SBDC Program Oversight Process

1. SBDC Program Oversight Process Office of Small Business Development Centers (OSBDC) 2015 Fall Conference San Francisco, CA

2. OSBDC Organizational Chart Scott Henry Acting AA/OSBDC J. Chancy Lyford DAA/OSBDC Vicky Mundt Supervisory Financial Analyst Program Management Brian McDonald Program Manager Grants Management Operations Dave Jackson Program Manager Alanna Falcone Program Analyst Doris Young Grants Mgt Specialist Nancy Gilbert Program Manager Aaron Arnwine Grants Mgt Specialist Monika Nixon Program Specialist Erika Fischer Program Manager Edna Greene Grants Mgt Specialist Rachel Karton Program Manager

3. Brian McDonald • CA (Los Angeles), ID, KY, NC, ND, OH, OR, RI, VA, WA, WY, FL, OK • Erika Fischer • AL, AR, CA (Santa Ana), DC, DE, GA, MO, NM, PR, TN, UT, NY • Rachel Karton • HI, IA, IN, KS, MA, ME, MI, NE, NH, NJ, VT, WV, TX (San Antonio), TX (Dallas) • David Jackson • AK, AS, AZ, CO, GU, IL, MD, MS, NV, PA, WI, TX (Houston), TX (Lubbock) • Nancy Gilbert • CA (Fresno, Sacramento, San Diego, San Francisco), CT, LA, MN, MT, SC, SD, VI

4. Carryover Request Closeout Reports Program Announcement Issued Goals Negotiated w SBA Finish Start  Notice of Intent to Renew SBDC Annual Program Cycle PO Reviews Proposal Budget Modification Request (if Needed) DD Issues Concurrence Submit Proposal to OSBDC Financial/ Program Review (biennial) Proposal Reviewed by OSBDC PO Begins Lead Center & Svc Center Reviews Semi Annual Report Notice of Award Issued SBDC Program Activities Begin

5. Key Guidance for SBDC Program

6. Authorizing LegislationSmall Business Act, Section 2115 USC Section 648

7. SBDC Program Regulations13 CFR 130

8. OMB Omni Circular2 CFR 200

9. Notice of Award Cooperative Agreement

10. 2016 Program Announcement

11. 2016 Program AnnouncementKey Updates

12. 2016 Program AnnouncementKey Updates

13. 2016 Program AnnouncementKey Updates (cont.)

14. SBA Notices

15. Making changes after the award is issued What needs prior approval and how to obtain it

16. Guidance or References Program Announcement (PA) 2016 • Section 5.1.8, page 33 Notice of Award, • Section III. A. 12 OMB regulations • Omni-circular • 2 CFR 200.407 SBA Policy Notices http://www.sba.gov/content/sbdc-forms-and-worksheets

17. Changes Requiring Prior Approval by the Program Manager Changes in Scope of Work or Goals • See NOA, Section III,A, 12, page 13 Changes in Budget Allocation • See NOA, Section III,A, 12, page 13 • Approval needed if budget modification is more than 10% of total program funds • Changes in Key Personnel • See NOA, Section III,A, 12, page 13 • Purchasing or disposing of a piece of equipment with an acquisition cost of $5,000 or more • See NOA, Section III,A, 12, page 13

18. Changes Requiring Prior Approval by the Program Manager • Improvement in SBDC facilities (minor construction) • See PA Section 5.1.8.2, page 33 for funding restrictions • See also NOA, Section III, A, 12, page 13 • Use of carryover funds • See PA Section 5.1.8.3, page 33 and page 22 for fund restrictions • Recruitment of a new State Director • See PA Section 5.1.8.4, page 61 for definitions, and SBA Policy Notice • District Office must approve of recruitment plan as well as the PM

19. Authorization for Unplanned Out-of-State/Country Travel Out-of-State Out-of-Country • Submit Out-of-State/Country Travel Request to the District Office with at least 20 days notice • PO/DD will approve and email to PM and SBDC • Keep a copy in your grant file • See PA Section 4.1.6.2, p18 and Section 8.3.2, p66 • See NOA, Section III, A, 12, p13 • Submit Out-of-State/Country Travel Request to the District Office with at least 30 days notice • PO/DD will approve and email to PM • PM will obtain AA or DAA/OSBDC approval • PM will email form back to PO and SBDC • Keep a copy in your grant file • See PA Section 5.1.8.1, p33 • See NOA, Section III, A, 12, p13

20. Actions Requiring Prior Approval • Applying for other federal initiatives/grants • See PA Section 4.1.1.1, page 11 • AA/OSBDC approval • Entering into contracts over $25,000 (including sub-recipient contracts) • See NOA Section 3.A.12, page 12 • PM approval

21. How to Request Prior Approval • PM Approval • Submit request by email, with forms or other documentation attached to PM • Wait for approval before making any changes or purchases • AA/OSBDCor Designee Approval • Submit request by email, with forms and other documentation to the PM • PM will obtain approval from AA/OSBDC and notify you • Wait for approval before making any changes or purchases

22. Progress reporting OSBDC expectations & good examples

23. Good Reporting is Important Litmus Test: If your narrative progress report, which is a public document, was placed on SBA’s web site, would your funders, (the American tax payer), understand and appreciate your SBDC Network’s performance? Would the report accurately and succinctly reflect your efforts and accomplishments?

24. Due Dates – 2015 & 2016 • Fiscal Year SBDCs (October 1 through September 30) • December 30, 2015 – 2015 Fiscal Year-End Reports are due. Encompasses the entire year. (Must not exceed 50 pages, if possible) • April 30, 2016 – 2016 Semi-annual Reports are due. (Must not exceed 25 pages, if possible.) • December 30, 2016 – 2016 Fiscal Year-End Reports are due • Calendar Year SBDCs (January 1 through December 31) • March 30, 2016 – 2015 Year-End Reports are due. Encompasses the entire year (Must not exceed 50 pages, if possible) • July 30, 2016 – 2016 Semi-annual Report is due. (Must not exceed 25 pages, if possible.) • March 30, 2017 – 2016 Year-End Reports are due.

25. New Awardees and Awards with Special Conditions • New SBDCs must report quarterly for the first three years • NOA may contain special reporting instructions • More frequent • Specific purpose/topics • The new Omni also gives agencies authority to require recipients to report more frequently for effective monitoring or if outcomes may be affected. (2 CFR Sections 200.327 and 200.328)

26. Performance Reports • Organize narrative by reporting categories shown in Program Announcement • 0100 Capital Formation; 0200 Innovation, Technology Transfer, etc. • Try not to exceed 25 pages for Semi-Annual Reports and 50 pages for Annual Reports. • Narrative represents the Lead Center’s assessment of the Network’s YTD accomplishments and challenges – not simply a listing of activities completed to date • Send electronic versions in Word format to your Project Officerand Program Manager. • If files are larger than 5 MB, call your Program Manager before sending your report, or ask for confirmation.

27. Performance Reports Required content: • Summarize efforts in delivering core services. Include managerial analysis. • Highlight accomplishments & impacts, not a recitation of activities and events • Summarize specific achievements by reporting categories in Section 6.3.3 • Include a comparison (preferably a table with % achieved) showing annual network goals from NOA (LTC, NBS, CI) and YTD progress • Discuss achievement or challenges in meeting planned goals • If milestones were not met, reasons for slippage and plan of action to overcome it • Explain cost overruns or other issues reflected in the financial reports • Changes in Key Personnel, Service Centers or Sub-recipients • Description of new resources developed by the SBDC • Success Stories

28. Notable Changes (for 2016)

29. Good Examples: Milestones (table format is preferred) Section II Milestones Progress toward Cooperative Agreement Milestones

30. Good Examples: Reporting Categories

31. Good Examples: Reporting Categories

32. Good Examples: Success Stories

33. Final Report: Economic Impact Required

34. Good Example: Annual Report: Economic Impact Category

35. SBA Monitoring

36. Authority for SBDC Oversight Code of Federal Regulations (13 CFR Ch. 1) Sec. 130.800 Oversight of the SBDC program. Sec 130.810 SBA review authority. (a) Site visits. The AA/SBDC’s, or a representative, on notice to the SBDC Director, is authorized to make programmatic and financial review visits to SBDC service providers to inspect records and client files, and to analyze and assess SBDC activities. (b) SBA examinations. SBA examiners shall perform a biennial programmatic and financial examination of each SBDC. • SBA shall monitor and oversee the Cooperative Agreement and ongoing operations of the SBDC network to ensure the effective and efficient use of Federal funds for the benefit of the small business community.

37. Resources & Methods for Program Oversight

38. 2015 Project Officer’s Handbook • Revised for 2015 with process & procedure clarifications • User friendly format • Links to template/forms provided for convenience Roles & Responsibilities OSBDC Project Officer’s Handbook Pre Award Post Award

39. Project Officer On-Site Reviews Project Officer on-site monitoring includes: • Lead Center – reviewed each year • Service Centers – reviewed every other year** **exception for larger networks (more than 20 centers) or for special cases such as with center performance issues or closures • Project Officers will coordinate the review schedule with the Lead Center • Lead Center to provide POs with all requested client data & center level performance results before their visit PO issues report to Program Manager after each visit • PO report to follow standard template format • Includes review of prior year and YTD performance

40. OSBDC Biennial programmatic reviews

41. What to Expect: SBA Program Reviews

42. Program Reviews incorporate the following: • Project Officer Reviews and Reports • Semi & Annual Progress Reports • EDMIS data • SBDC Proposals • SBDC Strategic Plans • Accreditation Reports & Self Studies • Observations from meetings and/or on-site visits • Program Manager Analysis

43. Content: OSBDC Program Reviews 4 Standard Sections: • May also include: • Recommendations & Observations • At the end of each section, if applicable • Required Actions • If needed • SBDC has 45 days to respond to OSBDC

44. Programmatic Review Report - Routing • OSBDC Reports are issued to State Director, Host, SBA District and Regional Offices • (If there are required actions) the SBDC Responds to the PM/OSBDC • cc Deputy AA/OSBDC on response

45. Other Funding for SBDCs

46. Portable Assistance Program Background

47. Portable Assistance Program Proposals for 2016 Program Announcement Anticipate a May 2016 issue date Eligible Applicants Accredited SBDC recipients Evaluations & Goals

48. Portable Assistance Program Recent Experience