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2018 Project Officer On-Site Monitoring Review Training JANUARY 10, 2018

2018 Project Officer On-Site Monitoring Review Training JANUARY 10, 2018. Office of Small Business Development Centers (OSBDC). 2018 SBDC Project Officer On-Site Monitoring Review Training. Training Topics Why we Conduct On-Site Reviews

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2018 Project Officer On-Site Monitoring Review Training JANUARY 10, 2018

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  1. 2018 Project Officer On-Site Monitoring Review TrainingJANUARY 10, 2018 Office of Small Business Development Centers (OSBDC)

  2. 2018 SBDCProject Officer On-Site Monitoring Review Training Training Topics • Why we Conduct On-Site Reviews • Choosing Sites, How Often to Review, Selection Criteria, On-site Review Schedule & When Due • Pre On-site Review: Requesting Client Impact Reports on Client Impact & Activity (Counseling Hours), Selecting Counseling Filesfor Verification & Validation • On-Site: Conducting the Review • Post On-site: Report Sequence Flow • Timelines

  3. 2018 SBDCProject Officer On-Site Monitoring Review Training Part I Why We Conduct On-Site Reviews

  4. Your Reviews assess whether the SBDCs are operating in compliance with the Regs, Program Announcement and other governing documents. 2018 SBDCProject Officer On-Site Monitoring Review Training Why conduct the On-site SBDC Reviews? • Code of Federal Regulations (13 CFR, Sec 130.800 and Section 130.810) • Project Officer Knowledge & Expertise “on the ground” Your Reviews assess whether SBDC services are sufficient in terms of quality & scope in your area.

  5. 2018 SBDCProject Officer On-Site Monitoring Review Training Part II Choosing Sites How Often to Review Selection Criteria On-site Review Schedule When Due

  6. 2018 SBDCProject Officer On-Site Monitoring Review Training Network Reviews: How Often & How Many

  7. 2018 SBDCProject Officer On-Site Monitoring Review Training Reviews: How often & How many? Lead Center Reviewed once every fiscal year • Work with the State/Regional Director to ensure a smooth operation and minimal disruption for the SBDC network. There are many ways to conduct the review: Service Centers Reviewed every other year (once every two-years) • With large networks (more than 20 service centers) no more than 10 each year. • Work with your Program Manager to coordinate a plan to review all locations within a 3-year period.

  8. 2018 SBDCProject Officer On-Site Monitoring Review Training Review Selection Criteria: Priorities & Considerations

  9. 2018 SBDCProject Officer On-Site Monitoring Review Training Establish your Annual Review Schedule with OSBDC • Coordinate with the SBDC Lead Center on approximate dates for the on-site reviews across the network. • Provide OSBDC with the proposed schedule (see sample format on next slide). • Once OSBDC concurs, conduct lead and service center reviews based on this review schedule. Use current year templates. Alert OSBDC on any changes during the year.

  10. Sample Project Officer Review Schedule 2018 SBDCProject Officer On-Site Monitoring Review Training

  11. 2018 SBDCProject Officer On-Site Monitoring Review Training Part III Pre On-site Review: • Requesting Client Impact Reports on Client Impact & Activity (Counseling Hours) • Selecting Counseling Files for Verification & Validation

  12. 2018 SBDCProject Officer On-Site Monitoring Review Training Methodology for Client Counseling File Review Lead Centers – Review: 5 files. The prior year’s Top 5 Highest Capital Infusion (CI) cases from the entire network Service Centers - Review 10 files. Must include 5 from prior year ofHigh Activity Clients. Balance of 5 – your choice.

  13. 2018 SBDCProject Officer On-Site Monitoring Review Training Definition of High Activity Clients: Those clients which have: High counseling time (contact + prep) High impact (jobs created/retained, a business start, increase in sales, capital infusion, new international market, etc.)

  14. 2018 SBDCProject Officer On-Site Monitoring Review Training Pre On-site: Request Documentation from the Lead Center • First, reach out to the SBDC Lead Center, and request the following documentation: • Goal/performance data for the Service Centers for the most recently completed federal fiscal year (Oct 1 – Sep 30) regardless of performance period. • Goal/performance data for the Service Centers’ current federal fiscal year-to-date. • List of “Top 5” Client Capital Infusion Report for the entire network – a summary report that lists the top 5 clients for Capital Infusion impact for the prior fiscal year. • List of 5 High Capital Infusion (CI) Clients by service center. • List of High Activity Clients by service center: (Those clients that generated the most counseling hours (contact + prep) and/or impact).

  15. 2018 SBDCProject Officer On-Site Monitoring Review Training Bring these items with you to the On-Site Review • Client Definitions • Lead and/or service center Onsite Review Template • List of Pre-chosen client counseling files to be reviewed (For Lead Center Review: “Top 5 CI”; For Service Center Reviews, 5 High CI/Activity, 5 Other Clients, as appropriate) • List of 10 counseling client phone numbers for telephone verification • Proposal, NOA, recent reports.

  16. 2018 SBDCProject Officer On-Site Monitoring Review Training The Three Types of Review (“C-P-T”) File Selection for Service Center Reviews • “Ten-Ten-Ten” Rule • (DO NOT SHARE your pre-chosen lists before the on-site)

  17. 2018 SBDCProject Officer On-Site Monitoring Review Training Pre On-site: File Selection: Counseling • For Lead Center Review: “Top 5” Cap Infusion • For Service Center Reviews: • Ten files composed of combo of 5 High Activity (which may include High CI) • Balance of 5 files according to your judgment

  18. 2018 SBDCProject Officer On-Site Monitoring Review Training Part IV On-Site: Conducting the Review

  19. 2018 SBDC Project Officer On-Site Monitoring Review Training • On-Site: Lead Center • Review the network’s highest capital infusion client cases from the prior year. Check each file using the SBDC’s MIS system to ensure that reported data is accurate and sufficient. • Complete the table below from your Onsite Review Template. • Chart on Lead Center Review

  20. 2018 SBDCProject Officer On-Site Monitoring Review Training On-Site: Service Center: • Review your files according to your pre-established selection criteria. • For your High Client Activity selection. Is the loan documentation/awarded contract/equity infusion, etc. on file? • Has this led to impact?

  21. 2018 SBDCProject Officer On-Site Monitoring Review Training Example: “Top 5:” Capital Infusion Report Total Network

  22. 2018 SBDCProject Officer On-Site Monitoring Review Training Example: Capital Infusion Report by Service Center

  23. 2018 SBDCProject Officer On-Site Monitoring Review Training Example: HIGH ACTIVITY CLIENTS

  24. 2018 SBDCProject Officer On-Site Monitoring Review Training On-Site: Counseling File Must Contain • Form 641: If not in file must be made available to you • Good counseling notes with follow-on. Could another counselor pick up and carry on with this client? Is the documentation thorough? • Are copies of personal financial statements, business plans, marketing plans, loan documentation, etc. in the file?

  25. 2016 SBDC Project Officer On-Site Monitoring Review Training

  26. 2018 SBDCProject Officer On-Site Monitoring Review Training On-Site: Verification Phone Calls • Work with your list of ten selected clients • Follow your service center review template script to conduct your calls to the identified clients.

  27. 2018 SBDCProject Officer On-Site Monitoring Review Training On-Site: Training Files • Choose 10 training files: Each file must contain: • A completed SBA Form 888 for each training or equivalent (SBA Form 20) • Marketing materials for the training having appropriate SBA logo & acknowledgment of SBDC’s affiliation with SBA • Attendee lists • Program Income receipts • Client training evaluations

  28. 2018 SBDCProject Officer On-Site Monitoring Review Training On-Site: Completing the Report • Go through your template with the center director, asking questions, and taking thorough notes. • This part of the review should provide insight into this particular center, its market, its challenges, its strategy. • It is also an opportunity to establish rapport and get to know the SBDC better.

  29. SBDCs provide specialized information and guidance to individuals and small businesses 2018 SBDCProject Officer On-Site Monitoring Review Training Other Considerations: Do SBDC Services Meet Local Needs? Your Reviews assess SBDC services in terms of quality & scope in your area!

  30. 2018 SBDCProject Officer On-Site Monitoring Review Training Part V Post On-site: Report Sequence Flow

  31. 2018 SBDCProject Officer On-Site Monitoring Review Training

  32. 2018 SBDC Project Officer On-Site Monitoring Review Training Part VI Timelines

  33. 2018 SBDC Project Officer On-Site Monitoring Review Training Post On-Site: Timelines • By February 15, 2018: List of this year’s onsite review schedule centers to your Program Manager. Must include last year’s scheduled reviews • Within 10 days of site visit – reviews submitted to Program Managers • All scheduled Service Center Compliance Reviews must be submitted to the Program Manager at OSBDC by August 15th.

  34. 2018 SBDCProject Officer On-Site Monitoring Review Training 2018 Project Officer On-Site Monitoring Review TrainingThe End Q&As?

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