1505-0227 SSBCI Technical Assistance Application Text 2022-06-06

Please note that this document is not the SSBCI TA Grant Program Application. This document is intended to be used as a reference for planning purposes. An online application portal is forthcoming.

TECHNICAL ASSISTANCE GRANT PROGRAM OVERVIEW

On March 11, 2021, President Biden signed into law the American Rescue Plan Act of 2021, which provided $10 billion to fund the State Small Business Credit Initiative (SSBCI). Through SSBCI, Treasury will provide funds to states, the District of Columbia, territories, and Tribal governments for small business credit support and investment programs (capital programs) and technical assistance (TA) for very small businesses (VSBs) and business enterprises owned and controlled by socially and economically disadvantaged individuals (SEDI‑owned businesses) applying for SSBCI capital programs or other federal or jurisdiction programs that support small businesses.

Treasury intends to award technical assistance funds to jurisdictions as federal grants (the TA Grant Program). The SSBCI TA Grant Program Assistance Listing No. 21.031 may be accessed at https://sam.gov/fal/3af6a8cf39e14276a1b74d9fe8a3c2ed/view. Jurisdictions that submit a complete SSBCI capital program application by the applicable deadline may apply for TA Grant Program funds.

For more information on SSBCI, including the applicable application deadlines and the TA Grant Program Guidelines, visit https://home.treasury.gov/policy-issues/small-business-programs/state-small-business-credit-initiative-ssbci.

PAPERWORK REDUCTION ACT
The information collections discussed in this guidance will be submitted to the Office of Management and Budget (OMB) under OMB control number 1505-0227 in accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35). OMB approval for the information collections included in this guidance is forthcoming and the information must be collected following OMB approval. This document will be updated to reflect that approval.

SECTION 1: USER INSTRUCTIONS

Welcome to the U.S. Department of the Treasury’s application submission portal for the SSBCI TA Grant Program. Based on the submission of your SSBCI Capital Program Notice of Intent, you may enter the TA Grant Program application portal. However, you will not be able to submit a TA Grant Program application until you have submitted your SSBCI Capital Program application by the applicable deadline (as specified on Treasury’s website). For your application to be evaluated by Treasury, please follow the instructions below.

Eligible recipients must be registered in the System for Award Management (SAM, at SAM.gov) before submitting their TA Grant Program application to Treasury and, pursuant to 2 C.F.R. § 25.200(b), must maintain an active SAM registration at all times throughout the period of performance.

The TA Grant Program application consists of eight sections:

Section 1: User Instructions

Section 2: Application Documents

Section 3: Definitions

Section 4: Technical Assistance Eligible Recipient and Subrecipient Information

Section 5: Technical Assistance Plan

Section 6: Budget and Narrative Justification

Section 7: Assurances of Compliance with Civil Rights Requirements

Section 8: Application Certification and Submission

For a list of documents that you will need to download, fill out, and upload as part of your completed application, see Section 2: Application Documents.

After completing a section, you must click the NEXT button at the bottom right corner of the screen to save your responses and advance to the next section.

At any time, you may also click the SAVE button on the bottom right corner of the screen to save an application in progress. Once an application in progress is saved, you may return to it later to amend or complete your application.

After the application is completed, electronically signed, and submitted successfully, the TA Authorized Official (or the official who has been delegated authority to act on the TA Authorized Official’s behalf ) and the primary and secondary contacts identified in Sections 4.2 and 4.3 will receive an automated confirmation email from Treasury.

If you have any additional questions, please contact [email protected].

For additional information on SSBCI, please see the SSBCI homepage.

SECTION 2: APPLICATION DOCUMENTS

To complete the application, you will need to upload the following documents. If you do not upload the following documents, your application will be incomplete and cannot be processed. Documents with an asterisk (*) are required if applicable to the applicant. Descriptions and examples can be found within the application and templates. It is the responsibility of the applicant to upload documents where required throughout the application. Please refer to the instructions within the application for guidance on what these documents should include. Links to templates are provided below for download, as well as throughout the application in the sections in which the documents are required.

• Delegation of Authority.*

• Recipient Letter of Designation.

• Joint Applicant Designation Documentation.*

• Program Design. Click here to download template.

• Performance Goals. Click here to download template.

• Negotiated Indirect Cost Rate Agreement/Cost Allocation Plan.*

• Narrative Justification of Budget. Click here to download template.

• Assurances of Compliance with Civil Rights Requirements. Click here to download template.

SECTION 3: DEFINITIONS

The terms defined below are used in various parts of the application. These definitions supplement and interpret certain terms in the American Rescue Plan Act of 2021 (Public Law No. 117-2). Please take time to review these definitions and refer to this section as necessary to complete your application fully and accurately.

Business enterprise owned and controlled by socially and economically disadvantaged individuals) (SEDI-owned business) means:

• a business enterprise that certifies that it is owned and controlled by individuals who have had their access to credit on reasonable terms diminished compared to others in comparable economic circumstances, due to (1) membership of a group that has been subjected to racial or ethnic prejudice or cultural bias within American society, (2) gender, (3) veteran status, (4) limited English proficiency, (5) disability, (6) long‑term residence in an environment isolated from the mainstream of American society, (7) membership of a Federally or state-recognized Indian Tribe, (8) long-term residence in a rural community, (9) residence in a U.S. territory, (10) residence in a community undergoing economic transitions (including communities impacted by the shift towards a net-zero economy or deindustrialization), or (11) membership of an underserved community. (Underserved communities are populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, as exemplified by the list in the definition of equity. Equity is consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.);

• a business enterprise that certifies that it is owned and controlled by individuals whose residences are in Community Development Financial Institution (CDFI) Investment Areas, as defined in 12 C.F.R. § 1805.201(b)(3)(ii);

• a business enterprise that certifies that it will build, open, or operate a location in a CDFI Investment Area, as defined in 12 C.F.R. § 1805.201(b)(3)(ii); or

• a business enterprise that certifies that it is located in a CDFI Investment Area, as defined in 12 C.F.R. § 1805.201(b)(3)(ii).

Eligible beneficiary means any very small business (VSB) or SEDI-owned business that is applying for, preparing to apply for, or has previously applied for an SSBCI capital program or other federal or other jurisdiction small business program.

Eligible recipient means a state, the District of Columbia, or a territory that submitted a complete SSBCI capital program application by February 11, 2022; and a Tribal government that submits a complete SSBCI capital program application by September 1, 2022.

TA provider means an entity that provides TA services to eligible beneficiaries.

Very small business (VSB) means a business with fewer than 10 employees and includes independent contractors and sole proprietors.

SECTION 4: TECHNICAL ASSISTANCE ELIGIBLE RECIPIENT AND SUBRECIPIENT INFORMATION

SECTION 4.1: ELIGIBLE RECIPIENT

Please enter information below for the agency, department, or political subdivision that has been designated to apply for, receive, and administer the TA Grant Program award. The term “agency” includes government corporations and other entities authorized or supervised by the jurisdiction; this would include, for example, Alaska Native Corporations.

• Eligible Recipient Name: [dropdown of eligible states, the District of Columbia, territories, Tribal governments]

• Eligible Recipient Designee: [alphanumeric]

• Eligible Recipient Designee unique entity identifier (UEI) number¹: [12-digit numeric field – reject if alpha or less than 12 digits]

• Eligible Recipient Designee taxpayer identification number (TIN) or employer identification number (EIN): [9-digit numeric field – reject if alpha or less than 9 digits]

• Does the Eligible Recipient designee have an active SAM.gov registration? [Y/N]

• Street Address 1: [alphanumeric field – reject P.O. Boxes]

• Street Address 2: [alphanumeric field – reject P.O. Boxes]

• City: [alpha field]

• State: [dropdown of states & territories]

• Zip Code: [5-digit numeric field – reject if alpha or less than 5 digits]

• Zip Code +4: [4-digit numeric field] optional

• Is this a joint application on behalf of multiple Tribal governments? [Y/N]

<Section 4.1A will only be visible if joint application [Y] is selected in Section 4.1>

SECTION 4.1A: JOINT APPLICATION

You have indicated that you are submitting a joint application on behalf of multiple Tribal governments. If this is not correct, please revisit the prior question. If this is correct, please provide the following information for each Tribal government on behalf of which you are submitting this application. In Section 4.2, you will be asked to provide the contact information for the TA Authorized Official responsible for making decisions on behalf of multiple Tribal governments regarding this joint application.

• Co-Applicant: [dropdown of eligible Tribal governments]

• What is the Unique Identifier (ID) associated with the Co-Applicant’s submitted NOI?² [Lookup field for Co-Applicant to enter ID]

• Co-Applicant UEI: [12-digit numeric field – reject if alpha or less than 12 digits]

• Co-Applicant TIN/EIN: [9-digit numeric field – reject if alpha or less than 9 digits]

After you have provided the requested information, select “Enter Another Entity” button to save information for the current entity and provide information for additional entities.

Joint Application Designation Documentation: Each Co-Applicant is required to submit Designation Documentation expressly stating that the governing officials of the Co-Applicant Tribal governments have designated the entity named in Section 4.1 and that such entity has the authority to do the following on behalf of all Co‑Applicants:

• Submit the TA Grant Program Application

• Sign the TA grant agreement

• Receive and disburse SSBCI TA Grant Program funds, if approved.

The Designation Documentation must include Tribal resolutions or official documentation of other actions taken by each participating Tribal government to delegate such authority to the entity named in Section 4.1. You may either submit one letter of designation listing all eligible Tribal governments in your joint application or submit letters of designation for each eligible Tribal government within your application.

Please upload the Designation Documentation.

<Section 4.1B will only be visible if joint application [N] is selected in Section 4.1>

SECTION 4.1B: RECIPIENT LETTER OF DESIGNATION

The eligible recipient will be required to submit a designation letter on official letterhead signed by the governor of the state or mayor of the District of Columbia, or governing official of the territory or Tribal government (or their delegates) stating that they have designated the specific entity named in Section 4.1 to do the following on behalf of the eligible recipient:

• Submit the TA Grant Program Application

• Sign the TA grant agreement

• Receive and disburse SSBCI TA Grant Program funds, if approved

This letter should include the title of the TA Authorized Official listed in Section 4.2.

Please upload the Recipient Letter of Designation.

SECTION 4.2: TA AUTHORIZED OFFICIAL

Please enter the information for the official who is authorized to sign and make decisions on behalf of the eligible recipient regarding this application (TA Authorized Official). This individual will be asked to authorize the application using a DocuSign electronic signature at the completion of this application in Section 8.

• First Name: [alphanumeric]

• Last Name: [alphanumeric]

• Title: [alphanumeric]

• Email: [alphanumeric email format check]

• Phone: [3-3-4 numeric]

• Organization: [alphanumeric]

• Street Address 1: [alphanumeric, reject P.O. boxes]

• Street Address 2: [alphanumeric, reject P.O. boxes]

• City: [alphanumeric]

• State: [dropdown of eligible states, the District of Columbia, territories]

• Zip Code: [5-digit numeric field – reject if alpha or less than 5 digits]

• Zip Code +4: [4-digit numeric field – optional]

• Is the TA Authorized Official delegating to another official the authority to certify and electronically sign the TA Grant application on their behalf? [Y/N]

<Section 4.2A will only be visible if TA Authorized Official is delegating authority [Y] is selected>

SECTION 4.2A: TA AUTHORIZED OFFICIAL DELEGATION OF AUTHORITY

If the TA Authorized Official named in the section above has delegated the authority to another official to certify and electronically sign the application on their behalf, documentation evidencing the delegation of authority must be submitted. The delegation of authority documentation must include:

• The scope of the delegation, including any specific authority to execute and deliver documents.

• The name, title, telephone number, and email address of each official who has been delegated authority.

• The effective date of the delegation and the end date, if any, for which the delegation is valid.

• References to applicable laws of the state, the District of Columbia, Tribal government, or territory that permit the delegation.

Please upload additional information on this delegation of authority.

If this delegation is submitted, this individual will be asked to authorize the application using a DocuSign electronic signature at the completion of this application in Section 8.

SECTION 4.3: PRIMARY AND SECONDARY CONTACTS

Please enter information for the primary and secondary contacts who will be notified regarding this application. These contacts will be contacted with any status updates for this application. The TA Authorized Official and/or the official who has been delegated authority to act on the TA Authorized Official’s behalf as identified in Sections 4.2 and 4.2A may be listed as application contacts or different individuals may be listed as application contacts.

• Primary First Name: [alphanumeric]

• Primary Last Name: [alphanumeric]

• Primary Title: [alphanumeric]

• Primary Email: [email format check]

• Primary Phone: [3-3-4 numeric]

• Secondary First Name: [alphanumeric]

• Secondary Last Name: [alphanumeric]

• Secondary Title: [alphanumeric]

• Secondary Email: [email format check]

• Secondary Phone: [3-3-4 numeric]

SECTION 4.3A: PERMISSION TO SHARE CONTACT INFORMATION

• Do you permit Treasury to share your application’s primary and secondary contacts’ information in Section 4.3 with other states, the District of Columbia, Tribal governments, and territories for TA Grant Program collaboration purposes? [Y/N]

SECTION 4.4: SUBRECIPIENTS

• Does the eligible recipient intend to make a subaward for one or more subrecipients to carry out all or a portion of the TA Grant Program award? [Y/N]

  • If Yes, next question will open.

  • If No, Section 4.4 will open.

• At this time, does the eligible recipient know any details about their subrecipient(s)? [Y/N]

• If Yes, Section 4.4A will open.

• If No, the below text will display and Section 4.5 will open.

[Help Text]: Before disbursing any funds to a proposed subrecipient, the Recipient must identify the subrecipient and provide documentation that the subrecipient is an entity eligible to receive a subaward under the TA Grant Program consistent with Section III.c of the TA Grant Program Guidelines. In addition, the Recipient must provide Treasury with an itemized subrecipient budget with an appropriate justification via a budget narrative. If the eligible recipient has not identified the subrecipients that will carry out the TA Grant Program Award at the time of application submission but will do so later, the eligible recipient should email details about the proposed subrecipients to Treasury at [email protected] with the subject, “TA GRANT APPLICATION – Subrecipient Information.”

SECTION 4.4A: SUBRECIPIENT INFORMATION

Please populate the information below for each subrecipient that has been designated to carry out all or part of the TA Grant Program Award on behalf of the eligible recipient. Once created and saved, the subrecipient information will appear in the table below. Please populate all fields in the below before proceeding to click on ‘Add Another Subrecipient’ button. For more information regarding subrecipients, please see the TA Grant Program Guidelines, particularly Section III.c.

• Subrecipient Type: [picklist of Entity of the eligible recipient; Nonprofit entity; For-profit entity]

• Subrecipient Name: [alphanumeric]

• Subrecipient UEI: [12-digit numeric field – reject if alpha or less than 12 digits]

• Subrecipient TIN/EIN: [9-digit numeric field – reject if alpha or less than 9 digits]

• Does the Subrecipient have an active SAM.gov registration? [Y/N]

• Street Address 1: [alphanumeric field – reject P.O. Boxes]

• Street Address 2: [alphanumeric field – reject P.O. Boxes]

• City: [alpha field]

• State: [dropdown of eligible states & territories]

• Zip Code: [5-digit numeric field – reject if alpha or less than 5 digits]

• Zip Code +4: [4-digit numeric field] optional

SECTION 4.5: FINANCIAL INSTITUTION INFORMATION

Please provide the following information about the financial institution and bank account to which TA Grant Program funds will be paid electronically, if approved.

• Financial Institution Name: [alphanumeric field]

• Financial Institution Street Address 1: [alphanumeric field – reject P.O. Boxes]

• Financial Institution Street Address 2: [alphanumeric field – reject P.O. Boxes]

• Financial Institution City: [alpha field]

• Financial Institution State: [dropdown of eligible states & territories]

• Financial Institution Zip Code: [5-digit numeric field – reject if alpha or less than 5 digits]

• Financial Institution Zip Code +4: [4-digit numeric field] optional

• Financial Institution Phone: [10 digit numeric 3-3-4]

• Routing Transit Number: [9 digit numeric – reject if alpha characters or less than 9 digits]

• Confirm Routing Transit Number: [9 digit numeric – reject if alpha, less than 9 digits, or mismatch]

• Account Number: [numeric only – reject if alpha]

• Confirm Account Number: [numeric only – reject if alpha, or mismatch]

• Is this account Checking or Savings? [picklist of Checking or Savings]

SECTION 5: TECHNICAL ASSISTANCE PLAN

SECTION 5.1: PROGRAM DESIGN

Eligible recipients are required to submit a TA plan as part of their application for TA Grant Program funding.

Eligible recipients must describe each project for which they will use TA Grant Program funds. Specifically, eligible recipients must address the following:

1. Data-driven assessment of the needs of eligible beneficiaries in the eligible recipient’s jurisdiction. Eligible recipients must provide information and data that they have used to design their TA projects in a way that effectively addresses eligible beneficiaries’ needs, particularly information and data on barriers to capital access. Information and data may include information from organizations and businesses associated with eligible beneficiaries; historical records and research reports on the need for small business legal, accounting, and financial advisory services in the jurisdiction; and statistical data on local economic conditions such as unemployment or job-creation numbers.

2. The organizational capacity and ability of the TA providers. Eligible recipients must describe the proposed TA providers and, if applicable, the process for identifying future TA providers, such as eligible recipients’ procurement processes. Eligible recipients must discuss their capability to directly implement the TA project or to manage subrecipient or contractor implementation. Eligible recipients must also discuss any subrecipient’s or contractor’s capability to implement the TA project or to manage the implementation of lower-tier subrecipients or contractors. Eligible recipients must discuss the process, sources, and tools used in identifying and determining the capability of the TA providers. Eligible recipients must address requirements set forth under “TA Provider Requirement: Connection to Economic Benefits’ in Section V.b and “TA Provider Requirement: Prioritization of SEDI-Owned Businesses as Providers” in Section V.c of the TA Grant Program Guidelines.

3. The connection between the TA project and SSBCI or other program that supports small businesses. Eligible beneficiaries are VSBs and SEDI-owned businesses that are applying for, preparing to apply for, or previously applied for an SSBCI capital program or other federal or other jurisdiction small business program. Accordingly, eligible recipients must describe how the project is connected to the relevant small business programs. For example, where an eligible recipient’s capital program is focused on capital access for small manufacturing enterprises (SMEs), the eligible recipient’s TA Grant Program application should include information connecting TA projects to the needs of SMEs that are SEDI-owned businesses and VSBs applying for an SSBCI program or other federal or other jurisdiction small business program. This could include information on how the planned TA services are expected to help SME eligible beneficiaries to, for example, implement new technologies, build relationships with local distributors, or reduce energy costs.

4. The strategy and efforts to reach SEDI-owned businesses and VSBs that are eligible beneficiaries. Eligible recipients should describe their strategy and efforts to reach eligible beneficiaries, such as regular internal organization meetings to assess TA project implementation and planned outreach efforts (e.g., publicity, email campaigns, neighborhood canvassing).

P
lease download the template here and upload the completed document.

SECTION 5.1A: PERFORMANCE GOALS

Eligible recipients must describe their performance goals and benchmarks for their TA Grant Program award. Treasury expects the duration of the period of performance for TA Grant Program awards will be up to five years. The performance measures must be tied to addressing the needs of eligible beneficiaries and explain the approach to addressing those needs. Eligible recipients must explain the output measures they will use to measure performance and the benchmarks for all identified short-, medium-, or long-term goals. Examples of output measures may include the number of newly established business organizations or the number of successful small business program applications submitted by eligible beneficiaries.

Please download the template here and upload the completed document.

SECTION 6: BUDGETAND NARRATIVE JUSTIFICATION

SECTION 6.1: PROPOSED BUDGET

Enter the requested amounts in the fields below. The amounts entered below must correspond to the amounts in the detailed budget and narrative justification template you upload in Section 6.2.

Direct Costs by Budget Category

• Personnel: [dollar numeric field to two decimal points]

[Help Text]: This refers to salaries and wages paid to employees of the eligible recipient who are directly involved in TA Grant Program award implementation. The budget narrative must identify the personnel category type by full-time equivalent employees (FTEs), including FTE equivalents for part‑time employees, number of personnel proposed for each personnel category, and the estimated funding amounts. The budget narrative should identify positions by title and function, include a brief description of duties, and state the rate of compensation and the amount of time to be allocated for each position. This line item does not include personnel of subrecipients; those costs are included in the “Contractual” line item below. See also 2 C.F.R. § 200.430 (Compensation – personal services).

• Fringe Benefits: [dollar numeric field to two decimal points]

[Help Text]: This refers to the allowances and services the eligible recipient provides to its employees as compensation in addition to regular salaries and wages. Fringe benefits include, but are not limited to, the costs of leave (vacation, family-related, sick, or military), employee insurance, pensions, and unemployment benefit plans. The budget narrative must provide a basis for the eligible recipient’s fringe benefit amount. See also 2 C.F.R. § 200.431 (Compensation – fringe benefits).

• Travel: [dollar numeric field to two decimal points]

[Help Text]: This refers to the expenses for transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the eligible recipient. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the method used is applied to an entire trip and not to selected days of the trip, and results in charges consistent with those normally allowed in like circumstances in the eligible recipient’s non-federally funded activities and in accordance with the recipient’s written travel reimbursement policies. The budget narrative must provide an estimated number of trips, points of origin and destination, and purpose of travel. It should also show how each trip (or type of trip) is needed to achieve the goals and objectives of the eligible recipient’s proposed projects. This line item does not include a subrecipient’s travel expenses; those costs are included in the “Contractual” line item. See also 2 C.F.R. § 200.472 (Travel costs).

• Equipment: [dollar numeric field to two decimal points]

[Help Text]: This refers to tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost that equals or exceeds the lesser of the capitalization level established by the eligible recipient for financial statement purposes or $5,000. The budget narrative must include an itemized listing of any proposed equipment to be purchased under the grant agreement. For each item to be purchased, provide an estimated unit cost, estimated useful life, basis for the estimated useful life, and justification for items of equipment to be purchased. Include a lease versus purchase analysis for each item of equipment. See the definition of “equipment” at 2 C.F.R. § 200.1.

• Supplies: [dollar numeric field to two decimal points]

[Help Text]: This refers to all tangible personal property other than equipment to be purchased under the grant agreement. For example, a computing device is a supply if the acquisition cost is less than the lesser of the capitalization level established by the eligible recipient for financial statement purposes or $5,000, regardless of the length of its useful life. The budget narrative must include a brief description of and justification for the supplies required to perform the work. These costs should be listed by major supply categories (e.g., office supplies, computer supplies), and include the estimated costs by category. See the definition of “supplies” at 2 C.F.R. § 200.1.

• Contractual: [dollar numeric field to two decimal points]

[Help Text]: This refers to purchases of property or services needed to carry out the project under the grant agreement. It is not specific to the legal instrument used, so this line item must include proposed subawards and contracts. The budget narrative should clearly identify the amount of funds the eligible recipient intends to award via contract or subaward, as well as the purpose of amounts to be awarded via contract or subaward.³ Before disbursing funds to any proposed subrecipient, the recipient must identify the subrecipient and provide Treasury with an itemized subrecipient budget using the same line items as specified here, with appropriate justification in a budget narrative.

• Other: [dollar numeric field to two decimal points]

[Help Text]: This refers to direct costs that do not fit any of the above categories, such as rent for buildings used to conduct award activities, utilities, or leased equipment, and costs for recipient personnel training. The budget narrative should list and describe other items by major type, provide a cost estimate or budget for each item, and describe the basis for the cost estimates or budget computations.

Total Program Costs

• Total Direct Costs: [sum of Direct Costs by Budget Category amounts above; dollar numeric field to two decimal points]

• Total Indirect Costs: [dollar numeric field to two decimal points]

• [Help Text]: In accordance with 2 C.F.R. § 200.1, indirect costs are defined as those costs incurred for a common or joint purpose benefitting more than one cost objective (i.e., program, function, activity, award, organizational subdivision, contract, or work unit), and not readily assignable to the cost objectives specifically benefitted, without effort disproportionate to the results achieved. Indirect costs must be supported by either a current federally approved Negotiated Indirect Cost Rate Agreement (NICRA) or, if the recipient does not have a current NICRA and receives less than $35 million in direct federal funding per year, the eligible recipient may elect to use the de minimis indirect cost rate, 10 percent of modified total direct costs (MTDC), as defined at 2 C.F.R. § 200.1.⁴ Eligible recipients electing to use the de minimis rate should specify in the budget narrative that the recipient does not have a current NICRA and are electing to take the 10 percent de minimis rate.

• Total Project Costs: [sum of Total Direct Costs and Total Indirect Costs above; dollar numeric field to two decimal points]

• Does the applicant have a current NICRA? [Y/N]

  • If Yes, next question will open.

  • If No, Section 6.2 will open.

• Program Income: [dollar numeric field to two decimal points]

Enter the estimated amount of income, if any, expected to be generated from this TA Grant Program. Do not add or subtract this amount from the Total Program Costs.

[Help Text]: If the eligible recipient anticipates generating any program income, the eligible recipient must detail the activities that are anticipated to generate such program income and must clearly explain those amounts in the budget narrative. For purposes of the TA Grant Program, program income is defined in 2 C.F.R. § 200.1 as gross income earned by a recipient or subrecipient that is directly generated by a supported activity or earned as a result of the TA Grant Program award during the period of performance and includes, but is not limited to, fees for services performed. In accordance with 2 C.F.R. § 200.307(e)(2), any program income must be added to the TA Grant Program award and used for the purposes and under the conditions of the award. Program income must be reported on in accordance with TA Grant Program reporting guidance.

Use the space below to provide a narrative statement on the nature and source of the program income and articulate any assumptions on the amount of program income.

[Text box for program income narrative statement]

SECTION 6.2: NARRATIVE JUSTIFICATION

Please use the link here to download the template for the detailed narrative justification to support the amounts entered for each budget category above.

The eligible recipient must provide a budget narrative that identifies and explains how funds in each line item of the budget will be used to support the proposed TA projects. The budget narrative must provide specific justification for all budget categories that apply, including eligible direct cost categories (i.e., personnel, fringe benefits, travel, equipment, supplies, contractual, and other), eligible indirect costs, and program income. The budget narrative must include an explanation of the necessity, allowability, reasonableness, and allocability of proposed costs. Eligible costs must be determined in accordance with 2 C.F.R. Part 200, Subpart E and the SSBCI TA Grant Program Guidelines and other SSBCI guidance. Each cost category should be treated consistently in like circumstances as direct or indirect costs, and eligible recipients must not double-count any costs as both direct and indirect costs. The narrative should not repeat information provided in the TA plan but should provide additional detail needed to understand the amounts allocated to each budget line item. Any resources and funding dedicated to the proposed projects from other funding sources must be clearly identified in the narrative.

If applicable, the eligible recipient must clearly describe the proposed pre-award costs in the budget narrative and provide a compelling justification as to why Treasury should approve them.

If the eligible recipient submits a cost allocation plan, the recipient must provide the relevant Certificate of Cost Allocation Plan required under 2 C.F.R. § 200.415(b)(1).

Please download the template here and upload the completed document.

SECTION 7: ASSURANCES OF COMPLIANCE WITH CIVIL RIGHTS REQUIREMENTS

If approved, TA Grant Program funding recipients must comply with legal requirements related to nondiscrimination and nondiscriminatory use of federal funds, where such laws are applicable to a recipient and any subrecipient or contracted entity operating SSBCI programs on the recipient’s behalf. To confirm that you will comply with these legal requirements if approved for TA Grant Program funding, download, review, and have the TA Authorized Official sign the assurances of compliance with civil rights requirements form and upload the signed form here.

At this time, Tribal governments do not need to submit these assurances. Treasury will notify Tribal governments if subsequent assurances are required. All other jurisdictions must submit these Assurances of Compliance with Civil Rights Requirements in order to complete the application.

Please download the template here and upload the completed document.

SECTION 8: APPLICATION CERTIFICATION AND SUBMISSION

The TA Authorized Official specified in Section 4.2 or official with delegated authority specified in Section 4.2A must sign your application using a DocuSign electronic signature.

By electronically signing and submitting this application, the entities listed in this application and the identified TA Authorized Official or official with delegated authority certify under penalty of perjury that:

1. all the information provided in this application and in email and other forms of communication to Treasury about this application is true and correct;

2. the eligible recipient’s designee has and shall retain documentation and records to support the information provided in this application;

3. the TA Authorized Official or official with delegated authority will distribute and notify all Co-Applicants (if applicable), entities, and organizations listed in this application of the status and documentation associated with this application, if applicable; and

4. the eligible recipient’s designee shall make such supporting documents and records available upon request.

After you click the button SUBMIT APPLICATION FOR AUTHORIZED SIGNATURE below,

an email will be sent to the TA Authorized Official in Section 4.2 or official with delegated authority in Section 4.2A with your completed application and a DocuSign link to electronically sign the application. Please ensure the email addresses provided in Sections 4.2 and 4.2A are active and correct.

WARNING: Anyone who knowingly submits a false claim or makes a false statement is subject to criminal and/or civil penalties, including confinement for up to 5 years, fines, and civil penalties (18 U.S.C. §§ 287, 1001; 31 U.S.C. §§ 3729, 3802). Treasury may refer any allegations of fraud, waste, or abuse in connection with SSBCI to the Treasury Inspector General.

[SUBMIT APPLICATION FOR AUTHORIZED SIGNATURE]

(Render the following on a new page after submission)

Thank you for submitting your application for signature. An email with a DocuSign electronic signature link has been sent to your Authorized Official in Section 4.2 or the official who has been delegated authority in Section 4.2A to electronically sign the application on the TA Authorized Official’s behalf.

authority in Section 4.2A to electronically sign the application on the TA Authorized Official’s behalf.

Your application is not complete or official until Treasury receives the electronically signed application. Please make sure your TA Authorized Official in Section 4.2 or official with delegated authority specified in Section 4.2A receives and responds to the email with the DocuSign electronic signature link.

APPENDIX A: APPLICATION SIGNED AND SUBMITTED

Subject: Your SSBCI Technical Assistance Grant Program application has been successfully certified and submitted

Body:

Thank you for successfully submitting your application for the SSBCI Technical Assistance Grant Program. Your application number is XXXXXXXX.

Please continue to check Salesforce regarding the status of your application.

For more information regarding the State Small Business Credit Initiative (SSBCI) program, please visit our web page: http://www.treasury.gov/ssbci.

Signoff:

Thank you,

U.S. Department of the Treasury

State Small Business Credit Initiative

[email protected]  

Confidentiality Notice: The information in this e-mail and any attachments is confidential and solely for the intended addressee(s). Do not share or use them without Treasury’s approval. If received in error, contact the sender, and immediately delete this email along with any attachments.

1 Please note that as of April 4, 2022, the unique entity identifier used across the Federal Government changed from the DUNS Number to the Unique Entity ID (UEI), which is generated by SAM.gov. For more information see https://sam.gov/content/duns-uei.

2 The Unique ID associated with the Co-Applicant’s NOI will be a six-character ID similar to: NOI-XXX. If you have trouble locating your NOI, please contact your Outreach Manager or the SSBCI Questions mailbox at [email protected].

3 The eligible recipient may provide the overall amount the eligible recipient intends to award via contract or subaward. If known, the eligible recipient may also identify each proposed contract and specify its purpose and estimated cost. Treasury expects the eligible recipient to make reasonable efforts to carry out its TA plan as proposed in the plan, in particular TA providers’ connection to economic benefits as explained in Section V.b above, but Treasury recognizes that a plan regarding proposed TA providers may change over time. Post-award changes in the set of proposed TA providers are permitted subject to the restrictions on moving funds among direct cost categories described below in this Section V.d, the requirements for TA providers in Section III.c, and the requirements of the Uniform Guidance (2 C.F.R. Part 200), including requirements applicable to subawards and procurements.

4 In accordance with 2 C.F.R § 200.414(f), a recipient or subrecipient that does not have a current NICRA with the federal government and receives less than $35 million in direct federal funding per year may elect to use a de minimis rate of 10 percent of MTDC.