Funding Opportunity, the Agency will extend the closing date as necessary to afford Applicants sufficient opportunity to address such changes.

2.0 Section II – Award Information

2.1 Estimated Funding

SBA expects to issue up to $750,000 for this award under this Funding Opportunity for the new recipient of the SBDC in American Samoa. Section 21 (a)(4)(C) of the Small Business Act sets forth a formula by which funds are to be distributed.

In the event that SBA is operating under a Continuing Resolution (CR) at the time of award, funding will be available during the period of the CR to the extent that funds are provided to the SBA for this purpose by the Office of Management and Budget (OMB). The amount available under the period of the CR may be less than the pro rata total anticipated amount of award.

Subject to the availability of funds and compliance with the terms and conditions of the Cooperative Agreement, SBA has the discretion to increase the award to an amount consistent with the authorized funding level under the federal appropriations law.

2.2 Expected Number of Awards

SBA anticipates making no more than 1 fiscal year award under this Funding Opportunity.

2.3 Period of Performance/Budget Periods

The period of performance for this award is two years.

2.3.1 Project Start Dates

The project start dates are:

• Approximately 90 days after closing date

• January 1, 2022, for the SBDC serving American Samoa responding to Funding Opportunity No. OSBDC-2021-03 for CY 2022 Continuation of Funds

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2.3.2 Continuation of Funds

SBA intends to award continuation funding to the Recipient under subsequent annual SBDC Cooperative Agreements for future fiscal/calendar years, subject to continued program authorization, availability of funds, satisfactory performance and the continued interest of the Recipient Organization. However, an SBDC may not receive continued funding if there has been a clear showing of poor performance, as measured by SBA. Poor performance is indicated by unsatisfactory oversight reviews (programmatic and/or financial), accreditation issues, improper or insufficient activity affecting the operation and integrity of the SBDC and/or a failure to follow the rules and procedures set forth in the statute, regulation and/or Funding Opportunity. See 13 C.F.R.

Part 130.700.

2.3.3 Intent to Renew

SBDCs wishing to exercise a renewal option must email the Letter of Intent to Renew to their assigned OSBDC Program Manager by the date listed on the SBDC Applicant’s Timeline in Section

4.4 of this Funding Opportunity.

2.4 Funding Information

• Funds provided under the SBDC Program must be used solely for the purposes stipulated in this Funding Opportunity and the Notice of Award and may not be commingled with any other monies.

All costs proposed in an Applicant’s budget must meet the tests of allowability, allocability and reasonableness set forth in the Office of Management and Budget (OMB) Uniform Guidance at 2 C.F.R. Part 200, Subpart E.

• Reimbursement of indirect costs from Federal funds will be capped at a maximum of 20 percent, regardless of the amount stipulated in an Applicant’s indirect cost rate (ICR) Agreement.

• Reimbursement is the preferred payment method for the SBDC Program. The submission of a Standard Form 270 (SF-270) is required at least quarterly, but not more frequently than monthly.

2.5 Funding Instrument

The funding instrument is a cooperative agreement.

2.6 Matching Requirement

• The organization receiving the Cooperative Agreement is required to match Federal funds on a 1:1 ratio. Non-Federal matching funds may take the form of cash or cash equivalent, in-kind donations provided by a third party or unreimbursed indirect costs (i.e., waived indirect).

• Cash match in an amount not less than 50 percent of the Federal funding is required. The remainder may be in the form of additional cash or in-kind contributions, and/or waived indirect costs. See 13 C.F.R. Part 130.450.

• No portion of the match may be from federal sources, with the exception of applicable Community Development Block Grant (CDBG) funds. See Section 4.1.6.2 on use of CDBG funds for SBDC activities.

• Program income (e.g., fees collected from clients and/or attendees for training) may not be used as a source of matching funds.

2.7 Insular Area Territory Match Waiver

The SBA has the authority, per U.S. Code Title 48 – Territories and Insular Possessions, Chapter 10 – Territorial Provisions of a General Nature, Section 1469a(d) – Congressional declaration of policy respecting “Insular Areas”, to waive any requirement for matching funds otherwise required by law to be provided by http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+130%2FSection+130.700&granuleId=CFR-2011-title13-vol1-sec130-700&packageId=CFR-2011-title13-vol1&collapse=true&fromBrowse=true&bread=true http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+130%2FSection+130.700&granuleId=CFR-2011-title13-vol1-sec130-700&packageId=CFR-2011-title13-vol1&collapse=true&fromBrowse=true&bread=true http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+130%2FSection+130.450&granuleId=CFR-2011-title13-vol1-sec130-450&packageId=CFR-2011-title13-vol1&collapse=true&fromBrowse=true http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+130%2FSection+130.450&granuleId=CFR-2011-title13-vol1-sec130-450&packageId=CFR-2011-title13-vol1&collapse=true&fromBrowse=true

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For the Core SBDC Grant, the Associate Administrator for the Office of Small Business Development Centers will, upon written request, waive the match requirement for the first $199,999.99 for American Samoa, Guam and the Virgin Islands Small Business Development Centers (SBDCs).

The Insular Area Territory SBDCs are required to provide a 1:1 match that must include at least 50 percent in cash with the remainder consisting of a combination of cash, in-kind and non-reimbursed Facilities and Administrative costs (i.e., waived indirect costs) on all Core SBDC grant funds of $200,000 and above.

The Core-Grant Insular Area Territory Match Waiver must be requested in writing, prior to the submission of the renewal application package, and transmitted through the OSBDC Program Manager. The Core-Grant Insular Area Territory Match Waiver will not apply retroactively to previous, ongoing or expired grants and is not transferable to other non-SBDC funding opportunities from SBA.

3.0 Section III – Eligibility Information

3.1 General

An organization may NOT submit more than one proposal per geographic community in response to this Funding Opportunity.

To the extent that they satisfy all eligibility criteria the same as all other applicant organizations, Religious Organizations are entitled to compete for Federal financial assistance (grants and/or cooperative agreements) used to support government programs. Generally, such organizations are not required to alter their religious character to participate in a government program, nor to cease engaging in explicitly religious activities outside the program, nor effectively to relinquish their Federal statutory protections for religious hiring decisions.

3.2 Eligible Applicants

To be eligible for this Funding Opportunity an Applicant must:

• Be proposing to serve entrepreneurs located in, American Samoa.

• Be an institution of higher education (including but not limited to any land-grant college or university, any college or school of business, engineering, commerce, or agriculture, community college or junior college)

3.3 Ineligible Applicants

The following will automatically be considered ineligible and their applications will be rejected without being evaluated:

• Any organization that is NOT proposing to serve entrepreneurs in American Samoa;

• Any organization currently having an outstanding, unresolved financial obligation to any Federal

Agency;

• Any organization that is currently suspended, debarred or otherwise prohibited from receiving awards of contracts or grants from the Federal Government;

• Any organization with an outstanding and unresolved material deficiency reported under the requirements of the Single Audit Act or OMB Circular A-133 within the past three years;

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• Any organization having at least one substantially non-compliant condition within SBA program guidelines occurring while administering or implementing any SBA program, including denial of Accreditation;

• Any organization that has had a grant or cooperative agreement involuntarily terminated or non-renewed by SBA for cause;

• Any organization that has filed for bankruptcy within the past five years; and/or

• Any organization that proposes to serve as a pass-through and permit another organization to manage the day-to-day operations of the project.

4.0 Section IV – Application and Submission Information

4.1 Application Review Requirements

General Evaluation criteria for the SBDC applicant technical proposal for American Samoa are –

4.1.1 Technical Proposal (not to exceed 30 pages)

The technical proposal serves as the blueprint for the Applicant’s planned project. This information must be provided in a paginated attachment not to exceed 30 pages. It must include the following information:

4.1.1.1 Program Narrative:

• History of Service: Narrative describing the applicant’s history of managing successful entrepreneurial development programs; experience providing management, technical and economic development assistance; compliance with staffing and access requirements; organizational structure; alignment with Host’s strategic plan/mission. (10 points).

• Statement of Work: Description of strategic plan and the approach for implementation; ability to provide statutorily required SBDC services and services that meet SBA priorities; ability to modify services to meet the needs of small business concerns in applicant’s designated area of service. Details of project objectives and milestones with tactic for attainment; list of core services and activities to be offered on a quarterly basis; additional special services and/or initiatives (15 points).

• Service Delivery Model: Narrative describing a design for statewide service delivery (NOTE: at least 50% of proposed service centers must be institutions of higher education (including but not limited to any land-grant college or university, any college or school of business, engineering, commerce, or agriculture, community college or junior college) or a Women’s Business Center currently funded by SBA and operating under § 29 of the Small Business Act.; identification of planned partnerships for service delivery; ability to reach special target markets. Narrative describing the ability to oversee an SBDC network; experience and qualification of proposed staff; plan to manage and coordinate the network; ensure attainment of program goals. Narrative describing a plan for delivery of consulting, advising, counseling and training needed by both nascent and existing businesses within American Samoa; how the Host will set up Lead and service center locations and the planned the locations of service delivery; qualifications of key personnel and proposed organizational chart (30 points)

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• Collaboration: Narrative describing plans for collaboration with SBA Resource Partners (including WBCs, SCORE, Clusters), federal agencies, state and local small business and economic development entities, and other community and small business organizations to deliver core services; use of academic and other resources to leverage federal funding. Narrative describing plans to establish a statewide SBDC Advisory Board; Cooperate with SBA and ASBDC reviews (15 points).

• Financial and Administrative Capacity: Narrative describing the Host’s planned match contribution for the program year and ability to obtain required match; letters of commitment of match for CY 2022 or in the future; Narrative demonstrating in details the Host’s long-term strategy for securing future match requirements, including letters of support and a plan for future budget periods (minimum 3 year projection). Narrative describing the Host’s ability to administer the SBDC in accordance with the Funding Opportunity, OMB circulars and other federal policies and guidance; ability to control program resources; ability to interface with complex reporting systems; experience in administering other federal grants; details of a sound financial management system. (30 points).

Specific Clarification of Criteria for Technical Proposal

History of Service (10 points) Applicant experience, qualifications, internal organization structure, and demonstrated ability to manage disciplined results-oriented programs:

The applicant should address the statutory and/or regulatory requirements that fall within this particular evaluation criterion. These would include, but not necessarily be limited to

• Eligibility Requirements (15 USC 648(a) (1)).

• Compliance with State/Region SBDC Plan (15 USC 648(b) (1-2)).

• Ability to provide small business problem-solving assistance (15 USC 648(c) (1)).

• Compliance with staff and access requirements (15 USC 648(c) (2) (A-F).

Include the applicant’s experience

• Providing management and technical assistance programs

• Providing economic development support to the small business community.

This section should also address

• Applicant’s internal organizational structure, and

• Linkage of the SBDC program to the organization’s strategic plan and mission.

Statement of Work (15 points) A Strategic Plan defining the services and activities to be offered to existing and proposed entrepreneurs as well as the implementation of the plan.

The applicant should address the statutory and/or regulatory requirements that fall within this particular evaluation criterion. These include, but are not necessarily be limited to –

• Ability to provide statutory SBDC services (15 USC 648(c) (3) (A-T) and meet SBA national priorities.

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• Ability to upgrade SBDC services to meet evolving small business community needs (15 USC 648(c) (4)).

• Ability to utilize and compensate qualified small business vendors (15 USC 648(c) (5)).

• Identification of resources to be used, the services to be provided and the method(s) for delivering the services (13 C.F.R. §130.410).

The applicant should provide a description of program objectives, proposed outputs and outcomes, as well as programs exemplary projects and/or special activities planned. To facilitate reporting, categorize the information presented using the reporting titles listed in Section VI, Part B to the extent possible. (Success stories do not need to be included in the proposal.)

The proposal must include a list of the types of assistance, including training to be offered during the budget period. To assist SBA, categorize the types of events to be offered on a quarterly basis by topic (e.g. marketing/sales, accounting/budget, cash flow management, procurement, rural business development, international trade).

Service Delivery Model (30 points) The ability to establish and operate a network of SBDC service centers and facilities within the State of American Samoa providing services throughout the entire state; the ability to oversee the SBDC network and to ensure attainment of program goals.

The applicant should address the statutory and/or regulatory requirements that fall within this particular evaluation criterion. These include, but are not necessarily be limited to –

• Ability to provide services throughout the state using service center and satellite locations (15 USC 648(c) (2)).

• Utilization primarily of institutions of higher education and Women's Business Centers to provide services to the small business community. (15 USC 648 (a) (1)).

• Identification of the Lead Center and other SBDC service providers by name, address and telephone number, the geographic areas to be served (13 C.F.R §130.410).

The applicant must state the approach it will use to oversee the SBDC network; discuss the management and coordination of the SBDC service delivery points throughout the State of American Samoa; provide narrative information on the qualifications and experience of the proposed SBDC network’s key personnel; and describe how the SBDC plans to provide total statewide coverage during the project period. The applicant must show how it intends to deliver counseling, training, and other services needed by nascent and existing small businesses. This plan must indicate where the service delivery locations will be established and how the organization will be set up for delivery of the services.

Collaboration (15 points) Plans for cooperation and coordination with SBA and other community and small business organizations to identify local business; and the use of academic, public, and private resources to deliver statutorily required services.

The applicant should address the statutory and/or regulatory requirements that fall within this particular evaluation criterion. These include, but are not necessarily be limited to –

• Cooperation requirements (15 USC 648(a)(2)).

• Compliance with the annual Funding Opportunity (15 USC 648(a)(3)).

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• Ability to collaborate with SBA’s local offices, the state small business community as well as state and local agencies (15 USC 648(c)(7)).

• Ability to participate in the SBDC information sharing system (15 USC 648(c)(8)).

• Ability to develop and implement a comprehensive plan with the relevant state agency(ies) and the US Department of Commerce for enhancing the export potential of small businesses within the service area (15 USC 648(d)).

• Ability to cooperate with federal laboratories, the National Science Foundation, the National Aeronautics and Space Administration and respective industrial application centers (15 USC 648(e-g)).

• Compliance with guidance issued by the Associate Administrator for the Office of Small Business Development Centers (AA/OSBDC) (15 USC 648(h)).

• Ability to cooperate with the National SBDC Advisory Board (15 USC 648(i)).

• Ability to establish and operate an American Samoa SBDC Advisory Board (15 USC

648(j)); (under 13 C.F.R. § 130.410, applicant needs to include in its proposal a list of proposed members of board).

• Cooperation with the conduct of biennial programmatic and financial examinations conducted by SBA (15 USC 648(k)(1).

• Cooperation with the SBDC Accreditation reviews conducted by the America’s of Small Business Development Centers (ASBDC)(15 USC 648(k)(2-3)).

The method of delivering services should include a description of how and to what extent academic, private, and public resources will be used (13 C.F.R. §130.410). The applicant should discuss other plans for coordination and collaboration with SBA, SCORE, WBCs, economic development, and small business organizations in this section.

Financial and Administrative Capacity (30 points) The applicant should address the statutory and/or regulatory requirements that fall within this particular evaluation criterion. These include but are not necessarily limited to the ability to provide the match requirement if possible. 15 U.S.C. § 648(a)(4).

The applicant must be capable of meeting the non-federal match requirements if applicable.

The applicant must provide letters of commitment from non-federal sources and eligible federal sources (qualified Community Development Block Grants) specified for the SBDC to certify the ability to match federal funds for the budget period if applicable. The recipient must report receipt of such contributions no later than the end of each project year.

The applicant must provide a detailed development plan demonstrating how the cash and in-kind match will be raised over the term of the project if applicable. In addition, a detailed development plan is also required for continuation of match for no fewer than three future budget periods if applicable. The applicant must include letters of support from potential sources for continuation of matching funds and in-kind contributions specified for the SBDC for future budget periods if applicable.

Applicants are required to demonstrate matching funds equal to the grant award amount with a cash match of at least 50% of the grant award if applicable. Applicants are also encouraged to seek matching funds beyond the established match requirement. While cash matched above 50% and total match beyond 100% are not required, applications with cash and/or total overmatch will receive higher scoring in this area. Host institutions are encouraged, but not required, to contribute a portion of the matching resources.

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The applicant must discuss its ability to administer the proposed network in accordance with the program requirements, conduct administrative oversight of the SBDC network, and provide control over program resources as outlined in this Funding Opportunity and other relevant OMB circulars. This discussion must also detail the applicant’s experience in administering federal grants, their financial management system, and strategic planning.

Applicants subject to the federal Single Audit Act (OMB Circular A-133) should also, upon request, provide a complete copy of their most recent Single Audit Act report.

4.1.1.2 Planned Milestones Worksheet:

Complete all sections of this worksheet and include as Attachment #3 to the Proposal. In Section 5 include requested information for all matching funds included in the proposed budget. In Section 6, list goals for the SBDC Network for Jobs Supported (JS), New Business Starts (NBS), Unique Clients Served (UCS) and Capital Infusion (CI) on the last line of the worksheet, and indicate performance goals that the Lead Center has established for each Service Centers and/or specialty programs on the lines above. If the Lead Center does not establish performance goals for Service Centers for JS, NBS, CI, and/or CS please indicate use “not goaled” in each column. Use the last column to indicate other key metrics for each Service Center, if applicable. The worksheet is available from OSBDC at: SBDC Forms and Worksheets.

4.1.1.3 SBDC Network Listing:

Provide a list of all service locations by name, host institution, key contact, physical address, phone number and location code. Identify the Lead Center, and indicate whether each location is a Service Center, specialty center or satellite location. Refer to Definitions in Section 8.1. Each Service Center must have a separate PIMS location. However, do not request PIMS location codes for satellite locations or other part-time service delivery sites.

The location ID code for each Center is issued through the PIMS system and directly affects the SBDC’s ability to report program activity to the SBA’s data collection system (EDMIS- NG); therefore, it is vital to keep the information in this system current. Guidance on maintaining PIMS is in Section 6.3. See Notice of Award, Terms and Conditions.

4.1.2 Cost Proposal

Information on proposed project costs must be provided through the completion or submission of the following:

a. Application for Federal Assistance (SF-424). Included in Grants.gov package;

b. Budget Information - Non-Construction Programs (SF-424A). Included in Grants.gov package;

• In Section B of SF-424A, line 6 g titled “Construction” shall be used for Consultant costs as described in the SBDC Budget Justification Instructions Section 4.1.2.3.

c. SBDC Cost Price Analysis and Budget Justifications available from OSBDC’s webpage at: SBDC Forms and Worksheets;

• Include a separate budget justification form with required cost detail for the Lead Center and each subcontracted Service Center.

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• Personnel lists must include each person’s name, position, salary and percent time budgeted to the SBDC Program. When listing a person’s position, please clearly indicate if such people serve as technology, international trade or other specialty advisors/trainer for the SBDC (e.g., Trade Center Director, Trade Advisor, Technology Consultant, General Business Consultant, etc.).

• Applicant may use their own budget justification form, as long as the Applicant’s format includes ALL budget detail required in OSBDC’s template and the guidance herein. If the Applicant chooses to use their own budget justification format (i.e., not the OSBDC form) it must ALSO include a separate 424A for the Lead Center and each subcontracted Service Center.

d. Budget Narrative;

• If all required cost detail is not shown on the SBDC budget justification and personnel list, include a separate budget narrative for the Lead Center and each subcontracted Service Center.

e. Indirect Cost Rate (ICR) Agreements, negotiated with the cognizant Federal Agency;

• Provide a complete signed copy of the current ICR Agreement for the Lead Center and each subcontracted Service Center that plans to claim indirect costs.

• Organizations that have never had an ICR Agreement with a Federal Agency may utilize the 10% de minimis rate as provided in 2 C.F.R. Part 200.414. The de minimis rate may not be used by organizations that have an expired ICR.

f. Schedule of Indirect Cost Worksheet; and, OSBDC recommends the use of the updated template available at on OSBDC’s webpage at: SBDC Forms and Worksheets which includes space to indicate whether each Center is on campus or off campus, and to list the name of the Center’s host institution including those not identified as institutions of higher education, and

g. Cost Price Analysis

OSBDC recommends the use of the updated template available at on OSBDC’s webpage at: SBDC Forms and Worksheets which includes a template for the SBDC Network’s Cost Price Analysis.

4.1.2.1 Budget Preparation

OSBDC will provide SBDCs with projected funding levels to be used in budget preparation.

• Budget information must describe the financial resources contributed by the Applicant. The amount and source of funds provided as match must be clearly indicated, in Box 18 of SF-424, and the budget summary SF-424A, Lead Center and each subcontracted Service Center budget justification forms must clearly indicate which program costs will be paid by Federal dollars, cash, in-kind and waived indirect. Applicants must show how the value of each in-kind match contribution is determined. This applies to costs incurred by Service Centers as well as Recipient costs.

• In addition, matching funds included in the budget information must also be listed by amount and contributor (i.e., state, university, private sector) in Section 5 of the https://www.sba.gov/offices/headquarters/osbdc/resources/20351

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Planned Milestones worksheet required as part of the Technical Proposal. See Section 4.1.1.2.

• Applicants must NOT include SBDC program income, nor unspent program funds from prior budget periods (carryover requests) on the Application SF424, Budget Information SF-424A or SBDC budget justification forms submitted in response to this Funding Opportunity. Planned program income expenditures should be described instead as part of the Technical Proposal. See Section 4.1.1.1 for guidance.

Specifically:

o Leave BLANK and do not include program income on the line f in Box 18, “Total Estimated Funding” of the SF-424;

o Leave BLANK line 7 for “Program Income” on the SF-424A; and o Do NOT include program income costs in the detailed budget justification.

4.1.2.2 Subrecipient Costs (Subcontracted Service Centers)

An Applicant may contract with other entities to deliver SBDC services and must include a provision in the subrecipient agreement to comply with the Uniform Guidance in 2 CFR 200 and all appropriate flow-down provisions.

If an Applicant proposes to use subrecipients for delivery of SBDC client services (also referred to herein as subcontracted Service Centers), it shall include the subrecipient costs in the Contractual budget element on the SBDC Network’s SF-424A Budget Summary form, and provide separate detailed budget justifications, with a line item breakout for Federal dollars, cash match, in-kind and indirect costs associated with the SBDC services to be provided by the proposed subrecipient organization. If the subcontracted Service Center proposes its own contractual costs (sub-subcontracts), it must provide supporting budget details such as a statement of work, the number of hours and rate of pay must be provided for each contractor.

For those SBDCs operating separate International Trade Centers (ITCs), Technology Centers or other specialty centers as part of the Cooperative Agreement, the Proposal must identify each Service Center’s specialty designation. An Applicant may substitute its own forms or spreadsheets in place of the SBDC Budget Justification Worksheet so long as it includes all of the information requested in Section 4.1.2.3.

4.1.2.3 SBDC Budget Justification Instructions

The budget cost categories and required cost detail for each category are described below.

The direct cost and indirect cost total must agree with the SF-424 and SF-424A.

Category Description

a. Personnel: List name and title of all personnel charged to federal and non-federal funds (direct costs). For vacancies, show position title in budget justification. If additional space is needed to explain the cost, include a budget narrative. Use the personnel list to show annual salary, number of months, level of effort in percentage and total amount budgeted for each position as the basis used to estimate personnel costs charged to the SBDC Program.

b. Fringe Benefits:

Indicate the fringe rates approved by your cognizant Federal Agency for audits when available. If not available provide the schedule used. Do not include fringe cost in the total amount required for personnel.

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c. Travel: For local travel, provide total anticipated mileage and mileage rate.

For out of state/region travel (including foreign travel), provide estimated cost and justification including: a.) Purpose, b.) Destination, c.) Mode of transportation and rate (i.e., airfare or mileage and rate), d.) Number of trips, and e.) Number and position of travelers.

d. Equipment: List items costing $5,000 or greater and having at least one year of useful life. The Recipient Organization must maintain an inventory of equipment purchased with program dollars including cost, location and detailed description of each item.

Equipment inventory must be made available upon request of SBA.

e. Supplies: Show anticipated cost of supply items such as general office, operational, computer supplies and other supply items costing less than $5,000. The Recipient Organization must maintain an inventory of controlled supplies of higher dollar value and high potential for loss such as computers, etc. and it must be made available upon request of the SBA.

f. Contractual: List costs for contractual services that support program operations, such as website support, equipment maintenance or meeting facilitation. Provide budget details including: a.) Name of contractor, b.) Statement of work, c.) Number of hours and d.)

rate of pay.

If Applicant proposes to contract with another entity to provide SBDC client services (i.e., a subrecipient), costs for the subrecipient contract may be included on the Contractual line for the Network SF-424A Budget Summary, but the Applicant must also include a separate budget justification with cost detail by line item for each subrecipient.

Please be reminded that if the Applicant uses a budget format other than OSBDC template, the Applicant must also include a separate SF-424A Budget Summary form for each subrecipient along with its detailed budget justification form.

g. Consultants: Provide detail for Consultant costs shown on line 6g of SF-424A. (Note that form SF- 424A lists category g. as “Construction”, but Applicants are asked to use this line for SBDC Consultant costs only.)

Consultant costs include costs for non-employee SBDC advisors, trainers and other staff who provide client services on an hourly or fee for service basis. Provide consultant(s) name, if known, specify purpose and indicate the number of hours and rate of pay.

h. Other: List all expenses included in this cost category separately, with planned cost per item.

Other expense items may include, but are not limited to, computer software, copying, postage, printing, publications, subscriptions, dues, telephone, conference fees and office space rental.

If rental costs are proposed, provide square footage required for SBDC activities and rate.

If nominal costs for meals and hospitality expenses associated with client workshops or related events are proposed, include a justification that demonstrates such costs are reasonable and necessary to support the SBDC program mission and goals. Details may be included on the budget justification form, budget narrative or in a clearly marked section of the technical narrative.

Do not list other items with zero amounts.

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j. Indirect cost: Show indirect cost amount on line j of the Budget Justification ONLY. (Do not include indirect costs as cash match or as in-kind contributions; or as a contractual cost category.)

A rate no higher than that approved by your cognizant Agency should be used to estimate indirect costs, except that organizations that have never had an Indirect Cost Rate Agreement (ICR) with the Federal Government may use the 10% de minimis rate provided in 2 C.F.R. Part 200.414. You may obtain the Schedule of Indirect Costs Worksheet from OSBDC at: SBDC Forms and Worksheets.

Reimbursement of indirect costs charged to federal funds will be capped at a maximum of 20%. The amount remaining of the total indirect cost is the waived portion (i.e., indirect match, if any).

4.1.3 Certification Forms and Assurances

Consistent with 2 C.F.R. Part 200.415 Financial Certifications must be signed by an authorized individual at a level no lower than vice president or chief financial officer of the organization. Each Applicant must complete and submit the following forms. :

• Certification Regarding Debarment, Suspension, and Other Responsibility Matters, Primary Covered Transactions (SBA Form 1623);

• Certification Regarding Drug Free Workplace Requirements;

• Certification Regarding Lobbying (SBA Form 1711);

• Cash Match and Program Income Certification Form;

• Cost Sharing Proposal (SBA Form 1224);

• Assurances Non-Construction Programs (SF-424B);**

• Disclosure Form (SF-LLL);** and

• Most recent A-133 Audit. Note: if the Applicant’s A-133 audit document is large, provide a website link and instructions on where to locate the audit.

** SF-424B and SF-LLL are incorporated as part of the electronic Application form on Grants.gov.

All other required Certification Forms can be obtained from OSBDC at: SBDC Forms and Worksheets and uploaded as Attachments to the Application. See Section 4.1.4 for the order of Attachments.

Applicants need to provide a current assertion that the Network has included all of the forms, certifications, and assurances required by SAM.

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4.1.4 Attachments and Exhibits

There will be 13 attachments. Please attach documents in the following order and include “Attachment #” in the document name. See Section 8.4 for additional guidance and location of required forms.

1. Attachment #1: List of Attachments submitted through Grants.gov;

2. Attachment #2: Technical Proposal, including program narrative, organization chart, Network listing, resumes and other required information;

3. Attachment #3: Planned Milestones worksheet;

4. Attachment #4: Cost Proposal, including SBDC budget narrative, detailed budget justification by line item, personnel listing and other required cost detail for each Center and the Cost-Price Analysis Worksheet;

5. Attachment #5: Indirect Cost Rate Agreement for Lead and Service Centers (if any);

6. Attachment #6: Certification Regarding Debarment, Suspension and Other Responsibility

Matters (SBA Form 1623);

7. Attachment #7: Certification Regarding Drug-Free Workplace Requirements;

8. Attachment #8: Certification Regarding Lobbying (SBA Form 1711);

9. Attachment #9: Cash Match and Program Income Certification Form;

10. Attachment #10: Cost Sharing Proposal (SBA Form 1224);

11. Attachment #11: A-133 Audit Report (or link to a webpage with instructions on how the report can be viewed by SBA);

12. Attachment #12: Letter of Support from SBA District Director; and

13. Attachment #13: Additional information or other documentation the Applicant believes is necessary to support its Proposal. If the Lead Center has any contracts greater than $10,000 (excluding the Service Center contracts) they should provide a statement as part of Attachment #13. That would include a list of each contract above $10,000, the three quotes for each contract and a justification if they do not go with the lowest bidder.

4.1.4.1 Treatment of Proposal Information

If the SBDC’s Proposal contains confidential data, such information will be treated in accordance with Part 102 of SBA’s regulations. See 13 C.F.R. Part 102.

4.1.4.2 Treatment of Client Information (Privacy Requirements)

Unless otherwise specified, all financial, statistical, personnel and/or technical information and data furnished, produced or otherwise made available to the SBDC by its small business customers during the performance of this Agreement shall not be used for purposes other than performance of work under this Agreement. The above information received by the SBDC may be privileged and must not be released or disclosed by the SBDC without the prior written consent of the client unless otherwise required by law. If such information is requested in a legal proceeding, the SBDC must take the necessary precautions and legal recourse to protect privileged information.

15 U.S.C. § 648(a)(7) provides that client information can only be made available to SBA for legal enforcement action and financial audits. However, SBA is also allowed access to client data for obtaining program activity information or conducting client surveys. For clients who have responded “yes” to Question 11 in Part I of SBA Counseling Information Form 641, the SBDC shall provide the information and data contained in Part I along with the small business name every 90 days. SBA will safeguard client and customer Personal Identifiable Information (PII).

http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+102&granuleId=CFR-2012-title13-vol1-part102&p…