1 SBDC REPORTING REQUIREMENTS Office of Small Business

1 SBDC REPORTING REQUIREMENTS Office of Small Business Development Centers (OSBDC) Webinar March 22, 2016

2 2016 Program Announcement Pre- and Post Award Guidance Reporting Structure & Categories Policy & Cost Guidance Definitions

3 Notice of Award Cooperative Agreement Approved Program Funding & Budget Contacts, Due Dates, Reporting Special Conditions General Terms and Conditions (Posted on OSBDC webpage for Grantee Forms and Worksheets)

4 OSBDC Electronic Resources • 2016 SBDC Standard Program Terms and Conditions: https: //www. sba. gov/sites/default/files/articlefiles/2016_SBDC_PROGRAM_TERMS_AND_CONDITIONS. pdf • OSBDC Forms and Worksheets: https: //www. sba. gov/offices/headquarters/osbdc/resources/20351 • SBDC Grantee Portal: https: //www. sba. gov/portal/sbdc-grantee

5 MAKING CHANGES AFTER THE AWARD IS ISSUED What needs prior approval and how to obtain it

6 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 exceeds 10% of total program funds • Discuss changes in your progress report, category 2200 Changes in Key Personnel • See NOA, Section III, A, 12, page 13 • Discuss changes in your progress report, category 2000 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

• 7 Authorization for Unplanned Out-of-State/Country Travel Out-of-State • 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, p 18 and Section 8. 3. 2, p 66 See NOA, Section III, A, 12, p 13 Out-of-Country • 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, p 33 See NOA, Section III, A, 12, p 13

8 Other Actions Requiring Prior Approval Ø Applying for other federal initiatives/grants • See PA Section 4. 1. 1. 1, page 11 • Requires AA/OSBDC approval Ø Entering into contracts over $25, 000 (including subrecipient contracts) • See NOA Section 3. A. 12, page 12 • Requires PM approval

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

10 PROGRESS REPORTING OSBDC expectations & good examples

11 Due Dates – 2016 • Fiscal Year SBDCs (October 1 through September 30) • April 30, 2016 – 2016 Semi-annual Report is due • December 30, 2016 – 2016 Year-End Reports is due • Calendar Year SBDCs (January 1 through December 31) • July 30, 2016 – 2016 Semi-annual Report is due • March 30, 2017 – 2016 Year-End Report is due **Carryover Funds Require Separate Reporting & Reimbursement • SBDCs authorized to spend prior year funds must submit a separate set of reports, concurrent with their core package. • Refer to NOA amendment for award number and other instructions .

12 Awards with Special Conditions Ø New recipients must report quarterly for the first 3 years Ø NOA may contain special reporting instructions • More frequent reporting • Report on specific activity/topics • Complete specific actions by a set date

13 Good Reporting is Important Litmus Test: If your narrative progress report was made public, would your funders, including the American tax payer, understand appreciate your SBDC Network’s performance? Does the report accurately and succinctly reflect your efforts and accomplishments?

14 Performance Reports Guiding Principles: ü Narrative represents the Lead Center’s assessment of YTD accomplishments and challenges • Not simply a listing of activities completed to date üOrganize narrative by reporting categories shown in Program Announcement • 0100 Capital Formation; 0200 Innovation and Technology Assistance, 0300 International Trade, etc. ü Be concise, but complete • 25 page limit on semi-annual progress report • 50 page limit on cumulative annual report

15 Performance Reports Semi & Annual Progress Reports required for Core Awards Specific instructions are in 6. 3 of the 2016 Program Announcement Submit electronic copy in Word format to PO & PM Required content: • Summarize efforts in delivering core services. Include managerial analysis. • Measure performance against negotiated goals (include a table with % achieved during the reporting period), and • Discuss achievement or challenges in meeting planned milestones. How did you do it? • If goals were not met, describe reasons for slippage and how you plan to improve outcomes • Highlight specific accomplishments & impacts generated under each reporting category listed in Section 6. 3. 3. • Success Stories - Summarize at least 3 stories in Category 1500. Attach or provide links to stories with photos, artwork etc. if desired. • Include resumes for any new key personnel described in Category 2000 • Financial status - use Category 2200 to explain cost overruns, match shortfalls, etc. reflected on financial reports

16 Notable Changes for 2016 Categories are re-ordered & list all required info Clearer guidance on what to report § 1700 – Resource Development § 1800 – Collaboration & Leveraging § 2300 – Economic Impact Some Content Separated and assigned its own category § 0500 Manufacturing § 0700 Minority Entrepreneurs § 0800 Women Owned Businesses § 0900 Veterans § 1000 Rural All content numbered for complete, consistent reporting § 2000 Key Personnel § 2200 Budget to Actual Comparison

17 Reporting Categories 2016 Program Announcement, pp 42 -46 • 0100 Capital Formation • 1200 Research • 0200 Innovation, Tech Transfer • 1300 Online Activity • 0300 International Trade • 1400 Other Activity • 0400 Procurement • 1500 Success Stories • 0500 Manufacturing • 1600 Advocacy • 0600 Special Emphasis Groups • 1700 Resource Development • 0700 Minority Small Business Develop • 1800 Collaboration and Leveraging • 0800 Women-Owned Businesses • 1900 Unplanned Travel • 0900 Veterans, Reservists, Service Disabled Veteran Owned Businesses and other Members of US Military • 2000 Key Personnel Changes • 1000 Rural Assistance • 1100 Economic Development, Faith Based and Community Initiatives • 2100 Problems • 2200 Budget to Actual* (Annual Rpt only) • 2300 Economic Impact** (Goal to Actual table for 3 key performance metrics required in all reports; additional impact data required for Annual Report only)

18 Good Example Category 0200: Capital Formation How How Result

19 Good Example Category 0300 – International Trade During the first semester of 2015, the network has assisted clients on international trade topics during 133 counseling sessions. Educational programs offered had the participation of 75 training attendees, amounting to 750 training hours. To date clients have reported increased export sales reaching $3, 186, 000 and have retained 42 jobs. To continue supporting small business exports in alignment with the National Export Initiative, the PR SBTDC network has been certified in export assistance. Currently 18 or 100% of ALL consultants are Export Certified at SBA Intermediate Level (SBA) and/or as NASBITE as follows: Arecibo SBTDC: T-Consultant Aida Martínez (SBA Nov 2014), Director Elidio Aldarondo (SBA-11/2014). San Germán SBTDC: T-Consultant Félix Sáez (SBA 11/2014), Small Business Specialist Jaime Martínez (SBA 12/2014), Director Brenda Rodríguez (SBA 12/2014). Caguas SBTDC: T-Consultant Saraí Díaz (SBA 11/2014). San Juan SBTDC: T-Consultant Félix Cabrera (SBA 04/2014), Entrepreneur Consultant Madelin Colón (SBA 10/2014), Ivette Pinto (SBA 11/2014 and NASBITE 2014), etc…. DATA REPORTED FOR THE FOLLOWING CATEGORIES (FROM FORM 641/EDMIS) # of small businesses receiving export assistance from the SBDC: 62 # of small businesses starting to export and to what markets (New to Export): 1 business to French Saint Martin # of small businesses exporters that entered new foreign markets (New to Market): none Increase in export revenues attributed to SBDC assistance: $3, 186, 000 Jobs created or retained as a result of exporting assistance: 24 created and 637 retained # of SBDC staff completing SBA recognized certification for export assistance: 17 # of small businesses referred to USEAC or to SBA for trade assistance: 1 businesses referred assistance : 1 to Commerce and 1 to Ex-Im Bank

20 Good Example Category 0900 - Veterans, etc • In FY 2015 SBDC assisted 159 Veteran customers in 546 sessions totaling 546 contact and prep hours. Of this total, 44 were Service-Disabled Veteran customers who had 157 sessions for a total of 144 contact and prep hours. • A regional director conducted three, Boots to Business workshops at F. E. Warren AFB in Cheyenne. Two regional directors maintain the ability to provide the Boots to Business curriculum. The PTAC also presented in each of these events. Two regional directors attended the SBA/VBOC Re. Boot held in Sheridan on September 15 th, 2015. One director gave a presentation on the business resources available to Wyoming small businesses. • During its program year, the PTAC achieved six initial sessions and 99 follow-up sessions with veteran-owned and service disabled veteran-owned businesses. PTAC information is provided here as reference; PTAC activity is reported directly to the Defense Logistics Agency. • Management Comments: The Wyoming SBDC continues to provide the majority of assistance to Boots to Business workshops at F. E. Warren AFB. Veterans are recognized for their contributions at our annual conference during the opening ceremonies. We make every effort to market to and assist veterans in Wyoming. This past year we made a connection with the University of Wyoming Veterans Service Center Coordinator to further this effort and will provide his center with educational services as necessary and one-on-one advising for referred veterans.

21 Good Example: Category 0200: Innovation, Tech Transfer and Tech Assistance Table shows volume of assistance and impact Narrative tells us how/why they succeeded

22 Good Example Category 1200 - Research • Research on behalf of clients was performed by SBDCNET in San Antonio, Texas. The Small Business Development Center National Information Clearinghouse (SBDCNET) mission is to meet the information needs of the SBDC community in the United States and its territories. SBDCNET serves as a resource providing comprehensive secondary market research from a variety of databases and web-based resources. A total of 33 research requests totaling 66 hours of research for the network were performed by the research center at SBDCNet. The internal research program hosted 8 -12 research interns throughout the first half of the year. The interns completed another 50 research reports for clients with 108 client sessions totaling 1, 218 hours of research. • To this point, every academic institution that the Network has approached has indicated excitement about the intern program and has applauded the unique structure, training, and benefits of the student interns. Beginning in June, a select number of interns were taken through the first two modules of the CBA process. The training included Conflict of Interest, confidentiality, and basic client counseling. This initiative is in response to the need for some interns to take a more active role in interfacing with clients that have submitted research requests.

23 Good Example: Category 1500: Success Stories

24 Good Example Category 1800 - Collaboration & Leveraging • Collaboration with other SBA Initiatives not mentioned elsewhere • Small Business Week, Emerging Leaders, Lean for Main Street, Encore Entrepreneurs etc • Participation in federal interagency efforts • E 3, Regional Innovation Clusters, Broadband, Smart Cities etc • Other key partnerships that support your SBDC program

25 Good Example Category 2300 - Economic Impact Goals to Actual Performance Table Progress toward Negotiated Goals and Planned Milestones MILESTONES I. PROGRAM PERFORMANCE: · Total Advising Hours · Long Term Clients These 3 Are Required Goal Completed 23, 797 103. 5% 1, 140 1, 128 99% 40 II. SPECIAL PROGRAM DELIVERABLES: · Small Business of-the-Year · Collaborating with SCORE (referrals) · International Trade (Advising Cases) · Hub. Zone Facilitation · Success Stories (5 each Quarter) · Veteran Long-Term Advising Clients · Veteran’s Event III. COMMUNICATION & REPORTING: · SBDC Site Visits · SBA/SBDC Meetings · SBDC Semi-Annual Meeting · CBA Statistical Reports · Modules & Milestones Report · Semi-Annual Report (CY Basis) 40, 952, 849 120 · Number of Business Start-ups 23, 000 · Capitalization (In $ Millions) · Total Clients Advised: % Complete 13 44 160 (As Needed) 20 50 (As Needed) 12 4 2 2 2 1 113% 136 2, 732 2, 350 102. 4% 120 186 116% 115 230% 11 4 2 2 2 1 92% 100% 100%

26 Good Example Category 2300 – Economic Impact (Mid year progress report)

27 Good Example: Category 2300 - Economic Impact (Annual Report only)

28 Financial Reports

Mid-year Reporting • Due 30 days after the first six months of your performance period • Fiscal Years: April 30 • Calendar Years: July 30 • Required Financial Reports & supporting documents q. SF 425 q. Spreadsheet in support of the SF 425 q. SBA Form 2113 (Program Income) q. Spreadsheet in support of the SBA Form 2113 q. Budget Comparison (budget vs. actual) q. Schedule of Indirect Costs (actuals) q. Signed Certification

Mid Year Financial Report Checklist 1. SF 425 Financial Report q. Signed and dated q. Correct Award Number q. Correct Period 2. Spreadsheet in 5. SBA Form 2113 Program Income Report q. Signed and dated 6. Spreadsheet in support of the SF 425 3. Final Cost 7. Comparison Worksheet - Actuals 4. Schedule of Indirect Costs - Actuals support of SBA 2113 Certification Statement required by Omni-circular q. Signed and dated

Year-end Reporting • Due 90 days after the end of your performance period • Fiscal Years: December 31 • Calendar Years: March 31 • Required Financial Reports and supporting documents q. SF 425 q. Spreadsheet in support of the SF 425 q. SBA Form 2113 (Program Income) q. Spreadsheet in support of the SBA Form 2113 q. Budget Comparison (budget vs. actual) q. Schedule of Indirect Costs (actuals) q. Signed Certification

Year End Financial Report Checklist q. SF 425 Financial Report q. Signed and dated q. Correct Award Number q. Correct Period q. Spreadsheet in support of the SF 425 q. Final Cost Comparison Worksheet - Actuals q. Schedule of Indirect Costs - Actuals q. SBA Form 2113 Program Income Report q. Signed and dated q. Spreadsheet in support of SBA 2113 q. Certification Statement required by Omni-circular q. Signed and dated

Payment request checklist q. SF 270 q. Signed and dated q. Completed correctly q. Correct Award Number q. Correct Period q. Sufficient Match q. Attached explanation if match not met q. Signed Certification Statement required by Omni-circular

34 Where & How to Submit Reports: üElectronic version is acceptable (no hard copies) q Progress report in MS Word format (not pdf) üSingle package – to extent possible, submit progress and financial reports as a single package/email transmission q If files are larger than 5 MB, contact PM for upload instructions or ask for email confirmation to ensure delivery üSubmit to: Project Officer, Program Manager and Grants Management Specialisted in NOA q Reimbursement requests must also be submitted separately to Payments mailbox at SBDCpayments@sba. gov

State Director/Host Responsibilities • Coordinate your efforts • Ensure all documents are submitted on time AND together. • Ensure documents are SIGNED by authorized representative • The State Director is responsible for the complete and timely submission of reports and is responsible for ensuring the reports are ücompleted correctly üsigned and dated üwith the requested information, and üthe information is accurate

36 Thank You! OSBDC Program Managers OSBDC Grants Managers • Erika. Fischer@sba. gov • Patricia. Branch@sba. gov • Traci. Giddens@sba. gov • Aaron. Arnwine@sba. gov • Nancy. Gilbert@sba. gov • Edna. Green@sba. gov • David. Jackson@sba. gov • Doris. Young@sba. gov • Rachel. Newman@sba. gov • Brian. Mcdonald@sba. gov OSBDC Payments (Core) sbdcpayments@sba. gov