Federal Cash Transaction Report, Financial Status Report, Program Income Report, Narrative Program Report

SBDC 2113 Program Announcement 5-15-13

Federal Cash Transaction Report, Financial Status Report, Program Income Report, Narrative Program Report

OMB: 3245-0169

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SMALL BUSINESS DEVELOPMENT CENTER

FY/CY 2011

Program Announcement for Renewal of the Cooperative Agreement for Current Recipient Organizations

NO. OSBDC – 2011 – 01 for FY 2011

NO. OSBDC – 2011 – 02 for CY 2011

In order to be eligible as a Host Institution, any applicant must be a current recipient of SBA OSBDC funding. For-profit businesses are not eligible for this award.

Fiscal Year Proposals are to be posted to www.grants.gov by 9 P.M. E.S.T. on July 22, 2010

Calendar Year Proposals are to be posted to www.grants.gov by 9 P.M. E.S.T. on August 26, 2010

U.S. SMALL BUSINESS ADMINISTRATION

OFFICE OF SMALL BUSINESS DEVELOPMENT CENTERS

PROGRAM ANNOUNCEMENTTABLE OF CONTENTS

TABLE OF CONTENTS……………………………………………………………………………….…i

SECTION I. Funding Opportunity descriptioN

A. Program Overview……………..………………………………………………………………..….… 2

B. Introduction & Purpose ………………………………………………………………………..….… 3

C. Program Requirements…… ………………………………………………………………………...... 4

SECTION II. AWARD INFORMATION

A. General Award Information…..……………………………………………………………………... 10

B. Funding Information………………………………………………………………………………... 10

C. Match Requirement……………………………………………………………………………….... 11

SECTION III. ELIGIBILITY INFORMATION

A. Eligible Applicants for this Cooperative Agreement (Mandatory Requirements) .…….…………... 11

Ineligible Applicants for this Cooperative Agreement……….…………………………………….. 11

SECTION IV. application and submission informatioN

Required Application Format…………………………………………….………………………… 11
Treatment of Proposal Information…………………….…………………………………………... 19
Required Submission Dates………………………………………………………………………… 20
Intergovernmental Review……………………………………………………….………….... 21
Funding Restrictions…………………………………..……………………………………………. 21

SECTION V. APPLICATION review iNFORMATION

Proposal Evaluation …………………………..………………..……………………..…………….... 26

SECTION vI. award administration

Award Notice…………………………………………………………………………………….… 26
Reporting…………………………………………………………………………………...……… 27

SECTION vII. AGENCY contact(S)

Program Points of Contact….………………………..……………………………...……..……… 38
Financial/Grants Management Contact……………………..…………..……………….…………. 38
Peer Contacts ………………………………………………………………………….…..….…… 38

SECTION VIII. OTHER INFORMATION

Program Overview …………………………..………..………..………………….…….………... 38
Advance Understandings……………………………..…………..…………….………….……..... 42
Definitions………………………….………………..…………...……………….……….……..... 50
Guidelines…………………………..…………………………..………………….…….…….…... 56
Online Counseling Services…………………………….…….…..……………….……….….….... 66

SMALL BUSINESS DEVELOPMENT CENTER

PROGRAM ANNOUNCEMENT

SECTION I. – Funding Opportunity description

A. Program Overview

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

2. Funding Opportunity Title: Office of Small Business Development Centers Program Announcement

3. Announcement Type: Initial

4. Funding Opportunity Number: Program Announcement # SBDC-2011-0001 or SBDC-2011-0002

5. CDFA Number: 59.037

6. Closing Date for Submissions: July 22, 2010 Proposal due to the OSBDC via electronic submission on www.grants.gov at 9 p.m. EST for Announcement No. OSBDC-2011-01; August 26, 2010; Proposal due to the OSBDC via electronic submission on www.grants.gov at 9 p.m. EST for Announcement No. OSBDC-2011-02

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

8. Funding Instrument: Cooperative Agreement

9. Funding: Funding is for fiscal 2011 or calendar 2011

10. Award Amount/Funding Range: Section 21 of the Small Business Act sets forth a formula by which funds are to be distributed among the States. This formula, for the most part, rests upon a per capita basis, subject to the amount of an appropriation in any given fiscal year. The preliminary funding amount for the SBDC program for fiscal 2011 is $107,500,000.00. The recipient organization receiving the Cooperative Agreement is required to match funding received on a 1:1 ratio. Match may also come through the SBDC network.

11. Project Duration: SBA intends to continue to fund the SBDC program annually, subject to availability of funds. However, an SBDC may not receive funding for future performance periods if there has been a clear showing of poor performance, improper activity affecting the operation and integrity of the SBDC, a failure to follow the rules and procedures set forth in the statute, regulation and/or Program Announcement (see 13 CFR 130.700) as incorporated into the Cooperative Agreement or has been denied Accreditation.

12. Project Starting Date: Approximately 90 days after closing date, but no later than October 1, 2010 for Announcement No. OSBDC-2011-01 and January 1, 2011 for Announcement No. OSBDC-2011-02

13. Proposal Evaluation: Proposals will be reviewed for sufficiency in meeting the requirements of the program as defined in 1

3 CFR 130.340. SBA may ask applicants for clarification on the technical and cost aspects of proposals.

B. INTRODUCTION AND PURPOSE

Introduction

The Small Business Development Center (SBDC) Program is the U.S. Small Business Administration’s (SBA’s) largest matching grant-funded service delivery network providing quality customer service to the small business community. The SBDC program has 63 recipient organizations known as Lead Centers—one in each state (four in Texas and six in California), the District of Columbia, Puerto Rico, the Virgin Islands, Guam and American Samoa and their corresponding Service Center networks. The SBDC program is a broad-based system of assistance for the small business community linking the resources of federal, state and local governments with the resources of the educational community and the private sector. In partnership with SBA’s Office of Small Business Development Centers (OSBDC) and district offices, the SBDCs develop programs and provide business management and other services that enhance the economic development goals and objectives of SBA and their respective states and their local funding partners.

Purpose

The SBDC Program is designed to provide high quality business and economic development assistance to small businesses and nascent entrepreneurs (pre-venture) in order to promote growth, expansion, innovation, increased productivity and management improvement. SBDCs must work collaboratively with assistance from SBA’s District Offices to coordinate their efforts to expand services and avoid duplication, particularly with other SBA-funded programs such as Women Business Centers (WBCs), SCORE, Veterans Business Outreach Centers (VBOCs) and U.S. Export Assistance Centers (USEACs). Where the SBDCs are located in communities with these resource partners, the SBDCs will coordinate with them in offering training and other forms of assistance to their clients. SBDCs are encouraged to fully utilize the resources of other federal, state and local government, academic and private sector programs concerned with aiding small businesses in order to provide seamless but not duplicative business development assistance at every stage of their growth.

Authorizing Legislation

The Small Business Development Center (SBDC) Program is sponsored and partially funded by the U.S. Small Business Administration (SBA). The SBDC Program is governed by Section 21 of the Small Business Act, 15 U.S.C. § 648, and federal regulations, 13 C.F.R. Part 130. Although SBA is responsible for the general management and oversight of the SBDC program, a partnership exists between SBA and the recipient organization for the delivery of assistance to the small business community. SBDCs, under Section 21 of the Small Business Act (15 U.S.C. § 648), are required to provide counseling and training to small businesses including working with the SBA to develop and provide informational tools to support business start-ups and existing business expansion. In addition, pursuant to 13 CFR §130.340(c), SBA has identified certain Special Emphasis Groups (as defined in Section VIII, Part D, “Definitions”), to be targeted for assistance by SBDCs.

Per Section 21 of the Small Business Act, the national SBDC program is directed by the Associate Administrator for SBDCs (AA/OSBDCs) under the direction of the Associate Administrator for Entrepreneurial Development (AA/ED). The local SBA District Director (DD) is the primary contact for local direction of the delivery of services to the small businesses in each District Office area, and for monitoring and overseeing the SBDC Cooperative Agreement and the ongoing local operations. Therefore, the district director has the authority and is directly responsible for negotiating the Cooperative Agreement that will effectively deliver the services and achieve agency goals.

C. PROGRAM REQUIREMENTS

Definitions

Definitions are incorporated in Section VIII - Other Information.

Performance Measurements

SBA, along with the other Federal Government agencies, is increasingly more focused on proven results; short- and long-term planning and performance-based budgeting as measured by achievement of negotiated and agreed upon goaled outputs and outcomes. SBDCs are expected to provide in-depth, substantive, longer-term, outcome-oriented counseling and training that results in a substantial economic impact as measured by the successful creation and retention of businesses and jobs, capital infusion and increased company revenues.

SBA and the SBDCs have jointly identified the following performance goals for the SBDC program:

Number of Single-year, Long-Term Clients (5 hours or more of counseling, contact and prep time);
Number of new businesses created; and
Dollar Amount of Capital Infusion which includes SBA loans, non-SBA loans and equity investment.

An additional performance measure which will not be goaled will be collected:

Number of Multi-year, Extended-Engagement Clients (5 hours or more of counseling, contact time only);

Data for performance goals/measurements are collected through EDMIS, SBA’s centralized data collection system. Annual goal numbers are negotiated with local district directors as part of the proposal submission process and, when approved by OSBDC, are incorporated into the Notice of Award. Approval of goals consists of OSBDC mapping the 63 network goal numbers with the most recent census, federal funding or other appropriate indexing tool/data to determine whether the goals developed correlate appropriately to population, business distribution and/or other factors. Where there are outliers, OSBDC will work with district directors and the affected SBDC to ensure an immediate change or to phase in, over an appropriate time period, the attainment of ideal milestone goals. While SBA loans are to be counted towards the SBDC capital infusion goal, SBDCs are not to be held accountable for SBA specific loan goals.

The Association of Small Business Development Centers (ASBDC) Accreditation Standards 4.1, 4.2 and 7.0 relate to the goals set forth above.

Important Priorities for SBDC Recipients in FY/CY 2011:

Participation in SBA’s economic stimulus and other economic recovery initiatives or programs;
Increased focus on the following to be reported on in Section VI, B:

providing information and assistance to small businesses to increase their utilization of technology to improve business efficiency; and
focusing and targeting SBDC assistance to innovative science and technology companies to enhance their high growth potential.

Improving the level of international trade assistance offered;
Participating, to the extent practical , in collaborative ventures to improve assistance to small businesses, i.e. Regional Innovation Clusters (RICs);
working with faith-based and other neighborhood organizations as appropriate;
providing contracting and procurement assistance, including 8(a) and veteran clients;
providing assistance to veterans including:
- marketing SBA’s Military Reservist Economic Injury Disaster Loan program; and
- participating in the Department of Defense (DOD) Yellow Ribbon Reintegration Program.

Continued participation in the ongoing three-year longitudinal ED Impact Survey through cooperation with SBA’s contractor(s) – particularly the provision of client data. Non-participation will constitute a finding under SBA programmatic reviews;
Participation, to the extent practicable, in the FCC Broadband Plan;
Assisting small businesses to prepare business continuity/disaster readiness plans;
Enhanced on-line service delivery of SBDC services and use of web-based training as part of service portfolio;
SBDC Lead Centers, as appropriate, should pursue a technology designation to provide a higher level of technology services to their clients and include a plan for achieving this as part of the application narrative; and
Participation with SBA/ASBDC in developing and assessing counselor core competencies nationwide.

SBDC Program Details

The statewide or region-wide SBDC organization is referred to as the “Lead Center” and manages and administers the small business assistance network, consisting of the Lead Center and its Service Centers.

The purpose of this cooperative agreement is to provide high quality business and economic development assistance (as defined by 13 CFR 130.340) to small businesses and prospective small businesses in order to promote growth, expansion, innovation, increased productivity and management improvement.

The SBDCs must employ their best efforts to ensure that their economic development and technical assistance services are available to all small business populations, including special emphasis groups [13 CFR 130.340(c)] such as minorities, women, Native Americans, 8(a) firms in all stages, veterans and service-connected disabled veterans, military reservists called to or who may be called to active duty, people with disabilities, individuals currently and formerly receiving public assistance, individuals in low and moderate income urban and rural areas and individuals located in HUB Zones. (See also Section VIII – part D, “Guidelines”).

Services to be provided by an SBDC must be negotiated with the SBA district office on an annual basis and must include the goals and initiatives of the SBA Administrator. The services provided must include statutory service requirements. Such services shall include the activities of the Lead Center (applicant) and all participating network members. Each applicant will be accountable to SBA for performing all services included in its proposal.

Statutorily Required Services

SBDCs are required to provide the following services:

On a non-fee basis, one-on-one confidential counseling:

Working with individuals to increase awareness of basic credit practices and credit requirements;

Working with individuals to develop business plans, financial packages, credit applications and contract proposals;
Working with the Administration to develop and provide informational tools to assist individuals with pre-business startup planning, existing business expansion and export planning;
Working with individuals referred by the SBA District Offices and SBA participating lenders (Note: Providing any preferential treatment to clients of any specific lender is prohibited, as is the SBDC’s acceptance of payment for the provision of counseling services.); and
SBDCs must have counselor resources available to meet the needs of entrepreneurs throughout the SBDC’s designated service territory.

Technology transfer, research and development:

Assisting in technology transfer, research and development, including applied research and coupling from existing sources to small businesses, such as:

Working to increase the access of small businesses to the capabilities of automated flexible manufacturing systems;
Working through existing networks and developing new networks for technology transfer;
Encouraging partnerships between the small business and academic communities to help commercialize university-based research and development;
Introducing university-based engineers and scientists to their counterparts in small technology-based firms; and
Exploring the viability of developing shared production facilities under appropriate circumstances.

Rural Assistance:

Assisting small businesses in rural areas in an effort to increase their participation in exporting, government procurement, tourism, access to credit, incubators, innovation and technology and other small business programs, in cooperation with the U.S. Department of Commerce (DOC) and other relevant federal agencies; and
The SBDCs may develop marketing and production strategies that will enable the rural businesses to better compete in the domestic market, provide technical assistance needed by rural small businesses, make available managerial assistance to rural small business concerns and provide information and assistance in obtaining financing for business startups and expansion.

Export Assistance:

In cooperation with SBA’s Office of International Trade, the Department of Commerce and other relevant federal agencies –

assist small businesses in exporting by identifying and developing potential export markets;
facilitating export transactions;
developing trade linkages between U.S. and foreign small business firms;
assisting small businesses to participate in international trade shows;
assisting small businesses in obtaining export financing; and
facilitating the development or reorientation of marketing and production strategies.
Where appropriate, the SBDC and the SBA may work in cooperation with state governments to establish a state international trade center for these purposes.
Developing a program in conjunction with the U.S. Export Assistance Centers and local and regional SBA offices that will enable SBDCs to serve as an information network and to assist small business applicants for trade finance programs, and otherwise identifying and helping to make available export financing programs to small businesses.
Working with SBA’s USEAC personnel to conduct Export Trade Assistance Partnership (E-TAP) programs to help increase small business participation in international trade.
Working closely with the small business community, small business consultants, state agencies, universities and other appropriate groups to make translation services more readily available to small business firms doing business, or attempting to develop business, in foreign markets.
The SBDC may provide small business owners with access to a wide variety of export-related information by establishing on-line computer linkages between SBDCs, U.S. Export Assistance Centers, the Department of Commerce (www.export.gov) and their respective informational international trade databases.

Base Closure Assistance:

Assisting small businesses to develop and implement strategic business plans to timely and effectively respond to the planned closure or reduction of a Department of Defense (DOD) facility within the community, or actual or projected reductions in such firms’ business base due to the actual or projected termination or reduction of a DOD program or a contract in support of such program.

Regulatory Compliance:

Maintaining current information concerning environmental, energy, health, safety and other federal, state, and local regulations that affect small businesses and counseling small businesses on methods of compliance.
Counseling and technology development shall be provided when necessary to help small businesses find solutions for complying with environmental, energy, health, safety and other federal, state and local regulations.
Developing information publications, establishing resource centers of reference materials, making appropriate referrals to the SBA’s Office of the National Ombudsman and distributing compliance guides published under section 212(a) of the Small Business Regulatory Enforcement Fairness Act of 1996, PL 102-121.

Specific Informational needs:

Providing specific informational needs and assistance, including:

Coordinating and conducting research into technical and general small business problems for which there are no ready solutions.
Providing access to comprehensive physical and/or electronic libraries that contain current information and statistical data needed by small businesses.
Maintaining a working relationship and open communications with financial and investment communities, legal associations, local and regional private consultants and local and regional small business groups and associations in order to help address the various needs of the small business community.
Conducting in-depth surveys for local small business groups in order to develop general information regarding the local economy and general small business strengths and weaknesses in the locality.
Using and compensating qualified small business vendors, including but not limited to, private consulting engineers and private testing laboratories to provide services to small businesses.
Maintaining lists of local and regional private consultants to which small businesses can be referred.
Providing information and assistance to small businesses about establishing Drug-Free Workplace programs.

SBA Required Services

It is acknowledged that SBDCs receive funding from and must meet the mandates of its other funding sources. Despite these mandates SBA district directors and SBDC Lead Center directors should negotiate services to meet local needs as identified by a periodic needs assessment and integration of the results into the SBDC strategic plan for services including:

Entrepreneurial Development Services

Assisting manufacturing workers interested in starting their own business and working closely with the U.S. Department of Commerce, National Institute of Standards and Technology’s Manufacturing Extension Partnership (MEP) Program to assist small manufacturers.
Providing programs focused on existing businesses to assist them with growth and expansion.
Developing, facilitating and/or leveraging appropriate distance learning programs and/or initiatives that can be utilized by small business clients, and where appropriate, other SBA resource partners.
Using market research tools such as the SBDC Clearinghouse, also known as the SBDCNet, to assist in serving the needs of the small business community.
Developing economic recovery programs and plans which include counseling of small business owners on ways and means to strengthen on-going business.
Economic Development Involvement
Participating in and actively supporting community development in the SBDC’s area of geographic responsibility. This includes coordination and involvement with all levels of government – federal, state and local in support of initiatives that strengthen the infrastructure of the community and ensure stability and equality in community-based economic growth and development. The private sector, including business and professional organizations, should be invited to become stakeholders in the development of the community. SBDCs should act as catalysts to initiate development projects beneficial to the community as a whole.

Government Contracting Assistance

Providing information and assistance to small business owners interested in pursuing federal, state and local prime contract and subcontract opportunities, including promoting SBA’s SBIR and STTR programs.
Advising and assisting small business owners in developing and executing effective marketing and sales plans for targeting federal prime contracts.
Working cooperatively with the Procurement Technical Assistance (PTAC) program.
Helping 8(a) firms either directly or through the applicant’s affiliate in the area of contract education and assistance.
Working with SBA District Offices in assessing the needs of 8(a) firms through SBA’s Business Development Assessment Tool (BDAT) and other means to provide the 8(a) firm with business management and other education, training and information.

(3) Access to Capital and Other SBA Programs

Providing financial packaging and other financial counseling assistance; including assistance for disaster loans including the Military Reservist Economic Injury Disaster Loan program, Community Express, Export finance programs, Patriot Express and ARC finance programs.
Providing access to tools and initiatives offered by SBA’s Office of Veterans Business Development (OVBD).
Informing small business contractors about SBA’s Surety Bond Guarantee Program.
Supporting the SBA Center for Faith-Based and Community Initiatives, as appropriate.

Underserved Markets

Providing outreach and service delivery to rural populations.
Providing outreach and service delivery to new immigrant populations.
Providing outreach and service delivery to urban and inner city populations.

The public documents mentioned herein identify target program goals and performance measures and link their achievement with the budget process. As participants in a grant program of the SBA, SBDCs should be familiar with overarching Administration and agency goals including:

Government Performance Results Act of 1993 available at

http://www.whitehouse.gov/omb/mgmt-gpra_gplaw2m/;

SBA Five-Year Strategic Plan available at http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_strategic_plan_2006.pdf; and
SBA's Fiscal Year 2011 Budget available at http://www.whitehouse.gov/omb/budget/fy2011/assets/business.pdf

SECTION II. – AWARD INFORMATION

A. General Award Information

Project Start Date

The project start date is October 1, 2010 for states/regions responding to Announcement No. OSBDC-2011-01 and January 1, 2011 for states/regions responding to Announcement No. OSBDC-2011-02.

Project Duration

The period of performance for this grant is one year, with a corresponding one year budget period. The applicant organization may continue to receive annual SBDC Cooperative Agreements in future fiscal/calendar years, subject to continued program authorization, availability of funds, satisfactory performance and full accreditation.

B. FUNDING Information

Funding

Funding is subject to the availability of funds and the requirements enumerated in the Small Business Act. 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. 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 not less than an amount consistent with the authorized funding level under the Federal appropriations law. SBA may increase award funds for the total federal funding to the recipient not to exceed $80,000,000 but these amounts are not guaranteed.

Funding Instrument

The SBDC funding instrument is the Cooperative Agreement.

Funding Range

Section 21 (a) (4) (C) of the Small Business Act sets forth a formula by which funds are to be distributed.

There will be a combined total of 63 awards made for FY/CY 2011 under OSBDC 2011-01 and OSBDC 2011-02.

Cancellation

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

Continuation of Funds

SBA intends to continue to fund the SBDC program annually, subject to availability of funds and the continued interest of the host. 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 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 Program Announcement (see 13 CFR 130.700).

C. Match Requirement

The organization receiving the Cooperative Agreement is required to match federal funding on a 1:1 ratio. Cash match in an amount not less than 50 percent of the federal funding is required. The remainder may be in the form of indirect and/or in-kind match. No portion of the match may be from federal sources (except applicable Community Development Block Grant funds). Program income (i.e. fees collected from clients and/or attendees for training) is also excluded as a source of matching funds. For protectorate areas – American Samoa, Guam and the US Virgin Islands - 48 USC Sec. 1469a requires the SBA to waive the match requirements on awards less than $200,000 and further provides the discretion to waive match for awards exceeding $200,000.

SECTION III. – ELIGIBILITY INFORMATION

A. Eligible Applicants for this Cooperative Agreement (mandatory requirements)

The eligible entities are defined in 15 USC § 648 which states:

That after December 31, 1990, the Administration shall not make a grant to any applicant other than an institution of higher education or a Women’s Business Center. Section 648 also states that the Administration shall require any applicant for a Small Business Development Center grant with performance commencing on or after January 1, 1992 to have its own budget and to primarily utilize institutions of higher education and Women’s Business Centers operating pursuant to section 656 of this title to provide services to the small business community.

Any organization which currently has an SBDC Cooperative Agreement with SBA’s Office of Small Business Development Centers remains eligible.

B. Ineligible Applicants for this Cooperative Agreement

The following applicants will automatically be considered ineligible and their applications will not be evaluated:

Any organization which does not currently have an SBDC Cooperative Agreement with SBA’s Office of Small Business Development Centers.

This includes, but is not limited to, entities identified in 13 CFR § 130.200.

SECTION IV. – application and submission information

Required Application Format

Proposals may be submitted for one year or for three years. Proposals must include the information listed in the following chart appropriate for the project year. An electronic copy of the proposal, for each twelve month budget period, must be provided to the SBA District Office for review and negotiation prior to submission to grants.gov. Following final negotiation with the district office, all proposals (narrative and forms) must be submitted electronically via www.grants.gov. Hard copy or other submissions will not be accepted. Specific application instructions, including those for file formatting, are provided at www.grants.gov. Some forms as noted in the following description of attachments are provided in the grants.gov application package for this funding opportunity. Others, as indicated, are available at www.sba.gov/sbdc. To retrieve these forms use the hyperlink SBDC Forms will direct you to the location on the OSBDC forms webpage. Or insert “http://www.sba.gov/aboutsba/sbaprograms/sbdc/funding/sbdc_forms.html” in your web browser and click on Forms and Worksheets. List the attachments included in your proposal submitted through www.grants.gov. Complete header section containing name of SBDC, etc. when preparing this list (See Section IV, B).

Proposal Attachments Chart

	Single Year Proposal	Multi Year Proposal
		Year One	Year Two and Three
List of Attachments submitted through grants.gov	√	√	√
Intent to Renew Option	√	√	√
Letter from SBA District Office	√	√	√
Narrative	√	Prepare for the three year period.	Provide changes related to the service delivery approach; new SBA/SBDC priorities; schedule of holiday closures; a list of new employees, their positions and resumes.
Planned Milestone Accomplishments	√	Submit for first year only.	Update as necessary, provide revised goals for program year.
SBDC Network Listing This attachment now will be generated from PIMS (see page 16)	Validate PIMS data	Validate PIMS data	Validate PIMS data
Application for Federal Assistance SF-424	The Program Income Section on the Standard Form 424 (Application for Federal Assistance) should be left blank.	Provide for initial year. (To indicate Option Year funding you must complete Section E, SF 424A, “Future Funding Period.)	√
Budget Information Non-Construction Programs SF-424A	Submit for Lead Centers (and each Service Center if standard SBDC Budget Justification format is not submitted). Leave blank line 7 (Program Income) on the Standard Form 424a (Budget Information – Non-Construction Programs) Do not add program income to line 6k. Program Income can be addressed in the proposal’s program narrative.	Submit for Lead Centers (and each Service Center if standard SBDC Budget Justification format is not submitted). Fill-in Section E, SF-424A, Line 16 only, Columns (b) First and (c) Second. The option year proposals are not due now but only when announced, during renewal period Year Two or Year Three. If your proposal is for a Single Year, LEAVE BLANK Section E, SF-424A .	Sections A, B, C, and D should be completed for the 12-month budget period for the network, Lead Center and each Service Center (if standard SBDC Budget Justification format is not submitted). LEAVE BLANK Section E when in Year three,
SBDC line-item Budget Justification with details of the cost calculation and Personnel List	Submit for Lead and each Service Center.	Submit for Lead and each Service Center.	Submit for Lead and each Service Center.
Indirect Cost Rate Agreements	Submit for lead and Service Centers claiming indirect costs.	Submit for Lead and Service Centers claiming indirect costs.	Submit only if provisional rate has changed at center.
Indirect Cost Allocation Worksheet	√	√	Submit if provisional rates have changed.
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	√	√
Disclosure Form SF-LLL	√	√
Cash Match and Program Income Certification Form	√	√	√
Cost Sharing Proposal SBA Form 1224	√	√
Assurances Non-Construction Programs SF-424B	√	√

NOTE: Intent to Renew. In the spring of each year the Program Announcement will be made available on www.grants.gov and will indicate any programmatic changes or budgetary revisions that need to be made to the original proposal submitted to OSBDC. SBDCs wishing to exercise a renewal option must e-mail or fax the Letter of Intent to Renew to the program manager in OSBDC by the appropriate date as listed on the submission date page of this Program Announcement.

1. Program Information

SBA Proposal Processing. All SBDC funding proposals must be reviewed by and receive concurrence from the SBA district office(s) (District Director and/or Project Officer) in their geographic territory in advance of submission to OSBDC via www.grants.gov by the dates specified in this Program Announcement. A concurrence letter from the SBA District Director must be included in the proposal. If multiple SBA district offices are in the geographic area of the SBDC, one SBA district office project officer serves as the designated primary point of contact for the SBDC. That SBA project officer must obtain the concurrence and signature of all SBA district directors in the geographic territory before forwarding the proposal to headquarters (OSBDC). Within statutory and regulatory boundaries, goals must be jointly negotiated and agreed upon with the full participation of the District Director(s) and the SBDC Lead Center Director.

After the proposal has been received by OSBDC, and final approval obtained by the AA/OSBDC, all submission and/or revisions (if any) will be reviewed for programmatic and financial content and sufficiency by the appropriate OSBDC program manager and grants management specialist. SBDCs will be contacted by OSBDC if there are unresolved issues in the proposal/submission. If there are no programmatic issues to be resolved, the SBA program manager will recommend approval to the grants management specialist. The grants management specialist will review the budget and all fiscal documentation. Once determined that all costs are in compliance with applicable OMB cost principles, the grants management specialist will process and issue the Notice of Award.

Program Narrative (Provide this information in an attachment not to exceed 50 pages and the pages must be numbered.) The following must be included as part of this narrative:

Program Management

Provide a brief summary describing:

the service area of the Lead and Service Centers;
the methodology and justification for the service area resources distribution using, but not limited to, multiple factors such as population or business census, population/counselor distribution formulas, etc.);
correlation of resource distribution to needs assessment studies; and
the management and coordination of the SBDC throughout the state or area being served.

If applicable, describe plans for the addition of any new Service Centers or programs. As part of the management strategy, describe the staffing plan including management strategy for vacancies (interim measures and acceptable vacancy timeframes), general staffing policy as it pertains to key personnel (Lead Center directors and associate directors), desirable client wait time for counseling assistance and changes you anticipate making in the coming year. (Applicants applying for initial funding must describe how the SBDC plans to provide total state or regional coverage during a three‑year period.) This section should include an explanation of the funds allocation philosophy and plans, if any, to adjust current funds distribution in accordance with that philosophy.

On-line Client Services

It is incumbent on all Federal Government agencies to increase use of available technology to improve services and streamline operations. The continued expansion and use of technology in all sectors of commerce today is creating new opportunities as well as placing increased demand on the SBDC program to provide greater access to services through web-based technology. SBA views the use of web-based technology as a means to increase outreach within existing budgets, access populations or areas otherwise difficult to reach, and offer services 24/7 when appropriate. Providing clients with tools and access to information on-line, should provide greater flexibility for SBDC counselors to provide counseling and other one-on-one activities with clients.

Recipient organizations must submit a project plan which uses web-based technology for direct client service delivery. Applicant organizations should review their level of web-based service delivery as defined by SBA in Section VIII, Part E of this Announcement. As part of the proposal narrative, applicants should describe how on-line service delivery is incorporated into their overall service delivery plan. 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. The project plan for online services should describe the current level of service and/or the approach being taken to progress to a higher level. This discussion should include the planned operating environment and the process to be taken to achieve it, including timelines, benchmarks, anticipated results, resources and budget.

Organization and Structure

Include an organizational chart for the total SBDC network. The chart must indicate the positioning of the Lead Center within the applicant organization and the department or division and person to whom the SBDC Lead Center Director reports.

Program Objectives

Provide a brief summary of major program objectives and ongoing programs, highlighting any new programs, special projects or activities. To facilitate reporting, categorize the information presented using the reporting titles listed in Section VI, Part B to the extent possible. (Success stories do not need to be included in the proposal.)

SBDC Scheduled Closures

Provide a listing of all scheduled SBDC Lead Center and Service Center closures, whether for holidays or shutdown of the recipient organization. Anticipated closures shall be included in the annual renewal application. Emergency closures shall be reported to the SBA project officer as soon as feasible to do so. SBDC service providers shall be open during the normal business hours of their sponsoring SBDC organizations.

Advisory Board

Each SBDC must establish an advisory board in accordance with 15 U.S.C. 648(j). The proposal must include a list of the members of the SBDC statewide/region-wide advisory board, including their titles and a description of the board's responsibilities.

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. There should be regular periodic meetings each year. The SBA district director should be a non-voting member.

The reasonable cost of travel of any board member for official board activities may be paid out of the SBDC’s budgeted funds. An SBDC’s proposal must include the date of its board’s most recent meeting.

Conflict of Interest Policy

The proposal must include the SBDCs current -conflict of interest policy utilized throughout the SBDC network. See Section VIII, Part B, “Conflict of Interest” for guidance on content of the Conflict of Interest Policy.

Training

The proposal must include a list of the types of 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 per line ten of SBA Form 888. Recipients will be expected to provide the SBA project officer with a quarterly calendar of training or access electronically to comparable information.

Personnel Resumes

The proposal must include resumes for any new key personnel directly employed by the SBDC (i.e., Lead and Service Center directors and special program directors such as for technology or International Trade) since the start of the last program year. It does not include trainers, counselors, or support staff.

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

Other Funds

The proposal must fully describe any other federal or state small business assistance programs, contributions or grant funds (excluding foundation accounts) managed by the SBDC network outside the SBA Cooperative Agreement. Include the source and amount of funds provided by each organization and the purpose for which the funds have been provided.

The SBDC must maintain an updated list of funding sources and amounts for each source of funds received by the SBDC network 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 examination process.

SBDCs 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. Costs may not be proposed or claimed for activities for the SBDC program, regardless of funding source, for which the scope of activity is inconsistent with this Program Announcement

In accordance with 15 U.S.C. 648(a)(5), the AA/OSBDC must concur with all federal initiatives to be accomplished through the SBDC networks.

b. Planned Milestone Accomplishments. This spreadsheet is required from the Lead Center and shall separately list the goals for the Lead Center and all SBDC Service Centers, including specialty centers. The spreadsheet must include sections on “Major Program Objectives” and “Special Projects” for the network for each Service Center. The spreadsheet is available at SBDC Forms.

c. SBDC Network Listing. The SBDC Network Listing shall be produced from SBA’s Partner Identification Management System (PIMS). PIMS must be kept current as it will generate the network listing for the proposal. Guidance on maintaining PIMS is in B. Reporting (see page 27).

2. Budget Information

Refer to Section IV, Part D "Budget Preparation and Funding" for additional instructions on how these forms are to be completed. OSBDC will provide SBDCs with projected funding levels to be used in budget preparation.

Form Instructions Available at:

Application for Federal Assistance (SF-424)	Please provide a complete street address. Do not use P.O. Box numbers.	grants.gov application package
Budget Information‑Non‑Construction Programs (SF-424A)	This form is required for Lead Centers (and Service Centers if the standard SBDC Budget Justification format is not submitted).	grants.gov application package
SBDC Budget Justification with narrative and Center Personnel List	This form is required for the Lead Center and each Service Center. Information should be submitted in the format provided (see the Sample SBA Budget Justification at www.sba.gov/sbdc) PLEASE NOTE: All categories on the SBDC Budget Justification Form must be addressed in the Budget submission. If it is necessary to change this format due to local requirements provide an SF 424A for each Service Center in addition to this Form. Include a list of key SBDC personnel and identify non-key positions by their titles in the SBDC Personnel List. All technology and International Trade personnel must also be listed. See chart below for specific budget instructions.	SBDC Forms
Indirect Cost Rate Agreements negotiated with cognizant agency	These agreements are required for Lead Center and Service Centers claiming indirect costs.
Indirect Cost Allocation Worksheet		SBDC Forms

SBDC Budget Justification Instructions

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

Personnel:	For each position of the SBDC, show federal, match, annual salary, number of months, level of effort in percentage and total amount used as the basis to estimate personnel costs. For key personnel, list name, position title and length of time current incumbent has held the position. For SBDC employees who are not key persons or personnel to be hired only position title is required.
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.
Travel:	Provide purpose for in state and out of state travel. For local travel not requiring preauthorization provide total anticipated mileage and mileage rate. For travel requiring preauthorization, itemize destinations, mode of transportation, airfare or other transportation rates, number of trips, and number of travelers. Prior approval of the SBA is required for foreign and unplanned out-of-state (not in approved budget) travel.
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.
Supplies:	Show anticipated cost of supply items such as general office, operational, computer supplies, and other supply items costing less than $5,000. The recipient organization must maintain an inventory of controlled supplies of higher dollar value and high potential for loss such as computers, etc. and it must be made available upon request of the SBA.
Contractual:	Should Service Centers propose sub-contractual cost, please provide budget details, such as statement of work, number of hours and rate of pay. Separate budgets (i.e., form 424A and budget justifications) are only required for Lead Center subcontracts with individual Service Centers. Do not show indirect cost on contractual line. Service Center indirect cost must be shown on line j column 4 of the 424A.
Consultants:	There may be an error on form 424A showing a “construction” instead of a “consultants” category. Please indicate consultants cost on that line for construction. Specify the consultant’s purpose and indicate the number of hours and rate of pay.
Other:	This category may include, but is not limited to computer software, copying, postage, printing, publications, subscriptions, dues, telephone, conference fees, and office space (indicate square footage and rate). Do not list other items with zero amounts.
Indirect cost:	Indicate the indirect cost amount on budget justification line j and 424A, line 6j. Show indirect cost rate and method used to calculate indirect cost. You may obtain the Indirect Cost Allocation Worksheet from the SBDC website at SBDC Forms. You may break out Lead Center Indirect vs. Contractual (Service Center) Indirect on line 23, Remarks. A copy of the Indirect Cost Rate agreement (ICR) approved by your cognizant agency for audits must be provided, including the signature page of the agreement to support indirect charges. A rate no higher than that approved under the ICR may be used to calculate indirect cost. Do not include indirect costs as cash match or as in-kind contributions. If the Lead or Service Center does not have an indirect cost rate agreement, please contact the project officer at the SBA district office.

3. Certification Forms and Assurances

Form Number Available at:

Certification Regarding Debarment, Suspension, and Other Responsibility Matters, Primary Covered Transactions	SBA Form 1623	SBDC forms and worksheets
Certification Regarding Drug‑Free Workplace Requirements		SBDC forms and worksheets
Certification Regarding Lobbying – must be completed by all applicants	SBA Form 1711	SBDC forms and worksheets
Disclosure Form	SF-LLL	grants.gov application package
Cash Match and Program Income Certification Form – includes certification of program income on hand		SBDC forms and worksheets
Cost Sharing Proposal	SBA Form 1224	SBDC forms and worksheets
Assurances‑Non‑Construction Programs	SF-424B	grants.gov application package

B. Treatment of Proposal Information

If the SBDC’s proposal contains confidential data, the SBDC must follow Part 102 of SBA’s regulations.

Unless otherwise specified, all financial, statistical, personnel and/or technical information and data which are 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.

P.L. 108-447, approved December 8, 2002, provides that client information can only be made available to SBA for legal enforcement action and financial audits. However, SBA is also allowed access to client data for obtaining program activity information or conducting client surveys.

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 OMB Circular A‑110.

C. Required Proposal Submission Dates

Each SBDC applicant is required to submit its proposal electronically via www.grants.gov. Because there are some pre-conditions for submitting applications via www.grants.gov, applicants are advised to allow for appropriate time to register their organization, if they are not currently registered. Specific instructions are provided on grants.gov for registering.

To ensure timely re-funding of SBDC continuing applications, the following time frames have been established for the submission of proposals throughout the SBDC/SBA network. Strict adherence to these time frames by both SBDC applicants and SBA personnel is imperative to allow the agency sufficient time to review and issue the Cooperative Agreement.

SBDC Applicant’s Timeline

SBDCs funded on the federal FISCAL year

July 9, 2010 Proposal due via electronic submission from the SBDC applicant to project officer in the SBA district office – project officer, district director and SBDC applicant complete proposal negotiations. The proposal should include the proposed target goals to be used for goal negotiations.

July 16, 2010 Project officer submits target goals to OSBDC

July 22, 2010 Proposal due to the OSBDC via electronic submission on www.grants.gov at 9 p.m. EDT closing time for program manager’s review; Letter of Recommendation for Funding due from the SBA district director to OSBDC via e-mail and submitted with the proposal package.

September 15, 2010 Final proposal due from the Program Manager to the Grants Management Specialist for processing of the grant award.

September 22, 2010 Continuation of funding letter due from SBA to recipient organization. Issuance of Notice of Award will be made within 90 days of notification to AA/OSBDC of the final program funding amount provided that a complete proposal has been received by the AA/OSBDC.

February 1, 2011 SBDC recipient organization must submit a Letter of Intent to apply for renewed funding to the AA/OSBDC.

SBDCs funded on the CALENDAR year

July 9, 2010 Proposed target goals submitted to project officer in the SBA district office - project officer, district director and SBDC applicant complete target goal negotiations.

July 16, 2010 Project officer submits target goals to OSBDC.

August 13, 2010 Proposal due from the SBDC applicant to project officer via electronic submission in the SBA district office – project officer, district director and SBDC applicant complete proposal negotiations.

August 26, 2010 Proposal due to the OSBDC via electronic submission on www.grants.gov at 9 p.m. EDT closing time for program manager’s review; Letter of Recommendation for Funding due from the district director to OSBDC via e-mail.

October 28, 2010 Final proposal due from the program manager to the grants management specialist for processing of the grant award.

December 1, 2010 Continuation of funding letter due from SBA to recipient organization. Issuance of Notice of Award will be within 90 days of notification to AA/OSBDC of the final program funding amount, provided that a complete proposal has been received by the AA/OSBDC.

March 1, 2011 SBDC recipient organization must submit a Letter of Intent to apply for renewed funding to the AA/OSBDC.

D. INTERGOVERNMENTAL REVIEW

The SBDC program does not involve the mandatory payment of any matching funds from the state or local government and does not affect directly any state or local government. As appropriate, SBDC programs should comply with Executive Order 12372, “Intergovernmental Review of Federal Programs.”

E. Funding Restrictions

Budget Preparation & Funding

Administrative Requirements and Cost Principles

SBA will supply federal assistance funds for the SBDC's operation. However, in order to qualify for assistance, the applicant (Lead Center) and/or its network participants, must provide, at a minimum, an additional amount (cash and in-kind match) equal to the federal dollars provided. Cash match in an amount not less than 50 percent of federal funding is required. The remainder may be indirect and/or in-kind match. No portion of the match may be from federal sources (except appropriate CDBG funds). Program income or fees collected from clients and/or attendees are also excluded from match. Cash match shall not include indirect costs, overhead costs or in-kind contributions.

When making sub-awards, administrative costs incurred for establishing technical needs, determining qualified candidates, issuing requests for bids, evaluating replies and selecting an awardee may be claimed as indirect costs according to 2 CFR Part 220 (OMB Circular A-21). The Circular allows these incremental Facilities and Administrative costs on the first $25,000 to be claimed one time in the indirect cost base for each subcontract or sub-award. It is not appropriate to claim these costs when obtaining annual funding to continue the sub-award. These costs only may be claimed when an open, competitive bidding process was involved in issuing the sub-award that included the aforementioned administrative costs.

SBDCs are governed by 2 CFR Part 215 (OMB Circular A‑110) or 13 CFR Part 143 for administrative procedures and 2 CFR Part 220 (OMB Circular A‑21), 2 CFR Part 225 (OMB Circular A-87), or 2 CFR Part 230 (OMB Circular A-122) for cost principles.

Budget Preparation

SBDCs submitting multi-year proposals must refer to Section IV, Part A “Required Application Format”, for specific procedures.

The budget proposal must also show the total cost of the program as proposed in Section B of SF-424A (rev. 7/97). Such costs include personnel, fringe benefits, travel, consultants, equipment, supplies, and contractual costs. (Refer to SF- 424A, "Budget Information - Non-Construction Programs" Rev. 7/97) and budget justification instructions).

Although “Program Income” appears on the Standard Form 424 (Application for Federal Assistance) it is not added into the "Total Estimated Funding" – line f – of the Standard Form 424 and should be left blank. Leave blank the “Program Income” line on the Standard Form 424A (Budget-Information – Non-Construction Programs) as it is not to be added into 6.k. Additionally, program income costs must not be included with costs totaled within the budget narrative. Program income should be addressed in the proposal’s program narrative.

For those SBDCs operating separate International Trade Centers, Procurement Centers or other specialty type centers as part of the Cooperative Agreement, the budget proposal must include a separate budget and milestone chart.

Travel

The budget proposal must include a description of the out‑of‑state (region) travel proposed, indicating estimated costs, number of persons traveling, and purpose of travel.

All travel performed as part of this Agreement must be in accordance with SBDC program objectives and in compliance with the recipient's travel policy and governed by 2 CFR Part 220 (OMB Circular A‑21), 2 CFR Part 230 (OMB Circular A-122), or 2 CFR Part 225 (OMB Circular A‑87), as applicable. (Refer to Section VIII - Advance Understandings for prior approval requirements governing out-of-country travel.)

Payment of Dues

The budget proposal must also show the total amount of Cooperative Agreement funds (both federal and non‑federal) the SBDC intends to allocate for payment of dues to professional associations, including the ASBDC. All dues allocated for membership in the ASBDC and/or other professional associations must be thoroughly documented and justified and include a detailed explanation of the benefits to the SBDC program derived from this expenditure. Where federal funds have been used to pay Association dues, the SBDC must be able to document that the expenditure was reasonable and necessary to the SBDC based upon the benefits derived. In addition, all memberships purchased with project funds must be in the name of the recipient rather than in the name of an individual.

Lobbying

There is a broad federal restriction on all grantees of the Federal Government, which prohibits the use of federal appropriated funds to lobby Congress or agencies concerning certain specified federal actions. [31 U.S.C. § 1352 (also known as the Byrd Amendment)] In addition, 2 CFR Part 230 or 2 CFR Part 220 (OMB cost circulars (A-122 at §25 and A-21 at §24 )) provide that lobbying activities are generally unallowable costs. Reference should be made to the OMB Circulars, which set forth the unallowable activities as well as the limited activities that are allowed.

Treatment of Service Center Costs

The budget must specify which costs will be paid by federal dollars, cash- and non-cash match. This applies to costs incurred by Service Centers as well as recipient costs.

The budget proposal must describe the financial resources offered by the applicant. The amount and source of funds being provided as match must be clearly indicated; i.e., state, university and private sector funds- distinguishing between cash match, indirect match and in‑kind match. In-kind match contributions must be fully explained to show how their value is determined.

Should the applicant desire to present Service Center costs in their proposals that are co-mingled within the applicant’s budget elements (i.e., personnel, fringe, travel, equipment), it must provide SBA with additional individual Service Center budgets that include a breakout of each budget element. The breakout should include individual Service Center proposed costs that are charged to the recipient, including indirect costs and their applicable indirect cost base and rate.

If an applicant proposes service costs under the applicant’s contractual budget element, then SBA requires that separate Service Center budgets also be provided with a breakout by line item, including the amount of federal dollars to be 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.

A separate spreadsheet with expenses for the entire SBDC network must be submitted to capture and summarize the total expenditures for each budget element/object class category. The object class categories on the spreadsheet will show the total personnel, fringe benefits, travel, equipment, consultants, supplies, indirect cost and other. The contractual line item will not contain the Lead Center expenditures for Service Centers but will contain any other Lead Center contractual items and all contractual items in the Service Center budgets.

Indirect Costs and Overhead

To propose and subsequently claim indirect costs, applicants must furnish their current indirect cost rate agreement as negotiated with their cognizant federal agency, their indirect cost rate agreement certified by their state governmental unit and approved by their cognizant federal agency, or another rate calculation approved by SBA, as well as those agreements for participating Service Centers. The negotiated rate in effect at the time of the initial award should be used throughout the entire award period covered by the proposal. Indirect costs cannot be claimed for the Lead Center or for Service Centers that do not furnish approved cost rate agreements applicable to the proposed funding period. Costs may not exceed the amount allowable under the approved Indirect Cost Rate Agreement furnished with the proposal. Indirect costs claimed should not exceed the amount of the approved budget on the Notice of Award without prior written approval of the SBA Grants Management Specialist.

Entities currently without a rate agreement negotiated with a Federal agency may request the SBA Project Officer to provide a rate agreement of 24% for use only in the SBDC program. Any agreements subsequently negotiated with a federal agency will supersede the SBA agreement. For entities using an SBA provided Indirect Cost Rate Agreement for the SBDC program, the following terms apply:

These terms are to assist in identifying and clarifying those costs considered to be “general administrative and general expenses” noted in 2 CFR 220.E (OMB Circular A-21), 2 CFR 225 (OMB Circular A-87) and 2 CFR 230.C (OMB Circular A-122). They form the basis for this SBA Indirect Cost Rate Agreement and subsequently may not also be included as direct costs against the award when the SBDC Indirect Cost Rate Agreement is used.

Cost pools underlying the Indirect Cost Rate Agreement include personnel compensation and benefits for positions or for activities which are not (1) in direct support of the SBDC program goals and objectives and (2) under the direction or supervision of the key person identified in the Cooperative Agreement as responsible for program performance at the respective host entity.

Examples include, but are not limited to, those expenditures allocable to human resources and accounting departments, sponsored project staff, corporate marketing staff, controllers, deans, chief executives and presidents of colleges and universities.

Non-personnel costs such as audits, supplies, materials, insurance, and other services and operating costs allocable to administrative departments and to the activities of the host entity are considered part of the “general and administrative cost pool” and thus may not also be directly charged.

F&A costs may not otherwise be charged, directly or indirectly, to the cooperative agreement or claimed as non-cash match contributions without the incorporation of an approved Indirect Cost Rate Agreement, either from a cognizant agency or from the SBA as described here.

Justification of Costs

All costs proposed require justification and narrative explanation for the Lead Center and each Service Center. Applicants must furnish their current indirect cost rate agreement as negotiated with their cognizant federal agency or other rate calculation approved by SBA, as well as those agreements for participating Service Centers. The negotiated rate in effect at the time of the initial award must be used throughout the approved award period except for provisional rates. Rate changes will take effect at the beginning of the next budget period. Indirect costs cannot be claimed for the Lead Center or Service Centers that do not furnish approved cost rate agreements applicable to the proposed funding period. Costs must not exceed the approved rates furnished with the proposal. Indirect costs claimed must not exceed the amount presented on the Notice of Award without prior written approval of the SBA Grants Management Specialist.

Miscellaneous or Contingency Costs

No miscellaneous or contingency costs may be included in the budget. Contributions to a contingency reserve or any similar provision made for unforetold events are unallowable. All proposed costs must be included in the specific line items and fully justified. All forms contained in the financial application package must be completed accurately and in full.

Subcontracting

All subcontracting awarded as a result of this Agreement will be in accordance with 2 CFR 215.40-215.48, 13 CFR 143.36 and 13 CFR 143.37 as applicable to the entity.

Proposal Costs

This request does not commit the Government to pay any costs incurred in the submission of a proposal.

Financial Guidelines

Carryover Requests

The SBDC Lead Center Director may request approval to carry over an unexpended balance of federal funds to the next budget period. Carryover of unexpended funds is permissible only if the funds are to be used for a project or activity not included in the next year’s SBDC agreement, is within the scope of the SBDC program and the request is in the best interest of the Program. Funds should be expended in the year awarded; however, carryover requests will be considered on a case-by-case basis. Carryover requests must consist of the following: (1) SF-424, budget pages, and justification; (2) narrative indicating why the funds were not expended during the period in which they were awarded; (3) SBA District Office approval; and (4) evidence of match.

The match requirement for carryover funds can be met by using overmatch from the current budget year, an increase in funds pledged by the SBDC or overmatch from the year funds were carried over or a combination of both.

A carryover request must be made within 90 days of the close of the performance period and must be supported by the final SF-425 when submitted or it will not be considered. Approved carryover requests require the issuance of a revised Notice of Award. The Lead Center must document that carryover funds are spent to support the activities outlined in the carryover request; carryover requests will only be approved with proper justification. Expenditures for the carryover requests must be accounted for separately from current year funds. All financial reports, pay requests and other correspondence relating to the carryover funds must reference the federal document number assigned to the funds carried forward. Those states desiring to carryover funds that they have transferred under the ten percent rule, (Notice of Award, Prior Approval, item 4c), must obtain approval from the OSBDC prior to year end.

Use of Program Income

Program income must be used to further the objectives of the SBDC program and cannot be used for other purposes. SBDCs must expend any program income exceeding 25 percent of the SBDC’s total budget (SBA federal funds and matching funds) by year end. Any remaining program income may be carried over to subsequent budget periods to be used to further program objectives. SBDC Program recipients are responsible for establishing a separately identifiable program income account to facilitate financial reporting. All program income must be reported on SBA Form 2113 (Program Income Report). The SBDC will include as an attachment to the SF 425, the SBA Form 2113 and a narrative description of how program income was used to further eligible program objectives.

Cash Match Requirement

Each SBDC applicant must ensure that no less than fifty percent of the required contribution will be in cash. This cash outlay must not include indirect costs, in-kind contributions, or program income derived from activities supported in whole or in part with federal or match funds. Direct cash match committed by the applicant organization or Service Center (i.e. personnel services, fringe benefits, consultants) may be included in the cash match only to the extent that these costs were committed as part of the specific direct line item costs verified by the Certifying Representative prior to funding.

Further, the cash match shall not include: (1) funds contributed from other federal sources [see exception below]; (2) program income or fees collected from recipients of assistance, whether collected by the Lead Center, Service Centers or any other participants in the SBDC network; or (3) amounts committed by the applicant organization for unidentified and/or contingent costs in the budget proposal.

There is one exception to the disallowance of federal funds as cash match. Community Development Block Grant (CDBG) funds received from the Department of Housing and Urban Development are allowed when: (1) the SBDC activities are consistent with the authorized CDBG activities for which the funds were granted; and (2) the CDBG activities are identified in the Consolidated Plan of the CDBG grantee or in the agreement between the CDBG grantee and the sub recipient of the funds.

When an SBDC manages another, non-SBA funded small business program which has a program scope consistent with the SBDC program, personnel compensation and benefit costs of the program may be counted as match provided that the funds for the program did not originate from another Federal agency. See CDBG section above for exceptions where Federal funds are allowed to be used as match.

The cash match must be committed up front and identified by source, amount, and account number in the SBDC budget proposal. In addition, the contributors, requirements, specifications or deliverables must be clearly identified in the proposal. The cash match account (as well as SBA federal funds) allocated to the SBDC program, must be under the direct management of the SBDC Lead Center or Service Center Director. However, SBDC organizations are not required to establish separate bank accounts solely for SBDC purposes. The availability of this cash contribution for SBDC program operations must be certified by the official from the applicant organization who signs the Federal Assistance Form (SF-424).

If the state is providing part of the cash match, the Certifying Representative must verify that these funds have been appropriated prior to award of the Cooperative Agreement. However, in situations where state appropriation cycles prohibit total compliance prior to award of the Cooperative Agreement, the Certifying Representative shall verify that sufficient upfront cash match will be available from the state or other sources, prior to any withdrawal of federal funds.

SBA Requirement for Allocation of Federal Funds

SBA requires that at least 80 percent of federal dollars provided through the Cooperative Agreement must be allocated to the direct costs of the program.

SECTION V. – APPLICATION review INFORMATION

PROPOSAL EVALUATION

Applicant screening

Applications will first be screened to determine if the applicant meets stated mandatory eligibility requirements. SBA will not evaluate applicants that do not document in their application that they meet these requirements for participation in the SBDC program. Submissions will only be accepted via www.grants.gov. Submission via other electronic mediums will not be accepted. Hard copies will also not be accepted.

SBA and SBDC Duties and Responsibilities

SBA Responsibilities

The OSBDC is responsible for:

Mailing the renewal letter and Program Announcement to the SBDC Lead Center director.
Reviewing any changes to the proposal.
Resolving any outstanding issues not resolved by the District Office under the Disputes Policy (See 13 CFR § 130).
Approving the proposal and issuing the Notice of Award.
Conducting programmatic and financial reviews.

The SBA district office is responsible for:

Negotiating the proposal with the SBDC Lead Center director incorporating district office and agency priorities, including target goals.
Reviewing and initially approving the proposal.
Submitting a letter of approval of the proposal by the district director to the AA/OSBDC via the OSBDC program manager by both e-mail and in the electronically submitted proposal via www.grants.gov.

SBDC Responsibilities

The SBDC is responsible for:

Preparing the proposal, in concert with the SBA district office, including milestones, target goals and a short summary of the status of the current year's accomplishments.
Electronically submitting and negotiating the proposal with the SBA District office.
Submitting an electronic version of the proposal via www.grants.gov by the deadline listed in Section IV, B.

Section vI. – award administration INFORMATION

A. AWARD NOTICE

All applicants will receive a written notification relative to continuation of funding for the award recipient.

B. Reporting

Reporting Requirements

All SBDC’s are required to report program data through SBA’s EDMIS system. EDMIS serves as a centralized data collection system. While SBDCs may, if they feel the system meets all of their MIS needs, use EDMIS as their primary MIS, they may also choose to maintain existing or complementary systems should they individually require more extensive data collection needs than that of the SBA.

All SBDCs must be fully capable of either manually entering data or uploading batch files to the EDMIS system. SBDCs are required to upload all data they have collected via the SBA approved data collection tools (Form 641, Parts I, II and III and Form 888) except as precluded by statute.

PIMS Maintenance: SBA requires that Lead Center SBDCs maintain their center and Service Center information in SBA’s Partner Identification Management System (PIMS), which interfaces with EDMIS. OSBDC will use PIMS to generate the network listing which will be used during review of the SBDC proposals. The Lead Center shall keep addresses, and contact information up to date for all service delivery points (excluding locations served by circuit riders). SBDCs must update PIMS within 10 days when changes occur in contact information such as physical addresses for Lead and Service Centers, telephone numbers, fax numbers, e-mail and website addresses. SBDCs shall assign a person to serve as their designee for the PIMS partner update rights and provide this individual's contact information (including Name, Title, Phone Number, Email address) to their SBA district office and their program manager at the Office of Small Business Development Centers (OSBDC).

Update rights include the ability to make edit changes as stated above but do not include the right to add new centers or close out (delete) existing centers. SBDCs shall not overwrite records for closed centers. If your network centers are added or closed OSBDC/SBA shall be notified within 10 days for PIMS to be updated.

Required SBA Reports

All SBDC recipients must provide the required reports to SBA. All reports must be filed on time and failure to file timely may result in processing delays for reimbursement requests.

The required reports are:

SBDC Quarterly Counseling and Training Reports (EDMIS Summary)

Federal Financial Report, SF-425 with required attachments

Semiannual Performance Report

Annual Performance Report

Economic Impact Data Report

Report Descriptions

SBDC Quarterly Counseling and Training Reports (EDMIS Summary)

Due: No later than 30 days after the close of the applicable quarter.

All data collected from the Form 641, Parts I-III (except as precluded by statute) are to be reported through EDMIS as part of this quarterly reporting requirement.

Federal Financial Report, SF-425

Lead Centers must submit: Financial Report (Standard Form 425). An original report, signed by the authorized representative of the recipient organization, must be submitted to their respective SBA Project Officer in the SBA District Office. The SBDC Lead Center must electronically submit the report via email in PDF format or facsimile to the Grants Management Specialist in the OSBDC at SBA Headquarters. A recipient’s failure to comply with this paragraph in a timely manner can result in delayed processing of payment requests.

New SBDC Lead Centers: required to report 30 days after the close of each quarter for the first three years of operation with the exception of the final report which is due 90 days after the completion of the budget period. Centers in existence over three years are only required to report semi-annually.

The final report must include the SF 425 package which consists of the following:

SBDC approved SF 425;
Spreadsheet in support of the SF 425;
Schedule of indirect cost reporting, Federal portion, and waived indirect on the SF 425;
SBA Form 2113;
Spread sheet in support of the SBA Form 2113; and

Note: The SBDC must report all recipient shares of outlays; cash, in-kind and waived portion of indirect. The waived portion of indirect cost should not be included for in-kind match.

The SBDC must report all unliquidated obligations (if any) on form 425 and obligations must be liquidated no later than 180 days after the end of the budget period. The total amount of unliquidated obligations must include the following:

Recipient share - Cash match disbursements and non-cash indirect match.

Federal share – Federal direct disbursements and indirect claimed as federal reimbursement.

Semi-annual Performance Reports: Due 30 days after the end of the 2^nd quarter. The semiannual report shall not exceed 20 pages. The semiannual Performance Reports shall address the SBDC’s major activities and objectives in a brief narrative. It shall also include a discussion on the progress made toward achieving those objectives. These reports shall be a summary of the activities, events or achievements in these reporting categories with accompanying management analysis. They shall not be a recitation of actual events, center-by-center.

The SBDC shall submit an electronic version of the semiannual Performance Report to the SBA Project Officer within 30 days after completion of six months operation. The Project Officer shall review this report and furnish an electronic copy to the OSBDC. All SBDC network partners who have been in the program less than three full fiscal or calendars year cycles must submit quarterly reports which include the same content outlined for the semiannual reports. To avoid problem with electronic email size limitation, a URL will be provided during the year by SBA to the SBDCs and project officers for transmission of electronic reports over 5MB.

Activities should be reported in the following sequence, exclude activities not proposed in the application and include any additional categories. Those marked with an * are those pertaining to SBA “national priorities.”

0100 ADVOCACY

0200 CAPITAL FORMATION, including technical assistance for Community Express

0300 *INNOVATION AND TECHNOLOGY TRANSFER AND TECHNOLOGY ASSISTANCE (

0400 INTERNATIONAL TRADE

0500 *MINORITY SMALL BUSINESS DEVELOPMENT, including 8(a) assistance

0600 RESOURCE DEVELOPMENT

0700 *PROCUREMENT

0800 SPECIAL EMPHASIS GROUPS

0900 *ECONOMIC DEVELOPMENT, FAITH BASED AND COMMUNITY INITIATIVES

1000 RESEARCH

1100 OTHER ACTIVITY

1200 SUCCESS STORIES

1300 TRAVEL

1400 PROBLEMS

1500 FINANCIAL REPORTS

1600 WOMEN-OWNED BUSINESSES

1700 *ECONOMIC IMPACT – (may be eliminated from semiannual Performance Reports)

1800 VETERAN AND SERVICE CONNECTED-DISABLED VETERAN - OWNED BUSINESSES, RESERVISTS ON ACTIVE DUTY AND OTHER RESERVE COMPONENT MEMBERS OF THE U.S. MILITARY

1900 *MANUFACTURING

2000 *ONLINE ACTIVITY

(See Reporting Category Definitions for further descriptions of information to be included.)

Annual Performance Report:

Due within 90 days after the close of its budget period. Failure to submit this report accurately and in a timely manner could jeopardize future funding. This report shall not exceed 40 pages in length and should include

An overall summary of efforts in delivering the core services in the Cooperative Agreement for the full budget period, in the form of a brief narrative description and management analysis. Include a discussion of performance measurements achieved as well as an explanation of those objectives or measurements not fully met. These reports should be a summary of the activities, events or achievements in these reporting categories with accompanying management analysis. They should not be a recitation of actual events, center by center.

An analysis and brief narrative of the impact of the activities conducted reported in accordance with the requirements of the semi-annual Performance Report detailed under #3.c. above shall include
- A description of any new resources developed by the SBDC.
- Overall observations, difficulties encountered and recommendations for improving SBDC services.
- Economic impact data (e.g., jobs created and retained, taxes paid, growth in sales and customer satisfaction)

The SBDC must provide an electronic version of the annual programmatic report to the SBA project officer within 90 days of completion of the budget period. (Unless otherwise notified by SBA, this report should be in the same format as the semiannual report and should represent the consolidated effort of the entire SBDC network. Third and fourth quarter information should be included as necessary). The SBA project officer shall review these reports and document comments on a Grant/Cooperative Agreement Monitoring Statement and provide a copy of the statement to the SBDC Lead Center director and the OSBDC program manager at SBA headquarters.

This report shall be sent to OSBDC electronically by the SBA project officer as discussed in paragraph VI. B. 3. c.

Economic Impact Data Report Due:

Within 90 days after the close of its budget period.

These data are to be incorporated into the Annual Performance Report of each SBDC network. SBDC Year-End Impact Data Collection: Calendar year-end and fiscal year-end impact data reporting formerly submitted through the SBDC intranet site is required to be reported through the appropriate data entry screen in EDMIS.

This year-end report requirement does not negate the requirement that client-by-client impact information be submitted quarterly through EDMIS for client status updates on Part III of Form 641.

SBDC Lead Center directors must ensure they receive this data from all Service Centers and that the data is reported in Section VI, Part B, #1700, of this Announcement.

ECONOMIC IMPACT REPORTING

	Quarterly Economic Impact Data Reporting to EDMIS (uploads from Form 641)	Annual Economic Impact Data Report (via EDMIS Impact Screen)*	Semiannual Performance Report and Annual Performance Report Category 1700 Economic Impact (Narrative Report)
Date Due	Quarterly through EDMIS	90 days after close of budget period	30 days after the close of 6-months of operation 90 days after the close of the budget period
Updates on counseled clients who opened a business	√		√
SBA Guaranteed Loan Data	√	Include 641 data	√
Non-SBA Loan Data	√	Include 641 data	√
Equity Capital Data	√	Include 641 data	√
Jobs Created	√	Include 641 data	√
Jobs Retained	√	Include 641 data	√
Customer Satisfaction		√	√
Growth in Sales	√	Include 641 data	√
Tax Revenue (State)		√	√
Tax Revenue (Federal)		√	√

*Impact data at a minimum should reflect what was included on the 641 but may be greater based upon additional impact from training efforts provided to clients.

Reporting Category Definitions

When reporting on any item you must include results/impact of activities. (Example: Provided procurement contract matches to 100 clients, of which 50 received awards totaling $50 million. This moved the state from 49th place to 45th place in receipt of government contracts.) Provide reports in MS Word format (non-PDF file). Those marked with an * are those pertaining to SBA “national priorities.”

A. Program Overview

SBDCs operate under a plan to provide assistance within a state or designated geographical area. As a condition of any SBA grant award made, SBDC applicants are required to provide at least an equal amount of matching funds from sources other than the Federal Government. SBDCs operate under the provisions of 15 USC 648 and 13 CFR Part 130. The Cooperative Agreement is administered in accordance with 13 CFR Part 143 or 2 CFR Part 215 (OMB Circular A-110), as well as other applicable OMB Circulars (see Circulars listed below), a Notice of Award (the Agreement) issued by SBA and the provisions of this Program Announcement.

The SBDC Cooperative Agreement Notice of Award incorporates by reference all applicable OMB Circulars, including:

1. 2 CFR Part 220 “Cost Principles for Educational Institutions.” (OMB Circular A-21)

2. 2 CFR Part 215, “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations.” (OMB Circular A-110)

3. 2 CFR Part 230, “Cost Principles for Non-Profit Organizations.” (OMB Circular A-122)

4. 2 CFR Part 225, “Audits of State, Local, and Indian Tribal Governments.” (OMB Circular A-87)

5. 13 CFR Part 143 “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments.” (OMB Circular A-102)

6. 29 CFR part 99, “Audits of States, Local Governments, and Non-Profit Organizations.” (OMB Circular A-133)

Current versions of OMB OMB Grant Circulars are available from the Office of Management and Budget’s website. The address is: http://www.whitehouse.gov/omb/grants_circulars/

The SBDC network must provide services as geographically close as possible to small businesses by using a variety of service delivery mechanisms, including satellite locations, traveling counselors and electronic means, as appropriate. The facilities and staff of each SBDC shall be located in places that will provide maximum accessibility and benefits to the small businesses which the SBDC is intended to serve. The SBDC will develop a plan as part of the proposal specifying the extent to which SBDC statutory and program duties will be delivered to address the needs of the small business community in the area to be served. In doing so, SBDCs must ensure that statutory and regulatory requirements are met.

The Lead Center must establish and maintain a program control center to provide administrative services to the SBDC network within the state or territory. These administrative services shall include, but not be limited to: (1) program development; (2) program management; (3) promotion and public relations; (4) financial accounting; (5) reports management; and (6) internal quality control. Records shall be maintained in the Lead Center indicating the federal, state, local government, academic and private sector resources available to the SBDC network and the types of services provided to clients.

The Lead Center must have its own full-time staff, must have a separate budget and identity and, if part of a larger unit, must be a clearly distinguishable sub-unit. Staffing must include a full‑time (100%) Lead Center Director who will operate and administer the operations of the SBDC network and must have full authority to make expenditures under the Center’s budget as well as to manage the program activities. Other statutory requirements for the SBDC are outlined in 15 U.S.C. 648 (c)(2).

1. Required Reporting Lines for SBDC Lead Center Director

The SBDC director, if an employee of an SBDC Lead Center hosted by an educational institution, must report to the school or college dean or an equivalent or higher level administrator. In a non-educational organization, the SBDC director must report to an individual who is no lower than the third level of management or administration within a state agency.

2. Continuation of Funds

It is SBA’s intention to continue to fund SBDC applicants annually to ensure ongoing services to small businesses. However, an SBDC may not receive continued funding if there has been a clear showing of poor performance, improper activity affecting the operation and integrity of the SBDC, or a failure to follow the rules and procedures set forth in the statute, regulation and/or Program Announcement as incorporated into the Cooperative Agreement.

Program Organization and SBDC Name

The specific identification “Small Business Development Center” or “Small Business and Technology Development Center” shall be a part of the name of every SBDC organization within the SBDC network. No other name designations or variations will be accepted. An SBDC proposing to use the identification “Small Business and Technology Development Center” must follow the procedures set forth in Section VIII, Part E, “Guidelines,” and have the advance written approval of the AA/OSBDC. The statewide Small Business Development Center organization is referred to as the “Lead” SBDC. The Lead Center manages and administers a comprehensive small business assistance network, consisting of the Lead Center and its Service Centers, under the terms of a cooperative agreement between the U. S. Small Business Administration and the recipient organization. This network is part of the Small Business Development Center program.

Use of SBA Logo and Acknowledgement of Support

SBA is committed to working closely with its resource partners to provide quality, customer-centric products and services that support the evolving needs of small business. Under the SBDC program (as established by the Small Business Act), SBA provides funding and other support to organizations for the provision of technical assistance to small business concerns. SBA provides significant federal funding to the SBDC program on an annual basis, and each SBDC operates under the program’s regulations and §21 of the Small Business Act. Accordingly, all SBDCs are required to acknowledge SBA’s support.

It is important that SBA’s role, identity and network of resources be clearly understood by SBDC clients. Further, SBA wants to ensure that all Agency and partner resources are fully leveraged, such that product duplication is avoided and sharing is prominent among and between SBA, SBDCs nationwide and other SBA resource partners.

Under this Agreement, each SBDC Lead and Service Center must feature the SBA logo and/or official acknowledgement of support on all materials produced (either in whole or in part) using project funds (i.e., federal funds, matching funds and/or program income). This requirement does not apply to materials that are not produced using project funds. For purposes of this section, the term “materials” includes, but is not limited to, items such as press releases, brochures, reports, advertisements, training booklets, websites, etc. The term “materials” does not include items such as stationery or business cards. A link to the SBA logo which appears below will be provided in SBA’s Continuation Letter and/or Notice of Award:

In addition, while SBDCs must display signage featuring the SBA logo at all facilities open to the public, such signage must also prominently feature the acknowledgement of support identified below.

Where used, the SBA logo may be positioned in close proximity to an SBDC’s own logo or may be placed in a prominent location elsewhere in the material. Additionally, whenever an SBDC elects to use the SBA logo, the following statement must appear immediately below or adjacent to that logo:

Funded in part through a Cooperative Agreement with the U.S. Small Business Administration.

This acknowledgement of support must appear verbatim and may not be altered or replaced with substitute language. However, on materials with severe space constraints such as signs and banners, an SBDC may substitute “SBA” for “U.S. Small Business Administration” in the acknowledgement of support. The acknowledgement of support must be presented in a legible typeface, font size and - where applicable - color contrast.

On materials for which an SBDC does not elect to use the SBA logo, it must at a minimum feature the acknowledgement of support listed above. The SBA logo and/or acknowledgement of support may not be used in connection with SBDC activities that are outside the scope of the Cooperative Agreement. In particular, UNDER NO CIRCUMSTANCES may the SBA logo or acknowledgement of support appear on items used in conjunction with fundraising; lobbying; or the express or implied endorsement of any good, service, entity or individual.

Furthermore, where an SBDC produces materials which feature editorial content, it must use the following alternate acknowledgement of support (either independently or in conjunction with the SBA logo):

Funded in part through a cooperative agreement with the U.S. Small Business Administration. All opinions, conclusions or recommendations expressed are those of the author(s) and do not necessarily reflect the views of the SBA.

Shared Information

The SBA will have an unlimited license and all rights to use data (excluding private client data), including those prepared or stored electronically, which are generated either partially or fully under this Cooperative Agreement, including materials that are copyrighted. Therefore, all SBDC-developed or funded training and/or information materials, such as publications, training guides/materials, online courses, online tools, web sites, etc. prepared for the betterment of small businesses will be readily available to SBA and all of its resources partners. As part of their planning process, SBDCs will be expected to develop plans for generating and sharing SBDC-produced training and information materials. These plans will be incorporated in the annual operating plan prepared by each SBDC Lead Center and reviewed with the SBA program office. Materials appropriate for sharing should also be sent to the SBDC Clearinghouse. SBA may select some training materials for distribution via SBA’s national on-line training network, the Small Business Training Network (SBTN) (www.sba.gov/training). Registered clients taking such SBTN delivered courses which meet ED client definitions will be credited to the respective SBDC.

In accordance with Section 502 of the Rehabilitation Act and the Americans With Disabilities Act of 1990, all notices; promotional items; brochures; publications and media announcements informing the public of events, programs, meetings, seminars, conferences and workshops sponsored or cosponsored by the SBA, must include the following accessibility/accommodations notice:

Reasonable accommodations for persons with disabilities will be made if requested at least two weeks in advance. Contact [name, address, and phone number of person who will make the arrangements].

Any surveys or information collections to be conducted by the recipient as a requirement of the Cooperative Agreement are subject to the requirements of the Paperwork Reduction Act, as amended. The SBA agrees that, before requiring the recipient to conduct surveys or information collections, it will complete the necessary requirements under the Paperwork Reduction Act. Surveys conducted by the recipient, independent of the SBA, are not subject to the Paperwork Reduction Act.

B. Advance Understandings

Services and programs provided through the Cooperative Agreement should not wholly duplicate or replace any existing programs. Federal funds shall not be used to supplant or wholly duplicate existing programs. Where these understandings conflict with Section 21 of the Small Business Act, Part 130 of SBA’s regulations, relevant OMB circulars or SBA's policy notices, all of the above will control and take precedence over these understandings.

Legislative and Executive Order Requirements

Each SBDC is also required to comply with legislation passed by the Congress and Executive Orders issued by the President, federal executive agencies, including the Small Business Administration (SBA). Regulations and policies implementing these laws and Executive Orders can be found in Title 13, Code of Federal Regulations (CFR), Chapter 1, or SBA’s Standard Operating Procedures (SOPs). In order to provide the required notices, the following is a brief summary of the various laws and Executive Orders that affect SBA’s Entrepreneurial Development programs.

The Recipient will take reasonable steps to ensure that the programs and activities it provides in English are also accessible to individuals with limited English proficiency and to not violate the prohibition against national origin discrimination imposed under Title VI of the Civil Rights Act of 1964. For further guidance on this issue, see Executive Order 13166 and www.lep.gov.

Paperwork Reduction Act (44 U.S.C. § 3501)

SBA is collecting record keeping information on form OMB 83-I in order to facilitate business assistance services to its clients and for agency analyses related to the operation and management of the Entrepreneurial Development programs. Periodically, the SBA may use the information collected on this form to produce summary reports for program and management analysis, as required by law. SBA also intends to use the individual client data to select participants for follow-up surveys designed to evaluate SBA assistance services.

NOTE: The estimated burden for completing this information is three minutes. Your responses to the requested information are voluntary under these programs. You are not required to respond to the questions on this form if it does not display a currently valid OMB control number. If you have questions or comments concerning any aspect of this information, please contact the U.S. Small Business Administration Information Branch, Washington, DC 20216 and/or Desk Officer for the Small Business Administration, Office of Management and Budget, Office of Information Regulatory Affairs, 725 17^th St., NW, Washington, DC 20501.

Privacy Act (5 U.S.C. § 552)

Any person can request to see or get copies of any personal information that SBA has in his/her own file, when the information is retrievable by individual identifiers, such as name or social security number. Requests for information about another party may be denied unless SBA has the written permission of the individual to release the information to the requestor or unless the information is subject to disclosure under the Freedom of Information Act.

Note: Any person concerned with the collection, use and disclosure of information, under the Privacy Act may contact the Chief, Freedom of Information/Privacy Act Office, U.S. Small Business Administration, Suite 5900, 409 3^rd St, SW, Washington, DC 20216 for information about the Agency’s procedures relating to the Privacy Act and FOIA.

In addition to the above (per the Small Business Act):

(A) IN GENERAL – A small business development center, consortium of small business development centers, or contractor or agent of a small business development center may not disclose the name, address, or telephone number of any individual or small business concern receiving assistance under this section without the consent of such individual or small business concern, unless—

(i) the Administrator is ordered to make such a disclosure by a court in any civil or criminal enforcement action initiated by a Federal or State agency; or

(ii) the Administrator considers such a disclosure to be necessary for the purpose of conducting a financial audit of a small business development center, but a disclosure under this clause shall be limited to the information necessary for such audit.

(B) ADMINISTRATOR USE OF INFORMATION.—This section shall not—

(i) restrict Administrator access to program activity data; or

(ii) prevent the Administrator from using client information to conduct client surveys.

(i) IN GENERAL.—The Administrator shall issue regulations to establish standards—

(I) for disclosures with respect to financial audits under subparagraph (A)(ii); and

(II) for client surveys under subparagraph (B)(ii), including standards for oversight of such surveys and for dissemination and use of client information.

(ii) MAXIMUM PRIVACY PROTECTION.—Regulations under this subparagraph, [sic] shall, to the extent practicable, provide for the maximum amount of privacy protection.

(iii) INSPECTOR GENERAL.—Until the effective date of regulations under this subparagraph, any client survey and the use of such information shall be approved by the Inspector General who shall include such approval in his semi-annual report.

Freedom of Information Act (5 U.S.C. § 552)

This law provides, with some exceptions, that SBA must supply agency records, (i.e., information in its files and records) to a person requesting it. This generally includes aggregate statistical data on SBA’s business assistance programs. SBA does not routinely make available a client's proprietary data (without first doing pre-notification, as required by Executive Order 12600), or information that would cause competitive harm or constitute a clearly unwarranted invasion of personal privacy.

For information about the Freedom of Information Act, contact Chief, Freedom of Information/Privacy Act Office, U.S. Small Business Administration, 409 3^rd St., SW, Suite 5900, Washington, DC 20216.

Trafficking Victims Protection Act of 2000

Pursuant to Executive Order 13333, the recipient agrees to the requirement in paragraph (g) of section 106 of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), as described below.

I. Trafficking in persons.

a. Provisions applicable to a recipient that is a private entity.

1. You as the recipient, your employees, sub recipients under this award, and sub recipients’ employees may not--

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

ii. Procure a commercial sex act during the period of time that the award is in effect; or

iii. Use forced labor in the performance of the award or subawards under the award.

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a sub recipient that is a private entity --

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either--

A. Associated with performance under this award; or

B. Imputed to you or the sub recipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at [agency must insert reference here to its regulatory implementation of the OMB guidelines in 2 CFR part 180 (e.g., “2 CFR part XX”)].

b. Provision applicable to a recipient other than a private entity. We, as the Federal awarding agency, may unilaterally terminate this award, without penalty, if a sub recipient that is a private entity--

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either--

i. Associated with performance under this award; or

ii. Imputed to the sub recipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at [agency must insert reference here to its regulatory implementation of the OMB guidelines in 2 CFR part 180 (e.g., “2 CFR part XX”)].

c. Provisions applicable to any recipient.

1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term.

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award.

3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity.

d. Definitions. For purposes of this award term:

1. “Employee” means either:

i. An individual employed by you or a sub recipient who is engaged in the performance of the project or program under this award; or

ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

3. “Private entity”:

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

ii. Includes:

A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).

B. A for-profit organization.

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

Hours of Operation

The Lead Center and Service Centers services shall be available to the public throughout the year during the normal hours of the business community. In addition, provision should be made to provide evening and weekend assistance, both on-line and in Service Centers, as appropriate to meet local community demands and needs. Anticipated closings shall be included in any annual renewal application. Emergency closures shall be reported to the SBA Project Officer as soon as is feasible.

Travel

The travel charged to the Cooperative Agreement must be in accordance with provisions of the grant and utilized in conformance with 13 CFR 130.460(g), and will be used under the same formula for travel reimbursement as provided by the host institution. Award funds are not available for the payment of per diem, lodging, meals or other subsistence expenses associated with local travel. However, award funds may be used to pay transportation expenses for local travel.

SBDCs are authorized to include a certain amount of funds in the proposal for “unplanned” travel. Unplanned travel is defined as “travel which is necessary to further SBDC objectives, but for which a complete description and/or justification could not be provided in the proposal.” SBDCs are required to notify the SBA Project Officer of any unplanned (not in the approved budget) out-of-state travel and report after the fact in the quarterly or annual report. Requests for out‑of‑state travel exceeding the amount approved in the proposal must be submitted for prior approval to the SBA Project Officer.

Travel funds are authorized for the SBDC Lead Center director and/or his/her designee to attend two Association of Small Business Development Center meetings per year. Travel funds may also be authorized for additional SBDC staff to attend meetings designed for professional development purposes. Further, one trip per year, as approved by the AA/OSBDC, is authorized to allow the SBDC Lead Center director and/or his/her designee to meet with national SBA officials to discuss local program initiatives.

Travel outside the United States and its territories which is either: (1) charged to the Cooperative Agreement; or (2) performed while on duty for the recipient organization must be submitted to the District Director who shall submit a recommendation to the AA/OSBDC or his/her designee for prior approval on a case-by-case basis. (Travel to be completed using vacation time regularly earned is not subject to approval by the AA/OSBDC.) Failure to obtain this approval may result in suspension or termination of funding.

Private Sector Competition

SBDCs should not compete with the private sector and must make every effort to avoid the appearance of competition with the private sector.

Publication and Postage Requirements

Any publication generated by an SBDC with program funds, whether copyrighted or not, must include an acknowledgment of support by SBA (see page 4). This includes, but is not limited to, newsletters and training brochures. Publications produced by the SBDC must promote SBDC services and provide information of direct benefit to the SBDC’s local small business community. Lead Centers and SBDC Service Centers are not authorized to utilize any type of SBA postage franking privilege.

Legal Services Restrictions

No costs associated (either directly or indirectly) with civil, criminal or administrative litigation are allowable under an award made pursuant to this Announcement. Project funds may be used to pay the cost of non-litigation legal counseling services either to the recipient of this award or project beneficiaries. However, all parties receiving such services must agree in writing to waive any claims of privilege over such services with regard to SBA to the extent necessary for the Agency to perform its monitoring and oversight function.

SBDCs may offer training courses on business law issues, provided that legal topics are presented by individuals qualified by training and experience to address such topics. In furtherance of their educational mission, SBDCs may negotiate arrangements with law schools to offer clients access to supervised student legal clinics that are approved by the state attorney licensing entity. The SBDC must make appropriate disclosures and disclaimers to that effect.

EEO and Disabled Accessibility/Accommodation Requirements

All SBDC services must be provided on a nondiscriminatory basis, and no individual may be excluded from any program because of race, color, religion, sex, age, disability or national origin. Workshops, seminars and conferences must be held in disabled accessible locations. Reasonable accommodation must be made, upon request, for visually and hearing impaired attendees. SBDCs are required to make modifications and accommodations (which do not fundamentally alter the program or activity or entail undue hardship) to enable otherwise qualified disabled individuals to participate. The SBDC network must comply with 13 CFR Parts 112, 113, 117 and 136.

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. The policy must include enforceable elements safeguarding the SBDC program from the actual or apparent conflict that could result from:

Personal gain, remuneration or pecuniary interest in a past or current SBDC client(s).
The solicitation or acceptance of any gift, loan, reward, equity in a business, compensation or other monetary remuneration, promise of future employment.
A compensated recommendation for any goods or services to an SBDC client.
Soliciting or accepting a compensated position for services which are part of the SBDC network services.
Disclosing any private or confidential business or personal information to a third party other than SBA without written consent of the client.

Changes in Points of Communication

The SBDC Lead Center director must notify the SBA district director(s) and the OSBDC within ten days when changes occur in contact information such as physical addresses for lead and Service Centers, telephone numbers, fax numbers, e-mail and website addresses.

Dispute Resolution

Dispute resolution occurs when there is a programmatic or financial disagreement between the recipient organization and the SBA, and the recipient organization requests that the dispute be handled by SBA in a formal manner.

Any dispute arising during the annual negotiation phase of the Cooperative Agreement, or after award of the Cooperative Agreement, shall be resolved in the manner prescribed and within the time frames stated in the SBDC regulations and the Notice of Award (Cooperative Agreement). Every effort shall be made to resolve disputes at the district office level.

When handling such disputes, the AA/OSBDC has specific responsibilities assigned by law. Other responsibilities reside with District Office personnel and SBA headquarters offices. These are outlined in the SBDC regulations, the notice of award, and Agency regulations governing appeals.

Small Business Week

SBDCs are encouraged to promote, support, plan, implement and participate in Small Business Week activities in cooperation and coordination with local and national SBA officials. SBDC Lead Center directors and other SBDC personnel, with their strong links to prominent entrepreneurs and small business advocates in their communities, should nominate individuals for Small Business Week awards. SBDCs are encouraged to submit nominees for the SBDC Service Center of the Year Award.

Selection of a Lead Center SBDC Director

In the case of a Lead Center director vacancy, the recipient organization must notify the SBA district director (DD), regional administrator and OSBDC when a Lead Center director vacancy is going to occur. A new SBDC Lead Center director should be selected as soon as possible; recruitment plans that would call for filling the vacancy in excess of 120 days beyond the director’s departure date must be approved by the OSBDC.

Prerequisite to filling a Lead Center director position, the recipient organization must submit recruitment and selection plans for an SBDC Lead Center director position to the SBA district director (or Lead district director when there is more than one district office) with a copy to the OSBDC program manager for approval of the plan’s adequacy. The recipient organization must take whatever steps are necessary to obtain an adequate and qualified candidate pool for the position, which may include conducting a national search, utilizing distribution services of professional organizations and using the resources of the Association of Small Business Development Centers (ASBDC), etc. However, no SBA employee may participate in any manner in the selection process for any SBDC employees (including lead or Service Center directors). In particular, no SBA employee may participate in a candidate review panel or urge the recipient organization to consider or select a particular candidate.

An interim director must be appointed until a permanent Lead Center director is selected and the DD, the regional administrator and the SBA OSBDC must be notified of such appointment.

The SBA district director (or lead district director) will evaluate the credentials of the selected candidate in order to determine whether that individual meets the requirements necessary for the position as described in this document and either concur or object to the selection. If the district director objects to the selection of the SBDC Lead Center director candidate, he or she must provide a written copy of his/her decision to the recipient organization, the regional administrator, and the AA/OSBDC. That objection must set forth the relevant selection criteria which the district director believes the candidate failed to meet.

Upon receipt of a written objection, the AA/OSBDC shall conduct a fact finding effort with the appropriate parties including the recipient organization, the regional administrator and the district director (or lead district director) to review the reason(s) for the objection.

The AA/OSBDC will make the final determination. If the AA/OSBDC upholds the SBA district director’s (or lead district director) objection, the recipient organization must either select one of the remaining qualified candidates according to the recipient organization’s policies or conduct a new recruitment process for the Lead Center Director position.

In all matters concerning the hiring of a Lead Center director, time is of the essence; all applicable law applies.

Financial Examinations, Program Reviews and Accreditation

As outlined in 15 USC 648(k), biennial program and financial examinations of SBDCs are conducted by the AA/OSBDC or a representative. SBA financial reviews are conducted by professional financial examiners which may either be OSBDC staff or SBA contractors. SBA program reviews are conducted by SBA project officers using criteria developed by SBA/OSBDC.

The level of financial review to be conducted is determined by a risk analysis based upon information received in response to the annual risk assessment package distributed by the ASBDC to all networks that will be reviewed in that annual cycle. SBDCs shall respond to the financial risk assessment by the date indicated. SBA will review these responses and enter the information into the risk assessment tool to determine level of financial review that will be performed during that annual cycle. SBDCs will be notified as to the time and level of financial review following completion of the risk assessment. In the event that responses are not received from SBDCs to the risk assessment package SBA will consider those SBDCs to be high risk and will automatically schedule an on-site visit.

SBA/OSBDC will review all financial examination reports before they are provided to SBDCs.

The following table describes the Financial and Program report delivery process and timeline.

Report Delivery	Financial Review	Program Review
OSBDC receives a copy of the initial report draft	Based upon negotiated contract deliverable date or 30 days after completion of the review if performed by OSBDC staff	10 days after site visit
OSBDC delivers draft report to the SBDC	45 days after completion of review or receipt of draft from contractor	45 days after site visit
SBDC provides comments on draft report to OSBDC	75 days after completion of site visit or receipt of draft from contractor	60 days after site visit
OSBDC issues final report to the SBDC	105 days after completion of site visit or receipt of final report from contractor	75 days after site visit
SBDC develops and delivers remediation plan (as necessary and submits to OSBDC via the SBDC Project Officer	135 days after completion of site visit or receipt from contractor	115 days after site visit

The ASBDC, through a contract with the SBA, operates the SBDC accreditation program. As stated in the Small Business Act, the SBA may not renew or extend a cooperative agreement with an SBDC unless the SBDC has been approved under the accreditation program except when the AA/OSBDC waives the requirement upon a showing that the center is making a good faith effort to obtain certification.

When an SBDC’s review results in a deferral of accreditation, the SBDC must prepare and submit a proposal to obtain accreditation that includes a plan of work describing actions to be taken and a timeframe for overcoming the findings identified in the report to the AA/OSBDC.

If the result of the accreditation review is a recommendation for denial, the AA/OSBDC may waive the accreditation requirement as discussed above or advise the SBDC that the process to select a new host will be initiated and that the SBDC is expected to assist with a smooth transition to the selected host.

Leveraging Resources

SBDC training and/or information materials, developed with SBDC program funds (such as publications, training guides/materials, outline courses, on-line tools, websites, CD ROMs and videos) will be made readily available to SBA for use for other federal purposes. All such materials will provide appropriate credit to the developing SBDC. A plan for sharing such SBDC-generated training and information materials for other federal purposes will be prepared by the SBDC program office in cooperation with the ASBDC and the National SBDC Advisory Board.

Likewise, in order to properly coordinate with SBDCs the SBA shall, through its district offices, make available in advance, all training, marketing, and promotional materials relevant to any business development programs offered and developed by the SBA with its public and private partners, other Federal agencies or programs.

Disaster Operations Plan

Each Lead Center and its Service Centers must have in place disaster plans which are coordinated with the host institution to ensure delivery of services to small businesses in its area of operations. Such plans must be kept on file and available for review by SBA officials. Plans should be reviewed annually by the Center Directors and updated as needed. SBDCs individually, and in cooperation with SBA and other federal agencies as well as state and local entities are encouraged to provide disaster recovery assistance to support impacted small businesses in local economies.

Recipient Organization (Lead Center) Transition Activities

In the event of a recipient organization (SBDC Lead Center) exiting the program, there are a number of procedures which must be undertaken to ensure a smooth transition to a new recipient organization (SBDC Lead Center). These include, but are not limited to:

Taking an inventory of all property bought with program (both federal and match funds) funds including equipment, personal property, supplies, and intellectual property. The inventory should identify each item and describe its funding source (Federal, match), serial number, software installed if computer, acquisition value, current value, date acquired, current location, and current condition.

Arranging for the transfer of supplies and equipment to the new host or SBA as directed.

Arranging for the transfer of clients documents, including counseling and training files.

Preparing for the transfer of electronic records as soon as possible, to enable the new host to begin services immediately after the termination date. Allowance is made for the exiting host to transfer data records prior to the termination date.

Referring clients requesting services to the new SBDC host upon the termination date such as web site and telephone communications.

Reconciling all accounts for program funds (both federal and match) as well as program income.

Consistent with the termination of services, transferring the program income fund balance to the new SBDC host at the end of the program period.

Providing for the submission of final electronic and paper activity and financial reports as required by the Notice of Award.

Providing for the submission of final billing as required in the Notice of Award.

Providing for the participation in SBA closeout reviews including financial documentation.

Equipment

The Recipient must maintain adequate records for equipment purchased with Federal funds, matching funds/claimed as in-kind match and equipment purchased with program income. These records must include an inventory of equipment, shall include a description of the equipment, acquisition date and cost, location and condition of equipment and the unit acquisition cost. The Recipient agrees that use and disposition of such equipment will be in accordance with 2 CFR Part 215 and 13 CFR Part 143. A copy of the equipment inventory must be made available upon request of the SBA.

C. DEFINITIONS

Budget Period

The 12-month period, in which expenditure obligations are incurred by an SBDC network, coinciding with either the calendar year or the federal fiscal year. For the purposes of this announcement, the initial budget period will be from October 1, 2010 to September 30, 2011 for fiscal states/regions and January 1, 2011 to December 31, 2011 for calendar states/regions.

Businesses Created, Number of (Reporting)

As computed by EDMIS, businesses are considered “Created” if, at the previous session (whether in the current fiscal year, or a past one), the client was not “in business,” and at a subsequent session or update (in the fiscal year being reported ) was “in business” (Form 641, Part II, Field 20 and Part III, Field 39).

Capital Infusion

Dollar Amount of SBA Loans
Dollar Amount of non-SBA Loans
Dollar Amount of Equity Capital (to include private investment)

Capital infusion includes all forms of debt and investments from all sources (i.e., lines of credit, consumer debt products used specifically for the business, angel investors, owner’s capital contributions, etc.). Credit lines and other revolving debt facilities/instruments are to be recognized for the full amount of the line of credit when established and not to be based on individual draw-downs.

Reporting Capital Infusion

Capital infusion will be tracked throughout each fiscal year and compiled from year-to-year to collect aggregate data. Capital infusion is the aggregate amount from Form 641, Part III, $ Total Amount of SBA Loans, $ Total Amount of non- SBA loans and $ Amount of Equity Capital Received. Capital infusion shall be reported, client-by-client, once it is known as an update on Form 641, Part III, and uploaded to EDMIS on a quarterly basis.

Contact Hours

The amount of time spent directly counseling/interacting with a business or individual client.

Client

The client is the business, if it exists. In the case of a prospective business, the client is the individual (i.e., nascent entrepreneur or pre-venture) receiving SBDC services. Each client will be counted only once in a fiscal year, and the reporting will include both the number of sessions and the number of hours spent with the client. There are two types of clients:

In-Business:

Completed required registration(s), if applicable, with the local, state, and/or Federal government (e.g., DBA registration, get a business license, agency issued tax identifications, etc.) AND at least one of the following:

Has documented a transaction from the sale of a product or professional or personal service for the purpose of gain or profit;
Has contracted for or compensated an employee(s) or independent contractor(s) to perform essential business functions;
Has acquired debt or equity capital to pursue business operations (e.g., to purchase inventory, equipment, building, business, etc.); or
Has incurred business expenses in the operation of a business.

Start-up: those individuals (entities) who have been in business up to 12 months.

Nascent (Pre-venture) Entrepreneur: those individuals who have taken one or more active steps to form a business, according to the Kauffman Foundation (www.kauffman.org). This includes individuals seeking assistance from SBA and/or one of its resource partners.

Contributions/Donations

Funds received by the SBDC with no conditions and may be used as match or overmatch in the year expended. Federal funds or amounts reported as match may not be used as contributions to others.

Counseling

Services provided to an individual and/or business that are:

a) substantive in nature and require assistance from a resource partner or District Office personnel in the formation, management, financing, and/or operation of a small business enterprise; AND

b) specific to the needs of the business or individual; AND

c) require a signed SBA Form 641 or equivalent form that supports SBA’s management information database.

Counseling is one-on-one, in person (face-to-face), on the telephone or electronic. To allow for reporting of time invested in a client, preparatory time will be tracked separately from contact time but attributed toward counseling time in data reporting. Travel time will not count toward counseling time but will be tracked separately.

Face-to-face Counseling (in person):

Meets the definition of “counseling” and should be no less than one hour initially (can include prep time in this initial calculation) and includes any counseling session thereafter regardless of time.
Reporting Face-to-face Counseling: Each client will be counted once in a fiscal year, with the reporting to include both the number of sessions and the number of hours spent with each. If multiple people participate from one business, only one person will complete SBA Form 641. The counselor will note how many people were there so that the number of people served can be tracked. This will only be collected on the initial SBA Form 641.

On-line Counseling (electronic):

Meets the definition of “counseling” and the recipient of the counseling must acknowledge, through an SBA Form 641 or an SBA approved “electronic substitute,” the requirements imposed by accepting counseling assistance from the SBA or its resource partner(s) AND online counseling should be no less than 30 minutes initially (can include prep time in this initial consultation).
Reporting On-line Counseling:

At a minimum the following fields should be completed on SBA Form 641 or an SBA approved electronic substitute:

#3 – Client Name or approved client-coded name/number

#4 – Email Address

#10 – Zip Code

Telephone Counseling:

Meets the definition of “counseling” and the recipient of the counseling must acknowledge, through an SBA Form 641 or an SBA approved “electronic substitute,” the requirements imposed by accepting counseling assistance from the SBA or its resource partner(s) AND telephone counseling should be no less than 30 minutes initially (can include prep time in this initial consultation).
Reporting Telephone Counseling: At a minimum the following fields should be completed on SBA Form 641 or an SBA approved electronic substitute:

#3 – Client Name or approved client-coded name/number

#5 – Telephone Number

#10 – Zip Code

SBDC Program Only:

Number of Single-year, Long-Term Clients (contact and prep time): Meets the definition of “counseling” and requires 5 or more counseling hours of contact and prep time per individual or business during the fiscal year being reported.

Number of Multi-year, Extended Engagement Clients (contact time only): Meets the definition of “counseling” and requires 5 or more cumulative hours of counseling contact time per individual or business during the fiscal year being reported in combination with any prior year (beginning October 1, 2005).

9. Distance Learning

Distance learning is the process of connecting learners with remote and multiple resources. Such learning uses communication technologies to stimulate continuous and lifelong learning. The technologies used include video, audio, computer, satellite, audio-graphic and print technologies.

10. Electronic Commerce (eCommerce)

Electronic commerce refers to all aspects of business and market processes enabled by the Internet and other digital technologies.

11. Equity Capital

Equity contributions to the business as reported on Form 641, Part III. Includes all funding (except loans) obtained by clients attributed to SBDC assistance including: grants, SBIR awards, equity investments (private and owner), etc.

12. Goals and Initiatives

Goals cover several years and are established by the SBA Administrator or negotiated between the SBA district office and the SBDC. SBDCs also have goals with their local funding partners. Initiatives are shorter term issues of interest or may include populations designated by SBA for special emphasis.

13. Grants Management Officer (GMO):

The SBA official with delegated authority to obligate federal funds by signing the Notice of Award.

14. In Business

See also definition of Client on page 50.

15. In-Kind

A non-cash match contribution based on the value of goods and services that are provided to the project, which may include office equipment and office space.

16. Key Personnel

Key personnel include Lead Center and Service Center directors or managers. It should also include key personnel for technology (at SBTDCs), designated International Trade personnel and contact designated to maintain PIMS information. It does not include trainers, consultants, counselors or support staff.

17. Loan Package

A collection of documents required by a lender used to make a business loan approval decision. It usually includes a business plan plus personal financial records such as tax returns and net worth statements. It stipulates the amount of money needed proposed, use of loan proceeds and evidence that the business can repay the loans on time. It usually includes personal (not business) guarantees of repayment and a listing of collateral – business or personal assets that can be used as security for the loan and may be liquidated by the lender to pay back the loan in case the business defaults on repayment.

18. Mentor-Protégé Roundtables

Mentor-protégé roundtables link more experienced businesses over a significant time, with less experienced businesses or nascent entrepreneurs (pre-venture). The participants usually meet on a regular basis, either one-on-one or in a group setting. The SBA and/or its resource partners provide the staff time and forge the partnerships necessary to pair mentors and protégés. The counselors’ time should be allocated equally to attending clients.

19. Nascent Entrepreneur (Pre-Venture)

An individual who has taken one or more active steps to form a business. An individual who seeks assistance from SBA and/or one of its resource partners meets this definition. SBA’s Office of Entrepreneurial Development (OED) includes nascent entrepreneur (pre-venture) as one of its three major market segments: nascent entrepreneur (pre-venture), start-up (individuals who have been in business up to twelve months), and, existing businesses, (businesses in operation more than one year and classified as small by the SBA). See Client.

20. Non-Debt Financing (See Equity Capital)

21. Pre-business Workshop

A training program designed for individuals interested in owning and managing a small business or small business owners who have been in operation up to 12 months. The purpose is to provide a comprehensive introduction to the fundamentals of starting and managing a small business.

22. Prep Time

The amount of time spent preparing and researching information for a business or individual client. To allow for reporting of time invested in a client, preparatory time will be tracked separately from contact time but attributed toward counseling time in data reporting.

23. Program Funds

Includes all SBA/SBDC federal funds, all cash match expenditures, non-cash contributions, and program income. It does not include other funds under the SBDC umbrella.

24. Program Income

Gross income earned by the recipient that is directly generated by an activity supported with project funds or earned as a result of the award. Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally-funded projects, the sale of commodities or items fabricated under an award and license fees and royalties on patents and copyrights. Interest earned on advances of federal funds is not program income. Program income must be used to further eligible SBDC program objectives and expended in accordance with SBDC program requirements and applicable OMB Circulars.

The definition for program income is contained in the SBDC Notice of Award and applies to all SBDC Lead Centers and Service Centers whether academic or state-based.

25. Recipient Organization

An applicant organization for which funding is approved and which enters into a Cooperative Agreement with SBA. The recipient organization receives the federal funds and is responsible for establishing the SBDC network Lead Center.

26. Reporting Cycle

The reporting cycle for performance data is based on the Federal Government’s fiscal year. Data must be reported to SBA based on the four quarters that occur during October 1 – September 30.

27. Satellite Service Center

A geographic point of service delivery where the SBDC sub-recipient is responsible for the lease and/or overhead.

28. SBDC Network/SBDC Program

The combination of the Lead Center, SBDC Service Centers and satellite locations.

29. SBA Resource Partners

Organizations that provide services through SBA funding or through another recognized relationship with SBA. Resource partners include SBDCs, Service Corps of Retired Executives (SCORE), Veterans Business Outreach Centers (VBOCs), Women’s Business Centers (WBCs), U.S. Export Assistance Centers (USEACs), the SBA MicroLoan Program microlenders and non-lender technical assistance providers and SBA Co-sponsorship and Memorandum of Understanding partners.

30. SBDC Service Center

An entity authorized by the Lead Center to perform SBDC counseling and training services. There is no direct relationship between a Service Center and the SBA. Lead Centers are encouraged to include Historically Black Colleges and Universities (HBCUs), faith-based and Hispanic Serving Institutions as Service Centers in their networks.

31. Special Emphasis Groups

Groups whose members are underrepresented in the population of business owners compared to their representation in the overall population. Special Emphasis Groups may include: disabled individuals, Native Americans or Alaska Natives, Black or African Americans, Asian Americans, Native Hawaiians or other Pacific Islanders, Hispanics, women, veterans, service connected-disabled veterans, self-employed Reserve and Guard members, transitioning military personnel and spouses, individuals in rural areas, individuals in HUBZones and individuals in low to moderate income urban and rural areas as determined by Census Bureau information, among others. This can vary from SBDC to SBDC depending upon location and demographics.

32. Start-Up Business

A business entity that has been in business up to 12 months. See also definition for Client.

33. Training (Including long-term training)

An SBDC training workshop or seminar is defined as an activity or event presented or cosponsored by a resource partner, district office or other SBA office or a third party which delivers a structured program of knowledge, information or experience on a business-related subject. The training must last for a minimum of one hour and include two or more clients in attendance.

Reporting Training: The SBA Form 888 is used to collect and report information on traditional classroom-style training. There must be two or more persons in attendance. The agenda and/or program content, attendee list, and evaluations are required for each training event. Records for these training events must be kept at the resource partner location and available for site review.

On-line training (or webinars): is a structured program of knowledge, information or experience on an entrepreneurial or business-related subject. It must be of a quality and substantive nature, and include a registration process as well as an evaluation process (e.g. 1-5 star ranking). Online training can be synchronous or asynchronous. The training must be for a minimum of 30 minutes and a course evaluation must be made available, e.g., a resource partner provides a registration and link to the training; it can count as on-line training (note: must meet other criteria listed above).

Synchronous: A group of clients proceed through the training module(s) or program as a group.

Asynchronous: A client individually proceeds through the training module(s) or program individually and is self-paced.

Reporting On-line Training: An SBA Form 888 is required for all online training events. There must be one or more clients participating in the online training. At a minimum, the following fields should be completed on a registration form for on-line training:

Client Name or approved client-coded name/number
Email Address
Zip Code

In addition, every attempt should be made to collect these data:

Race
Ethnicity
Gender
Disability
Veteran Status
Military Status

Client registration records and other course information must be retained and made available for review.

e.g. If the resource partner holds an online training session with five satellite events with individual sign-ins, facilitators, etc., they should count as five different training sessions, as each meets the definition of “online training.”

Co-hosted Training (Collaborative)

Meets the definition of “training” and is further defined as an activity where each host organization actively participates and contributes substantially to the training.

Reporting Co-Hosted Training: When reporting training numbers for a co-hosted training, the hosts must work together to determine how to equitably divide the number of clients among themselves. Double counting of clients is not permitted.

Examples involving multiple resource partners contributing to a single training event:

If each resource partner contributes a significant amount of presentation time (defined as one hour or more per partner), then each host could count all attendees. Accordingly, if five partners co-hosted a training event with five hours of total presentation time (each partner delivering training for at least one hour) and fifteen persons attended the event, each partner could count fifteen persons trained for one hour each.

If each partner puts in less than one hour (per partner) of presentation time, the attendee count would be divided among the hosts based on mutual agreement. Accordingly, if five partners co-hosted a training event with 1.5 hours of total presentation time (each partner delivering training for less than one hour) and fifteen persons attended the event, the partners would negotiate how to divide the number of attendees (e.g., each partner could count three persons trained for 1.5 hours).

Reporting Training with Multiple Sessions: Each session of a multiple-session training program or course may be counted as an individual course on SBA Form 888. Sessions must correspond with the minimum training duration identified in the definitions listed above.

34. Training Hours (Total Number of Training Hours)

Total hours of training are the number of hours that the trainer spends teaching the training session.

35. Travel Time

The amount of time spent traveling to/from a location (separate from assigned post-of-duty) to meet with business or individual clients. If meeting with more than one client, travel time is only counted once. Travel time will not count toward counseling time, but will be tracked separately.

D. GUIDELINES

Business Matchmaking

SBDC’s are encouraged to participate in SBA Business Matchmaking events. Business Matchmaking provides a means for small businesses to be matched with procurement representatives from government agencies and major corporations with actual contract opportunities. Business Matchmaking is offered at no cost to its participant - buyers or sellers. The events combine education and counseling by pairing expert small business advisors and topical experts with networking and matchmaking through face-to-face events. In addition to the face-to-face events, there is also the Business Matchmaking On-line Network.

Faith-Based & Neighborhood Partnerships

SBDC’s are encouraged to coordinate activities through either a contractual or partnership relationship with faith-based and other neighborhood organizations. SBDC’s are also encouraged to coordinate their efforts with SBA’s Faith-Based and Neighborhood Partnership initiatives designed to open Government programs to these organizations to improve their communities. There are no grant funding set-asides for faith-based organizations. Instead, the Faith-Based and Neighborhood Partnership creates a level playing field for faith-based as well as other neighborhood organizations to work with the government to meet the needs of America’s communities.

Lead Centers should be aware that many sectarian colleges and universities are eligible to participate in the SBDC program. In assembling and maintaining their statewide/region-wide SBDC networks, Lead Centers should be mindful of not imposing any unnecessary conditions which could prohibit or discourage otherwise eligible faith-based or other neighborhood organizations from seeking to act as Service Centers. If a Lead Center has any question regarding particular entity's eligibility to function as a Service Center, it should contact SBA for further assistance.

Counseling

SBDCs must provide counseling to both current and nascent entrepreneurs (pre-venture). An SBDC’s counseling clients should be reflective of its area's demographics. SBDCs must assist small businesses in solving problems concerning operations, manufacturing, engineering, technology exchange and development, personnel administration, marketing, sales, merchandising, finance, accounting, business strategy development and other disciplines required for small business growth and expansion, innovation, increased productivity, management improvement, and maintaining the industrial base. Fees for counseling may not be charged.

Co-sponsorship Agreement

If one or more organizations and the SBA is involved with an SBDC as co-sponsors, a Co-sponsorship Agreement must be executed by SBA, the SBDC, and all co-sponsors of an activity in accordance with SBA’s Co-sponsorship SOP 90 75 3 or revised equivalent.

On-line Counseling

In order to count counseling toward the SBDC’s goals, the counseling must be substantive and must meet all of elements of the definition of face-to-face counseling excluding in-person contact. To receive credit for 30 minutes of counseling, the counselor must spend at least 30 minutes researching and formulating the response. This can include several electronic questions and responses that cumulatively add up to 30 minutes.

SBA Form 641 or an equivalent form that supports SBA’s management information database may be completed electronically by the client In states that accept electronic signatures, it may contain an electronic signature. In states that do not accept electronic signatures, the form must have an original signature.

Environmental Assistance

Environmental assistance includes any activity that encourages, supports and enables small businesses to develop, market and/or adopt environmental technologies (including pollution prevention) to achieve economic growth and environmental compliance. SBDCs are encouraged to consult with appropriate state and/or local providers of environmental technical assistance programs.

Financial Assistance

SBDCs should work with their SBA district offices to provide services that increase a small business' access to capital. SBDCs are encouraged to develop linkages with lenders, Small Business Investment Companies (SBICs), venture capital firms, Certified Development Companies (CDCs), SBA microlending intermediaries and state and local finance programs.

SBDCs will assist small businesses with business plan development, financial statement preparation and analysis, cash flow preparation and analysis, source and application of funds. In addition, SBDCs, in cooperation with SBA district offices, are expected to offer service to new SBA clients and to assist delinquent SBA borrowers who are referred to them by SBA and/or lenders to assist in problem solving, business restructuring, cost analysis, market penetration and other similar subjects.

Financial Packaging Assistance Guidelines

SBDCs are encouraged to provide counseling services that increase a small business concern’s access to capital, such as business plan development, financial statement preparation and analysis and cash flow preparation and analysis.

SBDCs should help prepare their clients to represent themselves to lending institutions. While SBDCs may attend meetings with lenders to assist clients in preparing financial packages, they may not take a direct role in representing clients in loan negotiations.

SBDCs should inform their clients that counseling assistance or financial packaging assistance does not guarantee receipt of a loan.

Financial Assistance Restrictions

SBDCs cannot make loans, service loans or make credit decisions regarding the award of loans.

The SBDCs must not take a direct role in representing clients in loan negotiations. They should, however, help prepare their clients to represent themselves to lending institutions and may attend meetings with lenders to assist clients in preparing financial packages.

SBDCs must not advocate, recommend approval or otherwise attempt in any manner to influence SBA to provide financial assistance to any of its clients. SBDCs may not charge fees for providing assistance for financial packaging. (Note: Providing any preferential treatment to clients of any specific lender is prohibited, as is the SBDC’s acceptance of payment for the provision of counseling services.)

International Trade Services

SBDCs will provide international trade finance and market development assistance to small businesses throughout the SBDC network. Where appropriate and to the extent possible, SBDCs will offer special programs. SBDCs will provide international trade assistance by establishing a separate center at one location, or through selected service locations within the SBDC network, to be designated the title of “International Trade Center,” depending on the needs of the small business community and the organizational structure of the SBDC. A list of these centers/locations shall be included with the proposal. Such international trade services will be conducted in conjunction with the SBA representative at the local U.S. Export Assistance Center.

International Trade Center (ITC)

International Trade Centers (ITCs) are specialty centers within the SBDC network dedicated specifically to providing international trade services. Where appropriate, SBDCs will establish ITCs to focus on export assistance to small businesses. ITCs must have a separately designated and full-time Director and qualified professional staff. They must have a separate budget within the SBDC and there must be separate international trade related counseling and training milestones established in the SBDC Cooperative Agreement. Separate brochures marketing the SBDC’s international services must be developed and distributed.

The ITC will coordinate and use public and private resources to provide assistance to small businesses, and particularly to those small businesses new to exporting, or with export finance packaging needs.

ITCs will provide a broad range of services as appropriate and needed by the small business community, including the following:

Assist SBA by supporting Export Assistance Centers sponsored by SBA, the Department of Commerce, the Export-Import Bank, and other federal agencies.

Assess client's export‑related financing needs and assist clients in structuring and compiling necessary documentation, (i.e., business plan development, financial statement and analysis, cash flow preparation and analysis, source and application of funds, letters of credit, etc.) for export financing, and particularly for SBA's Export Working Capital Program.

Develop linkages with local lenders, SBA District Export Finance Officers, Ex-Im Bank personnel and U. S. Export Assistance Center personnel.

In cooperation with SBA, develop an Export Trade Assistance Partnership (E-TAP) program on an annual basis for new exporters. Create an E-TAP Task Force for its development and cooperation with other appropriate private and public sector partners to provide counseling and training for this program.

Develop and conduct seminars on opportunities and procedures involved in exporting, export finance, joint ventures, licensing, ISO 9000 and other International Standards Registration, metric conversion and so forth.

Identify and analyze client's international trade needs, capabilities and problems, and provide in-depth counseling in international trade techniques, procedures and opportunities.

Use services available through the Federal Bar Association/SBA Agreement to assist in the resolution of client's international trade/legal problems, the Export Legal Assistance Network (E-LAN).

Assist SBA in promoting and recruiting participants for SBA cosponsored events including those with the Department of Commerce, the Overseas Private Investment Corporation, the Agency for International Development and the Export-Import Bank.

Assist SBA in disseminating information on trade promotion, trade finance, trade adjustment and trade remedy assistance.

Manufacturing Assistance

Many SBDCs partner with the Department of Commerce, National Institute of Standards and Technology’s Manufacturing Extension Partnerships (MEPs) to provide specialized services to small manufacturers. Through this partnership, a small manufacturer can receive business management assistance from the SBDC and engineering assistance from the MEPs. Most SBDCs and MEPs view the partnership as significant.

All SBDCs that are partnering with the NIST MEPs are encouraged to continue this valuable assistance to small business manufacturers. SBDCs without a working partnership with the NIST MEPs may wish to pursue one. The nature of any participation with MEPs must be reported in the semiannual and annual reports to SBA.

Military Base Closings and Reductions-in-Force

In those states where base closing or realignments have occurred or will occur, the SBDC must provide a full range of business development and technical assistance services in the affected areas. These services should be specifically designed to meet the particular small business needs that arise as these closings and realignments occur, including services specifically targeted toward existing and former military personnel.

Minority Enterprise Development

SBDCs should work with their SBA district offices to provide training and counseling to firms in all stages of participation in the 8(a) Program. Each SBDC must make all of its economic development and technical assistance services available to 8(a) firms in all stages, other minority business owners and prospective minority business owners. SBDCs are encouraged to make special efforts to assist SBA’s Minority Enterprise Development 8(a) Program. These efforts include community-based seminars and workshops concerning the SBA’s 8(a) Program application process.

SBDCs should inform their 8(a) clients that counseling assistance does not guarantee receipt of a contract.

Native American Assistance

Each SBDC must make its economic development and technical assistance services available to Native Americans. Local initiatives for Native Americans shall be supported when appropriate, and to the extent possible, by the appropriate SBDC where it is determined that this assistance is needed. Where appropriate, SBDCs shall provide support to initiatives of SBA’s Office of Native American Affairs (ONAA).

Procurement Assistance

SBDCs are encouraged to provide services that provide basic information needed by small business concerns interested in procurement opportunities in the Government arena. These services should include, but not be limited to:

Providing information on Government buying methods.

Identifying the role of SBA Area Directors for Government Contracting located in SBA field offices and Procurement Center Representatives (PCRs) located at Federal Government purchasing activities.

Educating small businesses about the Federal government's move toward doing business by Electronic Data Interchange, marketing techniques and placement on agency bidders' lists.

Assisting with the preparation of bids and proposals.

Identifying subcontracting opportunities.

Providing counseling and referral information concerning bidders' rights and obligations, appeal procedures, termination and default actions, and size criteria (business advice, not legal advice).

Providing assistance on contractual, financial and contract administration issues.

Developing and/or maintaining computerized systems that identify federal, state and local procurement opportunities.

Assisting eligible small business firms to complete and submit of the HUBZONE Empowerment Contracting Program electronic application.

Working cooperatively with the Procurement Technical Assistance (PTAC) program.

Rural Development

SBDC applicants must make a full range of business development and technical assistance services available to small businesses located in rural areas. These services will be designed to increase rural small business participation in exporting, government procurement, tourism, access to credit, incubators, innovation and technology and other small business programs.

SBDC Lead Center Director

The SBDC Lead Center director must be a full-time (100%) senior manager who shall direct and monitor the program activities and financial affairs of the SBDC network to deliver effective services to the small business community, ensure the SBDC's compliance with applicable laws, regulations, OMB circulars and Executive Orders as well as implement the Cooperative Agreement. For these purposes, full-time is defined as 100% of time allocated between this grant and other grants that provide management and technical assistance to small businesses. These would include technical assistance programs that the center may be conducting to fully utilize the resources of other federal, state, and local government, academic and private sector programs concerned with aiding small businesses in order to provide seamless but not duplicate business development assistance. Of that, at least 75% of the SBDC Lead Center director’s time must be dedicated to the functions of the SBA SBDC cooperative agreement. The SBDC State Director has the responsibility for negotiating the annual Cooperative Agreement with SBA, keeping in mind that national, state and local needs are to be addressed. The Director has authority to control expenditures under the Lead Center’s budget. Once an SBDC receives its approved budget and program funding from SBA, the SBDC Lead Center Director must have full authority to manage and implement the budget without restrictions from the host entity. SBDC State Directors may manage other programs in addition to the SBDC program if the programs serve small businesses and do not duplicate the services provided by the SBDC network. However, Directors may not receive additional compensation for managing these programs. The SBDC State Director shall serve as the principal contact point for all matters involving the SBDC network.

SBTDC Designation

An SBDC seeking designation as a Small Business and Technology Development Center (SBTDC) must submit an application for such designation to the Accreditation Committee of the ASBDC. Each applicant will be expected to fully address the strategic role to be played in its state, the programs and services to be offered, and the resources committed to technology-related management and technical assistance. Upon completion of its review of each application, the ASBDC will forward the applications along with its comments to the AA/OSBDCs for approval or disapproval. SBDC Lead Centers, as appropriate, should pursue a technology designation to provide a higher level of technology services to their clients and include a plan for achieving this as part of the application narrative.

SBDC Program Organization and Terminology

The specific identification “Small Business Development Center” or “Small Business and Technology Development Center” shall be a part of the name of every SBDC organization within the SBDC network. [Note: Existing Alabama and Nebraska SBDCs are exempt from this requirement.] No other name designations or variations will be accepted. SBDCs will have two years from promulgation of revised SBDC regulations (currently in progress) in which to make a necessary name change. An SBDC proposing to use the identification “Small Business and Technology Development Center” must follow the procedures set forth in Section VII, Guidelines, and have the advance written approval of the AA/OSBDCs. The state SBDC organization is referred to as the “Lead” SBDC which manages and administers the statewide/region-wide comprehensive small business assistance network, consisting of the Lead Center and its Service Centers. This network is part of the national SBDC program network. The Cooperative Agreement dictates the terms of agreement between the SBA and the Lead Center recipient organization.

Surety Bond Guarantee Assistance

SBDCs are encouraged to educate their resources and small business contractors about the Surety Bond Guarantee (SBG) Program. This includes making available program information at counseling and training sessions and at business, professional and trade association meetings. SBDCs should develop an outreach program and actively promote the SBG program to special emphasis contractors. SBDCs should refer small business contractors to the SBG specialist in one of the two SBG Area Offices (Denver and Seattle) for detailed information about the program. The Office of Surety Guarantees in SBA Headquarters will provide a power point presentation for this purpose. An SBDC should contact (202)205-6540. The SBA OSG website is located at: http://www.sba.gov/aboutsba/sbaprograms/osg/index.html

Many contractors are able to leave the program and obtain bonding on their own while others remain in the program for several years. One reason small contractors continue in the program is that they lack management expertise and have ongoing cash flow problems. SBDCs are encouraged to work with the SBG specialist in the appropriate Area Office to identify such contractors and give them the needed business management assistance. Among other areas, this may include business plan development, cash flow preparation and analysis, bid preparation, marketing and financial statement preparation and analysis.

Technical Assistance for research and innovation

The Lead Center must make technical assistance for research and innovation available, directly or through other relationships, to small businesses including, but not limited to: new product development; assisting inventors and high technology firms to research, develop and market their ideas and inventions; assisting non-technological firms to gain access to existing technologies; SBIR‑related assistance; and facilitating the transfer of technology and technical data from federal and university laboratories.

Training

Applicants will provide quality training designed to improve the skills and knowledge of existing and prospective small business owners/managers throughout the SBDC network. Where appropriate, SBDCs are encouraged to utilize educational technology such as computer‑based instruction, distance learning initiatives, video tapes and other electronic mediums to enhance the distribution and quality of educational services.

Training generated by SBDCs must be coordinated with the SBA project officer to avoid duplication with training efforts offered by other local organizations and SBA. In addition, all training materials developed in an electronic format shall be made available to the SBA SBDC project officer, SBDC Clearinghouse and all SBA resources. SBDCs may charge reasonable fees to cover program costs associated with this training. These fees are considered program income and shall be used to expand services and further SBDC program objectives.

An SBDC training workshop or seminar is defined as an activity or event in which a counselor from a resource partner, District Office personnel or a third party actively delivers a structured program of knowledge, information or experience on a business-related subject. There must be two or more attendees. A training course must last a total of an hour or more to be counted as training. For courses with multiple sessions each session may count as one course. An agenda, attendee list and evaluation must be kept in the file. The SBDC must use SBA Form 888 to document and report SBDC training activities. SBA’s management information system collects both the number of sessions and hours for the course.

SBDC Co-hosted Training

SBDCs are encouraged to enter into co-hosted training arrangements with the private sector and other organizations to extend outreach and productivity. (Cooperation between members of the SBDC network; i.e., Lead Center with Service Centers or other organizations funded through the Cooperative Agreement with SBA is not considered a co-hosting.)

In order for an SBDC to receive credit for a co-hosted training event, it must actively participate (i.e., provide speakers, materials, publicity) with the organization assuming primary responsibility for financing the training session. Final responsibility for the quality of the training rests with the SBDC. When reporting training numbers for a training session co-hosted by the SBDC and another SBA resource partner (e.g., WBC, SCORE) and the training session is of such duration that each partner is training for less than one hour each, the partners must work together to determine how to equitably divide the number of clients among themselves. No double counting is permitted so the number that the partners report must equal the total number of attendees at the event. However, in the case where there are breakout sessions lasting one hour or more given individually by the resource partners, then each resource partner can count any attendees participating in their breakout sessions as long as there is a sign-in sheet, an evaluation, and an SBA Form 888 is prepared. Where the training is of such duration that its length is equal to or more hours than the number of ED partners co-hosting the event (i.e., one hour per partner), all partners can report the full number of attendees for the training.

For all co-hosted training among ED resource partners where there will be a distribution of receipts in whole or in part to the co-host, the training file for the activity must document clearly the role and responsibility of the SBDC and each participant receiving a share of the receipts. How the receipts were distributed must also be documented in the training file.

SBDCs are reminded that income received by the SBDC network for all co-hosted programs cannot be used for match funding and should be used to further support the SBDC.

Veteran and Service-Connected Disabled Veteran Business Ownership

Each SBDC will make available all of its economic development and technical assistance services to veterans, including service-connected disabled veterans and their immediate families as well as Reservists and National Guard members called to active duty. Both national and local initiatives for veterans shall be supported by the appropriate SBDC as needed. Each SBDC network will establish a minimum of one Veteran Entrepreneurial Training (VET) Program for veterans, service-connected disabled veterans, Reservists and National Guard members as well as active duty military personnel who are pending discharge. The program may include feasibility and marketing studies, preparation of business plans and loan packages including Patriot Express and formation of support groups to provide follow-up and encouragement to participants.

The SBDC may be requested by SBA to provide specific training and counseling with respect to business opportunities or government contracting, in connection with a local base closing.

SBDCs should contact their state National Guard Adjutant General and all units of the Military Reserves to identify Reservists and National Guard members who are operators of small businesses; are otherwise self-employed, or are essential employees in small businesses, and who have been or may be mobilized pursuant to Title 10 U.S.C. for active duty. SBDCs should offer and provide business interruption counseling and training as needed to minimize adverse financial and operational problems. Such counseling could include, but is not limited to the offering advice on the best feasible means of winding up of business operations and the utilization of federal and state laws, (including the Soldiers and Sailors Civil Relief Act), enacted to protect small business persons who are subject to mobilization to active duty. Additionally, business assistance for self employed Reserve and National Guard members following their release from active duty will be critical to mitigate expenses, secure legal assistance, engage in significant marketing efforts and otherwise minimize the negative effects of the member’s mobilization on their small business or practice.

Each SBDC will undertake an initiative to identify veterans on its staff. Each SBDC should also encourage development of a veterans’ business network and perhaps convene a local summit for veteran business owners and service-connected disabled veterans business owners as well as Reservists and National Guard members who are subject to be called to active duty. Each SBDC will contact its local VA regional office and link its veterans’ business network to VA Vocational Rehabilitation Counselors.

Additionally, each SBDC should endeavor to raise the level of awareness to its audiences at small business seminars, conferences and outreach Program Announcements about the needs of veterans and service-connected disabled veterans. SBDCs also should strive to develop close working relationships with their respective State Department of Veterans Affairs to explore collaborative outreach and referrals.

Pursuant to the Military Reservist and Veteran Small Business Reauthorization and Opportunity Act of 2010, SBDCs shall, as part of the SBA’s Outreach and Technical Assistance Program, market and provide technical assistance for SBA’s Military Reservist Economic Injury Disaster Loan program including website linkages to assistance programs offered by SBA, the Department of Veterans Affairs and the Department of Defense.

Women's Business Ownership

Each SBDC will make available all of its economic development and technical assistance services to women business owners and prospective women business owners. Both national and local initiatives for women business ownership shall be supported by the appropriate SBDC where it is determined that this assistance is needed. Further, SBDCs will provide support for, coordination with, and referrals to the Women’s Business Centers (WBCs). The SBDCs should develop training programs to help women prepare for the global marketplace.

26. Yellow Ribbon Reintegration Program

Pursuant to PL 110-181, passed January 28, 2008 – The Secretary of Defense initiated the Yellow Ribbon Reintegration Program which provides information, services, referral, and proactive outreach programs to National Guard and Reserve members and their families with sufficient information, services, referral, and proactive outreach opportunities through the 4 phases of the deployment cycle:

(1) Pre-Deployment.

(2) Deployment.

(3) Demobilization.

(4) Post-Deployment-Reconstitution.

The goal of the Yellow Ribbon Reintegration Program is to prepare Soldiers and Families for mobilization, sustain Families during mobilization, and reintegrate Soldiers with their Families, communities, and employers upon redeployment or REFRAD.

Relevant portions of the “Act” are:

(h) Outreach Services- As part of the Yellow Ribbon Reintegration Program, the Office for Reintegration Programs may develop programs of outreach to members of the Armed Forces and their family members to educate such members and their family members about the assistance and services available to them under the Yellow Ribbon Reintegration Program. Such assistance and services may include the following:

(6) Financial counseling.

(9) Employment assistance.

More information is available at https://www.arfp.org/yellowribbon.

Regional Innovation Clusters

The Interagency Regional Innovation Clusters Taskforce (the “Taskforce”) has been charged with developing a replicable and sustainable model for coordinated federal and regional efforts that foster and use regional innovation clusters to develop and demonstrate sustainable and efficient models for attaining national strategic objectives; create and retain Good Jobs (defined below); eliminate gaps between the supply and demand for workers in specialized fields through training and education; increase regional gross domestic product (GDP); promote innovation in science and technology; and enhance the economic, technological, and commercial competitiveness of the United States on the global stage. SBDCs should participate where practical.

FCC Broadband Plan

For information on the FCC broadband plan click The National Broadband Plan: Connecting America or enter http://www.broadband.gov/ in your browser.

E. ON-LINE COUNSELING SERVICES

Self Assessment of Web-Based Activities

It is required that the applicant conduct the following web-based assessment as part of this funding application.

Attached below is SBA’s description of Levels of Web-based technology service delivery and the scoring range for each level. SBA expects its resource partners, including SBDC Networks, to be at a level III or IV.

SBDC SELF-ASSESSMENT OF WEB-BASED ACTIVITIES
	Indicate One	Scoring	Self-Score


1. Is our SBDC accessible to clients via the Internet?
	a. Yes	10
	b. No	0

2. Can clients obtain current information about upcoming events, training, business opportunities, etc. from our SBDC website?
	a. Yes	10
	b. No	0

3. Is our SBDC website updated monthly to reflect current information and offerings so that the information clients obtain is accurate?
	a. Yes	10
	b. No	0

4. Can clients access SBA’s home page via a link from our SBDC website?
	a. Yes	10
	b. No	0

5. As an enhancement to our technical assistance, can clients directly access specific SBA program areas on the SBA Home Page via a link from our SBDC website? (Procurement, SBIR, International Trade, etc.)
	a. Yes	10
	b. No	0

6. Can clients communicate with our SBDC via an automatic e-mail link?
	a. Yes	10
	b. No	0

7. On our website, can clients:
a) Download forms and other templates?
	i) Yes	8
	ii) No	0
b) Complete and submit forms and other templates?
	i) Yes	6
	ii) No	0
c) Access a library of business and management resource materials?
	i) Yes	8
	ii) No	0
d) Access information via search or query mechanisms?
	i) Yes	8
	ii) No	0
e) Receive services via audio or video streaming?
	i) Yes	4
	ii) No	0

8. Can clients register and schedule counseling through an automated Internet system?
	a. Yes	8
	b. No	0

9. Can clients access an automated needs assessment tool, online diagnostic or expert system to identify the type and level of service required?
	a. Yes	4
	b. No	0

10. Does this automated needs assessment tool or online diagnostic automatically refer the client to the targeted level of service?
	a. Yes	4
	b. No	0

11. Can clients obtain assistance from a counselor via:
a. Online and real-time chat?
	i. Yes	6
	ii. No	0
b. E-mail?
	i. Yes	8
	ii. No	0

12. What percentage of our clients are initially counseled on-line?
	a. None	0
	b. 1 - 9%	6
	c. 10% or more	4

13. What percentage of all counseling hours take place online?
	a. None	0
	b. 1 - 15%	8
	c. 16% plus	6

14. Can clients register and schedule training through an automated Internet system?
	a. Yes	8
	b. No	0

15. Does our website provide client access to on-line training programs offered by other entities (other SBDCs, university sites, etc.)?
	a. Yes	8
	b. No	0

16. What percentage of training courses reported to SBA can clients obtain on-line, e.g., webinars, self-paced courses, instructor-led courses, shared or cooperative arrangements with other SBDCs or other entities?
	a. None	0
	b. 1 - 9%	6
	c. 10% or more	4

17. What percentage of the training attendees registered for our on-line training?
	a. None	0
	b. 1 - 9%	6
	c. 10% or more	4
TOTAL
Current Level of Web-Based Service Delivery

Levels of Web-Based Technology Service Delivery

Level I (Range of 1-60 points):

Has a website providing access 24/7
Website contains information about upcoming events, training, business opportunities, etc.
Provides a link to the SBA Home Page
Provides links to specific areas of the SBA website
Maintains and updates website on a monthly basis to ensure accuracy
Website provides direct e-mail access to an SBDC recipient

Level II (Range of 61-124 points):

Website has capacity for clients to download forms and other templates
Website provides accessibility to a library of business and management resource materials
Website has search and query capabilities
Website has an automated system for registering for and scheduling counseling
Website has an automated system for registering for and scheduling training
Website can accommodate communication between clients and counselors via e-mail
Website provides linkages to online training programs offered by other entities
From 1-15% of counseling hours take place online

Level III (Range of 125-152 points):

Clients can complete and submit business and other templates online (forms, business plans, financial statements, etc.)
Website can accommodate communication between clients and counselors via an online, real time chat capability
1-9% of training courses reported to SBA is available online, e.g. webinars, self-paced courses, instructor-led courses
1-9% of total counseled clients originated with an online initial counseling session
16% or more of counseling hours takes place online
1-9% of the training clients reported to SBA registered for online training

Level IV (Range of 153-158 points):

10% or more of total counseled clients originated with an online initial counseling session
10% or more of training courses reported to SBA is available online, e.g., webinars, self-paced courses, instructor-led courses
10% or more of the training clients reported to SBA registered for online training
Website has an automated needs assessment, diagnostic tool or expert system that identifies type and level of service required
Website has an automated needs assessment, diagnostic tool or expert system that identifies type and level of service required and refers client to targeted level of service
Website delivers services via audio or video streaming

File Type	application/vnd.openxmlformats-officedocument.wordprocessingml.document
File Title	SMALL BUSINESS DEVELOPMENT CENTER
Author	Staci & Doug
File Modified	0000-00-00
File Created	2021-01-23

Federal Cash Transaction Report, Financial Status Report, Program Income Report, Narrative Program Report