City of Sacramento
City Council - 2PM Report
915 I Street Sacramento, CA 95814
www.cityofsacramento.org
File ID: 2023-00343 7/25/2023 Consent Item 5.
Acceptance of U.S. Small Business Administration Grant for Sacramento Neighborhoods Equity Initiative
File ID: 2023-00343
Location: Citywide
Recommendation: Adopt a Resolution authorizing the City Manager or the City Manager’s designee to: 1) execute a notice of award of a $300,000 grant from the U.S. Small Business Administration for the Sacramento Neighborhoods Equity Initiative; 2) conduct all negotiations with, and execute all other documents including applications, agreements, amendments, and payment requests required by, the U.S. Small Business Administration to receive the grant funding for the Sacramento Neighborhoods Equity Initiative; 3) establish the Neighborhoods Equity Initiative Project (G02180320); and 4) establish the revenue and expenditure budgets for G02180320 in the amount of $300,000 in the Operating Grant Fund (Fund 2702).
Contact: Mikel Davila, Senior Development Project Manager, (916) 808-8506, [email protected]; Denise Malvetti, Deputy Director, (916) 808-7064, [email protected]; Ginger Weagraff, Development Project Manager, (916) 808-1222, [email protected], Office of Innovation and Economic Development Presenter: None
Attachments:
1-Description/Analysis
2-Resolution
3-SBA Notice of Award
Additional Description/Analysis
Issue Detail: In April 2022, the Office of Innovation and Economic Development submitted a federal funding request seeking $1.5 million to establish the Sacramento Neighborhoods Equity Initiative (NEI).
On December 23, 2022, Congress passed the Consolidated Appropriations Act of 2023 and on
File ID: 2023-00343 7/25/2023 Consent Item 5.
December 29, 2022, President Joe Biden signed it into law. Within the “FY23 Community Project Fund,” the federal government awarded the City of Sacramento $300,000 in support of its NEI request.
Staff recommends focusing the grant award to provide business services along historically disinvested commercial corridors. Current business support services funded through the American Rescue Plan Act (ARPA) are ramping down, and this investment will continue technical assistance services to businesses facing challenges with recovery and growth. The NEI represents an opportunity to build on past successes and continue investing in the small businesses that drive our local economy.
Aligned with inclusive economic development and racial equity principles, NEI will focus on assisting underserved small- and micro-businesses such as women and black, indigenous, and people of color (BIPOC) owners and entrepreneurs. Types of assistance include providing technical assistance, offering inclusive outreach and case management, and assisting with contracting, access to capital opportunities, business incubation, as well as acceleration support. Staff will partner with local organizations specializing in business support services once the City fully executes a grant agreement with the U.S. Small Business Administration.
Policy Considerations: Budget Resolution 2023-0205, Section 11.1, requires City Council approval to establish operating grants of $250,000 or more.
Economic Impacts: NEI will contribute to the revitalization efforts of historically disinvested commercial corridors by supporting disadvantaged small- and micro-businesses recover from the negative economic impacts of the COVID-19 pandemic.
Environmental Considerations: This action is exempt from the provisions of the California Environmental Quality Act (CEQA), consistent with sections 15378(b)(4), (5) of the CEQA Guidelines, which provide that the creation of government funding mechanisms or other government fiscal activities which do not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment and organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment are not subject to environmental review. Further, it can be seen with certainty that there is no possibility that this action may have a significant effect on the environment. (CEQA Guidelines section 15061(b)(3).)
Sustainability: Not applicable.
Commission/Committee Action: Not applicable.
Rationale for Recommendation: Staff recommends accepting the grant award because it builds upon the past and present investments along historically disinvested commercial corridors. The grant
File ID: 2023-00343 7/25/2023 Consent Item 5.
award also helps to offset the disproportionate impacts these commercial corridors experienced during the COVID-19 pandemic and aids in an equitable recovery.
Financial Considerations: The total grant award is $300,000. The grant does not require matching funds. To properly track grant funds, staff recommends establishing the Neighborhoods Equity Initiative Project (G02180320) with revenue and expenditures budgets in the amount of $300,000 in the Operating Grant Fund (2702).
Local Business Enterprise (LBE): Not applicable.
RESOLUTION NO. 2023-
Adopted by the Sacramento City Council
July 25, 2023
Acceptance of U.S. Small Business Administration Grant for Sacramento Neighborhoods Equity Initiative
BACKGROUND
A. In April 2022, the City submitted a federal funding request seeking $1.5 million to establish the Sacramento Neighborhoods Equity Initiative.
B. On December 23, 2022, Congress passed the Consolidated Appropriations Act of 2023 and on December 29, 2022, President Joe Biden signed it into law. Within the “FY23 Community Project Fund,” the federal government awarded the City of Sacramento $300,000 in support of its Sacramento Neighborhoods Equity Initiative.
BASED ON THE FACTS SET FORTH IN THE BACKGROUND, THE CITY COUNCIL RESOLVES AS FOLLOWS:
Section 1. The City Manager or the City Manager’s designee is authorized to execute a notice of award of a $300,000 grant from the U.S. Small Business Administration for the Sacramento Neighborhoods Equity Initiative; the notice of award is attached as Exhibit A and is part of this resolution.
Section 2. The City Manager or the City Manager’s designee is authorized to conduct all negotiations with, and execute all other documents including applications, agreements, amendments, and payment requests required by, the U.S. Small Business Administration to receive the grant funding for the Sacramento Neighborhoods Equity Initiative.
Section 3. The City Manager or the City Manager’s designee is authorized to establish the Neighborhoods Equity Initiative Project (G02180320).
Section 4. The City Manager or the City Manager’s designee is authorized to establish the revenue and expenditure budgets for G02180320 in the amount of $300,000 in the Operating Grant Fund (Fund 2702).
Table of Contents:
Exhibit A – U.S. Small Business Administration Notice of Award
SBA Award Standard Terms and Conditions
U.S. Small Business Administration
FY 23 Congressional Community Projects
Recipient: City of Sacramento
Federal Assistance Award Number: SBAHQ23I0077
Award Amount: $300,000
Grants Management Officer:
Name: Phuc Nguyen
Email: [email protected]
Purpose: SEC. 542. For an additional amount for ‘‘Small Business Administration—Salaries and Expenses’ Congressional funding has been established which shall be for initiatives related to small business development and entrepreneurship, including programmatic and construction activities, in the amounts and for the projects specified in the table that appears under the heading ‘‘Administrative Provisions—Small Business Administration’’ in the explanatory statement described in section 4 (in the matter preceding division A of this consolidated Act): Provided, That, notwithstanding sections 13 2701.92 and 2701.93 of title 2, Code of Federal Regulations, the Administrator of the Small Business Administration may permit awards to subrecipients for initiatives funded under this section: Provided further, That none of the funds made available by this section may be transferred for any other purpose.
Project Title: Sacramento Neighborhood Equity Initiative
Project Summary: This initiative will contribute to an inclusive economy in Sacramento, including support for women- and minority-owned entrepreneurs and small/micro businesses. Funding would be dedicated to business technical assistance, case management, outreach, contracting opportunities, incubation and acceleration, and overall business support activities that contribute to commercial corridor revitalization.
Award Terms and Conditions
1. Standard Term - Acceptance of the Terms of an Award
By drawing or otherwise obtaining funds from the Small Business Administration (SBA), the non- federal entity acknowledges acceptance of the terms and conditions of the award and is obligated to perform in accordance with the requirements of the award.
Certification Statement: By drawing down funds, the non-federal entity certifies that proper financial management controls and accounting systems, to include personnel policies and procedures, have been established to adequately administer federal awards and funds drawn down.
Non-federal entities of Small Business Administration (SBA) earmark agreement must comply with all terms and conditions of their awards, including: (a) terms and conditions included in the SBA Grants Policy effective at the time of award including the requirements of OMB grants
SBA Award Standard Terms and Conditions
administration regulations; (b) requirements of the authorizing statutes and implementing regulations for the program under which the award is funded; (c) applicable requirements or limitations in appropriations acts; and (d) any requirements specific to the particular award specified in program policy and guidance.
2. Standard Term - Award Expectations
The stipulated reporting requirements as part of this award must be addressed by the project end date. Additional terms and/or conditions may be applied to this award if outstanding financial or programmatic compliance issues are identified by SBA.
3. Standard Term - Administrative and National Policy Requirements Public policy requirements are requirements with a broader national purpose than that of the Federal sponsoring program or award that an applicant/non-federal entity must adhere to as a prerequisite to and/or condition of an award. Public policy requirements are established by statute, regulation, DOJ, and OMB memorandums, or Executive order. In some cases, they relate to general activities, such as preservation of the environment, while, in other cases they are integral to the purposes of the award-supported activities. An application funded with the release of federal funds through a grant award does not constitute or imply compliance with federal statute and regulations. Funded organizations are responsible for ensuring that their activities comply with all applicable federal regulation requirements.
4. Standard Term - Executive Pay
The Consolidated Appropriations Act, 2020 (Pub. L.116-94) signed into law on December 20, 2019, restricts the amount of direct salary to Executive Level II of the Federal Executive Pay scale. The Executive Level II salary per E.O. 13756, was increased to $199,300 effective January 2021.
The law limits the salary amount that may be awarded and charged to SBA assistance agreements and cooperative agreements. Award funds may not be used to pay the salary of any individual at a rate in excess of Executive Level II. This amount reflects an individual’s base salary e x c l u s i v e of fringe and any income that an individual may be permitted to earn outside of the duties to the applicant organization. This salary limitation also applies to subawards/subcontracts under an SBA grant or cooperative agreement.
5. Standard Term - Non-federal Entity Responsibilities
a. Be responsive to SBA requests for information and communication. Changes to Your organization’s contact information, including Your Agreement Officer Representative (AOR) or other key personnel designated representatives, must be reported promptly to SBA.
b. Cooperate with all programmatic and financial examinations and any accreditation or certification reviews conducted by SBA, its agents, or contractors. You will promptly address and act upon all findings regarding Your project made as part of any such process.
• Provide full access to all activities supported with project funds to the general public without regard to their participation in any paid membership or subscription plan.
SBA Award Standard Terms and Conditions
• Maintain adequate staffing levels for the delivery of client services, including replacing Key Personnel no more than 60 days after they cease their involvement with the project.
• Participate in SBA surveys and studies regarding the effectiveness and outcomes of the program/project, curriculum, types of assistance, service delivery methods, etc."
c. Coordinate with SBA and other Agency resource partners operating within Your project service area to maximize the effectiveness of Your efforts and avoid duplication of products and services.
d. Promote SBA programs, products, and services to clients, as appropriate. e. Maintain adequate, readily accessible facilities for assisting clients. f. Provide meaningful access to project services for clients with limited English language proficiency and/or disabilities.
g. Submit and update information to USASpending.gov and other Federal databases, as required.
6. Standard Term - Recipient Integrity and Performance
Appendix XII to 2 CFR Part 200
i. Reporting of Matters Related to Recipient Integrity and Performance • Proceedings About Which You Must Report
Submit the information required about each proceeding that:
• Is in connection with the award or performance of a
grant, cooperative agreement, or procurement contract from the Federal Government;
• Reached its final disposition during the most recent five-year period; and • If one of the following:
• A criminal proceeding that resulted in a
conviction, as defined in paragraph 5 of this award
term and condition;
• A civil proceeding that resulted in a finding of
fault and liability and payment of a monetary fine,
penalty, reimbursement, restitution, or damages of
$5,000 or more;
• An administrative proceeding, as defined in
paragraph 5 of this award term and condition, that
resulted in a finding of fault and liability and your
payment of either a monetary fine or penalty of
$5,000 or more or reimbursement, restitution, or
damages in excess of $100,000; or
SBA Award Standard Terms and Conditions
• Any other criminal, civil, or administrative proceeding if:
• It could have led to an outcome described in
paragraph 2.c.(1), (2), or
(3) of this award term and condition;
• It had a different disposition arrived at by consent or compromise with an acknowledgement of fault on your part; and
• The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations.
• Reporting Frequency
Unless specified otherwise in the Special Terms and Conditions for Your award, the following reporting timelines apply:
For multi-year performance periods, annual financial and performance reports are due thirty (30) days after each year.
Final Financial Reporting – Non-Federal Entities are required to submit at the end of the performance period (form SF-425).
Final Performance Report – The final report is due thirty (30) days after the period of performance and must be sent directly to your assigned Grants Management Officer.
Reports must be emailed to your designated Grants Management Officer:
Grants Management Officer: Phuc Nguyen
Email: [email protected]
7. Standard Term - Acknowledgement of SBA Support/Use of SBA’s Logo/Publication Requirements.
It is important that Your clients and the general public are aware of the Congressional Community Program and SBA’s role in this project, as well as the taxpayer funded support the Agency is providing under this Award. Therefore, You must include the following acknowledgment of support statement on all materials produced in whole or in part with Project Funds:
“Funded [in part] through a Grant with the U.S. Small Business Administration.” For purposes of this requirement, the term “materials” includes, but is not limited to, press releases, brochures, pamphlets, handouts, reports, advertisements, books, curricula, websites, video or audio productions, and similar items regardless of the medium employed. The term “materials” does not include stationery or business cards and SBA’s logo may not be used on such items.
Where the non-federal entity (You) use Project Funds to produce materials featuring editorial content, You must use the following alternate acknowledgment of support statement (either independently or in conjunction with the SBA logo):
“Funded in part through a Grant with the U.S. Small Business Administration. All opinions, conclusions, and/or recommendations expressed herein are those of the author(s) and do not necessarily reflect the views of the SBA.”
SBA Award Standard Terms and Conditions
In addition, You must display signage featuring the SBA logo at all facilities that are open to the public and which are being used for project activities. Such signage must prominently feature the acknowledgment of support statement identified above.
Where used, the acknowledgment of support statement must be presented in a legible typeface, font size, and (where applicable) color contrast and 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, You may use “SBA” in the acknowledgment of support statement instead of “U.S. Small Business Administration.”
You may elect to use SBA’s logo on materials produced with Project Funds. You may contact the GMO in order to obtain a high-resolution copy of SBA’s logo and a copy of SBA’s Graphic and Use Guide. Where used, the SBA logo may be positioned in close proximity to Your organization’s logo or may be placed in a prominent location elsewhere in the material. However, SBA’s logo may not be placed in close proximity to any third party’s logo, or used in such a way as may imply that a relationship exists between SBA and any third party (Note: Your organization’s parent entity is not considered a third party). Additionally, in each instance where You use the SBA logo, You must also include the acknowledgement of support statement in reasonably close proximity to the logo.
Neither the SBA logo nor the acknowledgment of support statement may be used in connection with activities outside the scope of this Award. In particular, UNDER NO CIRCUMSTANCES may the SBA logo or acknowledgment of support statement appear on items used in conjunction with fundraising, lobbying, or the express or implied endorsement of any goods, service, entity, or individual. Additionally, You may not use the SBA logo on any social media sites or services without obtaining prior approval from SBA. For further guidance regarding the prior approval process, see Part III(A)(13) above.
8. Standard Term - Mandatory Disclosures
Recipients must disclose in a timely manner, in writing to the SBA awarding agency with a copy to the SBA Office of Inspector General (OIG), all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award.
Subrecipients must disclose, in a timely manner, in writing to the prime recipient (pass through entity) and the SBA OIG, all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. Disclosures must be sent in writing to the awarding agency and to the SBA OIG and OGM at the following addresses:
US Small Business Administration
Attention: Office of Grants Management
409 3rd Street SW, Suite 500
Washington, DC 20416
AND
US Small Business Administration
Office of Inspector General
409 3rd Street SW, 5th Floor
SBA Award Standard Terms and Conditions
Washington, DC 20416
Failure to make required disclosures can result in any of the remedies for noncompliance, including suspension or debarment.
9. Lobbying Restrictions
Recipients are subject to the restrictions on lobbying. 18 U.S.C. § 1913, No part of the money appropriated by any enactment of Congress shall, in the absence of express authorization by Congress, be used directly or indirectly to pay for any personal service, advertisement, telegram, telephone, letter, printed or written matter, or other device, intended or designed to influence in any manner a Member of Congress, a jurisdiction, or an official of any government, to favor, adopt, or oppose, by vote or otherwise, any legislation, law, ratification, policy, or appropriation, whether before or after the introduction of any bill, measure, or resolution proposing such legislation, law, ratification, policy, or appropriation; but this shall not prevent officers or employees of the United States or of its departments or agencies from communicating to any such Member or official, at his/her request, or to Congress or such official, through the proper official channels, requests for any legislation, law, ratification, policy, or appropriations which they deem necessary for the efficient conduct of the public business, or from making any communication whose prohibition by this section might, in the opinion of the Attorney General, violate the Constitution or interfere with the conduct of foreign policy, counter- intelligence, intelligence, or national security activities.
Violations of this section shall constitute as a violation of 31 U.S.C. § 1352(a).
10. Drug-Free Workplace
The Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.) requires that all organizations receiving grants from any Federal agency agree to maintain a drug-free workplace. By signing the application, the AOR agrees that the Non-federal entity will provide a drug-free workplace and will comply with the requirement to notify NIH if an employee is convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment. Government wide requirements for Drug- Free Workplace for Financial Assistance are found in 2 CFR part 182; SBA implementing regulations are set forth in 2 CFR part 382.400. All non-federal entities of SBA grant funds must comply with the requirements in Subpart B (or Subpart C if the non-federal entity is an individual) of part 382.
11. Non- Transferability
This Award may not be transferred or assigned (either in whole or in part) without prior written approval from SBA. Additionally, no interest in this Award may be conferred upon a third party and the Award may not be pledged as collateral or security.
12. Standard Term - Advancing Racial Equity and Support for Underserved Communities Executive Order: Advancing Racial Equity and Support for Underserved Communities through the Federal Governments (E.O. 13985 can be found at:
https://www.federalregister.gov/documents/2021/01/25/2021-01753/advancing-racial-equity-and- support-for-underserved-communities-through-the-federal-government )
SBA Award Standard Terms and Conditions
13. Standard Term - Trafficking Victims Protection Act of 2000 (22 U.S.C. 7104(G)), as amended, and 2 C.F.R. PART 175
The Trafficking Victims Protection Act of 2000 authorizes termination of financial assistance provided to a private entity, without penalty to the federal government, if the recipient or subrecipient engages in certain activities related to trafficking in persons. 2 C.F.R. § 175.15(b). See http://www.gpo.gov/fdsys/pkg/CFR-2012-title2-vol1/pdf/CFR-2012- title2-vol1-sec175-15.pdf.
Award Term from Trafficking in persons.
a. Provisions applicable to a recipient that is a private entity. 1) You, as the recipient, your employees, subrecipients under this award, and subrecipients’ employees may not:
a) Engage in severe forms of trafficking in persons during the period of time that the award is in effect;
b) Procure a commercial sex act during the period of time that the award is in effect; or c) 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 subrecipient that is a private entity:
a) Is determined to have violated a prohibition in paragraph a.1 of this award term; or b) 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:
i. Associated with performance under this award; or
ii. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 C.F.R. Part 180, “OMB Guidelines to Agencies on and Suspension (Non- procurement).”
b. Provision applicable to a non-federal entity other than a private entity. We as the federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient 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:
a) Associated with performance under this award; or
b) Imputed to the subrecipient 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 (Non-
SBA Award Standard Terms and Conditions
procurement),” as implemented by our agency at 2 CFR Part 1125. c. Provisions applicable to any non-federal entity.
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:
a) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)); and
b) 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:
• An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or
• 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”:
• 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.
• Includes:
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).
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).
14. Standard Term - Accessibility Provisions
Non-federal entities of federal financial assistance (FFA) from SBA must administer their programs in compliance with federal civil rights law. This means that non-federal entities of SBA funds must ensure equal access to their programs without regard to a person’s race, color, national origin,
SBA Award Standard Terms and Conditions
disability, age, and in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency. SBA provides guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency.
The SBA Office for Civil Rights also provides guidance on complying with civil rights laws enforced by SBA.
Recipients of SBA also have specific legal obligations for serving qualified individuals with disabilities. Please contact the SBA Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at 1- 800-827-5722.
15. Standard Term - Accessibility of Facilities and Events
In accordance with the Americans With Disabilities Act of 1990 (42 U.S.C. § 12101 et seq.) and § 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794), all facilities You use to provide services to the public in connection with this project must be accessible by persons with disabilities. In addition, all notices, promotional items, brochures, publications, and media announcements informing the public of events, programs, meetings, seminars, conferences and workshops conducted pursuant to this project 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 [insert contact information for the person who will make the arrangements]."
16. Standard Term - Data Collection and Performance Measurement:
All non-federal entities are required to collect and report evaluation data to ensure the effectiveness and efficiency of its programs under the Government Performance and Results (GPRA) Modernization Act of 2010 (P.L. 102-62). Non-federal entities must comply with the performance goals, milestones, and expected outcomes.
17. Standard Term - Procurement of Goods and Services:
You are encouraged to follow your own procurement policies and procedures when contracting with Project Funds. Additionally, when using Project Funds to procure supplies and/or equipment, You are encouraged to purchase American-manufactured goods to the maximum extent practicable.
American-manufactured goods are those products for which the cost of their component parts that were mined, produced, or manufactured in the United States exceeds 50 percent of the total cost of all their components. For further guidance regarding what constitutes an American-manufactured good (also known as a domestic end product), see 48 C.F.R. Part 25.
18. Standard Term – Recordkeeping
You must maintain complete and accurate records and supporting documentation of sufficient detail to facilitate a thorough financial, programmatic, and/or legal compliance audit or examination of this project. You must make these records available to SBA, its agents, its Office of Inspector General, and/or Federal investigators on demand and provide them with unrestricted access to review and make copies of all products, materials, and data, including those prepared or stored electronically. Standard Term - Submitting Responses to Conditions and Reporting Requirements. Unless otherwise identified in the special terms and conditions of award and post award requests, all responses to special terms and conditions of award and post award requests
SBA Award Standard Terms and Conditions
must be submitted to the Office of Grants Management (OGM).
19. Standard Term - FAIN/UEI
The Unique Entity Identifier (formerly DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A Unique Entity Identifier number may be obtained from the D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).
20. Standard Term – Whistleblower Protection
If you are a Federal employee, or employee of a contractor, subcontractor, or grantee submitting information to the SBA OIG regarding fraud waste or abuse in the SBA’s programs or operations, you are probably a whistleblower. Please be aware, however that specific criteria apply to whistleblower protections afforded by law. For example, disclosures by current and former federal employees, applicants for federal employment, and employees of a federal contractor, subcontractor, or grantee have special meaning and protections.
Federal law prohibits governmental personnel from retaliating against an employee who acts as a whistleblower by reporting suspected waste, fraud or abuse to the OIG. Under the Federal prohibited personnel practices, 5 U.S.C. §2302(b)(8), employees may not “take or fail to take, or threaten to take or fail to take, a personnel action with respect to any employee or applicant for employment” because the person has disclosed information to an OIG which he or she reasonably believes is evidence of (1) a violation of any law, rule, or regulation, or (2) gross mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, so long as the disclosure is not specifically prohibited by law or Executive Order.
Reporting Fraud
The OIG encourages all SBA employees and lenders to be on the lookout for fraud. If you suspect fraud, please report it to the OIG immediately by contacting the OIG Hotline at 1-800-767-0385 or [email protected](link sends e-mail).
21. Standard Term – Restrictions on Certain Types of Clients You may not utilize project resources to provide counseling services to any concern that:
• is other than small;
• is based in a foreign country;
• is engaged in any activity that is illegal under federal, state, or local law or that can reasonably be determined to support or facilitate any activity that is illegal under federal, state, or local law; • derives more than one-third of its gross annual revenue from legal gambling activities; • presents live performances of a prurient sexual nature or derives more than a de-minimus amount of revenue from the sale of products or services of a prurient sexual nature; • is not organized for profit (Exception: To the extent it does not negatively impact the goals or milestones established under this Award or detract from its core purpose, You may use project resources to counsel non-profit organizations that devote a significant portion of their activities to assisting entrepreneurs).
SBA Award Standard Terms and Conditions
22. Standard Term – Governing Authority/Order of Precedence This Award is subject to the following requirements and representations, whether stated explicitly or incorporated by reference:
1. The statutes, regulations, and policy documents cited in Blocks 1 and 14 of the Notice of Award cover page and any other relevant, subsequently enacted laws.
2. Those terms and conditions set forth below.
3. Your accepted application for this Award, including all forms and assurances, and any subsequently approved additions or modifications.
In the event of a conflict between these requirements, the Order of Precedence listed above will determine which prevails. Unless explicitly stated otherwise, all deadlines discussed in this Notice of Award will be measured in terms of calendar days. By signing Block 23 of the Notice of Award cover page, You acknowledge Your acceptance of all these requirements.
Definitions
The definitions listed below apply to all SBA Awards. Additional definitions relating to a particular SBA program may be found in the grant program regulations, Program Announcement, and/or Special Terms and Conditions.
Earmark – Earmarks are grants that are appropriated by Congress prior to a peer review. The term "earmark" is a reference to the Congressional Record where the awards are written into legislation specifically with the grant applicant's name, activity, and dollar amounts. a. Client – an entity receiving technical assistance under this Award. A Client may be an existing small business concern, or an individual interested in owning and operating a small business concern.
b. Client Information – files and records concerning a Client, as well as any information that could be used to identify, contact, or locate a Client. Does not include statistics or similar data that is not attributed to a particular Client.
c. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C: a. A governmental organization, which is a state, local government, or Indian Tribe;
b. A foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or foreign for-profit organization; and e. A Federal agency, but only as a subrecipient under an award or subaward to a nonfederal entity.
e. Key Personnel – those individuals who play a crucial role in the conduct of a project.
Examples include directors, managers, counselors, and instructors, but not support staff. f. Program Income – additional funds generated through the conduct of project activities.
Includes, but is not limited to, income derived from service or event fees, sales of commodities, repayments of interest or principal on loans made with Project Funds, and usage or rental fees.
SBA Award Standard Terms and Conditions
Does not include interest earned on advances of Federal funds. g. Unique entity identifier (UEI) means the identifier required for SAM registration to uniquely identify business entities.
h. You – the non-federal entity organization (recipient) for the Award.