SSBCI Application

State Small Business Credit Initiative Application		9 – Compliance and Oversight
Applicant Name		Program Name

Please use pages 2 through 6 to describe the staff compliance and oversight.

Staff Compliance and Oversight: Describe what reporting mechanisms, audits, or other internal controls and compliance activities (a) the applicant has in place or (b) need to be implemented to enable the applicant to conduct oversight and meet annual and quarterly reporting requirements for the proposed program(s). Please include information for all proposed programs. In addition, explain the steps you will take to promote a fair, competitive, and open selection and contracting process. These steps could include application and enforcement of the jurisdiction’s existing procurement and ethics policies, as well as new measures that your jurisdiction chooses to implement specifically for the SSBCI program. Examples of such policies to include limitation or disclosure of political contributions to the jurisdiction’s officials with authority to select SSBCI contractors; reporting requirements for lobbying activity, including lobbying related to the SSBCI contractor selection process or program implementation; or request-for-proposal policies to govern the process for evaluating bids for SSBCI-related contracts. Please provide your narrative on pages 2-6.

Refer to the SSBCI Capital Program Policy Guidelines, Section VI. Approving States for Participation, subsection c. Contractual Arrangements – 12 U.S.C. § 5703(c); Section VII. Approving State CAPs, subsection f. Loan Purpose Requirements and Prohibitions – 12 U.S.C. § 5704(e)(7); Section VIII. Approving State OCSPs, subsection f. Loan/Investment Purpose Requirements; and Prohibitions – 12 U.S.C. § 5705(f), and Section X. Reporting.

Staff Compliance and Oversight:

Staff Compliance and Oversight (continued):

Staff Compliance and Oversight (continued):

Staff Compliance and Oversight (continued):

Staff Compliance and Oversight (continued):

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