U.S SMALL BUSINESS AMINISTRATION
OFFICE OF GOVERNMENT CONTRACTING
AND BUSINESS DEVELOPMENT
OFFICE OF TECHNOLOGY
PROGRAM ANNOUNCEMENT
FEDERAL AND STATE TECHNOLOGY PARTNERSHIP PROGRAM
TO PROVIDE TECHNICAL ASSISTANCE AND OTHER SERVICES TO
SMALL HIGH TECHNOLOGY BUSINESSES
FISCAL YEAR 2010
OPENING DATE: March 25, 2010 ______
CLOSING DATE: May 10, 2010__
____
ANNOUNCEMENT NO: FAST-10-R-0004
Proposals are to be posted to www.grants.gov by 11:59PM EDT on May 10, 2010
TABLE OF CONTENTS
SECTION I. FUNDING OPPORTUNITY DESCRIPTION
A.
Introduction………………………………………………………………..…….….......2
B.
Purpose…………………………………………………………………..…….….….....3
C.
Statement of Work…………………………………………….……….…………..…....3
SECTION II. AWARD INFORMATION
A.
General Award Information……………………………………………………..…..….4
B.
Funding Information…………………………………………………………..….….…4
C.
Cash Match Requirement…………………………………………………………..…...4
SECTION III. ELIGIBLE APPLICANTS
A.
Eligible Applicants for this Grant (Mandatory Requirements)………………..……......6
B.
Ineligible Applicants for this Grant…………………………………………………......6
SECTION IV. APPLICATION AND SUBMISSION INFORMATION
A.
Required Application Format…………………………………………………..……….6
B.
Application Instructions…………………………………………………………………8
C.
FAST Plan……………………………………………………………………………….9
D.
Required Proposal Submission Dates………………………………………………......12
SECTION V. APPLICATION REVIEW INFORMATION
A.
Evaluation Criteria for Technical Proposal……..………………………………..….….12
B.
Review and Selection Process………………….……………………………………….14
SECTION VI. AWARD ADMINISTRATION
A.
Award Notice………………………………………………………………….....……..14
B.
Reporting……………………………………………………………………...….……..14
SECTION VII. AGENCY CONTACTS
A.
Program Point of Contact………………………………………………………………16
B.
Financial/Grants Management Contact………………………………………………...17
SECTION VIII. OTHER INFORMATION
A.
Advance Understandings…………………………………………………………….…17
B.
Definitions……………………………………………………………………………...17
C.
Application Checklist…………………………………………………………………..20
APPENDIX
A.
State Rankings………………………………………………………………………….23
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SECTION I. FUNDING OPPORTUNITY DESCRIPTION
A. INTRODUCTION
1. PROGRAM REVIEW
a.
Federal Agency Name:
U. S. Small Business Administration, Office of
Technology
b.
Funding Opportunity Title:
Federal and State Technology (FAST) Partnership
Program Grants
c.
Announcement Type:
Fourth Round of Funding Under the FAST Program
d.
Funding Opportunity Number:
Program Announcement Number:
FAST-10-R-0004
e.
CFDA Number:
59.058
f.
Closing Date for Submission:
May 10, 2010 (11:59 PM EDT)
g.
Authority:
Public Law 111-117 and 15 U. S. C. 657d
h.
Funding Instrument:
Cooperative Agreement
i.
Award Amount/Funding Range:
Total amount of Federal funding anticipated
as being available for this project is $2,000,000. A
maximum of 20 awards will be made. Grant award
amounts up to $100,000. Only qualified recipients
will be funded. There is a matching fund
requirement and resources should be noted in the
technical proposal.
j.
Project Duration:
Awards will be made for a base project period of 12
months.
k.
Project Starting Date:
Approximately 30 days after award.
l.
Proposal Evaluation:
Proposals will be scored against the evaluation
criteria in Section V. SBA may ask applicants for
clarification on the technical and cost aspects of
their proposals. This must not be construed as a
commitment to fund the proposed effort.
m.
Agency Points of Contact
Office of Technology, FAST@sba.gov
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B. PURPOSE
The Consolidated Appropriations Act of 2001, codified at 15 U.S.C. §657d(c), established the
FAST program. In accordance with its original statutory language, the program expired on
September 30, 2005, however it was reestablished under the Consolidated Appropriations Act of
2010. The purpose of the FAST program is to strengthen the technological competitiveness of
small business concerns in every state. Congress has found that there is much variance within
state technology programs that foster economic development among small high-technology
firms. Therefore, this program intends to improve the participation of small technology firms in
the innovation and commercialization of new technology; thereby ensuring that the United States
remains on the cutting edge of research and development in the highly competitive arena of
science and technology. The FAST Program shall be administered by the SBA’s Office of
Technology.
C. STATEMENT OF WORK
The program shall provide grants to further technological innovation within states in the
following areas:
a.
b.
c.
d.
Technology research and development by small business concerns;
Technology transfer from university research to technology-based small business concerns;
Technology deployment and diffusion benefiting small business concerns;
Increasing the technological capabilities of small business concerns through the
establishment or operation of consortia comprised of entities, organizations, or individuals
including:
(i)
(ii)
(iii)
(iv)
(v)
State and local development agencies and entities;
Representatives of technology-based small business concerns;
Industries and emerging companies;
Universities; and
Small business development centers.
e. Outreach, financial support and technical assistance to technology-based small business
concerns participating in or interested in participating in an SBIR program, including
initiatives:
(i) To make grants or loans to companies to pay a portion or all of the cost of developing
SBIR proposals;
(ii) To establish or operate a mentoring network within the FAST Program to provide
business advice and counseling that will assist small business concerns that have been
identified by FAST Program participants, program managers of participating SBIR
agencies, the Administration, other entities that are knowledgeable about the SBIR and
STTR programs as good candidates for the SBIR and STTR Programs, and that would
benefit from mentoring, in accordance with section 35 of the Small Business Act (15
USC § 657c);
(iii) To create or participate in a training program for individuals providing SBIR outreach
and assistance at the state and local levels; and
(iv) To encourage the commercialization of technology developed through SBIR program
funding.
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SECTION II. AWARD INFORMATION
A.
GENERAL AWARD INFORMATION
1. Project Start Date
Approximately 30 days after receipt of the Notice of Award.
2. Project Duration
Awards will be made for a period not to exceed 12 months.
B.
FUNDING INFORMATION
Subject to the availability of funds, the SBA anticipates issuing multiple awards under
this Announcement. The number may vary, based on the needs of the pool of qualified
applicants received, the evaluations and the amount of available funds. The SBA
estimates that it will issue up to 20 awards under the Announcement. The Federal award
per state will not exceed $100,000. Each state represented in a multi-state application
will not be eligible to receive an award amount exceeding $100,000. The SBA will
accept multiple state applications from those states desiring to pool their resources to
provide services to eligible firms under this program announcement on a regional basis
(e.g., MD, DC and VA). Individual letters of endorsement from the state governor, as
specified within this program announcement, will be required for each state applying
under a multiple state application
1. Funding Instrument
Cooperative Agreement
2. Cancellation
SBA reserves the right to cancel this program announcement in whole or in part at the
agency’s discretion.
C.
CASH MATCH REQUIREMENT
1. General Matching Requirements (See Appendix A for your state ranking.)
A non-Federal match is required from eligible applicants submitting proposals under
this program announcement. Applicants may use up to five (5) percent of their grants
for planning activities which are excluded from the non-Federal matching requirements
(Refer to Section VIII. for definition of planning activity.) The non-Federal share of the
cost of an activity (other than a planning activity) carried out under the FAST program
is provided below.
(a) 50 cents of non-Federal match for each Federal dollar (a 1:2 match)
for recipients in the eighteen (18) states receiving the fewest number
of SBIR first phase awards;
(b) except as noted in (d) below, one dollar of non-Federal match
for each Federal dollar (1:1 match), in the case of a recipient that will
serve small business concerns located in one of the sixteen (16) states
receiving the greatest number of SBIR first phase awards; and,
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(c) except as noted in (d) below, 75 cents of non-Federal match for (a 3:4 match)
for each Federal dollar for all other states not described previously.
(d) 50 cents for each Federal dollar that will be directly allocated by a recipient
described in sections (b) or (c) above to serve small business concerns located
in a qualified census tract as that term is defined in section 42(d)(5)(C)(ii) of
the Internal Revenue Code of 1986. Federal dollars not so allocated by that
recipient shall be subject to the matching requirements of section (b) or (c)
above.
2. Composition of the Non-Federal Share
Not less than 50 percent of the match provided by a recipient must take the form of
cash. The remaining match amount may consist of indirect costs and in-kind
contributions. With the exception of the Community Development Block Grant
(CDBG) program, no portion of the match may be derived from funds provided
under any other Federal program.
3. Documenting the Non-Federal Share
SBA must have verifiable documentation from each award recipient indicating that
the non- Federal share match requirement has been obtained by the recipient. The
recipient must provide written documentation to the designated Grants Management
Officer (GMO) certifying that the non- Federal match requirement has been obtained
no later than 90-days from the issue date on the Notice of Award. A copy of this
letter must also be sent to the designated Grants Management Officer’s Technical
Representative.
4. Cash Contributions
Provide the SBA Division of Procurement and Grants Management (DPGM) with a
copy of the documentation provided by each non-Federal source indicating the
amount to be used for the SBIR/STTR Outreach project (promissory notes are not
acceptable).
If non-Federal resources come in check form the recipient may send a copy of the
check to the GOTR assigned to the award. The check must indicate the source
(contributor), the amount being paid to the recipient organization for the purpose
of carrying out activities directly related to the project described in this Notice of
Award.
If cash is donated, a copy of the accompanying letter from the donor (on official
letterhead if applicable) or a copy of the recipient's thank you letter to the donor
must be sent to the GOTR and the GMO also on official letterhead. Please address
the letter to Mr. Edsel Brown, Jr., Assistant Administrator, U.S. Small Business
Administration, 409 3rd Street, S.W., Suite 8000, Washington, DC 20416.
5. In-Kind Contributions
The recipient must submit a copy of the letter, on official letterhead if applicable,
from the person or organization that donated the supplies or equipment. If in-kind
contributions are provided by a state or local government, small business, non-profit
organization or other type of entity, the letter must be signed by an official who is
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legally authorized to enter into an agreement to provide equipment or supplies to this
project. If there is no letter from the donor, the recipient must submit a copy of the
thank you letter (on official letterhead) to the donor. In either case, the recipient
must state the name and value of the contribution(s).
6. In-kind Service
The recipient must submit a list of persons who have donated their time and effort
to the project, including name, address, telephone number, FAX number and e-mail
address. The recipient will state the type of service each has provided and the
monetary value of the volunteer’s time and effort.
SECTION III. ELIGIBLE APPLICANTS
A. ELIGIBLE APPLICANTS FOR THIS AWARD
Under the FAST Program, organizations and individuals in every state (including state economic
development agencies, Small Business Development Centers, or any other entity involved in the
development of small technology firms) are eligible to apply for a cooperative agreement award.
Proposals may be submitted on behalf of an individual state or on behalf of multiple states. Not
more than one proposal may be submitted for inclusion in the FAST program to provide services
in any one state in any one fiscal year. Each application must be accompanied by a Letter of
Endorsement signed by the appropriate state governor or his/her authorized designee.
B. INELIGIBLE APPLICANTS FOR THIS GRANT
Any organization with an unresolved audit by any Federal agency.
Any organization suspended or debarred from receiving grants or contracts from any Federal
agency or is otherwise excluded from Federal non-procurement programs.
Any organization which has defaulted on an obligation to the United States.
Any applicant that proposes to serve as a pass-through and permit another organization to hire
and employ project staff for the purpose of managing the day-to-day operations of the project.
SECTION IV. APPLICATION AND SUBMISSION INFORMATION
A. REQUIRED APPLICATION FORMAT
This program announcement is designed to reduce the investment of time and money required
by applicants in preparing a formal application. All applicants must have an adequate financial
management system that meets the standards prescribed in 2 CFR 215, .21 - .28, “Uniform
Administrative Requirements for Grants and Agreements to Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations” or 2 CFR 230, Cost principles for State and
Local Governments. The application must include certification to verify that this requirement
has been met (e.g., a written statement from a certified public accountant).
pages should be the standard size (8 ½” x 11”; 21.6 cm x 27.9 cm) and should
conform to the stated formatting instructions in this program announcement;
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2.5 cm margins and type no smaller than 12-point Arial font size;
type size restriction applies to figures and illustrations as well as to the text, not including
charts, tables, diagrams and graphs;
standard black type should be used to permit photocopying;
photo reduction of larger pages is not permitted;
each page with any writing will be counted as a page;
draw all graphs, diagrams, tables, and charts in black ink;
do include glossy photographs, or materials that cannot be photocopied in
the body of the proposal;
contains two (2) major components: technical proposal [including letter(s)
of endorsement from the state governor(s) and resumes] and a cost proposal [including
assurances and certifications and written certification(s) of match].
Governor’s Letter of Endorsement for Individual State Applications
Only those proposals bearing the written endorsement of the state Governor(s) or
his/her/their designee(s) (i.e., Lt. Governor or Department Level Secretary, etc.) for
which the effort is proposed may be submitted for evaluation and funding consideration.
Only one proposal will be considered per state. In a situation where the Governor or
equivalent of the Governor (e.g., Mayor of the District of Columbia), assigns the
signatory responsibility of the endorsement letter to a designee, the letter must include
an acknowledgement that the Governor/equivalent has authorized him/her to sign the
letter on his behalf. NOTE: The equivalent of the Governor in the U.S. territories is
an appropriate signatory.
Governor’s Letter(s) of Endorsement for Regional/Multiple State Applications
Separate Letters of Endorsement must be submitted for Regional applications. Letters
of Endorsement must be signed by each state Governor or his/her/their designee(s) (i.e.,
Lt. Governor or Department Level Secretary) for joint proposals submitted under this
Program Announcement. In a case where the Governor or equivalent of the Governor
(e.g., Mayor of the District of Columbia) assigns the signatory responsibility of the
endorsement letter to a designee, the letter must include an acknowledgement that the
Governor/equivalent has authorized him/her to sign the letter on his behalf. NOTE:
The equivalent of the Governor in the U.S. territories is an appropriate signatory.
The Governor’s correspondence should be addressed to Mr. Edsel M. Brown, Jr., Assistant
Administrator for Technology, U.S. Small Business Administration, 409 3rd Street, SW, 8th
Floor, Washington, DC 20416.
Part I - Technical Proposal. Applicants must submit a technical proposal of no more
than twenty-five (25) pages; excluding:
1) Technical Proposal Cover Sheet and
2) Technical Supplement I which contains the following items:
Governor’s letter(s) of endorsement;
Vitae or resumes of key personnel identified in the proposal; and
Signed Collaborative Agreement between partnering states
(not required for individual applications).
In the interest of equity to all applicants, all information must be limited to twenty-five (25)
pages. No supplements, other than the exclusions cited above, may be submitted and, if
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submitted, they will not be considered in the review of the proposal for technical merit.
Part II - Cost Proposal. Applicants must also submit a Cost Proposal and Cost Supplements
I & II that include the following:
1) Cost Proposal Cover Sheet
2) SF 424 “Application for Federal Assistance” inclusive of a narrative
justification for each cost associated with the proposed effort.
3) Cost Supplement I containing the following:
Signed “Assurances and Certifications”
Table of major activities with cost breakdown (See examples under Appendix C)
4) Cost Supplement II containing the following Certification(s) of Matching Funds
Proposals that contain more than twenty-five (25) pages in the technical
section will be rejected without consideration.
B. APPLICATION INSTRUCTIONS
Regional/Multi-State Applications
If you participate in a Regional/Multi-State Application, all entities that are party to the
joint application must separately meet the statutory requirement and eligibility requirements
in order to submit a Regional proposal.
Joint applications must name the lead state and organization with whom the Federal
Government will enter into a binding agreement. It must also include a copy of a signed
collaborative agreement outlining the responsibilities of each partner organization.
An authorized signature from each state’s organization must appear on the agreement.
The lead organization will be responsible for coordinating reports and requests for funding.
Regional proposals must clearly spell out what and by whom specific FAST activities will
be conducted within each state. Joint applications must also describe in detail how the two
states will work and compliment one another.
1) Technical Proposal
a) Technical Proposal Cover Sheet. Every proposal is required to have a cover
sheet. It should be the topmost page of the proposal. The cover sheet must contain
the following information:
1) The words U.S. Small Business Administration, Federal and State
Technology (FAST) Partnership Program, and the Program
Announcement Number from the cover page of this Announcement.
2) The state(s) represented by this application.
3) The name of entity/individual submitting the proposal.
4) The printed name, title, telephone number, FAX number, mailing address, e-mail
address, and signature of the project director designated by the applicant.
5) The printed name, title, telephone number, FAX number, mailing address, e-mail
address and signature of individual authorized to enter in to a legal agreement with
the SBA, if different from the project director.
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b) Technical Content
1) Overview. In two pages or less, the applicant must explain why the proposal
merits funding under this Program Announcement. The overview must state
how the recipient intends to target and incorporate tech-based women-owned,
socially and economically disadvantaged businesses and small firms located in
areas that have historically not participated in the SBIR and STTR programs.
2) Addressing Unmet Needs and Program Objectives. A concise narrative
description of the needs of the small innovative technology business community
within the eligible state(s), and how the effort proposed under this Program
Announcement would address the unmet needs of small business concerns in
the community. The narrative should include a strategy for addressing the needs
of women-owned, socially and economically disadvantaged and small firms that
have not traditionally participated in SBIR/STTR and why it is important to
use Federal funding for the proposed activities along with clearly stated objectives
for the proposed effort.
3) Measured Demonstration of Need. A concise narrative description to
demonstrate that a need exists to increase the number or success of small
innovative technology businesses in general and more specifically for women,
socially and economically disadvantaged and other small businesses that have not
historically participated in SBIR/STTR in the state(s), as measured by the number
of first phase and second phase SBIR awards that have historically been received
by small business concerns in the state(s).
C) FAST PLAN
Every proposal must include a detailed description of the FAST plan. The FAST plan
should comprise at least one-half of the technical proposal. The narrative plan must include
a detailed description of proposed services and assistance. Applicants under this program
announcement must intend to use a portion of the federal assistance provided under this
program for outreach, financial support, or technical assistance to technology-based small
business concerns participating in or interested in participating in the SBIR program. The
plan must provide information concerning the applicant’s long-range plans for this initiative
and how the applicant proposes to sustain the project after the grant.
The plan may enhance or develop: (1) technology research and development by
small business concerns (2) technology transfer from university research to
technology-based small business concerns (3) technology deployment and diffusion
benefiting small business concerns and, (4) the technological capabilities of small
business concerns through the establishment of consortia comprised of state and
local development agencies, small business concerns, industries and universities.
Applicants may also consider using a portion of the grant funds to conduct SBIR
outreach, operate a Mentoring Network for the provision of technical assistance to
small businesses and, encourage the commercialization of technology. A portion
of grant funds may also be used to provide financial support to eligible small
technology based companies, including: providing grants or loans to companies to
9
pay a portion or all of the cost of developing SBIR proposals.
Although financial support to eligible small technology based firms may be
provided via a sub-grant or loan, certain limitations will apply. Financial support
for eligible small firms may be used for the purpose of activities or programs
including but not limited to Phase 0 programs (ref. Section V for definition),
provision of technical assistance, grants to pay a portion or all costs of developing
SBIR proposals and other SBIR related initiatives.
Applicants proposing to use a loan vehicle to provide assistance to eligible firms
must stipulate in their proposal that the loan(s) must be short term and re-payment
must be made prior to the project period expiration date on the cooperative
agreement. In addition, loan re-payments are considered to be program income
and are subject to the guidelines and administrative requirements outlined in OMB Circular
A110 section 24. Clear detail concerning the loan application, loan servicing and
administrative processes must be included in the technical proposal.
Applicants proposing the use of sub-grants as means of providing assistance to eligible small
technology firms, must provide a detailed description of the application and administrative
processes to be used to deliver this portion of the program. The terms and conditions for
administering sub-grants are subject to OMB Circulars depending on the type of institution
receiving the cooperative agreement. Sub-grants awarded to small high technology
businesses must be issued prior to the project period expiration date on the cooperative
agreement.
Broad guidelines have purposefully been presented in these instructions to permit the applicant to
develop the most appropriate and relevant plan for the technology business community in the
area represented by the applicant, provided that such activities are consistent with the legislative
purpose presented in Section III of this program announcement.
Although broad guidelines have been presented, the applicant must include a detailed
description of the plan. This section should address the objectives cited in 2(A)(ii)(b) above.
The plan should indicate not only what will be done, but also how it will be carried out. The
methods planned to achieve each objective or task should be discussed in detail (with
milestones). This should include how this proposal integrates and coordinates the proposed
activities with other state and local programs assisting small innovative technology firms in
the state(s).
1) Performance Indicators. Describe in detail the manner in which the applicant will
measure the results of the activities to be conducted. Applicants must present clear,
quantifiable and verifiable performance indicators in their proposals. The data from these
indicators shall be used to provide outcome and output data in the quarterly reports
throughout the performance period. In addition, program results will be used in the
development of future program announcements and the assessment of subsequent
proposals. In order for SBA to properly assess the FAST Program and provide accurate
information to our constituents, the indicators must be linked to the applicant’s proposed
FAST performance plan and must include both output and outcome data. A minimum of
five output and four outcome indicators must be used to demonstrate that the proposed
effort is progressing as described in the application and as a result of these activities the
desired effect(s) is being achieved.
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A few examples of program outputs would be the number of workshops/seminars held or
the number of mentoring relationships formed. The outcome of one of these activities
could be the submission of an SBIR proposal or a joint venture on an upcoming
SBIR/STTR requirement that results in a SBIR Phase I or II award or the
commercialization of an SBIR project which increases the state’s number of small
technology businesses participating in SBIR or increases the dollar value of Phase I or II
awards for the state from the previous year. Another program outcome could be a change
in the State’s overall Phase I or II ranking as a result of the FAST program. Outcomes
may be a blend of short and/or long-term program impact, but they must relate directly to
the activities funded under the proposed award. Describe what you will measure, how
you will measure it and what action will be taken if the desired result is not being
reached. Explain who will benefit from the services provided and how will they be
helped by these effort
2) Organization and Staff Qualifications. Identify key personnel involved in the
applicant’s proposal. Other organizations assisting the recipient in its application must be
identified, including qualifications of the organization and its personnel. Applicants
submitting a proposal under the announcement must provide an organizational chart
reflecting the number of full-time and part-time staff, and proposed use of volunteers as
well as the placement within the organization. Applicants must provide a point of contact
for the project’s outreach representative. This person will be the resource person for
clients interested in receiving FAST program services.
If a multiple state proposal is submitted, a lead state and lead servicing organization must be
designated in the proposal. Additionally details regarding the responsibilities and
grant/award administration of the lead organization must be clearly spelled out in the
narrative portion of the proposal. SBA will only enter into a legal funding agreement with
the legal entity designated as the lead organization under a joint or multi-state proposal.
Also, if multiple states are submitting a regional application and plan to utilize separate
entities, each state under the joint application must include a written agreement(s) between
the participating parties (include in Technical Supplement I), as well as an organizational
chart reflecting the number of full time and part-time staff, and proposed use of volunteers
for each organization proposing to provide services under this announcement.
Applicants must include the percentage of time each staff person will devote to the
project. Applicants must identify key management, staff, consultants, and subcontractors, including individual(s) responsible for financial record keeping and
reporting. Applicants must describe the function, including expertise and experience that
each employee brings to the organization--of particular relevance would be hightechnology entrepreneurial experience. Applicants must include resumes of the Project
Director and other key staff and sub-contractors. Resumes should provide sufficient
documentation to evidence the background, relevance, and proposed contributions of
relevant individuals and organizational entities. Where vitae are extensive, summaries that
focus on the most relevant experience or publications are desired. Also list all other
commitments that senior personnel may have during the proposed period of performance.
[NOTE. -- Vitae of key personnel identified in the proposal should be included
in “Technical Supplement I” of your Application.”]
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Each FAST recipient must appoint a Project Director to manage and coordinate the FAST
Program within the state. This position must be created/assigned to a qualified individual
within or to be hired by the recipient organization and the applicant must specify the amount
of time this individual will commit to the oversight and administration of the award. The
applicant must justify the adequacy of such time commitment to the proper administration of
the FAST award. This function cannot be subcontracted to a third party.
D. REQUIRED PROPOSAL SUBMISSION DATES
Close of business May 10, 2010.
SECTION V. APPLICATION REVIEW INFORMATION
A. EVALUATION CRITERIA FOR TECHNICAL PROPOSAL
Proposals Will be Judged on a Competitive Basis.
1) All proposals will be screened to confirm that the proposal requirements set in
this program announcement were met. Those proposals not in compliance will
be considered non-responsive and returned to the applicant without review.
Responsive applications are those proposals that comply with the proposal
requirements and instructions stated in this announcement. These applications
will be evaluated by the FAST Review Committee and FAST Final Review and Selection
Committee (FFRSC) .
Subject to the availability of funds, awards will be made by the Small Business
Administration, with concurrence from the National Science Foundation (NSF) and
Department of Defense (DoD). The content of the applications and evaluations will be kept
strictly confidential to the extent permitted by law.
Evaluation Criteria
The following six (6) criteria will be used in the proposal review and evaluation process:
1) Addressing Unmet Needs and Program Objectives. Whether the applicant has
demonstrated that the assistance to be provided would address unmet needs of small
business concerns in the community including small firms owned and controlled by
women, minorities and those small firms located in areas that have historically not
participated in the SBIR and STTR. Whether it is important to use Federal funding for
the proposed activities to be delivered to the targeted small business community,
including small minority and women-owned business and other historically under-served
small firms under the proposed award. Consideration will also be given to addressing the
unmet needs of businesses owned by service disabled veterans.
The Applicant must present clear objectives for the proposed effort and must demonstrate
the need for programs and services within the state(s) to increase the number and success
of small innovative technology businesses participating in the SBIR and STTR Programs.
Applicant must describe all other services currently being provided to such firms, and
why it is important to use Federal funding for the proposed effort.
(20 points)
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2) FAST Plan. Whether the applicant has demonstrated a plan most appropriate and
relevant for the technology business community in the area represented by the applicant,
in keeping with the legislative intent of the FAST program. Whether the applicant has
demonstrated relevance to the objectives defined in its program proposal. Does the
narrative plan include a detailed description of proposed services and assistance,
incorporating outreach, financial support, or technical assistance to technology-based
small business concerns participating in or interested in participating in the SBIR
program? Does the plan articulate not only what will be done, but also how it will
be carried out with the methods planned to achieve each objective or task discussed
in detail? Does the FAST Plan include how this proposal integrates and coordinates
the proposed activities with other state and local programs assisting small technology
firms in the State(s)? Does the applicant clearly describe how small minority, women
owned and historically non-participatory small business owners will be targeted to
receive services under the proposed award?
(30 points)
FAST Plan Incentive Points. In addressing these needs, applicants are encouraged to
utilize Hispanic Serving Institutions (HSIs), Historically Black Colleges and Universities
(HBCUs), other minority education institutions, and Tribal Colleges or Universities in the
conduct of the proposed FAST Plan. Applicants must address the needs of small business
concerns that are owned and controlled by women and minorities and those that are located
in areas that have not historically participated in the SBIR/STTR Programs.
(5 points)
3) Performance Indicators. Whether the applicant has described in detail the manner
in which the applicant will measure the results of the activities to be conducted, as well as
any outputs or outcomes. Has the applicant provided relevant output and outcome
indicator? Are these indicators properly linked to planned activities?
(20 points)
4) Organization and Staff Qualifications. Whether the applicant has identified key
personnel and organizational entities involved in the program. For any organizational
entity proposed to accomplish the program, has the applicant provided an organizational
chart reflecting the number of full-time and part-time staff, and proposed use of
volunteers? Is there sufficient documentation to evidence the background, and
proposed contributions of key individuals and organizational entities?
(20 points)
5) Cost Proposal. Are the projected costs of the proposed activities reasonable?
Do the matching funds comply with the guidelines and requirements? Has the
applicant provided cost breakdowns by activity including the projected number of
clients to be served?
(25 points)
Maximum Achievable Points 120
13
B. REVIEW AND SELECTION PROCESS
The SBA is the funding agency for the FAST Program. Funding recommendations will
be a collaborative effort between the SBA, National Science Foundation (NSF) and the
Department of Defense (DOD). The SBA may ask applicants for clarification on the
technical and cost aspects of the proposals. Such requests do not constitute a commitment
to fund the proposed effort.
Applications will undergo a two tier review process. The initial review will be conducted
by the FAST Review Committee (FRC). The FRC will be established to evaluate and score
eligible proposals based upon the criteria stated in this evaluation. The FRC may include
small business owners, state-level representatives, Federal SBIR Program managers, and
representatives of the business and academic communities. At the conclusion of the
evaluation of the applicants, scores will be tallied and ranked.
Proposals that meet the baseline score of 90 will be forwarded to the second tier evaluation
panel for review and funding recommendation. Applications with scores of 90 or more will
undergo a second level “joint” review by the FFRSC comprised of program officials
representing the SBA, Department of Defense and National Science Foundation. In addition
to conducting a joint review of the applications, the FFRSC will also review the
recommendations, summaries and rankings presented by the FRC.
SECTION VI. AWARD ADMINISTRATION
A. AWARD NOTICE
Awardees will be notified by the SBA’s Division of Procurement and Grants Management.
Those applicants not receiving an award can obtain a list of award recipients by visiting
our web site http://www.sba.gov.
B. REPORTING
1. General. The recipient must submit quarterly performance and financial reports. Both
financial and performance reports are due at pre-determined intervals. Detailed information
concerning the due dates for these reports is described below. The SBA will withhold
payments if performance and/or financial reports are not received timely or are deemed
inadequate. Violation of this requirement could also lead to termination of the grant.
One (1) original and one (1) copy of the performance and financial report shall be
submitted to the Grant Officer's Technical Representative (GOTR). The performance
report only must also be submitted to the GOTR electronically. Fax or e-mail
transmission of the performance report is acceptable.
Each report (Financial and Performance) shall include a cover sheet with the
following information:
a. The words “U.S. Small Business Administration,” and,
“Federal and State Technology (FAST) Partnership Program.”
b. The name of the state(s) represented.
c. The recipient name and Agreement Number.
14
d. The printed name, title, telephone number, FAX number, mailing address, e-mail
address, and signature of the recipient’s Project Director.
2. Performance Reports, SF PPR. The recipient must submit a quarterly performance report
summarizing all FAST-related activities undertaken during this time frame, using the objectives
and performance indicators proposed by the Applicant and incorporated into the Cooperative
Agreement. The recipient should present comprehensive information on the initiatives and
activities undertaken, including any loans or sub-grants, during the respective time period and
describe how these efforts correlate to the objectives and performance indicators incorporated
into the Cooperative Agreement.
A comparison of actual accomplishments to the estimated milestones established for the report
period should be included. Where milestones are not met, there should be an explanation of, or
reasons for slippage, with a plan of action to overcome those slippages; or a detailed statement of
how the program will better serve small innovative technology businesses if the milestones are
revised. The recipient should also highlight any outputs and outcomes that are the direct result of
the planned activities (i.e. client receiving a SBIR/STTR award or some other Federal
Technology award; number of proposals submitted in response to a Federal agency SBIR/STTR
solicitation; collaborative efforts established between small business and research partners; firms
that take advantage of mentoring services).
The first performance report is due no later than 45 days after the completion of the 1st quarter.
The 2nd and 3rd performance quarter reports are due no later than 30 days after the end of each
quarter. The final performance report is due no later than 45 days after the completion date of
this Cooperative Agreement.
The following are presented as the type of outputs that shall be reported.
(a) Training Activities (conferences, courses, seminars)
title of activity; date; location; duration; number of participants
paragraph describing the objectives of the training and evaluating
its effectiveness in meeting these objectives.
(b) Counseling/Technical Assistance Activities (generally one-on-one)
business/firm name, client, address, e-mail address, phone number;
dates of assistance (from – to)
paragraph describing the type of assistance provided.
(c) Other Activities, including significant accomplishments
mentoring programs; description of the program and services
outcomes and outputs that were a direct result of the recipient’s
planned activities.
The information below represents the types of outcomes to be reported. This list however is not
meant to be exhaustive. It is merely a tool to help applicants develop their own unique outcome
indicators. Applicants are strongly encouraged to develop customized outcome indicators that
coincide with their proposed efforts. Outcome data may be classified as either short, intermediate
or long-term.
15
The recipient must show how the outcome indicator is linked to a specific activity(s) described in
the proposal. Data for outcomes may not be readily available for the 1st and 2nd quarter
performance periods; therefore, the recipient should describe how a specific activity(s) is
progressing to achieve a desired outcome. By the end of the performance period outcome data
must be clearly documented in the final report. Outcome indicators may relate to increases in the
numbers of Phase I and II proposals submitted; economic indicators such as an increased
revenues due to the successful commercialization of an SBIR innovation, growth of the firm in
terms of an increase in the number of employees; expansion of the business into other areas of
innovation; and, an increase in the number of small technology firms interested in SBIR. Below
are other examples of outcomes that may be considered when devising your performance
indicators:
(a)
(b)
(c)
(d)
(e)
(f)
Number of SBIR/STTR Phase I proposals submitted by FAST participants
Number of SBIR/STTR Phase II proposals submitted by FAST participants
Number of SBIR/STTR Phase I and II proposals awarded to FAST participants
Number of Phase 0 awards issued to FAST participants
State’s rank in the number of SBIR awards (Phase I and II)
Number of Phase II projects advancing to the commercialization phase
3. Financial Reports, SF-425.
(a) The recipient must submit Federal Financial Reports on Standard Form 425
Federal Financial Report (SF-425) is due no later than 30-days after the end of each
Quarter. The fourth quarter report will serve as the final report.
(b) The recipient must provide detailed information relating to actual financial
expenditures of budget object cost category versus the estimated budget award.
The recipient must include an explanation of any cost overrun by budget object
cost category. Financial data furnished in this report is from a manager’s standpoint
and is attached to the final Financial Reports described below.
(c) The year-end report must include a cost breakdown, line item of actual financial
expenditures of cost incurred.
SECTION VII. AGENCY CONTACTS
A. PROGRAM POINTS OF CONTACT
Ms. Lisa Younger
Program Analyst
Office of Technology
U.S. Small Business Administration
409 Third Street, SW - Mail Code 6470
Washington, D.C. 20416
FAST@sba.gov
Ms. Shirley Smith
Program Analyst
Office of Technology
U.S. Small Business Administration
409 Third Street, SW - Mail Code 6470
16
Washington, D.C. 20416
FAST@sba.gov
B. FINANCIAL/GRANTS MANAGEMENT CONTACT
Ms. Monica Butler
Grant Management Officer
Division of Procurement and Grants Management
409 Third Street, SW - Mail Code 5331
Washington, D.C. 20416
electronic.grants@sba.gov
Due to the competitive process, SBA will be unable to assist with answers to specific questions
regarding individual proposals.
SECTION VIII. OTHER INFORMATION
A. ADVANCE UNDERSTANDINGS
Payment Under the Cooperative Agreement Award
SBA may disburse up to 25 percent of each year's Federal share awarded to a recipient after
notice of the award has been issued. Disbursements in excess of 25% of the total Federal share
of this award will not be considered or paid until satisfactory certification of matching funds has
been submitted to the GOTR.
B. DEFINITIONS
For purposes of this Program Announcement (Announcement), the following definitions shall
apply.
Applicant or Eligible Applicant - means an entity, organization, or individual that submits
a proposal for an award or a cooperative agreement under this Program Announcement.
Award - means financial assistance that provides support or stimulation to accomplish a
public purpose. Awards include grants and other agreements in the form of money or
property in lieu of money, by the Federal government to an eligible recipient.
Business Advice and Counseling. means providing advice and assistance on matters
described in section 35(c)(2)(B) [15 USC § 657c] to small business concerns to guide
them through the SBIR and STTR program process, from application to award and
successful completion of each phase of the program.
Grant Officer's Technical Representative (GOTR) - shall mean an employee of SBA’s
Office of Technology who is authorized to monitor the technical, schedules, and cost
performance against the proposed objectives, and work closely with the DPGM in the overall
administration of the grant. This individual is responsible for overseeing all programmatic
aspects of awards made under this Program Announcement.
Grants Management Officer - shall mean an employee of SBA’s Division of Procurement
17
and Grants Management (DPGM) who has been delegated authority, in addition to other grant
responsibilities, to obligate Federal funds by signing a Notice of Award.
Hispanic Serving Institution–as defined by Title V (20 U.S.C. 11011 et seq.) “an eligible
institution means—
(A) an institution of higher education—
(i)
That has enrollment of needy students as required by subsection (b);
(ii)
except as provided in section 512 (b), the average educational and general
expenditures of which of which are low, per full-time equivalent
undergraduate student in comparison with the average educational and
general expenditures per full-time equivalent undergraduate student of
institutions that offer similar instruction;
(iii)
that is –
(I)
(II)
(iv)
(v)
(vi)
legally authorized to provide, and provides within the State, an
educational program for with the institution awards a bachelor’s
degree; or
a junior or community college;
that is accredited by a nationally recognized accrediting agency or
association determined by the Secretary to be a reliable authority as to the
quality of training offered or that is according to such an agency or
association making reasonable progress toward accreditation.
that meets such other requirements as the Secretary may prescribe; and
that is located in a State; and
(B) any branch of any institution of higher education described under subparagraph (A)
that by itself satisfies the requirements contained in clauses (i) and (ii) of such
subparagraph.
Historically Black College or University – is defined as a black college or university that
was established prior to 1964, whose principle mission was, and is, the education of Black
Americans, and that is accredited by a nationally recognized agency or association
determined by the Secretary of Education to be a reliable authority as to the quality of
training offered or is making reasonable progress toward accreditation. (P.L. 96-374
amended 12/20/93 in P.L. 103-208).
Mentor - is a person or persons associated with a small business concern that has successfully
completed one or more SBIR or STTR funding agreements, and have agreed to guide small
business concerns through all stages of the SBIR or STTR Program process. (Mentor is also
defined in section 35(c)(2) [15 USC § 657c].
Mentoring Network - is defined as an association, organization, coalition, or other entity
(including an individual) that meets the requirements of section 35(c) [15 USC § 657c].
A Mentoring Network that is established under this Announcement must provide business
advice and counseling to high-technology small business concerns located in the state or
region served by the Mentoring Network and identified under Section 34(c)(1)(E)(ii) as
potential candidates for the SBIR or STTR Programs. For more explicit details concerning
18
the minimal requirements for establishing a Mentoring Network, refer to 15 USC § 657c.
Minority-owned Business–is defined as a small business which is unconditionally owned
and controlled by one or more socially and economically disadvantaged individuals
(minority-owned) who are of good character and citizens of the United States, and which
demonstrates potential for success.
Non-Federal Funds - shall mean a recipient’s cash, in-kind and/or program income
contribution in fulfillment of matching funds requirements under this Announcement.
One-to-One/Individualized Counseling - technical assistance provided either by a staff
member, an independent contractor, or a volunteer. It may be provided at the program site,
at the client’s business, or at an appropriate site for business where the contractor or
volunteer chooses to meet the client.
Outcomes
– The assessment of the results of the FAST program compared to its intended
purpose utilizing short, intermediate and long-term performance measurements to assess how
businesses benefited from the services provided in addition to how the state’s overall SBIR
performance has improved including but not limited to an increase in the number and dollar
amount of SBIR Phase I, II and III awards won by small technology firms.
Outputs
– Services produced by a program or organization such as a workshop, seminar or
individualized counseling and provided to the public or to other organizations.
Phase 0 Awards–Phase 0 is a general term indicating preliminary grant assistance designed
to support a successful Phase 1 SBIR or STTR proposal. Such funding can be for initial R&D
efforts to support a planned Phase 1 proposal, or as support funds for the planning, preparation
and evaluation of a Phase 1 proposal.
Planning Activity–an activity that a recipient performs in planning for the provision
of services to the small business or its clients.
Program Income–means gross income earned by the recipient that is directly generated by a
supported activity or earned as a result of the award. See OMB Circular A-110.2(x), 13 CFR
Part 143.25(b) for details. All program income as defined in DPGM or Chapter 13 of the
Code of Federal Regulations Circulars must be reported on financial reports submitted to SBA
and added to funds committed to the project by SBA and the recipient. Program income may
only be used to further eligible program objectives.
Project Director–shall mean a qualified individual employed by the recipient
and approved by the Office of Technology to direct the effort under the cooperative
agreement. This individual is responsible to officials of the recipient for the proper
management and conduct of the project.
Recipient–the term recipient is defined as a person or organization that receives an award
or becomes party to a cooperative agreement under this program announcement. The recipient
is responsible and accountable to SBA for the performance and financial management aspects
of the agreement award.
Service Disabled Veteran Owned Business-A small business concern owned and controlled
by a Service-Disabled Veteran or Service – Disabled Veterans, as defined in section 3(q) of
19
the Small Business Act (15 U.S.C. 632(q)) and SBA’s implementing SDVOSBC Program
Regulations (13 C.F.R. 125).
Small Business or Small Business Concern–shall mean a business concern that is at least
51 percent owned and controlled by one or more individuals who are citizens of, or permanent
resident aliens in, the United States; and does not have more than 500 employees, including its
affiliates. The size standards and size determination provision of 13 CFR Part 121,
particularly 13 CFR Section 121.901-907, shall apply.
State - means the fifty (50) states including the District of Columbia, the Commonwealth
of Puerto Rico, the Virgin Islands, Guam, and American Samoa.
Tribal College or University – as cited in Section 532 of the Equity in Educational LandGrants Status Act of 1994 (7 U.S.C. 301 note), any other institution that qualified for funding
under the Tribally Controlled Community College Assistance Act of 1978, (25 U.S.C. 1801
et. seq.), and Navajo Community College authorized in the Navajo Community College
Assistance Act of 1978 (P.L. 95-471, Title II (25 U.S.C. 640a note).
Women-owned Business–is a small business concern owned and controlled by women,
either start-up or existing, which is not less than 51 percent owned by one or more women
and the management and daily business operations are controlled by one or more women.
20
C. APPLICATION CHECKLIST
CHECKLIST FOR COMPLETING THE
APPLICATION FOR FEDERAL ASSISTANCE
( )
SF-424, Application for Federal Assistance
( )
SF-424B, Budget Information
( )
SF-424C, Assurances
Instructions for completing this form are provided on the reverse side of form
( )
Budget Detailed Worksheet and Narrative
Any category of expense not applicable to your budget may be deleted by the
SBA. The Worksheet and narrative must provide a clear correlation between the
costs and activities to be performed under the grant. Narratives must support all
costs shown on the Budget Detailed Worksheet.
( )
Technical Proposal
The Technical Proposal should be prepared in double spaced format and when
read separately from the rest of the application, serve as succinct and accurate
description of the proposed work. Applicants should concisely describe the goals
and objectives and methods for achieving. And provide a clear measurable "end
result" to be achieved. Summaries of past accomplishments should be avoided.
( )
Chart of Project Milestones
Applicants must provide a chart of monthly projections for all activities to be
performed under the grant project. Monthly projections must be measurable.
( )
Governor’s Letter of Endorsement
( )
Resumes and Position Descriptions for all Key personnel providing
services
If position is vacant, a position description must be provided.
( )
Organizational Chart and List of Board of Directors
( )
Tax Identification Documentation issued by the Internal Revenue Service
( )
SF-LLL Disclosure of Lobbying Activities
Instructions for completing this form are provided on reverse side of form Federal
funds under this award may not be used for lobbying activities
( )
SF-3881, ACH Vendor /Miscellaneous Payment Enrollment Form
21
Applicants are to complete the Payee/Company Information and Financial
Institution sections of this form only. The Agency Information section will be
completed by SBA.
( )
Debarment and Suspension – SBA Form 1623
( )
Organizations most recent audit report
( )
Indirect Cost Proposal
( )
Cost Policy Statement
( )
CPA Certification (or person of comparable expertise)
All applications must include a written statement form a certified public
accountant or person of comparable expertise to verify that it has an established
organizational infrastructure with an internal financial management system that
meets the standards prescribed in 2 CFR, Section .21 through 28.
22
APPENDIX A
STATE RANKINGS
23
U.S. Small Business Administration
Office of Technology
2010 FAST Competition
Low Ranked States Provide a
Non-Federal Match of $.50 for each $1 of Federal Funds
Ranking
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
State
Phase 1
Awards
9
9
8
8
7
6
6
5
5
5
4
4
3
1
0
0
0
0
Vermont
Rhode Island
Maine
Louisiana
Idaho
Wyoming
Alaska
Nevada
Kansas
Dist. of Columbia
West Virginia
Mississippi
North Dakota
South Dakota
Puerto Rico
American Samoa
Guam
Virgin Island
Phase 2
Awards
$1,061,543
$1,248,130
$724,223
$863,290
$677,354
$579,505
$514,825
$419,548
$499,184
$513,107
$339,737
$369,140
$250,000
$79,999
$0
$0
$0
$0
FY 2008 SBIR award data compiled by the U.S. Small Business Administration Office of Technology
Information based on number of awards issued and funding obligations for new awards only.
24
U.S. Small Business Administration
Office of Technology
2010 FAST Competition
Low Ranked States Provide a
Non-Federal Match of $.75 for each $1 of Federal Funds
Ranking
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
State
Phase 1
Awards
65
64
63
45
41
41
39
37
34
32
25
24
18
17
16
15
15
15
14
10
10
Connecticut
Illinois
Arizona
Georgia
Wisconsin
New Hampshire
Minnesota
Oregon
Utah
Indiana
Missouri
Tennessee
Kentucky
Arkansas
Oklahoma
South Carolina
Iowa
Hawaii
Delaware
Nebraska
Montana
Phase 2
Awards
$8,250,281
$6,739,990
$5,885,646
$5,111,083
$6,510,336
$3,784,982
$4,805,358
$5,925,790
$6,459,809
$3,115,252
$2,778,606
$2,310,867
$2,619,411
$1,819,690
$1,955,268
$1,985,481
$2,010,317
$1,633,416
$1,186,364
$2,847,027
$1,074,268
FY 2008 SBIR award data compiled by the U.S. Small Business Administration Office of Technology
Information based on number of awards issued and funding obligations for new awards only.
25
U.S. Small Business Administration
Office of Technology
2010 FAST Competition
Low Ranked States Provide a
Non-Federal Match of $1for each $1 of Federal Funds
Ranking
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
State
Phase 1
Awards
697
489
224
199
182
160
142
131
126
104
92
79
73
71
70
67
California
Massachusetts
Virginia
New York
Colorado
Maryland
Texas
Pennsylvania
Ohio
Florida
New Jersey
Michigan
Alabama
Washington
New Mexico
North Carolina
Phase 2
Awards
$82,515,946
$61,165,308
$21,037,229
$23,986,199
$19,024,192
$24,262,450
$16,523,542
$17,709,962
$14,200,043
$10,190,356
$10,438,810
$10,035,736
$7,117,149
$12,043,751
$7,754,476
$13,238,896
FY 2008 SBIR award data compiled by the U.S. Small Business Administration Office of Technology
Information based on number of awards issued and funding obligations for new awards only.
26
