NIST MEP Information Reporting Renewal Guidelines

Making an Impact on U.S. Manufacturing

NIST MEP Renewal
Guidelines
For NIST MEP Center Base Cooperative Agreements Competitively
Awarded Under Multi-Year Funding Procedures
March 2018
OMB Control No. 0693-0032; Expiration Date: 09-30-2018

TABLE OF CONTENTS
Part I. Overview............................................................................................................................................ 1
Multi-year Awards with Annual Funding ................................................................................................ 1
Modular Approach to Cooperative Agreement Management .............................................................. 2
Part II. Renewal Packages ........................................................................................................................... 3
Timeline and Document Submission Procedures................................................................................... 3
Revised Required Plans: Scope of Work ................................................................................................. 5
Revised Required Plans: Intellectual Property Plan ............................................................................... 7
Revised Required Plans: Multi-Year Budgets ......................................................................................... 8
Appendix 1: Operating Outcome Plan Guidance ...................................................................................... 12
Element I: Center Client Level Activities by Type of Company ............................................................ 12
Element II: Top and Bottom Line Growth............................................................................................. 13
Element III: Performance Measures ..................................................................................................... 15
Appendix 2: References ............................................................................................................................. 16

NIST MEP Multiyear Renewal Guidelines

i

March 2018

Part I. Overview
These National Institute of Standards and Technology (NIST) Hollings Manufacturing Extension
Partnership (MEP) Renewal Guidelines apply to the multi-year NIST MEP Center base cooperative
agreements awarded by NIST pursuant to a competitive award process. These Renewal Guidelines
supplement and should be read in conjunction with the NIST MEP General Terms and Conditions. As
necessary, these Renewal Guidelines will be revised by NIST to reflect changes to the program
requirements. Revisions to the Renewal Guidelines will be transmitted uniformly to Centers with
sufficient lead-time to accommodate any changes. NIST MEP Centers should contact their NIST MEP
Federal Program Officer (FPO), Regional Manager (RM), and NIST Grants Management Specialist
(GMS) (collectively referred to as the “NIST MEP Regional Team”) for assistance, or with comments
or questions.
Part I of these Renewal Guidelines provides an overview of the renewal of NIST MEP base awards.
Part II of these Renewal Guidelines discusses the format and required content for a Center’s renewal
package, including information and documentation requirements for the NIST MEP project budget
and supporting budget narrative, and is intended to assist Centers in ensuring that the NIST MEP
project budget supports the Center’s project activities and performance outcomes. Centers are
required to use the NIST MEP budget templates that have been approved by the Office of
Management and Budget (OMB) under Control Number 0693-0032 when submitting these
documents.
Appendix 1 provides guidelines for the preparation of a Center’s Operating Outcome Plan and is
intended to assist Centers in translating the strategies and efforts detailed in their cooperative
agreement proposal/scope of work to measurable operating year outcomes during the term of their
NIST MEP cooperative agreement.
Appendix 2 includes references to information that might be helpful to centers submitting renewal
documentation.
These Guidelines frequently refer to MEP's Enterprise Information System (MEIS). MEIS is MEP’s
integrated enterprise information system.

Multi-year Awards with Annual Funding
The NIST MEP Center base cooperative agreements are for a five-year period of performance.
However, multi-year awards are funded in yearly allotments, with annual funding contingent upon
the continued availability of funds, satisfactory performance, and continued relevance of program
objectives, and at the sole discretion of the U.S. Department of Commerce. In addition, funding for
years four and five is contingent upon a positive panel evaluation conducted during the third year of
the award (see Section 16 of the MEP General Terms and Conditions (2018)).

NIST MEP Multiyear Renewal Guidelines

1

March 2018

Modular Approach to Cooperative Agreement Management
NIST MEP uses a modular approach for cooperative agreement management. Documents are
requested from the Centers which are then leveraged at various times to guide the Center in its
execution of the MEP award.

Propose

Operationalize

Monitor

Adjust

•Scope of Work (SOW) (formerly "Background Document" or
"FFO Response")*
•Award (CD-450s, Special Award Conditions (SACs), Applicable
regulations)

•Operating Outcome Plans
•Detailed, Multi-year Budgets*
•Intellectual Property (IP) Plans*

•Reporting (Progress Plans, SF-425s, Operating Outcome Plan
Progress)
•Annual/Panel Reviews
•Board Bylaws

•Revisions to various documents
•Amendments (CD-451s)
1

The first step is the Center’s submission of a proposal in response to the Announcement or Notice of
Federal Funding Opportunity issued by NIST. NIST then incorporates the proposal (Scope of Work)
and Five-year Budget Summary into the funding instrument issued to the Centers.
After the initial award is made, Centers provide detailed Operating Outcome Plans and multi-year
budgets for the initial three years of the award, and an intellectual property management plan (IP
Plan) covering the life of the award. These documents supplement the Center’s Scope of Work and
Five-year Budget Summary. These documents serve as a Center’s road map for the life of the fiveyear award. As part of the panel evaluation in the third year of the award, Centers provide draft
documents for review. After the evaluation, Centers will provide revised documents for the
remaining two years of the award. Specific instructions will be provided to the Centers prior to the
start of the panel evaluation process.
Through ongoing collaboration with the Center’s assigned NIST MEP Regional Team, the Center uses
the Scope of Work, multi-year budgets, IP Plan, Board Bylaws and Operating Outcome Plan to
execute the cooperative agreement. These “living documents” should be periodically reviewed and,
if appropriate, revised by the Center.
1

* indicates Required Plan as referenced in the NIST MEP General Terms and Conditions

NIST MEP Multiyear Renewal Guidelines

2

March 2018

Per the NIST MEP General Terms and Conditions, the Center’s Scope of Work, IP Plan, and multi-year
budgets are collectively referred to as the “Required Plans.” Revisions to these documents must be
reviewed first by the NIST MEP Regional Team, and then approved by the NIST Grants Officer. Upon
approval by the NIST Grants Officer, the documents are incorporated by reference into the terms
and conditions of the Center’s cooperative agreement. Operating Outcome Plans and Board Bylaws
are not part of the Required Plans and, therefore, do not require approval by the NIST Grants Officer
when revised.

Part II. Renewal Packages
Timeline and Document Submission Procedures

NIST MEP Regional Teams assess the Required Plans and other supporting documents annually
during scheduled reviews or evaluations. After the review or evaluation, Centers receive custom
renewal instructions via email from the NIST MEP Regional Team. Centers develop documentation in
accordance with the instructions provided. Revised Operating Outcome Plans should be submitted
via MEIS. All other documents in the draft renewal packages must be sent to the NIST MEP Regional
Team via email to [email protected] no later than ninety (90) days before end date of the current
cooperative agreement, copying their assigned NIST MEP Regional Team members on the email
submission. Final versions, which address comments/issues raised by the NIST MEP Regional Team,
are due no later than sixty (60) days before the end date of the current cooperative agreement.
Templates for use in developing the submissions are available from your assigned FPO or on the
MEIS dashboard. All Centers are required to use the OMB-approved, NIST MEP templates when
submitting their Five-Year Budget Summary Tables and Single-Year Budget Workbooks. Budgets that
are not in the required format will be returned without review.

NIST MEP Multiyear Renewal Guidelines

3

March 2018

Aside from standard Federal forms, submissions should be in MS Word and MS Excel formats (do not
submit PDFs). As a reminder, original signed versions of documents are not required to be mailed to
NIST. Electronic scans of signed documents or digitally signed documents are sufficient.
Submissions must include:
•
•

Standard form (SF)-424B - Assurances – Non-Construction Programs
CD-511 - Certification Regarding Lobbying

If applicable, as identified during the review or evaluation, the following documents should also be
submitted:
•
•
•
•
•

FAM 2015-1 Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid
Federal Tax Assessments and Delinquent Federal Tax Returns
Revised Scope of Work (formerly “Background Document” or “FFO Response”) – REDACT
ORIGINAL BUDGET TABLES, if present
Revised Operating Outcome Plan (via MEIS)
Revised Five-Year Budget Summary Table (in lieu of revised, prior year SF-424As)
Revised detailed budget documentation– Centers should submit one Single-Year Budget
Workbook for each year requiring revision as identified in the Annual Review or Evaluation
report). Do not copy and paste budget tables into any of the other documents. Each workbook
includes the following tabs:





Budget Summary Table
Revenue Description
Expense Tables and Justification
Subrecipient/Third Party In-Kind Contribution Table & Justification

Please note that revised detailed budget workbooks are not required for prior years except in
specific cases (e.g. if the change impacts the sources of match under 2 C.F.R. 200.308(c)(1)(VII)).
Centers should contact their NIST MEP Regional Team if they are unsure if detailed budget
workbooks for prior years are required for revisions.
•
•
•
•
•
•

Draft Subrecipient agreements with valuations of $150,000 or more with associated detailed
budget tables for the renewal period (multi-year agreements are acceptable)
Draft Third Party In-Kind Contributor (TPC) agreements with valuations of $150,000 or more with
associated detailed budget tables for the renewal period (multi-year agreements are acceptable)
Draft proposed contracts with budgeted amounts of $150,000 or more for the renewal period
(multi-year agreements are acceptable)
Indirect Cost Rate Documentation (proposal or approved agreement) for the renewal period
Intellectual Property Plan(s) (via MEIS)
Board Bylaws (via MEIS) 2

Per Section 6 of the NIST MEP General Terms and Conditions (2018), MEP Center Oversight Boards must
“…establish and submit to the MEP Director by-laws to govern the operation of the Board. See 15 U.S.C.
278k(k)(4).”
2

NIST MEP Multiyear Renewal Guidelines

4

March 2018

Revised Required Plans: Scope of Work
In preparation for award renewals, Centers should review the latest NIST-approved scope of work
(SOW) (formerly “Background Document” or “FFO Response”) to determine if significant changes
have occurred. This section of the Renewal Guidelines describes what NIST MEP will assess with
regard to the SOW.
When submitting SOW revisions, Centers should be sure to remove the budget information that was
included in the original Proposal/Announcement and Notice of Funding Opportunity response.
Specifically, detailed salary information and other personally identifiable information should be
redacted from original submissions. This information is collected in the detailed budget tables which
are not uploaded to MEIS.
Center Strategy
NIST MEP will regularly assess the Center’s strategy to deliver services that meet manufacturers’
needs, generate client impacts (e.g., cost savings, increased sales, etc.), and support a strong
manufacturing ecosystem. NIST MEP will regularly assess the quality with which the Center:
incorporates the market analysis described below to inform strategies, products and services;
defines a strategy for delivering services that balances market penetration with impact and revenue
generation, addressing the needs of manufacturers, with an emphasis on the small and mediumsized manufacturers; defines the Center’s existing and/or proposed roles and relationships with
other entities in the State’s manufacturing ecosystem, including State, regional, and local agencies,
economic development organizations and educational institutions such as universities and
community or technical colleges, industry associations, and other appropriate entities; plans to
engage with other entities in Statewide and/or regional advanced manufacturing initiatives; and
supports achievements of the MEP mission and objectives while also satisfying the interests of other
stakeholders, investors, and partners.
Market Understanding
NIST MEP will regularly assess the Center’s strategy to define the target market, understand the
needs of manufacturers (especially Small and Medium Enterprises (SMEs)), and to define
appropriate services to meet identified needs. NIST MEP will regularly evaluate the approach for
regularly updating this understanding through the five years of the award. The following sub-topics
will be evaluated:
Market Segmentation. NIST MEP will regularly assess the quality and extent of the Center’s
market segmentation strategy including: Segmentation of company size, geography, and industry
priorities including some consideration of rural, start-up (a manufacturing establishment that has
been in operation for five years or less) and/or very small manufacturers as appropriate to the state;
alignment with state and/or regional initiatives; and other important factors identified by the Center.
Needs Identification and Product/Service Offerings. NIST MEP will regularly assess the
quality and extent of the Center’s needs identification and products and services for both sales
growth and operational improvement in response to the Center’s market segmentation and
understanding included in the SOW. Of particular interest is how the Center would leverage new

NIST MEP Multiyear Renewal Guidelines

5

March 2018

manufacturing technologies, techniques and processes usable by small and medium-sized
manufacturers. NIST MEP will also regularly consider how a Center’s approach will support a jobdriven training agenda with manufacturing clients.

Business Model
NIST MEP will regularly assess the quality, feasibility and efficacy and efficiency of the Center’s
business model as provided in the SOW and whether the business model is resulting in the Center’s
ability to successfully execute the strategy included in the SOW, based on its understanding of the
market. The following sub-topics will be evaluated:
Outreach and Service Delivery to the Market. NIST MEP will regularly assess the extent to
which the Center is organized to: identify, reach and provide proposed services to key market
segments and individual manufacturers described above; work with a manufacturer’s leadership in
strategic discussions related to new technologies, new products and new markets; and leverage the
Center’s past experience in working with small and medium-sized manufacturers as a basis for future
programmatic success.
Partnership Leverage and Linkages. NIST MEP will regularly assess the extent to which the
Center makes effective use of resources or partnerships with third parties such as industry,
universities, community/technical colleges, nonprofit economic development organizations, and
Federal, State and Local Government Agencies in the Center’s business model.
Performance Measurement and Management. NIST MEP will regularly assess the extent to
which the Center uses a systematic approach to measuring and managing performance including
the: quality and extent of the Center’s stated goals, milestones and outcomes described by
operating year; the Center’s utilization of client-based business results important to stakeholders in
understanding program impact; and whether the Center’s methodology for program management
and internal evaluation ensures effective operations and oversight for meeting program and service
delivery objectives.
Qualifications of the Center
NIST MEP will regularly assess the ability of the key personnel, the Center’s management structure
and Oversight Board and governance to deliver the program and services envisioned for the Center.
NIST MEP will consider the following topics when evaluating the qualifications of the Center and of
program management:
Key Personnel, Organizational Structure and Management. NIST MEP will regularly assess
the extent to which: key personnel have the appropriate experience and education in
manufacturing, outreach, program management and partnership development to support
achievements of the MEP mission and objectives; the Center’s management structure and
organizational roles are aligned to plan, direct, monitor, organize and control the monetary
resources of the Center to achieve its business objectives; the Center’s organizational structure flows
logically from the specified approach to the market and products and service offerings; and the

NIST MEP Multiyear Renewal Guidelines

6

March 2018

Center’s field staff structure sufficiently supports the geographic concentrations and industry targets
for the region.
Oversight Boards. NIST MEP will regularly assess the extent to which: the Center’s Oversight
Board and its operations are complete, appropriate and meet the program’s objectives, or, if such an
Oversight Board does not exist or does not meet these requirements, the extent to which the plan
for developing and implementing such an Oversight is feasible; the extent to which the Center’s
Oversight Board and governance is engaged with overseeing and guiding the Center and supports its
own development through a schedule of regular meetings, and processes ensuring Oversight Board
involvement in strategic planning, recruitment, selection and retention of board members, board
assessment practices and board development initiatives.

Revised Required Plans: Intellectual Property Plan
In accordance with 15 U.S.C. 278k(f)(4), each Center must submit an intellectual property plan (IP
Plan) that provides for the allocation of legal rights associated with any intellectual property that
may result from the activities of the Center or its subrecipients pursuant to this MEP Center
Cooperative Agreement. As applicable, the Center’s IP Plan must address the legal rights associated
with any intellectual property that may be developed directly by the Center, including by its
subrecipients, or that may be developed by the Center in collaboration with partners of the Center or
its subrecipients.
The IP Plan must also address intellectual property that may be developed as part of a Center’s,
Center contractor’s, subrecipient or subrecipient contractor’s engagement with its manufacturing
clients (e.g., new manufacturing processes or outputs). For this purpose, intellectual property
includes: (i) patents and patentable processes or products; (ii) copyrights and copyrightable works;
(iii) trademarks, including service marks, and trademarkable words, phrases, symbols or designs; and
(iv) trade secrets and confidential business or financial information.
Legal rights associated with intellectual property may be allocated as deemed appropriate by an MEP
Center and its subrecipients in the conduct of its respective businesses, and relative to its
relationships to client companies and partner organizations, subject to the intellectual property rules
set forth in 2 C.F.R. Part 200.315 and in Section C.03. of the Department of Commerce Financial
Assistance General Terms and Conditions (2017).
The IP Plan should cover all years of the current cooperative agreement and must be updated, as
necessary, by the MEP Center during the term of the cooperative agreement. NIST MEP will review
the IP Plan and may provide comments on its suitability as it pertains to the Center’s execution of the
cooperative agreement.
Below is a sample format for an MEP Center IP Plan. This format is not mandatory, and a Center’s IP
Plan may take any form so long as it meets the requirements of this document.

NIST MEP Multiyear Renewal Guidelines

7

March 2018

Sample IP Plan
I. Introduction
[Summarizes the activities of the Center as they pertain to the direct development of intellectual
property and/or to the collaborative development or access to intellectual property.]
II. Types of Intellectual Property & Legal Rights
[This section should identify the forms of intellectual property and the ownership of such intellectual
property expected to result from the Center’s performance of the MEP Center cooperative
agreement. This section should also discuss the allocation of any legal rights associated with such
intellectual property.]
III. Processes for Protecting IP Rights
[This section should discuss the Center’s protocols for protecting (e.g., filing of patents, copyrights,
trademarks, etc.) intellectual property developed directly by the Center, as well as the use and
safeguarding of the intellectual property, including trade secrets and confidential information, of the
Center’s manufacturing clients.]

Revised Required Plans: Multi-Year Budgets
Section A. Overview and Instructions
The Center should work closely with its assigned NIST MEP Regional Team to determine the extent
to which multi-year budgets must be developed and submitted. In general, the Announcement and
Notice of Funding Opportunity under which the Center Recipient was selected required budget
detail for each of the five years with a higher level of granularity provided for Year 1. Subsequently,
detailed budgets for Years 2 and 3 are submitted to NIST in response to a SAC for incorporation into
the award. The goal for this section of the Renewal Guidelines is to assist the Center in the following:
1.

Affirm that the approved, detailed budget(s) remain consistent with the approved Scope of
Work; and
2. Revise granular project budgets following the guidelines below.
The financial portion of the renewal package, when completed, will include, if applicable, a revised
Five-Year Budget Summary table and detailed budget workbooks, as applicable. Centers are required
to use the MS Excel templates provided by NIST MEP to complete the budget tables.
Each Single-Year Budget Workbook shall consist of:





Budget Summary Table
Revenue Description
Expense Tables and Justification
Subaward/Third Party In-Kind Contribution Table & Justification, if applicable

Budget Workbooks should be submitted as separate files. Do not copy and paste tables from Budget
Workbooks into other documents. Do not insert other documents into the Budget Workbooks.
NIST MEP Multiyear Renewal Guidelines

8

March 2018

Section B. Single-Year Budget Summary Table
The Center’s proposed budget for the funding period is divided into two sections:
1.

Revenue Federal/Non-Federal Sources of Funds (Federal, Non-Federal Cash and Non-Federal
In-Kind); and
2. Expenses/Uses of Funds both Federal and Non-Federal.
The Federal/Non-Federal Sources of Funds section should list all sources of funds being committed
to the NIST MEP project. Figures should correspond to amounts listed in the Five-Year Budget
Summary Table, and should be rounded to the nearest dollar. Potential funding sources include the
following:
•
•
•
•
•
•
•
•
•

NIST MEP (Federal Funding);
NIST MEP Unexpended Federal Funds (UFF)3;
Cash and In-Kind Contributions by Recipients;
State Funds;
Local Funds;
Project/Services Fees (Program Income Projected);
Anticipated Unexpended Program Income (UPI) from Prior Operating Year;
Third Party Contributions In-Kind and/or Subrecipient Contributions; and
Other Sources of Non-Federal Cost Share.

In January 2017, the American Innovation and Competitiveness Act reduced the minimum nonFederal cost-sharing ratio to at least 50 percent of the total project cost for each year of the award
(see 15 U.S.C.278k(e)(2)). Regardless of the minimum cost sharing requirement, per 2 C.F.R. Part
200.400(g), Centers “… may not earn or keep any profit resulting from Federal financial assistance,
unless explicitly authorized by the terms and conditions of the Federal award.” As such, Centers are
required to report any program income generated as a result of the MEP award even if it causes the
Center to exceed the required cost sharing ratio. See also 2 C.F.R. Part 200.307 for more information.
The Expenses/Use of Funds section should list the expense categories of the Center. Figures should
correspond to amounts listed in the Five-Year Budget Summary Table, and should be rounded to the
nearest dollar. All budgets should identify estimated project expenses and associated activities.
Subaward costs are to be captured in total within the “Other” line as totals for Subrecipient
Agreements (SRA). Do not spread Subrecipient costs throughout the Center’s budget. Per the NIST
MEP General Terms and Conditions, Centers must submit SRA agreements for subawards that are
valued at $150,000 or more for any operating year. Each SRA above this threshold must contain a
budget detailing the activities to be completed and their associated costs. Whenever possible, SRA
budgets should also use the NIST MEP budget templates. If the NIST MEP format is not used, the
document submitted must present the level of detail required for NIST to determine the allowability,
allocability, and reasonableness of proposed budgets. Note that the review of subawards is
necessary for verifying estimated costs and proposed actives and ensuring compliance with the
terms and conditions of the award. NIST will not review the agreements for legal sufficiency. As

3

Note that carrying forward UFF above base will impact Center’s CARD score

NIST MEP Multiyear Renewal Guidelines

9

March 2018

such, Centers will receive an acknowledgement letter noting the agreement’s incorporation into the
award instead of a complete award amendment.
Third Party In-Kind Contributor (TPC) donations should be spread throughout the budget placed on
the appropriate expense line in the in-kind column based on the type of expense being covered. An
associated TPC agreement for contributions of $150,000 or more for an operating year must be
submitted that details the valuation of the TPC. TPC agreements must be signed by both parties to
the agreement. As a reminder, in accordance with Section 10.A. of the MEP General Terms and
Conditions (2018), donations are not allowed from contractors/vendors without prior written
approval by the NIST Grants Officer.
Per Section 8.F. of the NIST MEP General Terms and Conditions (2018), “For subawards, contracts,
and third party contributor agreements to or by the same (or affiliated) entity with a total combined
value of $150,00 or more, in lieu of submitting copies of each agreement, Centers may submit a
summary list of the agreements that includes information sufficient for determining the
reasonableness, allowability, and allocability of the agreements being funded under the award, and a
copy of the fully executed agreement that causes total funding for a single entity to exceed the
$150,000 threshold for prior approval.”
Any cost sharing must be in accordance with the Recipient’s approved project budget and must
adhere to the “cost sharing” provisions of 2 C.F.R. Part 200.306 and Section B.03. of the Department
of Commerce Financial Assistance Standard Terms and Conditions (2017), as may be amended. Costs
incurred as non-Federal cost share must be allocable to the project, and are subject to the same
allowability requirements as Federally funded costs. The disallowance of any contributed costs as a
result of an audit could result in a Recipient not meeting its required cost share under the
cooperative agreement and a refund being due the Federal Government for the excess Federal
share.
Section C. Revenue Description
This section should include a detailed description of the funding sources identified in the Budget
Summary Table that are being committed to the NIST MEP project. The description should highlight
whether matching funds are tied to a specific program or activity required by outside funding
entities. Sufficient detail must be provided so that NIST MEP and the NIST Grants Management
Division (GMD) can make a preliminary determination on the allowability, allocability, and
reasonableness of the proposed revenue sources. Significant changes to revenue sources from the
prior year should be also be explained here.
Requests to carry forward Unexpended Federal Funds (UFF) and Unexpected Program Income (UPI)
from prior years must also be included in this section. As stated in the NIST MEP General Terms and
Conditions, Centers should use this section to address UFF being carried forward above base. The
narrative should explain why the UFF was not expended in the previous operating year and detail
how the UFF will be applied in the new operating year to expand the Center’s normal scope of
operation.
Section D. Budget Narrative and Justification

NIST MEP Multiyear Renewal Guidelines

10

March 2018

This section should include a detailed budget narrative that directly corresponds to all funding
amounts and cost categories contained in the Center’s Budget Summary Table. As with the Revenue
Description, this section must provide sufficient detail so that NIST MEP and the NIST GMD can make
a preliminary determination on the allowability, allocability, and reasonableness of the proposed
costs. Refer to the detailed budget narrative guidance and examples included in the NIST MEP
Single-Year Budget Workbook.
Section E. Subrecipient and Third Party In-Kind Contributions Table
The summary table lists all subawards and third party in-kind contributions planned for each
operating year, regardless of the dollar amount. Dollar amounts listed in the Subrecipient/Third Party
In-Kind Contributions (SRA/TPC) Table must directly correspond to the “Expense” section of the
budget and must be described in the budget narrative. Amounts must also match those listed in the
actual Subrecipient and Third Party In-Kind Contributor agreements.
As a reminder, in accordance with 2 C.F.R. §§ 200.308(c)(1)(vi) and (vii). the addition of any proposed
subaward(s) or third party contributions outside of the renewal process, regardless of the dollar
amount, requires prior approval by NIST. Centers must submit, at a minimum, a revised SRA/TPC
Table showing the new agreements for approval before finalizing any new agreements. For
engagements with budgeted amounts of $150,000 or more (combined Federal and non- Federal)
during the Center’s current operating year, Centers must also submit copies of the actual
agreements to NIST for incorporation into the cooperative agreement (see Section 8.E. of the NIST
MEP General Terms and Conditions (2018).
Centers should not include vendor contracts in this table. Contracts and vendor agreements are
captured in the “Expenses” section of the budget narrative under “Contractual”. As a reminder,
please note the differences between subawards, contracts, and vendors:
•

•
•

Subaward means an award provided by a pass-through entity to a subrecipient for the
subrecipient to carry out part of a Federal award, including a portion of the scope of work or
objectives. It does not include payments to a contractor or payments to an individual that is a
beneficiary of a Federal program.
Contract means a legal instrument by which a non-Federal entity purchases property or
services needed to carry out the project or program under a Federal award.
Vendor is generally a dealer, distributor or other seller that provides, for example, supplies,
expendable materials, or data processing services in support of the project activities.

After the table, Centers should provide a narrative identifying the nature of the contribution (e.g.,
office space, partner staff, etc.) and highlighting the purpose and nature of each SRA/TPC
agreement. The narrative should include a description of the manner in which the cost share
accomplishes programmatic objectives and will further the impact of the Federal investment made in
the Center. Per Section 8.F. of the MEP General Terms and Conditions (2018), for SRAs and TPCs
valued at $150,000 or more in any operating year, the Center should submit as part of its renewal
package a detailed explanation and supporting documentation pertaining to its valuation and
allocation to the NIST MEP award of the SRA or TPC costs under applicable Federal cost principles.

NIST MEP Multiyear Renewal Guidelines

11

March 2018

Appendix 1: Operating Outcome Plan Guidance
Purpose: This section should describe the Center’s current outcome goals in each category listed
below, if relevant, for the initial three-year operating period (please note a Center does not have to
be active in every element of the outcome statement, however, every outcome goal listed in this
statement must be supported by the proposed budget and budget narrative.) While the tables
below summarize the three-year operating period, the narrative should address proposed annual
outcomes. As described earlier in these guidelines, as part of the panel evaluation in the third year of
the award, Centers will provide draft documents for review. After the evaluation, Centers will
provide revised documents for the remaining two years of the award. Specific instructions will be
provided to the Centers prior to the start of the panel evaluation preparation.
Format: The response to each category should be in narrative form only (no tables unless indicated
below) and should be limited to a half-page in description for each category. Do not include tables,
charts, photos or graphs when recording responses to operating outcomes questions, unless
specifically requested. Do not alter the tables included in this guidance. The tables reflect three-year
goal summaries. If a Center finds it necessary to describe annual goals, this must be done in the
written response. Response for each category must be submitted through MEIS and must be limited
to 3,000 characters per response, including spaces and punctuation.
Submission: For new awards, Operating Outcome Plans should be submitted as part of the SAC
removal package. Any requested changes to the operating outcomes outside of the SAC removal
process should be made directly through the MEIS system. Changes made through MEIS will be
routed through the Center’s NIST MEP Regional Team for review and incorporation into the project.

Element I: Center Client Level Activities by Type of Company

The first categories are focused on identifying specific numeric goals planned for the next three
years in terms of working with manufacturing establishments defined as very small manufacturers,
rural manufacturers, and start-up/emerging small and mid-sized enterprises (SMEs), and other
manufacturers, and working with client manufacturing establishments on transformational activities.
Please use Table 1 to document client activity (a) and transformational clients (b).
a) Client Activity levels with a Focus on very small, rural, and emerging small and mid-sized
enterprises (SMEs), and other manufacturers
Identify specific numeric goals planned for the next three years in terms of serving the
following:
(1) Very Small Manufacturers (establishments with fewer than 20 employees).
(2) Rural Manufacturers (establishments located in a county not defined as part of a
metropolitan area 4).

NIST MEP will use the 2013 Rural-Urban Continuum Codes maintained by the Economic Research Service of the United
States Department of Agriculture to define a NIST MEP client manufacturing establishment as rural. Using this system, any
county with a rurality index of 4 or higher is considered a rural county. Counties with codes 1, 2, and 3 are considered urban
areas.
4

NIST MEP Multiyear Renewal Guidelines

12

March 2018

(3) Start-up/Emerging Small and Mid-Sized Enterprises (SMEs) (an establishment that
has been in operation for five years or less 5).
(4) Other manufacturers not counted elsewhere that the Center expects to serve.
b) Transformational Clients
Identify specific numeric goals planned for the next three years in working with client
manufacturing establishments on transformational activities as defined by the NIST MEP
Program. In MEIS, Centers will select “Yes” or “No” in the Center Information File (CIF) to
indicate if a project is considered to be an ongoing transformative relationship. If “Yes”, fill in
the narrative to describe how the project supports the ongoing relationship. Overall efforts
to work with clients at a transformation and coaching level across the Center’s project
portfolio should be described in the Progress Plan 6 under the field “Transformation and
Coaching.” Yes: Indicates the project is related to the establishment of a long-term, coaching
relationship with a client that helps them transform.
Table 1: Three Year Goals (Element I)

Goal

Over
Three
Years

Small
Establishments
(<20
employees)

Rural
Establishmen
ts (Use USDA
Definition)

XX

XX

Start-up
Establish
ments

Transformational
Clients (Use
NIST MEP
definition)

Other
manufacturers

Total
Number of
Unique
Manufactur
ers Served

XX

XX

XX

XX

Element II: Top and Bottom Line Growth

Element II focuses on the relative distribution and emphasis that the center places on efforts across
Top and Bottom Line Growth categories as well as Technology Acceleration and Center Initiatives,
including Board development as described in this section.
a) Engagement in Top Line Growth
Identify the level of activity expected to occur in terms of “Top Line Growth” over the next
three years as a percent of effort compared to “Bottom Line Growth” (together they should
add to 100% of the Center’s direct client effort). (See Table 2 below.) Activities or projects
focusing on “Top Line Growth” involve helping clients develop and grow their gross sales or
revenues through developing new products, entering new markets, adopting new or
improved processes, marketing strategies, or organizational changes. This would include
projects expected to be in the following NIST MEP substance codes (areas of business that
the project is designed to improve), as defined in the NIST MEP Reporting Guidelines:
•
5
6

Growth Services Product Suite

“Start-Up” and “Emerging” Manufacturers are considered to be synonymous terms.
Semiannual Report/Progress Plan as referred to in the NIST MEP General Terms and Conditions and award documentation.

NIST MEP Multiyear Renewal Guidelines

13

March 2018

•
•
•
•

Strategic Business Management/Planning Services Suite
Sales/Marketing/Business Development Suite
Technology Services/Product Development Suite
Financial Analysis/Assistance Suite

Describe whether and how the Center is developing efforts, such as staff training, novel
tools, or techniques, in the area of “Top Line Growth” that will be developed and deployed.
b) Engagement in “Bottom Line Growth”
Identify the level of activity expected to occur in terms of “Bottom Line Growth” over the
next three years as a percent of effort compared to “Top Line Growth” (together they
should add to 100% of the Center’s direct effort, as identified by project count). (See Table 2
below.) “Bottom Line Growth” focuses on projects and activities that typically involve
lowering, improving, and controlling a client’s actual operating expenses including both the
cost of goods sold (COGS) and general/ administrative expenses. Activities may involve
projects expected to be in the following NIST MEP substance codes 7:
•
•
•
•
•
•

Lean Product Suite
Quality Product Suite
Engineering Services/Plant Layout
Sustainability Services Suite
Information Technology (IT) Services
Workforce

Describe whether and how the Center is developing efforts, such as staff training, novel
tools, or techniques, in the area of “Bottom Line Growth” that will be developed and
deployed.
Table 2: Three Year Goals (Element II) (Please note these percentages are examples, not NIST goals or
expectations)

Goal

Top-Line Growth

Bottom-Line Growth

60%

40%

Over Three Years

Total Direct Client
Effort
100%

c) Making New Technologies Available
Identify all activities and goals the Center has for (1) making new technologies, products, and
processes available to clients; and (2) working with potential providers of such technologies.
Projects will typically focus on increasing the capability and capacity of small and mid-sized
clients to absorb, deploy, and use new technologies to improve products and processes. This
may involve projects focusing on transferring technologies from Federal labs,
colleges/universities, or other for-profit or non-profit organizations to clients. This work may

7

Refer to MEIS Reporting Guidelines for additional information on MEP Substance Codes

NIST MEP Multiyear Renewal Guidelines

14

March 2018

involve patenting, commercializing, prototyping, testing, and estimating the
market/economic viability of new technologies, products, and processes.
d) Other Key Initiatives of the Center
Identify outcomes of the Center’s other key initiatives and activities during the three years,
which are not identified elsewhere. The discussion should include the following:
•
•
•

Summarize key initiatives including a description of the Center’s measurable, defined
objectives for the three operating years. As a reminder, responses must be submitted
as text. While bulleted lists are acceptable, tables are not.
Describe proposed actions the Center will take to achieve its goals during the three
operating years.
Describe resources necessary to support service delivery including staff and third
party partners.

e) Oversight Board Development
Identify the goals and outcomes of any oversight board development efforts anticipated
during the three operating years. If necessary, discuss how the Center will work to comply
with the NIST MEP General Terms and Conditions regarding Center Oversight Boards.

Element III: Performance Measures

Identify the level of outcome and output measures the Center seeks to achieve beyond the specific
client counts enumerated above. These measures may include the performance measures used
historically by NIST MEP as well as any specific metrics that the Center will use to guide its strategic
goals. These measures should focus, at a minimum, on three areas: (1) economic impact; (2) market
penetration; and (3) financial viability.
Other measures may include efficiency measures, customer/client satisfaction, employee
satisfaction, or other measures the Center uses to guide the strategic direction and management of
operations.

NIST MEP Multiyear Renewal Guidelines

15

March 2018

Appendix 2: References
General Federal Regulations
• 2 C.F.R. Part 200 Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
• Council on Financial Assistance Reform (COFAR): https://cfo.gov/cofar/
• 2 C.F.R. Part 1326, Department of Commerce Implementation of OMB Guidance on Nonprocurement Debarment and Suspension
Department of Commerce Regulations and Policies
• 15 C.F.R. Part 28, Appendix A, Certification Regarding Lobbying
• 15 C.F.R. Part 29, Government-wide Requirements for Drug-Free Workplace (Financial
Assistance)
• DOC Financial Assistance Standard Terms and Conditions (March 31, 2017), as may be
amended:
http://www.osec.doc.gov/oam/grants_management/policy/documents/Department%20of%20
Commerce%20Standard%20Terms%20&%20Conditions%2031%20March%202017.pdf
• DOC Grants Policy Internet Website:
http://www.osec.doc.gov/oam/grants_management/policy/default.htm
NIST Statute and Regulations
• 15 U.S.C 278k, Hollings Manufacturing Extension Partnership
• Pub. Law 114-329, American Innovation and Competitiveness Act
• 15 C.F.R. Part 290, Regional Centers for the Transfer of Manufacturing Technology
NIST MEP Policies
• NIST MEP General Terms and Conditions (2018), as may be amended (latest version available
on MEIS and MEP Connect)
• The Federal Register Notice and the accompanying Notice and Announcement of Federal
Funding Opportunity (NOFO/FFO) applicable to the specific NIST MEP award.

NIST MEP Multiyear Renewal Guidelines

16

March 2018

A
3
4
5
6
7
8
9
10

B

C

D

E

F

G

H

I

J

Center Name:
CA #:
Approved Annual Award Amount:
Years: 

20XX‐20XX
YEAR 1
20XX‐20XX

NIST MEP
Federal
Cost Share

L

M

NonNonFederal Federal InCash Cost Kind Cost
Share
Share

%

Totals

YEAR 2
20XX‐20XX

NIST MEP
Federal
Totals Cost Share

NonNonFederal Federal InCash Cost Kind Cost
Share
Share

Category
%
%
%
11
12 REVENUE (Federal and Non-Federal Cost Share)
$0
$0
$0
13 NIST MEP Base Funds (1)
$0
$0
$0
14 NIST MEP Supplemental Funds (2)
Unexpended Federal Funds (From Prior Operating
$0
$0
$0
15 Year) to be used ABOVE base (3)
Unexpended Federal Funds (From Prior Operating
$0
$0
$0
16 Year) to be used TOWARD base (3)
$0
$0
$0
17 Applicant Contribution
$0
$0
$0
$0
18 State/Local Funds
Unexpended Program Income (From Prior Operating
$0
$0
$0
19 Year) (4)
$0
$0
$0
20 Gross Program Income (Projected)
$0
$0
$0
$0
21 Total Other
Interest on Program Income
$0
$0
$0
22
Sub-Recipient Cost Share
$0
$0
$0
$0
23
24
Third Party Contributions
$0
$0
$0
$0
25
TOTAL REVENUE
$0
$0
$0
$0
$0
$0
26 EXPENSES
$0
$0
$0
$0
$0
$0
27 Personnel
$0
$0
$0
$0
$0
$0
28 Fringe Benefits
$0
$0
$0
$0
$0
$0
29 Travel
$0
$0
$0
$0
$0
$0
30 Equipment
$0
$0
$0
$0
$0
$0
31 Supplies
$0
$0
$0
$0
$0
32 Contractual Costs
$0
$0
$0
$0
$0
$0
33 Other Costs
$0
$0
$0
$0
$0
$0
34 Total Direct Costs
35 Indirect Costs (10%)
$0
$0
$0
$0
$0
36
TOTAL EXPENSES
$0
$0
$0
$0
$0
$0
37
TOTAL REVENUE – TOTAL EXPENSES
$0
$0
$0
$0
$0
$0
38
39 Footnotes:
40 All amounts in this five‐year budget summary table should correspond to the amounts in the Center's single‐year, detailed budget tables
41
42
43
44

K

MEP Center Five Year Budget Summary

$0
$0
$0
$0

$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

(1)  Per the Federal Funding Opportunity notices that serve as the basis for the MEP State Awards, the Federal funding amount may be adjusted higher or lowe
requested will be the amount entered into MEIS as the Center's denominator.
(2) NIST MEP Supplemental Funds will only be offered via a special announcement from the program that such supplemental funding is available for request. C
(3) The carryforward of Unexpended Federal Funds (UFF) must be requested annually and may not be projected as being carried forward in out years.
(4) The carryforward of Unexpended Program Income (UPI) must be requested annually, but may be projected as being carried forward in out years.

Page 1 of 3

A
3
4
5
6
7
8
9
10

N

O

Q

R

S

T

U

V

W

X

Y

%

Totals

Center Name:
CA #:
Approved Annual Award Amount:
Years: 
YEAR 3
20XX‐20XX

NIST MEP
Federal
Cost Share

Category
11
12 REVENUE (Federal and Non-Federal Cost Share)
13 NIST MEP Base Funds (1)
14 NIST MEP Supplemental Funds (2)
Unexpended Federal Funds (From Prior Operating
15 Year) to be used ABOVE base (3)
Unexpended Federal Funds (From Prior Operating
16 Year) to be used TOWARD base (3)
17 Applicant Contribution
18 State/Local Funds
Unexpended Program Income (From Prior Operating
19 Year) (4)
20 Gross Program Income (Projected)
21 Total Other
Interest on Program Income
22
Sub-Recipient Cost Share
23
24
Third Party Contributions
25
TOTAL REVENUE
26 EXPENSES
27 Personnel
28 Fringe Benefits
29 Travel
30 Equipment
31 Supplies
32 Contractual Costs
33 Other Costs
34 Total Direct Costs
35 Indirect Costs (10%)
36
TOTAL EXPENSES
37
TOTAL REVENUE – TOTAL EXPENSES
38
39 Footnotes:
40 All amounts in this five‐year budget summary
41
42
43
44

P

MEP Center Five Year Budget Sum

%

YEAR 4
20XX‐20XX

NonNonFederal Federal InCash Cost Kind Cost
Share
Share

%

NIST MEP
Federal
Totals Cost Share

%

NonNonFederal Federal InCash Cost Kind Cost
Share
Share

$0
$0
$0

$0
$0
$0

$0
$0
$0

$0
$0
$0

$0

$0

$0

$0

$0
$0
$0

$0

$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0

$0
$0
$0

$0
$0
$0
$0
$0
$0

$0

$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

(1)  Per the Federal Funding Opportunity notr than the center's annual funding amount in a given year; however the five‐year total may not exceed the amoun
requested will be the amount entered into M
(2) NIST MEP Supplemental Funds will only bertain requirements may apply for Centers to request supplemental funding. Supplemental Funding is not counted
(3) The carryforward of Unexpended Federal
(4) The carryforward of Unexpended Program

Page 2 of 3

A
3
4
5
6
7
8
9
10

Z

AA

AC

AD

AE

AF

Center Name:
CA #:
Approved Annual Award Amount:
Years: 
YEAR 5
20XX‐20XX

NIST MEP
Federal
Cost Share

Category
11
12 REVENUE (Federal and Non-Federal Cost Share)
13 NIST MEP Base Funds (1)
14 NIST MEP Supplemental Funds (2)
Unexpended Federal Funds (From Prior Operating
15 Year) to be used ABOVE base (3)
Unexpended Federal Funds (From Prior Operating
16 Year) to be used TOWARD base (3)
17 Applicant Contribution
18 State/Local Funds
Unexpended Program Income (From Prior Operating
19 Year) (4)
20 Gross Program Income (Projected)
21 Total Other
Interest on Program Income
22
Sub-Recipient Cost Share
23
24
Third Party Contributions
25
TOTAL REVENUE
26 EXPENSES
27 Personnel
28 Fringe Benefits
29 Travel
30 Equipment
31 Supplies
32 Contractual Costs
33 Other Costs
34 Total Direct Costs
35 Indirect Costs (10%)
36
TOTAL EXPENSES
37
TOTAL REVENUE – TOTAL EXPENSES
38
39 Footnotes:
40 All amounts in this five‐year budget summary
41
42
43
44

AB

MEP Center Five Year Budget Sum

%

TOTAL

NonNonFederal Federal InCash Cost Kind Cost
Share
Share

%

Totals

$0
$0
$0

$0
$0
$0

$0
$0
$0

$0

$0

$0

$0
$0
$0

$0
$0
$0

$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0

$0

$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

$0

$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0

(1)  Per the Federal Funding Opportunity not
nt approved for the award period. The amount of Federal Fund
requested will be the amount entered into M
(2) NIST MEP Supplemental Funds will only bd towards the Center's denominator in MEIS
(3) The carryforward of Unexpended Federal
(4) The carryforward of Unexpended Program

Page 3 of 3

The data included in this workbook is for illustrative purposes only. Users should overwrite existing data before submitting.
OMB Control No. 0693‐0032
Expiration Date: 09‐30‐2018

Center Name:
Year:

X of Y
NIST MEP
Federal Cost
1
Category
Share Only
I: REVENUE (Federal and Non-Federal Cost Share)
2
$400,000
NIST MEP Base Funds
3

NIST MEP Supplemental Funds
Unexpended Federal Funds (From Prior
4
Operating Year) to be used ABOVE base
Unexpended Federal Funds (From Prior
5
Operating Year) to be used TOWARD base

%

$10,000

$10,000

$4,500

$4,500
$0

$0

$0

$100,000
$47,500
$176,000
$91,000

$81,000

$0
$10,000

10

$0
$31,000

$41,000

$50,000

11

II: EXPENSES12
Personnel
Fringe Benefits
Travel
Equipment
Supplies
Total Contractual Costs
(1) IT International
(2) International Training Services
(3) American Sales, Inc.
(4) Jane Doe
Total Other Costs

13

(1) Sub-Recipient Agreements (ALL)
(2) Rent
(3) Utilities
(4) Office Expenses (telephone & Internet)
(5) Dues/Subscriptions
(6) Audits
(7) Board Expenses
Total Direct Costs
Indirect Costs (13.70%)
TOTAL EXPENSES
14

TOTAL REVENUE – TOTAL EXPENSES

[2]

$0
$100,000
$47,500
$176,000
$10,000

TOTAL REVENUE

Totals

$0

Interest on Program Income 9

[1]

%

$0

6

Third Party Contributions

Non-Federal InKind Cost
Share

$400,000

Applicant Contribution
State/Local Funds
Unexpended Program Income (From Prior
Operating Year)7
Gross Program Income (Projected)
Total Other8
Sub-Recipient Cost Share

Non-Federal
Cash Cost
Share

$414,500

50.00%

$50,000

$333,500

$81,000

$148,500
$30,630
$6,508
$8,199
$6,000
$104,700
$15,000
$8,500
$31,200
$50,000
$60,019
$26,000

$148,500
$30,630
$6,508
$13,000
$23,400
$26,321
$5,000
$0
$21,321
$0
$44,957
$10,000

$35,000
$2,500
$0
$5,000
$4,000

$34,500
$31,000

$332,000
$63,760
$13,016
$26,199
$33,400
$131,021
$20,000
$8,500
$52,521
$50,000
$139,476
$67,000

$22,001
$5,250
$1,500
$800
$2,468
$2,000
$364,556
$49,944
$414,500
$0

$22,003
$5,250
$1,500
$1,200
$3,004
$2,000
$293,316
$40,184
$333,500
$0

$3,500
$0
$0
$0
$0
$0
$81,000
$0
$81,000
$0

$47,504
$10,500
$3,000
$2,000
$5,472
$4,000
$738,872
$90,128
$829,000
$0

50.00%

50.00%

50.00%

$829,000

Reference 15 C.F.R. Part 290.4(c) and 2 C.F.R. Part 200.306 for definitions and for additional guidance

Per the Federal Funding Opportunity notices that serve as the basis for the MEP State Awards, that amount of Federal Funds may be adjusted
higher or lower than the center's annual funding amount in a given year; however the five-year total may not exceed the amount approved for the
award period. The amount of Federal Funds requested will be the amount entered into MEIS as the Center's denominator.

[3]

NIST MEP Supplemental Funds will only be offered via a special announcement from the program that such supplemental funding is available
for request. Certain requirements may apply for Centers to request supplemental funding. Supplemental Funding is not counted towards the
Center's denominator in MEIS.
[4]

This line should reflect unexpended Federal funds (UFF) being applied ABOVE the base annual amount. The Center must include in the budget
narrative an explanation for the inability to expend the funds in the previous operating year and an explanation for how the center plans to expend
the funds in the upcoming year.
[5]

This line should reflect UFF being applied TOWARD the base annual amount. The Center must include in the budget narrative an explanation
for the inability to expend the funds in the previous operating year.
[6]

Applicant contributions may consist of cash or in-kind contributions to the MEP project. Contributions based on indirect costs should be shown
as in-kind.

[7]

This line should reflect the amount of prior year Unexpended Program Income (UPI) to be carried forward. The narrative should specify and
describe the composition of the total amount.
[8]

The cost categories provided under “Total Other” are examples. Expenses in this category will vary from Center to Center.

[9]

Centers are reminded that per 2 C.F.R. Part 200.306 "payments methods must minimize the time elapsing between the transfer of funds from
the United States Treasury or the pass-through entity and the disbursement by the non-Federal entity " and that as such no interest should be
collected on Federal Funds.

[10]

This line should reflect the total estimated cash and in-kind cost share provided to the Recipient (Center) from all of its approved SubRecipients.

[11]

Third party contributions do not appear as a separate line item on the SF-424 but must be listed separately on this budget for MEP evaluation
purposes.

[12]

The expenditure of all Third-Party contributions should be reflected (spread) in the appropriate cost category (e.g. Personnel, Fringe, Travel,
etc. in the “Expenses” section of the budget table and narratives.

[13]

Sub-Recipient Expenses: Recipient (Center) provided funding to the Sub-Recipient. Amounts should correspond to amounts listed in the
SRA/TPC table. Sub-Recipients should include ALL Program Income (PI) earned under the award on this line- not just the income planned to be
used in the Operating Year. All PI generated by the MEP project should be reported. Excess PI will be shown as such in the "Total Revenue - Tota
Expenses" line of the budget table.
[14]

If the total of Revenue minus Expenses is positive, please include a narrative at the very end of the budget justification that explains that this
surplus will be carried forward into the next operating year. Please see the MEP General Terms and Conditions for guidance on requesting the
carry forward of Unexpended Program Income.

Centers should delete language in RED before submitting.
SAMPLE REVENUE DESCRIPTION
Section I: REVENUE
A.     NEW NIST MEP FUNDS NEW NIST FUNDS:
SAMPLE: For the Operating Year 20XX, the Center requests $_______ in new Federal funds to act as a catalyst for
strengthening American manufacturing – accelerating its ongoing transformation into a more efficient and powerful engine of
innovation driving economic growth and job creation.
B.     SUPPLEMENTAL NIST FUNDS:
SAMPLE: For the Operating Year 20XX, the Center requests $_________ in new Supplemental Federal funds. These one-time
supplemental funds will be used in order to support the initiatives set out in the Center's Operating Outcome Statement
C.     UNEXPENDED FEDERAL FUNDS (UFF) FROM PRIOR OPERATING PERIOD
Per the NIST MEP General Terms and Conditions, Centers must request prior approval to carry forward UFF from the prior
operating period. Centers may do so in this section of the operating plan. No Separate request for UFF carryforward is required.
The request should include:
o An explanation for the inability to expend the funds in the previous operating year
o A plan for the use of the funds above-base (if applicable)
o An updated 5-Year Budget Summary and Subaward Table (if applicable) for the prior year reflecting the previously approved
budget and the actuals should be included as attachments.
Requests for programmatic approval for the use of carryover are considered on a case-by-case basis. For centers entering into
new awards (receiving a new award number), please note that any remaining unexpended Federal funds at the end of a five-year
award period will be de-obligated.
Additional Administrative Requirements:
o If the identified UFF is 10% or more of the Federal funding amount, Centers should submit a full, revised Budget Workbook
for the current year and a revised 5-Year Budget Summary Table.
o If the identified UFF is less than 10% of the Federal funding amount, Centers should submit a revised 5-Year Budget
Summary Table and a justification letter that explains why there is UFF and what it will be used for in the current year.
o In both cases, the 5-Year Budget Summary Table should reflect actual expenditures for the prior year that accounts for the

D.     APPLICANT CONTRIBUTION
Describe the sources, limitation, etc., of funds being contributed by the Center in support of its own operations.

E.     STATE FUNDS
Describe the sources, limitations (i.e., workforce only; training, etc.,) of state funds being contributed to the project.

F.     LOCAL FUNDS
Describe the sources, limitations (i.e., workforce only, training, etc.,) of local funds being contributed to the project.

G.     UNEXPENDED PROGRAM INCOME (UPI) (FROM PRIOR OPERATING YEAR)

Per the NIST MEP General Terms and Conditions, Centers must request prior approval to carry forward UPI from the prior
operating period. Centers may do so in this section of the operating plan. No Separate request for UPI carryforward is required.
The request should include:
o An explanation for the inability to expend the funds in the previous operating year
o A plan for the use of the funds (if applicable)
o An updated 5-Year Budget Summary and Subaward Table (if applicable) for the prior year reflecting the previously approved
budget and the actuals.
Requests for programmatic approval for the use of carryover are considered on a case-by-case basis.
Per the NIST MEP General Terms and Conditions, the NIST Grants Officer generally will only approve the carry forward of 50%
or less of the annual Federal funding amount in UPI with the expectation that the Center will work with its assigned RM to ensure
that it reinvests unexpended and future program income strategically into the project. Based on the explanation provided by a
Center, the NIST Grants Officer may approve the carry forward of UPI in an amount greater than 50% of a Center’s annual
Federal funding amount, although such approvals will generally be limited to cases where large amounts of UPI were reasonably
unforeseeable by the Center or in other extraordinary circumstances faced by a Center. The NIST Grants Officer will provide the
Recipient with written approval or denial of a request to carry forward UPI.
As a reminder, reporting program income to NIST via the SF-425 is cumulative. Program income earned under prior award
number should be included when submitting this form.
Additional Administrative Requirements:
o If the identified UPI is 10% or more of the total project budget (Federal and Non-federal amounts combined), Centers should
submit a full, revised Budget Workbook for the current year and a revised 5-Year Budget Summary Table.
o If the identified UPI is less than 10% of the of the total project budget (Federal and Non-federal amounts combined), Centers
should submit a revised 5-Year Budget Summary Table and a justification letter that explains why there is UPI and what it will be
used for in the current year.
o In both cases, the 5-Year Budget Summary Table should reflect actual expenditures for the prior year that accounts for the
carryover of UPI

H.    PROGRAM INCOME (PROJECTED)
Centers should provide a basis for the program income estimates included in the Budget Summary Table. The application of
Program Income should be consistent with the NIST MEP General Terms and Conditions. Significant changes in the amount
of program income expected to be generated should be explained here.

I.     OTHER REVENUE
Interest on Program Income – If a Center earns interest on funds directly related to the program, this is considered program
income revenue from the previous year and the amount estimated to be earned during the new operating year. Centers should
list the amount of interest earned on that Program Income here. Centers are reminded that per 2 C.F.R. Part 200.306 “payment
methods must minimize the time elapsing between the transfer of funds from the United States Treasury or the pass-through
entity, and the disbursement by the non-Federal entity” and that as such no interest should be collected on Federal Funds.

Subrecipient Cost Share – List other revenue sources include Center’s cash cost share and cost share of any subawardee. SubRecipients should include ALL Program Income earned within the award on this line- not just the income planned to be used in
the operating year. Include the Center's approval of subrecipient's carryforward of unexpended program income from the
prior year as match. All program income generated by the NIST MEP project should be reported. Excess program income
will be shown as such in the “Total Revenue - Total Expenses” line of the budget table.

Third Party Contributions – All third party cash/in-kind contributions should be clearly delineated by source. See the NIST MEP
General Terms and Conditions for documentation requirements.

Centers should delete language in RED before submitting.

A.     Personnel: List each position by name of employee and title, including in-kind costs.
In this table, list the personnel of the Center by broad category such as service delivery, management, etc. Note any vacancies in these categories. Show the annual salary and the
percentage of time devoted to the project. Compensation paid for employees must be consistent with that paid for similar work within the Center'sorganization and similar positions
in the industry.
Employees who are considered indirect labor (included in Indirect Cost Rate) should not be included in the breakdown of direct salaries. Neither contract nor subawardee personnel
should be included in this section of the budget; rather, they should be included under the Contractual or “Other” sections of the budget. Also note that time volunteered by Board
Members should NOT be included in this section of the budget; rather, this contribution should be included under the “Other” section of the budget.
As detailed personnel information will no longer be accessible to parties outside of NIST, it is no longer necessary to submit this information under separate cover as
requested in previous years.
Please use an asterisk (*) to indicate whether any of the individuals listed in the table are “Key Personnel.” As a reminder, per the NIST MEP General Terms and Conditions, as
amended, additions or changes of Key Personnel or the absence for more than three months or a 25% reduction in time devoted to the project by the approved Center Director
require approval by the Grants Officer (e.g., Center Directors, Chief Financial Officers, Managers, and Technical Staff whose expertise or experiences affect the basis of the
proposal).

Position
(1) Center Director*
(2) Project Manager*
(3) Project Manager
(4) Project Manager
(5) Project Manager
(5) Events Coordinator
(6) Office Manager
(7) Training Assistant
(8) Center Vice President
(included in Indirect Pool)*
TOTAL

Name
Jane Doe
John Day
Joan Kind
Fred Page
Norman Merge
June List
Ted Jones (TPC #1)
Sally Smith (TPC #2)
Sam Jones

Annual Salary/ Rate
$80,435
$50,500
$59,000
$61,000
$51,000
$40,000
$69,500
$43,300
$100,000

% of Time
69%
100%
100%
100%
100%
50%
100%
100%
100%

NIST MEP Federal
Cost Share Only
$27,750
$25,250
$29,500
$30,500
$25,500
$10,000
$0
$0
$0
$148,500

B.     Fringe Benefits: List all components that make up the fringe benefits rate
Component
FICA
Workers Compensation
Insurance
Non-Federal In-kind Fringe (TPC #1 & 2)*
TOTAL

NIST MEP Federal
Wage
Cost Share Only
$297,000
$11,360
$297,000
$4,633
$297,000
$14,637
$0
$30,630

Rate
7.65%
3.12%
9.856%

JUSTIFICATION: Include copy of current agreement.
Fringe reflects current rate for agency. *TPC #1 = $1,500 + TPC#2 = $1,000 = $2,500

Non-Federal
Non-Federal
Cost Share
Cost Share (InKind)
(Cash)
$27,750
$0
$25,250
$0
$29,500
$0
$30,500
$0
$25,500
$0
$10,000
$0
$0
$20,000
$0
$15,000
$0
$0
$148,500

$35,000

Non-Federal
Non-Federal
Cost Share
Cost Share (InKind)
(Cash)
$11,360
$0
$4,633
$0
$14,637
$0
$0
$2,500
$30,630
$2,500

Total
$55,500
$50,500
$59,000
$61,000
$51,000
$20,000
$20,000
$15,000
$0
$332,000

Total
$22,720
$9,266
$29,274
$2,500
$63,760

C.     Travel: List all expected travel for the operating year
Travel expenses should be in accordance with the organization’s written travel policy. In the absence of an acceptable written travel policy, established rates located at www.gsa.gov
shall apply. Recipients must comply with the Fly America Act for foreign travel.

Purpose of Travel
(1) MEP regional meeting

Destination
Washington, DC

(2) Local travel
(3) MEP Quarterly Meeting

TBD

Item
Airfare
Hotel
Per Diem (meals and
incidentals)
Mileage
Airfare
Hotel
Per Diem (meals and
incidentals)

Computation
$200/flight x 8 staff
$183/night x 8 staff x 3 nights
$71/day x 8 staff x 3 days

NIST MEP
Federal Cost
Share Only
$800
$2,196
$852

Non-Federal
Cost Share
(Cash)
$800
$2,196
$852

Non-Federal Cost
Share (In-Kind)
$0
$0
$0

535 miles x 5 staff @.55/mile
$200/flight x 4 staff
$183/night x 4 staff x 3 nights
$71/day x 4 staff x 3 days

$736
$400
$1,098
$426

$736
$400
$1,098
$426

$0
$0
$0
$0

$1,472
$800
$2,196
$852

$6,508

$6,508

$0

$13,016

TOTAL

JUSTIFICATION: Describe the purpose of travel and how costs were determined.

Total
$1,600
$4,392
$1,704

All costs were based on historical pricing.
(1) Eight staff will attend the MEP regional meeting in Washington, DC. This meeting will focus on service growth and business development.
(2) Local travel is needed to attend local meetings, project activities, and training events. Local travel rate is based on organization’s policies/procedures for privately owned vehicle
reimbursement rate.
(3) Four staff will attend the MEP quarterly meeting in a location that has yet to be determined. This meeting will focus on current center activities and outreach projects.

D.     Equipment: List all planned equipment purchases for the operating year

As set forth in 2 C.F.R. § 200.33, equipment means tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit
acquisition cost which equals or exceeds the lesser of the capitalization level established by the Recipient (or Sub-Recipient) for financial statement purposes, or $5,000. See also 2
C.F.R. §§200.12, Capital assets; 200.20, Computing devices; 200.48 General purpose equipment; 200.58 Information technology systems; 200.89 Special purpose equipment;
200.313, Equipment; and 200.439, Equipment and other capital expenditures. A Center must provide the methodology used to arrive at the proposed costs (e.g., historical costs,
competitive bid, or published price list, etc.). All procurement transactions by a Center or by a Sub-Recipient shall be conducted in accordance with Recipients shall conduct all
procurement transactions in accordance with the requirements set forth in 2 C.F.R. §§ 200.110(a) and 200.317 - 200.326.

Computation
$5000 x 1
21,199 x 1

Item(s)
(1) Video teleconferencing system (TPC #2)
(2) Copier Machine
TOTAL

JUSTIFICATION: Explain the purpose of each requested expense.
All costs were based on retail values at the time the proposal was written.

NIST MEP Federal
Cost Share Only
$0
$8,199
$8,199

Non-Federal
Cost Share
(Cash)

Non-Federal
Cost Share (InKind)
$0
$5,000
$13,000
$0
$13,000
$5,000

Methodology Used to
Arrive at the Proposed
Costs (e.g., historical
costs, competitive bid,
Total
published price list, etc.)
$5,000
Competitive bid
$21,199
Published Price List
$26,199

(1) System is necessary for allowing two-way video and audio communication and includes face-to-face interaction and data sharing for office and field staff. The Center expects that
by incorporating this system into its communications functions, travel expenses will decrease substantially.
(2) In order to save money by not relying on external providers for medium-sized print jobs, the Center intends to purchase volume copy machines for high volume printing. The
Center expects to save money in overall print costs by making this investment.

E.     Supplies: List all planned supply purchases for the operating year
As set forth in 2 C.F.R. § 200.94, supplies are defined as all tangible personal property other than those described in 2 C.F.R. § 200.33, Equipment. For this purpose, a computing
device constitutes a supply if the acquisition cost is less than the lesser of the capitalization level established by the Recipient (or Sub-Recipient) for financial statement purposes or
$5,000, regardless of the length of its useful life. See also 2 C.F.R. §§ 200.20, Computing devices; 200.314, Supplies; and 200.453, Materials and supplies costs.

Item(s)
Field staff supplies
Laptop Computer (4 office staff)
Laptop Computer (2 field staff & 2 TPC staff)
Central office supplies
Printers (6 staff)
TOTAL

Computation
$110/month x 12 months x 4 staff
$2000 x 4
$2000 x 4
$110/month x 12 months x 6 staff
$700 x 6

NIST MEP Federal
Cost Share Only
$0
$4,000
$2,000
$0
$0
$6,000

Non-Federal
Non-Federal
Cost Share
Cost Share (InKind)
(Cash)
$5,280
$0
$4,000
$0
$2,000
$4,000
$7,920
$0
$4,200
$0
$23,400
$4,000

JUSTIFICATION: Describe the need and include an adequate justification of how each cost was estimated.

Total
$5,280
$8,000
$8,000
$7,920
$4,200
$33,400

Methodology Used to
Arrive at the Proposed
Costs (e.g., historical
costs, competitive bid,
published price list, etc.)
Historical costs
Competitive bid
Competitive bid
Historical costs

All costs were based on retail values at the time the proposal was written.
(1) Supplies (field and central office) are needed for the general operation of the project activities.
(2) The laptop computers and printers are needed for both project work and presentations at the main office or in the field.
(3) TPC #2 = $2,000 x 2 = $4,000

F.     Contractual: List all contracts planned for the operating year
A contractual arrangement is defined as an arrangement to carry out a portion of the programmatic effort, the acquisition of routine goods or services, or professional advice or
service for a fee. The applicant/grantee must establish written procurement policies and procedures that are consistently applied. All procurement transactions shall be conducted in
a manner to provide to the maximum extent practical, open and free competition. Per the MEP General Terms and Conditions, no donations can be received from contractors or
vendors so there should not be in-kind contributions in this category. Subrecipient agreements should be reflected in the "Other" table of the budget.

Contractor/Organization Name
(1) IT International
(2) International Training Services
(3) American Sales, Inc.
(4) Jane Doe
TOTAL

Service
IT consultant
Computer program training
Sales Support
Marketing Coordinator

Computation
$52.08/hour x 32 hrs./month x 12
$1,700 x 5 staff/year
$75.03/hr. x 700 hrs./year
10 engagements x $5000/event

NIST MEP
Federal Cost
Share Only
$15,000
$8,500
$31,200
$50,000
$104,700

JUSTIFICATION: Explain the need for each contractual agreement and how it relates to the overall project.

(1) IT International will conduct information technology seminars and conferences and provide training services.
(2) International Training Services will conduct yearly systems training.
(3) American Sales, Inc., will develop sales and product distribution strategies.
(4) Marketing Coordinator will develop outreach strategies, conduct conferences, and provide professional development
G.     Construction: NOT ALLOWED

Non-Federal
Cost Share
Non-Federal Cost
(Cash)
Share (In-Kind)
$5,000
$0
$0
$0
$21,321
$0
$0
$0
$26,321
$0

Total
$20,000
$8,500
$52,521
$50,000
$131,021

H.     Other: List all other direct costs that do not fall into the object cost categories above.
Please note that Per 2 CFR §200.450 Lobbying “(e) Costs of membership in organizations whose primary purpose is lobbying are unallowable.” As such, no costs associated with
lobbying or organizations whose primary function is lobbying are allowable under this award. With regard to rental costs, Recipients need to ensure that if rental costs are being
included in the budget, they are in accordance with 2 CFR § 200.465. Rental costs under “sale and lease back” and “less-than-arm’s-length” agreements can only include expenses
such as depreciation, maintenance, taxes, and insurance.”

Item
(1) Sub-Recipient Agreements (ALL)
(2) Rent ($xx.xx/sq. ft.)
(3) Utilities
(4) Office Expenses (telephone, internet, etc.)
(5) Dues/Subscriptions
(6) Audits
(7) Board Expenses
TOTAL

Computation
See SRA/TPC Table
$3,958.66/month x 12 months
$875/month x 12 months
$250/month x 12 months
$166.66/month x 12 months
$5,472/year
4 meeting x $100/year x 10 board members =

JUSTIFICATION: Explain the purpose of each requested expense.

NIST MEP Federal
Cost Share Only
$26,000
$22,001
$5,250
$1,500
$800
$2,468
$2,000
$60,019

Non-Federal
Non-Federal
Cost Share
Cost Share (In(Cash)
Kind)
$10,000
$31,000
$22,003
$3,500
$5,250
$0
$1,500
$0
$1,200
$0
$3,004
$0
$2,000
$0
$44,957
$34,500

Total
$67,000
$47,504
$10,500
$3,000
$2,000
$5,472
$4,000
$139,476

(1) Sub-Recipient Agreements providing outreach and training. Sub-Recipients should include ALL Program Income (PI) earned under the award on this linenot just the income planned to be used in the Operating Year. All PI generated by the MEP project should be reported. Excess PI will be shown as such in the
"Total Revenue - Total Expenses" line of the budget table.
(2) Office space (TPC 1 = $3,500).
(3) The monthly utility expenses.
(4) The monthly telephone and Internet expenses.
(5) Expenses for professional and technical organization subscriptions and dues, excluding costs and membership fees for firms whose primary purpose is
lobbying. Costs include membership fees for the following organizations: Organization A, Organization B, etc.
(6) Required yearly audit expenses that are allocable to the MEP project.
(7) Reimbursement of travel and per diem costs for participation by board members in four meetings per year.

Item

NIST MEP Federal
Cost Share Only

TOTAL DIRECT COSTS

$364,556

Non-Federal
Cost Share
(Cash)

$293,316

Non-Federal
Cost Share (InKind)

$81,000

Total

$738,872

INDIRECT COSTS

IDC Agreement
13.70%
$49,944
$40,184
$0
$90,128
If indirect costs are included in the proposed budget, provide a copy of the approved negotiated agreement if this rate was negotiated with a cognizant
Federal audit agency. If the rate was not established by a cognizant Federal audit agency, provide a statement to this effect. If the Center includes indirect
costs in the budget and has not established an indirect cost rate with a cognizant Federal audit agency, the Center will be required to obtain such a rate in
accordance with the Department of Commerce Financial Assistance Standard Terms and Conditions available at:
http://www.osec.doc.gov/oam/grants_management/policy/documents/DOC_Standard_Terms_12_26_2014.pdf.
Alternatively, in accordance with 2 C.F.R. § 200.414(f), Centers that have never received a negotiated indirect cost rate may elect to charge indirect costs to
an MEP award pursuant to a de minimis rate of 10 percent of modified total direct costs (MTDC), in which case a negotiated indirect cost rate agreement is
not required. Centers proposing a 10 percent de minimis rate pursuant to 2 C.F.R. § 200.414(f) should note this election as part of this section.

Item

TOTAL (DIRECT + INDIRECT)

NIST MEP Federal
Cost Share Only

$414,500

Non-Federal
Cost Share
(Cash)

$333,500

Non-Federal
Cost Share (InKind)

$81,000

Total

$829,000

REVENUE – EXPENSES: If the total of “Revenue minus Expenses” in the Summary Budget Table is positive, please include a narrative that explains that this Unexpended Program
Income (UPI) will be carried forward into the next operating year. Please see the NIST MEP General Terms and Conditions, as amended for guidance on requesting NIST approval
of carry forward of UPI.

JUSTIFICATION: XMEP anticipates having a balance of UPI in the amount of $_____ at the end of the operating year. These funds will be…

XMEP - Enter Center Name Here
Period: Current Operating Year
Organization Name1

(1) Sub-Recipient Agreement #1

Agreement
Period

Agreement Type
Center Contact
Staff Responsible Subaward (SRA)
for
or Third Party
Monitoring
Contributions
Agreement
(TPC)

7/1/17 - 6/30/18

Jane Doe

SRA

TOTAL SRAs
7/1/17 - 6/30/18
(2) Third-Party Contributor #1

Jane Doe

TPC

Jane Doe

TPC

7/1/17 - 6/30/18
(3) Third-Party Contributor #2
TOTAL TPCs
TOTAL SRAs and TPCs

1
NIST MEP
Federal Cost
Share Only

2

Subaward/Third Party Contributions2
3
4
Sum of 2 thru 4 Sum of 1 thru 4
Total
Total
Non-Federal
Project
Cost Share
Amount
Non-Federal Cost Share
3

CASH

4

IN-KIND
IN-KIND
(Including full- (Including parttime personnel) time personnel)

CASH

$

26,000 $

10,000 $

31,000 $

-

$

41,000 $

67,000

$

26,000 $

10,000 $
$

31,000 $
25,000 $

-

$
$

41,000 $
25,000 $

67,000
25,000

$

-

-

$
$

- $
25,000 $

25,000 $
25,000 $

25,000 $
50,000 $

25,000
50,000

$

26,000 $

10,000 $

56,000 $

25,000 $

91,000 $

117,000

$

NOTES:
1. Each item of the Subawards/Third Party In-Kind Contributions Table should be shown as a separate line item in this table
2. Dollar amounts listed in this table must tie directly to the budget, be described in the budget narrative, and correspond to the amounts reflected in the agreements themselves.
3. Please state the dollar amount proposed/budgeted (or the value of property provided in lieu of cash) by the Center under the award to the partner organization.
4. Please state the dollar amount of third party in-kind contributions of part-time personnel, equipment, software, rental value of centrally located space (office and laboratory) and other related
contributions may be up to a maximum of one-half of the Recipient’s share. Allowable capital expenditures may be applied in the award funding period expended or in subsequent funding periods
consistent with the written accounting procedures of the Recipient. See 2 C.F.R. Section 200.306 for rules governing valuation of contributions of services and property.

JUSTIFICATION:
Centers should use this section to provide a 1-3 paragraph narrative for each SRA/TPC agreement that identifies the nature of the SRA/TPC contributions (e.g., office
space, partner staff, etc.) and highlight the purpose of each agreement.
(1) SRA #1
(2) TPC #1
(3) TPC #2