Revised STEP FY2018 Funding Opportunity Announcement.docx

U.S. Small Business Administration Office of International Trade State Trade Expansion Program

Funding Opportunity Announcement No. OIT-STEP-2018-01

U.S. Small Business Administration Office of International Trade

STATE TRADE EXPANSION PROGRAM

FY 2018

(09/30/2018 – 09/29/2020) Funding Opportunity Announcement No.

OIT-STEP-2018-01

The purpose of this Funding Opportunity Announcement is to invite proposals for funding from eligible state entities interested in and capable of providing assistance and guidance to eligible small business concerns to increase the number of such firms that export and the value of small business exports.

Opening Date: March 30, 2018 Closing Date: May 2, 2018

Proposals responding to this Funding Opportunity Announcement must be posted to Grants.gov www.grants.govby 11:59 p.m. Eastern Standard Time, May 2, 2018. No other method of submission will be permitted. Proposals submitted after the stipulated deadline will be rejected without being evaluated.

Table of Contents

Per the statutory authority above, an Applicant eligible for this funding opportunity must be a “State,” defined as all of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, Commonwealth of Northern Mariana Islands, or American Samoa.

Based upon the latest data available from the U.S. Department of Commerce, the 10 States with the highest number of small business exporters shall receive no more than 40 percent of the total Federal fiscal year appropriation. For purposes of this Funding Opportunity Announcement, these states are: California, Florida, Georgia, Illinois, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

The Federal share of project cost for a State that has a high export volume will be 65%. For purposes of this Funding Opportunity Announcement, these states are: Texas, California, and Washington. Refer to Section 2.6 Matching Requirement for calculation of required match.

The Federal share of project cost for a State that does not have a high export volume will be 75%. Refer to Section 2.6 Matching Requirement for calculation of required match.

The State must match the remainder of project cost. The match must be comprised of not less than 50% cash and not more than 50% of in-kind contributions. Staff salary/fringe costs provided by an Applicant will be considered as a cash contribution. Matching funds may not be derived from any Federal program or Program Income.

If an insular area Applicant is an agency or instrumentality of the area’s government, pursuant to 48 U.S.C. § 1469a, SBA will waive up to $200,000 of the matching funds requirement if a STEP award is made to American Samoa, Guam, the U.S. Virgin Islands, or the Commonwealth of Northern Mariana Islands. If an insular area Applicant is not an agency or instrumentality of the area’s government, the full matching funds requirement applies.

Applicants may submit questions to STEP email inbox (STEP@SBA.gov) during the open period (April 9, 2018 through April 13, 2018). SBA will post answers to the questions on https://www.sba.gov/STEP by April 20, 2018.

1.2 Introduction

The Trade Facilitation and Trade Enforcement Act of 2015 (HR 644), signed into law on February 24, 2016, made the State Trade Expansion Program a permanent provision of the Small Business Act to make grants to States, and the equivalent thereof, to carry out projects that help develop exports by eligible small business concerns (ESBCs). The objective of STEP is to increase the number of US small businesses that export, to increase the dollar value of exports, and new export opportunities.

1.3 Background

Since its inception in 1953, SBA has served to aid, counsel, assist and protect the interests of small businesses. SBA offers a wealth of financial support, resources and services to small businesses through an array of loan, contract, and grant opportunities. The Agency also plays a critical role in business counseling and training to small businesses and nascent entrepreneurs. The primary purpose is to promote growth, expansion, innovation, increased productivity and management improvement.

The mission of SBA’s Office of International Trade, which bears responsibility for administering the State Trade Expansion Program, is to build the capacity of current and future small business exporters to compete in the global marketplace through capital, counseling, and the advancement of commercial interests at home and abroad.

1.4 Purpose and Allowable Statutory Activities

The underlying premise of the STEP is to supplement Non-Federal entities funds for export activities, not to substitute Federal funds to cover costs Applicants would normally or otherwise cover. Per 2 C.F.R. Section 200.408, Non-Federal entities’ proposed use of Federal funds for the STEP will be limited to the below statutory uses of funds that directly benefit ESBCs to become an exporter and/or increase their export sales. Eligible organizations (as defined in Section 3.1) may apply to SBA for grants under this Announcement to fund proposed activities from the following list of allowable activities to carry out export development projects that assist ESBCs:

2. Subscription to services provided by the Department of Commerce

STEP grant recipients may elect to utilize the services available from the U.S. Commercial Service to assist ‘eligible small business concerns’ with entering or expanding their markets; such as, choosing the best market for their products or services; evaluating prospective foreign business partners; increasing market potential; and gold key matchmaking services.

other appropriate media approved in advance by SBA STEP

Export certification or training workshops offered by SBA Resource Programs; such as, SBDCs, Women Business Centers and SCORE are encouraged. Additional examples include: ExporTech, a structured program that assist companies going to market and with executing strategic export plans.

STEP Priorities: To demonstrate the full impact of STEP, the program’s emphasis this year will be on determining the extent to which non-Federal entities achieve the program’s statutory objectives through the institution of performance measures and assessing their results (or outcomes). Therefore, each non-Federal entity is expected to design a proposal that outlines clearly defined and focused milestone goals with supporting activities that can be achieved over a two year award period in sync with the key performance measures outlined below.

Key Performance Measures:

1. To increase the number of eligible small business concerns in the State that export

2. To increase the value of exports by eligible small business concerns in the State

3. To increase the number of eligible small business concerns exploring significant new trade opportunities Direct Support to Eligible Small Business Concerns:

Federal funds must directly support development of new ESBC exporters and ESBC export market expansion firms. Any proposed activities that are not drawn from the list of nine allowable statutory activities (e.g., national/regional association dues, passport/visa fees) will not be approved.

Applicants must reflect in their Technical Proposal and Budget Narrative the use of at least 85 percent of their proposed Federal award for the purpose of providing direct benefit to ESBCs, drawn from the list of allowable statutory activities. An application with less than 85 percent will be considered “not responsive” to the Funding Opportunity Announcement requirements and will not be evaluated. Proposed costs that directly benefit ESBCs are composed of:

i. Costs directly borne by an ESBC to participate in an approved export activity as part of a trade expansion program;

ii. Approved travel by state STEP personnel listed on the A-10 form and with the funding designated on the SF 424A to develop the pipeline of ESBCs and to assist ESBCs on trade missions and shows; and,

iii. Approved contract services that directly support ESBCs (e.g., interpreters that are engaged in meetings between ESBCs and foreign buyers, companies engaged in ESBC website development, and providers of export training).

Applicants may propose efforts that comprise financial assistance awards (e.g., vouchers, stipends) for reimbursements to STEP Clients for participation in approved export activities.

Promote Trade Expansion to Small Business Communities:

Applicants are encouraged to promote trade expansion to a broad range of small businesses, to include the following four small business communities (as defined in Section 8.1 of this Announcement):

i. Owned and controlled by socially and economically disadvantaged individuals;

ii. Owned and controlled by women;

iii. Owned and controlled by veterans and/or service-connected disabled veterans; and/or,

iv. Rural small businesses.

Applicants who receive a STEP award must collect these small business attributes for required reporting during the performance period.

1.5 Collaboration and Leveraging of Resources

Non-Federal entities selected for awards under this Announcement are strongly expected to leverage SBA funding by working in conjunction with SBA’s District Offices, U.S. Export Assistance Center trade finance specialists and SBA’s resource partners such as Small Business Development Centers (SBDC), SCORE, Women’s Business Centers, Veterans Business Outreach Centers, Small Business Investment Companies, Certified Development Companies, SBA lenders. SBA is particularly interested in demonstrated collaboration with Federal agencies (such as, U.S. Commercial Service) and other Federal, state, local and tribal government export development programs and activities provided by institutions of higher education (colleges & universities), trade and vocational schools or private organizations such as; chambers of commerce, trade and industry groups and associations.

Examples of working in conjunction include joint planning, coordination, or execution of export activities between the Applicant and the above entities.

1.6 SBA Roles and Responsibilities

STEP is the statutory responsibility of the Associate Administrator, Office of International Trade. For assigned STEP non-Federal entities, the Director of STEP:

i. Establishes program policy, planning, review, coordination, and evaluation;

ii. In collaboration with the Office of Grants Management, manages STEP grants in accordance with a competitive merit-based review process;

iii. Directs program management and monitoring activities executed by SBA Program Managers and other agency resources;

iv. Ensures effective use of program funds; and,

v. Resolves issues, problems, and/or disputes.

For assigned STEP non-Federal entities, the Program Manager:

i. Has the delegated authority for full programmatic execution of the program;

ii. Serves as the Grants Officer’s Technical Representative (GOTR);

iii. Serves as liaison between the Office of International Trade and their assigned STEP non-Federal entities;

iv. Maintains communication with the District International Trade Officer;

v. Receives copies of all official project documents and maintains project files containing copies of the applications, proposals, budgets, notices of award, web-site information, client follow-up plans, financial, statistical and narrative reports, correspondence, modification requests, payment requests, notes, etc.; and,

vi. Recommends or denies requests for programmatic and budgetary changes to awards and requests for advance of Federal funds and reimbursement of expenditures to the Grants Management Officer.

For assigned STEP Award non-Federal entities, the Grants Management Officer, Office of Grants Management:

i. Has full responsibility for financial management of grants;

ii. Is responsible for issuance of the notices of award, terms and conditions, and approval of programmatic and budgetary modifications; and,

iii. Reviews and approves all requests for advance of Federal funds and reimbursement of expenditures incurred under the grant.

For assigned STEP non-Federal entities, the District International Trade Officer, SBA District Offices:

i. Serves as SBA’s local point of contact for coordination of the non-Federal entities efforts and activities with other SBA resource partners;

ii. Assists STEP non-Federal entities with activity eligibility of prospective small business concerns; and

iii. Acts as advocate for the non-Federal entities STEP project within the district, referring clients to the non-Federal entities project, and helping other SBA personnel and resource partners understand which of their clients are best served by referral to the project.

For assigned STEP non-Federal entities, the Trade Finance Specialist, U.S. Export Assistance Center:

i. Has lead area responsibility for providing support and assistance regarding SBA’s export-focused loan programs; and,

ii. Guides the non-Federal entity, as necessary, in identifying sources of export-related financial assistance that may be appropriate for STEP Client needs.

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.

SBA may issue $18,000,000 in awards under this Announcement.

The minimum award amount is $100,000 and the maximum award amount that can be proposed for this Funding Opportunity Announcement by any non-Federal entity is $900,000.

2.2 Expected Number of Awards

SBA anticipates awarding as many grants as possible subject to available funding for proposed activities and requested amounts.

2.3 Period of Performance/Budget Periods

All non-Federal entities period of performance for this two-year award is September 30, 2018 – September 29, 2020.

2.4 Funding Information

In accordance with 2 C.F.R. Section 200.408, allowability of costs is restricted to the statutory export activities, specified in Section 1.4 above.

In addition, all costs proposed in an non-Federal entity’s budget must meet the tests of reasonableness, necessary, allowability, and allocability set forth in the applicable Office of Management and Budget (OMB) cost principles. SBA will not reimburse non-Federal entity for their proposal preparation costs, and pre-award costs are not allowable for STEP awards under 2 C.F.R. § 200.458. Only prepaid expenses by eligible small business concerns are allowed for approved trade shows in accordance with 2 C.F.R. § 200.405(a)(1)that are reasonable, necessary, allowable and allocable costs under approved STEP FY 2018 awards.

Funds provided under STEP must be used solely for the purposes stipulated in this Announcement and the Notice of Award for this performance period and may not be commingled with any other monies or transfer of funds from one award to another.

2.5.1 Funding Instrument

The funding instrument used will be a Grant.

2.6 Matching Requirement

i. The Federal share of project cost for states that have high export volumes will be 65% and State matching funds required will be 35% of the sum of the Federal award. High export volume was determined based upon U.S. Census Bureau export data by state. This means that for every $1 of Federal funds proposed, these Recipients must provide $.53846 in match. For purposes of this Funding Opportunity Announcement, the high export volume States are: Texas, California and Washington.

ii. The Federal share of project cost for States that do not have high export volume will be 75% and State matching funds required will be 25% of the sum of the Federal award and Recipient match amount. This means that for every $1 of Federal funds proposed, these Recipients must provide $.333333 in match.

iii. If an insular area non-Federal entity is an agency or instrumentality of the area’s government, pursuant to 48 U.S.C. § 1469a, SBA will waive up to $200,000 of the matching funds required if a STEP award is made to American Samoa, Guam, the U.S. Virgin Islands, or the Commonwealth of Northern Mariana Islands. If the insular area non-Federal entity is not an agency or instrumentality of the area’s government, the full matching funds requirement applies.

iv. Matching funds must be comprised of not less than 50% cash and not more than 50% of indirect and in-kind contributions. Matching funds may not be derived from any Federal program. Non-Federal entity personnel salary and fringe proposed as match will be counted as cash.

v. Non-Federal entities may not use program income for the purpose of meeting their match.

2.7 Program Income (reference 13 CFR 143.25, 2 CFR 200.80, 2 CFR 200.307) Program income is gross income from fees or any other monies collected by a STEP non-Federal entity or a partner entity from a STEP eligible small business concern. For STEP, Program Income must be:

i. Included in the applicant-proposed and SBA-approved budget,

ii. Accounted for separately from other Federal and Non-Federal monies,

iii. Added to the approved STEP Federal award amount, and

iv. Used to directly benefit STEP ESBCs for activities approved by the assigned SBA STEP Program Manager.

Fees paid by a STEP ESBC directly to a recognized provider of export services are not Program Income. The provider can be an independent entity (e.g., Dept. of Commerce, trade show organizer, export trainer). The entity can be under contract to a STEP non-Federal entity to provide export related services.

Program income may not be used for the purpose of meeting match requirement and may not be used to support salaries of personnel associated with the project.

When Applicant intends to serve solely as a fiscal agent and simply receive monies from ESBCs and then provide 100% of the collected costs to third party for services for those ESBCs, rather than using the monies to recoup costs the Applicant has already paid, this approach can be requested, approved and not considered Program Income.

The Trade Facilitation and Trade Enforcement Act of 2015 provides that STEP grants may be awarded only to “States,” meaning any of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, the Commonwealth of Northern Mariana Islands, and American Samoa. Therefore, only non-Federal entities that meet this definition are eligible for an award under this Funding Opportunity Announcement.

For purposes of this Funding Opportunity Announcement, the term “eligible non-Federal entity” means a State agency or other entity that, prior to the date of application for this Announcement, has been officially designated by the State Governor, or equivalent thereof (e.g., Mayor of the District of Columbia), as the sole applicant and lead entity for conducting the State’s trade and export activities.

i. The organizational structure of the State’s designated international trade arm must show an official agency relationship with State government, and the State must provide financial backing in meeting the required match amount and show support for program activities.

ii. Only those proposals accompanied by the written designation of the State Governor, or his/her designee, may submit an application for evaluation and funding consideration.

iii. Should the Governor, or equivalent thereof, assign to a designee the signatory responsibility for the designation letter, the designation letter must include an acknowledgement that the Governor, or his/her equivalent, has authorized the designee to sign the letter on his/her behalf.

iv. For insular areas, the equivalent of a State Governor is the appropriate signatory.

3.2 Ineligible Non-Federal Entity

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

i. Any organization that has not been officially designated by a State Governor as the sole applicant and lead entity for conducting the State’s trade and export activities (See Section 3.1 Eligible non-Federal entity, above.);

ii. Any organization that owes an outstanding and unresolved financial obligation to the Federal government;

iii. Any organization that is currently suspended, debarred or otherwise prohibited from receiving awards of contracts, grants, or cooperative agreements from the Federal government;

iv. 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;

v. Any organization that has had a STEP grant or cooperative agreement involuntarily terminated or non-renewed by SBA for cause within the past one year;

vi. Any organization that has filed for bankruptcy within the past five years;

vii. Any organization that proposes to serve as a pass-through and permits another organization to manage the day-to-day operations of the project; and/or

viii. Any organization that was convicted, or had an officer or agent acting on its behalf convicted, of a felony criminal violation under any Federal law within the past two years.

i. A State may submit only one proposal in response to this Funding Opportunity Announcement.

ii. Any additional applications from a State will automatically be rejected without being evaluated. (Only the latest application successfully submitted by an eligible non-Federal entity to Grants.gov will be screened for potential evaluation for an award.)

iii. Non-Federal entities must round all monetary values to the nearest whole dollar in all budgetary and financial application document submissions.

4.2 Application Instructions

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

For Applicant convenience, a technical proposal template and application checklist is provided to ensure the elements of the application package follow the order listed in the Funding Opportunity Announcement. In addition, the required application forms and letters with some samples of completed forms are available on the STEP webpage at www.sba.gov/stepwww.sba.gov/STEP.

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

1) SF-424, Application Federal Assistance,

2) SF-424A, Budget Information,

3) SF-LLL, Disclosure of Lobbing, and

4) SF-424B, Budget Information (Non-Construction). Please submit these documents as pdf copies as well.

All documents must be submitted as separate attachments due to new Grants.gov workspace requirements. Documents can’t be bundled together.

Please attach the following attachments separately using the exact name and standard order outlined below. The Applicant elements should be named with the Attachment number [#], Applicant’s State abbreviation (do not spell out state name), and name of document (identified in the left hand side of chart below).

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

Attachment [1] [State abbreviation] Cover Letter

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

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

ii. Non-Federal entities website address;

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

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

v. Dollar amount of Federal assistance being requested;

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

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

Attachment [2] [State abbreviation]

Proposed Plan: Performance Measures & Outcomes

Excel format Proposed Plan: Performance Measures & Outcomes Non-Federal entities will be responsible for preparing a Proposed Plan including, Performance Measures and Outcomes in an excel spreadsheet (‘Instructions’ on how to complete proposed plan will be on https://www.sba.gov/STEP website). The Proposed Plan serves as the data blueprint to measure the extent to which the STEP grant recipient achieves program activities and the results (outcomes) of those measures. If awarded a grant, the grant recipient will be assigned a STEP Program Manager who is responsible for reviewing and approving your plan. Upon approval, the spreadsheet will be converted into a full Performance Progress Report and returned to you. Grant recipients will be required to report performance measures achieved, activities completed, and measurable results on a quarterly basis for the full two year award period. SBA will collect, analyze and utilize this data to evaluate the program’s overall success. Client data will be classified confidential.

Attachment [3]

Technical Proposal

Word format Technical Proposal template Maximum 10 pages To expedite the proposal review process, Applicants must submit Technical Proposal using the template provided on https://www.sba.gov/STEP website. The proposal elements must be in the same order as the evaluation criteria in Section 5.2 of the Funding Opportunity Announcement. The proposal may not exceed 10 pages excluding title page and cover page) of double spaced text using 8 ½ x 11 inch paper. A minimum Times New Roman 12 point font is required. Only 10 pages will be reviewed and evaluated. Any additional pages submitted other than the 10 pages will be eliminated without consultation of applicant and will not be reviewed.

Non-Federal entities do NOT need to address every allowable statutory export activity (identified in Section 1.4). Non-Federal entities are strongly encouraged to prepare focused proposals including, performance measures and supporting activities that can realistically be achieved within the 24 month award period.

i. Introduction - Start the Technical Proposal with an ‘Introduction’ section on page one (not on the title page) that summarizes in no more than one (1) paragraph, your organization’s requested Federal and Non-Federal award amount, targeted number of eligible small business concerns, brief description of proposed statutory activities that will be achieved with STEP funds in FY 2018, the total expected export sales, and anticipated return on investment that is realistic and achievable.

ii. Organizational Competency - In an estimated 1-2 pages, labeled with the main heading ‘Organizational Competency’, this section includes:

· Program management - The proper management capability to execute STEP activities including, overseeing contracts (if any, is used) to support the proposed STEP project; and ii) the sufficient facilities and locations to conduct the proposed export activities;

· Key Personnel – The level of knowledge and experience of key personnel especially the STEP Project Director (must be at least 50% of his/her time throughout the performance period) in both administering a Federal award and executing the proposed export activities;

· Exporting Experience– The organizational capability to achieve success in the past and/or present to increase the number of small business exporters, export sales, and new export opportunities.

iii. Project Design: Performance Measures, Outcomes & Collaboration to Directly Benefit ESBCs – In an estimated 1-6 pages, labeled with the main heading ‘Performance Measures, Outcomes & Collaboration to Directly Benefit ESBCs’ this section should demonstrate how credible and impactful the non-Federal entities organization can leverage partnerships to produce new small business exporters, increase ESBCs export sales, and expand significant new export opportunities; as well as, promote export services to a broad range of small business communities.

· Performance Measure #1 – To increase the number of eligible small business concerns in the State that export

· Performance Measure #2 –- To increase the value of exports by eligible small business concerns in the State

· Performance Measure #3 – To increase the number of eligible small business concerns exploring significant new trade opportunities

Additional performance measures that will be reported to STEP but do not have a goal requirement are following:

-Increase number of small business communities;

-Increase in job creation/job retention stemming from ESBCs participation in export activities.

iv. Financial Assistance Plan - In an estimated 1 page, labeled with the main heading ‘Financial Assistance Plan’, this section must outline the eight elements (detailed in Section 5.2.3) for ESBCs seeking assistance with award funds.

v. Data Collection & Measurement of Outcomes - In an estimated 1 page, labeled with the main heading ‘Data Collection and Measurement of Outcomes’, this section must address the required data collection elements identified in Section 5.2.4 (and listed in technical proposal template); and, the quality of Applicant’s ability to quantitatively measure progress towards achieving proposed outcomes. STEP’s proven results are measured by an increase in the number of firms, an increase in the value of ‘actual’ export sales, and an increase in new export trade opportunities. Refer to Technical Proposal template for more details.

Applicants are encouraged to discuss the benefit that can be realized to Your state’s economy as a result of job created and/or job retained stemming from ESBCs participation in export activity. Non-Federal entities shall include a question on your STEP Application to capture the number of jobs created/retained completed by the client to collect this data.

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

Attachment [4] [State abbreviation]

SF 424

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

Attachment [5] [State abbreviation]

SF 424A

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

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

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

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

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

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

Attachment [6] [State abbreviation] A10 – A12

Pdf format Attachments A-10 through A-12 (Budget Detail Worksheets)

a. Non-Federal entity STEP Project Director must devote at least 50% of his/her time at all times to the STEP project (ensure “STEP Project Director” is applied to one Applicant staff member);

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

c. All totals on the A-10 through A-12 must match the totals on the SF-424;

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

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

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

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

b. Explain how each cost component directly benefits ESBCs;

c. Indicate which cost category (item and dollar amount) comprises the proposed Non-activity Federal Expense that was entered in the yellow highlighted section at the bottom row (P 21) in the Proposed Plan.

Attachment [8] [State abbreviation] Match Certification

Pdf format Match Certification

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

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

A sample match certification letter is included in the Application Forms Package located on the SBA STEP webpage: www.sba.gov/STEP

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

Attachment [9] [State abbreviation] Commitment letter Pdf format Commitment letter(s) from sources which the non-Federal entity intends to obtain in-kind matching funds (if applicable).

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

Attachment [10] [State abbreviation] SBA Form 1623 Certification Pdf format SBA Form 1623 Certification Regarding Debarment, Suspension and Other Responsibility Matters (a handwritten signature (not electronic) is required for this form)

Attachment [11]

SF-LLL Disclosure Pdf format SF-LLL, Disclosure of Lobbying Activities (signed) - this form request disclosure of any lobbying activities pursuant to 31 U.S.C. 1352.

If there is nothing to disclose in blocks 10a-b, only blocks 1-9 need be completed. The form must be signed by hand (not electronically) and dated in block 11. Federal funds under this award may not be used for lobbying activities.

Attachment [12] [State abbreviation] SF-3881 ACH Payment Form

SF-3881 ACH Vendor/Miscellaneous Payment Enrollment Form (signed) Applicant must complete the Payee Information and Financial Institution sections only. The Agency Information section will be completed by SBA.

Attachment [13] [State abbreviation] SF-424B Assurances Signed Pdf format SF-424B Assurances for Non-Construction Programs (signed) – this form is required to certify that the organization will comply with all applicable requirements of the Federal laws, executive orders, regulations, and policies governing the grant program. A handwritten signature (not electronic) is required for this form.

Attachment [14] [State abbreviation] CFO Certification letter Signed Pdf format Chief Financial Officer (CFO) Certification letter - verifies that the Applicant has an established organizational infrastructure with an internal financial management system that meets OMB cost principles (2 C.F.R. 200.302). The certification letter must be on letterhead, signed and dated by the CFO, or equivalent thereof, holding analogous responsibilities, and having analogous expertise.

A sample CFO Certification letter is included in the Application Forms Package located on the SBA STEP webpage: www.sba.gov/STEP

Attachment [15] [State abbreviation] Governor Designation Letter Signed Pdf format

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

· Address letter to:

Mr. Eugene Cornelius, Deputy Associate Administrator Office of International trade 409 3rd Street, S.W.

Washington, D.C. 20416

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

Attachment [16] [State abbreviation] Consultation Letter Pdf format

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

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

b. The Department of Commerce US Commercial Service US Export Assistance Center (USEAC) serving the non-Federal entity State capitol or located nearest to the non-Federal entities office for States with multiple USEACs.

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

Use the Consultation template letter for this purpose, which is available in the Application Forms Package located on the SBA STEP webpage: www.sba.gov/STEP.

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

Attachment [17] [State abbreviation] Organizational Chart Pdf format Organizational chart(s) included as a separate attachment identifying the non-Federal entities (including, STEP Project Director and all key and other personnel) listed on the SF-424A and A-10. Include the chart as a separate submission. Do NOT include Organizational chart in technical proposal.

Attachment [18] [State abbreviation] List of facilities and locations Pdf format List of Applicant facilities and locations used to:

1. Manage the proposed STEP project,

2. Conduct proposed STEP activities.

Attachment [19] [State abbreviation] Board of Directors Pdf format

List members of Board of Directors (if applicable)

Attachment [20] [State abbreviation] Resumes and Position Descriptions Pdf format

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

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

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

c. Résumés and position descriptions for board members, contractors, and consultants need not be submitted unless they are also key personnel.

Résumés may not be more than one page in length.

Attachment [21] [State abbreviation] List of Contractual and Consulting Pdf format List of Contractual and Consulting Agreements - List of all extant or anticipated contractual and consulting agreements that directly support the Applicant’s proposed export activities which must include:

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

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

c. Summary of support provided;

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

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

f. Description of oversight process.

Non-Federal entity may follow their own procurement policies and procedures when contracting with Project Funds, but must comply with the requirements of 2 C.F.R. §§ 200.317-200.326. The following additional rules apply to contracts involving $3,500 or less in Project Funds:

a. Do not submit copies of the proposed contracts for approval before executing them.

b. The contracts are not required to be awarded via competition if the non-Federal entity considers their prices to be reasonable.

Note: For some organizations (i.e., institutions of higher education), the base threshold has increased from $3,500 to $10,000.

The following additional rules apply to contracts between $3,501 and $150,000 in Project Funds:

a. Non-Federal entity does not need to submit copies of the proposed contracts for approval before executing them.

b. Non-Federal entity must obtain price quotes (either orally or in writing) from at least three qualified sources and inform SBA of these quotes in the corresponding payment requests/financial reports.

c. If non-Federal entity does not choose to go with the lowest price quote, the non-Federal entity must explain why.

The following additional rules apply to contracts involving more than $150,000 in Project Funds:

a. Non-Federal entity must submit copies of the proposed contracts for approval before executing the contract.

b. The contracts must be awarded via competition. Non-competitive contracting at this level is only allowed if Applicant can demonstrate to SBA’s satisfaction either: (i) there is only one possible source for a particular good or service or (ii) there is an emergency involving the risk of imminent damage to property or injury to people. If non-Federal entity does not propose any contract support for this award, include this attachment marked “N/A.”

Attachment [22] [State abbreviation] List of Contracts Pdf format List of contracts that the non-Federal entity proposes to charge against the project as a direct cost or to meet matching funds requirement that will be outside the indirect cost rate agreement (e.g., a facilities lease).

a. Contract provider/lessor name

b. Summary of support provided

c. Actual or estimated contract cost If Applicant does not propose such charges for this award, include this attachment marked “N/A.”

Financial Management Each Applicant must provide financial management information according to the…