final 2016 utah sbdc program announcement.pdf

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

OSBDC Program Announcement for the Utah SBDC Program Announcement No. OSBDC-2016-04

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OSBDC PROGRAM ANNOUNCEMENT

PROGRAM ANNOUNCEMENT NO.

OSBDC -2016-04 FOR THE SBDC IN THE STATE OF UTAH

The purpose of this Program Announcement is to fill the vacancy of the Host Institution for the Utah SBDC Program serving the state of Utah. SBA invites proposals for funding from eligible entities which are institutions of higher education and women’s business centers. Only applications that are submitted by these entities will be considered for funding. For-profit businesses are not eligible for this award.

Opening Date: September 10, 2015

Closing Date Proposals: Thursday, November 19, 2015

Proposals responding to this program must be posted to www.grants.gov by 11:59 PM Eastern Time Thursday, November 19, 2015. No other methods of submission will be permitted. Proposals submitted after the stipulated deadline will be rejected without being evaluated.

http://www.grants.gov/

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U.S. SMALL BUSINESS ADMINISTRATION

OFFICE OF SMALL BUSINESS DEVELOPMENT CENTERS

Table of Contents

Paragraph Subject

1.0 Section I – Funding Opportunity Description 4

1.1 Program Overview 4

1.2 Introduction 5

1.3 Background 5

1.4 Purpose 5

1.5 Leveraging of Resources 6

1.6 SBA Involvement and Oversight 6

1.7 Changes or Cancellation 6

2.0 Section II – Award Information 7

2.1 Estimated Funding 7

2.2 Expected Number of Awards 7

2.3 Period of Performance/Budget Period 7

2.4 Funding Information 8

2.5 Funding Instrument 8

2.6 Matching Requirement 8

3.0 Section III – Eligibility Information 8

3.1 General 8

3.2 Eligible Applicants 8

3.3 Ineligible Applicants 9

4.0 Section IV – Application and Submission Information 9

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4.1 Application Review & Requirements 9

4.2 Specific Clarification of Criteria for Technical Proposal 10-14

4.3 Additional Application Instructions 14-28

4.4 Submission Instructions 28-30

4.5 Required Proposal Submission Dates 30

5.0 Section V – Application Review Information 31

5.1 General 31-41

5.2 Evaluation Criteria 41-42

6.0 Section VI – Award Administration Information 42

6.1 Future Award Notification 42

6.2 Administrative and National Policy Requirements 42

6.3 Reporting 42-54

6.4 Recordkeeping Requirements 54-58

7.0 Section VII – Agency Contacts 58

7.1 SBDC’s Program Point of Contact 58

7.2 Grants.gov Technical Support 58

8.0 Section VIII – Other Information 59

8.1 Definitions 59-67

8.2 Guidelines 67-77

8.3 Advance Understandings 77-79

8.4 Checklist of Required Submissions 79-82

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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: Program Announcement No. OSBDC-2016-04

1.1.5. CDFA Number 59.037

1.1.6. Closing Date for Submissions: November 19, 2015, Proposal due to the OSBDC via www.grants.gov at 11:59 p.m. EDT for Program Announcement No. OSBDC-2016-04 for the SBDC serving the state of Utah for CY 2016

1.1.7. Authority: Small Business Act, Section 21(c)(3)(T) and Section 27 (15 USC §§ 648(c)(3)(T) and 654) (Title IX of Public Law 105-277, Public Law 108- 447)

1.1.8. Duration of Authority: Permanent

1.1.9. Funding Instrument: Cooperative Agreement

1.1.10. Funding: Funding is for a twelve 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. For the performance period beginning January 1, 2016 through December 31, 2016, the preliminary funding amount for the SBDC program for fiscal year 2016 is $951,484.

The Recipient Organization receiving the Cooperative Agreement is required to match funding received on a 1:1 ratio.

1.1.12. Project Duration: Awards will be made for a one year period. SBA intends to continue to fund the Utah 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; a failure to follow the rules and procedures set forth in the statute regulation and/or Program Announcement (see 13 C.F.R. Part 130.700) 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?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?browsePath=Title+15%2FChapter+14a%2FSec.+654&granuleId=USCODE-2010-title15-chap14A-sec654&packageId=USCODE-2010-title15&collapse=true&fromBrowse=true http://www.gpo.gov/fdsys/search/pagedetails.action?st=Public+Law+105-277&granuleId=&packageId=PLAW-105publ277 http://www.gpo.gov/fdsys/search/pagedetails.action?st=Public+Law+108-447&granuleId=&packageId=PLAW-108publ447 http://www.gpo.gov/fdsys/search/pagedetails.action?st=Public+Law+108-447&granuleId=&packageId=PLAW-108publ447 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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1.1.13. Project Starting Date: Approximately 90 days after closing date, but no later than January 1, 2016 for Program Announcement No. OSBDC-2016-04 for the SBDC serving the state of Utah for CY 2016

1.1.14. Proposal Evaluation: Proposals will be reviewed for sufficiency in meeting the requirements of the program as defined within this Program Announcement 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, Tel: (202) 205-6766. Email: osbdc@sba.gov

1.2 Introduction

The Small Business Development Center (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 63 Recipient Organizations - one in each state (four in Texas and six in California), the District of Columbia, Puerto Rico, the Virgin Islands, Guam and American Samoa. The Recipient is responsible for establishing a Lead Center and network of Service Centers to cover the entire state of Utah, 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, 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 under statute bears responsibility for administering 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 Program Announcement to fund a statewide Small Business Development Center program in the state of mailto:osbdc@sba.gov

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Utah. 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 award under this Announcement 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), Regional Innovative Clusters, 7(j) Technical Assistance providers, Small Business Investment Companies (SBICs), U.S. Export Assistance Centers (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 the Office of Small Business Development Centers (AA/OSBDC) at SBA headquarters. 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. The SBA District Office negotiates the annual proposal with the SBDC Lead Center, incorporating Agency Priorities and performance goals, and designates 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.

1.7 Changes or Cancellation

SBA reserves the right to amend or cancel this Announcement, in whole or in part, at the Agency’s discretion.

Should SBA make material changes to this Announcement, the Agency will extend the closing date as necessary to afford Applicants sufficient opportunity to address such changes

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2.0 Section II – Award Information

2.1 Estimated Funding

SBA expects to issue up to $951,484 for this award under this Announcement for the new recipient of the SBDC in the state of Utah. Section 21 (a) (4) (C) of the Small Business Act sets forth a formula by which these 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 one (1) award under this Announcement.

2.3 Period of Performance/Budget Period

The period of performance for this award is one year, with a corresponding one-year budget period.

2.3.1 Project Start Date

The project start date is January 1, 2016, for the SBDC serving the state of Utah responding to Program Announcement No. OSBDC-2016-04 for CY 2016.

2.3.2 Continuation of Funds

SBA intends to award continuation funding to the Recipient under subsequent annual SBDC Cooperative Agreements for future 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 (Program, 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 this Program Announcement (see 13 C.F.R.

Part 130.700).

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

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2.4 Funding Information

• Funds provided under the SBDC program must be used solely for the purposes stipulated in this Announcement 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.

Nonfederal matching funds may take the form of cash or cash equivalent, in-kind donations, 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 waived indirect costs and/or in-kind contributions (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 4.3.7.3 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.

3.0 Section III – Eligibility Information

3.1 General

An organization may NOT submit more than one proposal in response to this Announcement.

3.2 Eligible Applicants

To be eligible for this funding opportunity an Applicant must 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) or a Women’s Business Center currently funded by SBA and operating under § 29 of the Small Business Act located in the state of Utah.

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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3.3 Ineligible Applicants

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

• Any organization NOT located in the state of Utah.

• Any organization NOT 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) or a Women’s Business Center currently funded by SBA and operating under § 29 of the Small Business Act.

• 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;

• 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 in order to 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 the state of Utah are –

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, Page | 10 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 Utah; 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).

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 FY 2014; must be at least 50% in cash ($287,334). Narrative demonstrating in detail 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 Program Announcement, 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).

In addition, as participants in a grant program of the SBA, Applicants should be familiar with overarching Administration and Agency goals. SBA’s strategic goals and the budget that supports those goals are outlined in SBA’s “FY 2016 Congressional Budget Justification and FY 2014 Annual Performance Report” available at: www.sba.gov/sites/default/files/files/1-FY_2016_CBJ_FY_2014_APR_508.pdf. In particular the SBDC network helps SBA achieve Strategic Goal One – Growing Businesses and Creating Jobs, by supporting objective 1.3 “Strengthen entrepreneurial ecosystems through a variety of strategic partnerships to provide tailored training, mentoring and consultation services that support entrepreneurs during every phase of their business growth.” The SBDC network is mentioned throughout the document. In particular, the table on page 58 outlines the national goal targets for the SBDC national network.

Overarching Administration performance is outlined in the Government Performance Results Act available at: http://www.whitehouse.gov/omb/performance/gprm-act

4.2 Specific Clarification of Criteria for Technical Proposal

History of Service (10 points) http://www.sba.gov/sites/default/files/files/1-FY_2016_CBJ_FY_2014_APR_508.pdf http://www.whitehouse.gov/omb/mgmt-gpra_gplaw2m/ http://www.whitehouse.gov/omb/performance/gprm-act

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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)). (See also Section III of this Announcement.)

• 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.

• 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 6.3.3 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).

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Service Delivery Model (30 points)

The ability to establish and operate a network of SBDC service centers and facilities within the State of Utah 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 Utah; 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 Program Announcement (15 USC 648(a)(3)).

• 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)).

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

• Ability to establish and operate a Utah 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 (including the Ability to meet required match) (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. 15 U.S.C. § 648(a)(4).

The applicant must be capable of meeting the non-federal match requirements. 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. 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. In addition, a detailed development plan is also required for continuation of match for no fewer than three future budget periods. 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.

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. 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.

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 Program Announcement 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.

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Submissions will only be accepted via www.grants.gov.

4.3 Additional Application Instructions

Applications must consist of the following elements: (i) concurrence letter from the SBA District Director;

(ii) technical proposal; (iii) budget information; (iv) certifications, forms and assurances; and (v) attachments and exhibits.

4.3.1 Technical Proposal (not to exceed 50 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 50 pages. It must include the following information:

4.3.1.1 Program Narrative:

• Organization and Structure

An organizational chart for the total SBDC network indicating the position of the Lead Center within the Applicant organization and the department/division and person/title to whom the SBDC Lead Center Director will report.

• Program Management

A brief description of:

i) the service area of the SBDC program (must be statewide);

ii) the methodology, philosophy and justification for the distribution of service area resources, such as Service Centers, satellites and specialty programs, using factors such as population or business census, population/counselor distribution formulas, etc., and any planned adjustments;

iii) the correlation of resource distribution to needs assessment studies and the applicant ’s strategic plan for the management and coordination of SBDC services throughout the state of Utah.

iv) If applicable, description of plans for the addition of new Service Centers or programs, including the staffing plan, management strategy for vacancies (interim measures and acceptable vacancy timeframes), desirable client wait time for counseling assistance, and any changes anticipated in the coming year.

• Program Objectives

The applicant must include a brief summary of major program objectives, special projects or activities, with particular reference to planned activities for the program year that seek to address SBA’s important priorities as listed in Sections 5.1.3 through5.1.5.4, Page | 15 and 5.2.2, below. To facilitate proposal review, categorize the information on planned program objectives and activities using the reporting categories listed in Section 6.3.3 to the extent possible.

• On-line Client Services

SBA views the use of web-based technology as a means to increase outreach within existing budgets, to access populations or areas otherwise difficult to reach, and to offer services 24/7 when appropriate. Include the planned operating environment and the process to be taken to achieve it, addressing timelines, benchmarks, anticipated results, resources and budget. Where possible and to reduce duplicative efforts, SBA’s Small Business Training Network (SBTN) at www.sba.gov/training should be used for on-line training.

• SBDC Scheduled Closures

The applicant must be accessible to the public during normal business hours throughout the year except for those times provided in a listing of all scheduled holidays and planned closures for the SBDC. Emergency closures must be reported to the SBA Project Officer as soon as possible.

• PIMS Contact

Identify the SBDC contact designated to maintain information in SBA’s Partner Identification Management System (PIMS), by name, title, phone number and email address.

• Advisory Board

i) A majority of the advisory board members must be representatives from small businesses or associations representing small businesses located throughout the entire area of service. Veterans, women, minorities and Native Americans should be represented, as appropriate. If a member, the SBA District Director should be a non-voting member.

ii) There should be regular periodic meetings each year.

iii) The reasonable cost of travel of any board member for official board activities may be paid out of the SBDC’s budgeted funds, and must follow the Recipient Organization’s policy for per diem and related travel costs.

• Conflict of Interest Policy

Each SBDC network must have a written conflict of interest policy which is signed annually by all employees, consultants, instructors and volunteers of the SBDC network.

http://www.sba.gov/training

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The policy must include enforceable elements safeguarding the SBDC program from actual or apparent conflicts in accordance with 2 C.F.R. § 2701.112.

• Training

Provide a list of the types of training to be offered during the budget period. The Lead Center will be expected to provide the SBA Project Officer with a quarterly calendar of SBDC trainings, or with electronic access to comparable information.

• Program Income

Planned expenditures from Program Income are subject to OMB Uniform Guidance and SBDC program rules and requirements as set forth in 13 C.F.R. § 130.480. Program Income must be used to expand the quantity or quality of services, resources or outreach provided by the SBDC network.

• Funds Managed Outside the Cooperative Agreement

Fully describe any other federal or state small business assistance programs, contributions or grant funds (excluding foundation accounts) that are currently managed by the applicant.. Include the source and amount of funds provided by each organization and the purpose for which the funds have been provided.

In accordance with 15 USC § 648(a)(5), once awarded this cooperative agreement, , the SBDC must receive approval from the AA/OSBDC before bidding on another federal contract as to the subject and general scope of the project. An awardee may not manage other funds, regardless of funding source, when the scope of activity is inconsistent with this Program Announcement.

An applicant must submit a list of funding sources and amounts for each source of funds received by the applicant including grants, contracts and contributions. In addition, for each source of funds, documentation regarding the name and phone number of the donor/contractor/grantor, the amount of funding, the intended purpose and any requirements, stipulations or deliverables must be maintained and made available during the biennial financial examination process.

Applicants managing other small business programs outside the SBA Cooperative Agreement must maintain separate accounting/financial records to ensure a clear audit trail for the funds provided under the SBDC Cooperative Agreement.

http://www.gpo.gov/fdsys/pkg/USCODE-2010-title15/html/USCODE-2010-title15-chap14A-sec648.htm

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4.3.1.2 Planned Milestones Worksheet:

Complete this worksheet and include as an attachment to the proposal. Applicants shall list goals negotiated with SBA, as well as goals the Lead Center has established for each Service Center, and other planned milestones, major project objectives and special projects planned for the upcoming program year.

The Lead Center Applicant must also complete information about matching funds in the section on “Non-SBA Contributions”. The worksheet is available from OSBDC at: SBDC Forms and Worksheets.

4.3.2 Cost Proposal

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

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

ii. Budget Information—Non Construction Programs (SF424A). 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 4.3.2.3 below.

iii. SBDC Budget Justification and Personnel List. Template available from OSBDC at: SBDC Forms and Worksheets.

• Include a separate budget justification form with required cost detail for the Lead Center and each proposed Service Center or Specialty Program (such as International Trade Center or Technology Program).

• Applicant may use its own budget justification form, but ALL budget detail required in OSBDC’s template must be included AND Applicant must include a separate 424A for the Lead Center Applicant and any other Service Centers.

iv. 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 Service Center or specialty program.

v. Indirect Cost Rate (ICR) Agreements, negotiated with the cognizant federal agency.

• Provide a complete signed copy of the current ICR agreement for the Applicant and any Service Center that plans to claim indirect costs.

https://www.sba.gov/offices/headquarters/osbdc/resources/20351 https://www.sba.gov/offices/headquarters/osbdc/resources/20351 https://www.sba.gov/offices/headquarters/osbdc/resources/20351

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• 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 agreement.

vi. Schedule of Indirect Cost Worksheet. Template available from OSBDC at: SBDC Forms and Worksheets.

4.3.2.1 Budget Preparation

OSBDC will provide the applicant 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 SF424, and the budget summary SF424A, Lead Center and any proposed 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 Planned Milestones worksheet required as part of the Technical Proposal (See Section 4.3.1.2).

4.3.2.2 Service Center Costs

If an Applicant proposes costs for Service Centers under the contractual budget element (i.e.

sub-awards), it must also provide separate Service Center budgets with a line item breakout, including the amount of federal dollars allocated to each Service Center, as well as indirect cost with applicable cost base and rate. If the Service Center proposes sub-contractual costs, supporting budget details such as a statement of work, the number of hours and rate of pay must be provided for each contractor.

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 4.3.2.3, below.

4.3.2.3 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.

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a. Personnel: List position title in budget justification or 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.

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: i) purpose, ii) destination,

iii) mode of transportation and rate (i.e. airfare or mileage and rate),

iv) number of trips, and v) number and position description of travelers.

d. Equipment: List items costing at least $5,000 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. This must be made available upon request to the SBA.

f. Contractual: List costs for Contractual services that will support program operations, such as website support, equipment maintenance, or meeting facilitation. If known, provide budget details including:

name of contractor, statement of work, number of hours and rate of pay.

If Applicant proposes contractual costs for Service Centers (sub-awards), include separate line item budgets for each Center.

Applicants who use their own budget justification template instead of the OSBDC template must also include an SF424A with each

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Center’s detailed budget.

g. Consultants: Provide detail for Consultant costs shown on line 6g of 424A. (Note that form SF424A 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 will provide client services on an hourly or fee-for-service basis. Provide consultant(s) name(s) 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.

Do not list other items with zero amounts.

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 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).

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4.3.3 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)**

• 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.

** SF424B 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 Attachment order.

4.3.4 Attachments and Exhibits

There will be 15 attachment buttons. Please attach documents in the following order, and include “Attachment #” in the document name. See Section 8.4, Checklist of Required Submissions for additional guidance and location of required forms.

Attachment #1: List of Attachments submitted through Grants.gov Attachment #2: Technical Proposal, including proposed program narrative, organization chart, network listing, position descriptions and other required information Attachment #3: Planned Milestones worksheet Attachment #4: Cost Proposal, including SBDC budget narrative, detailed budget justification by line item, personnel listing and other required cost detail for each center

Attachment #5: Additional 424A budget summary forms for Lead Center and proposed Service Centers. These are required only if the applicant does not use OSBDC’s budget justification template for each center in Attachment #4.

Attachment #6: Indirect Cost Rate Agreement for Applicant and Subrecipients (if any).

Attachment #7: Schedule of Indirect Cost Attachment #8: Certification Regarding Debarment, Suspension and Other Responsibility

Matters (SBA Form 1623)

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Attachment #9: Certification Regarding Drug Free Workplace Requirement Attachment #10: Certification Regarding Lobbying (SBA Form 1711) Attachment #11: Cash Match and Program Income Certification Form Attachment #12: Cost Sharing Proposal (SBA Form 1224) Attachment #13: A133 Audit Report (or link to a webpage with instructions on how the report can be viewed by SBA).

Attachment #14: Approval Letter from SBA District Director Attachment #15: Additional information or other documentation the Applicant believes is necessary to support its proposal.

4.3.5 Treatment of Proposal Information

If the SBDC’s proposal contains confidential data, the SBDC must follow Part 102 of SBA’s regulations (13 C.F.R. Part 102).

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.

Public Law 108-447, approved December 8, 2004, provides that client information can only be made available for legal enforcement action or SBA financial audits. However, SBA is also allowed access to client data for obtaining program activity information or conducting client surveys.

No files or records will be removed from the premises of any government agency with which the Recipient may work without the approval of the agency in possession of such documents.

Publication of any information will be in accordance with 2 C.F.R.200.333-.337.

4.3.6 Funding Restrictions

4.3.6.1 Administrative Requirements and Cost Principles

SBDCs are governed by the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, codified at 2 C.F.R. Part 200 et seq.

4.3.6.2 Budget Preparation & Funding

Specific items of cost may be included in the proposal and…