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: 10-01-2024
NIST MEP Multiyear Renewal Guidelines i March 2018

TABLEOF 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 1 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 2 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. 

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

•Scope of Work (SOW) (formerly "Background Document" or 

"FFO Response")*

•Award (CD-450s, Special Award Conditions (SACs), Applicable 

regulations)

Propose

•Operating Outcome Plans

•Detailed, Multi-year Budgets*

•Intellectual Property (IP) Plans*

Operationalize

•Reporting (Progress Plans, SF-425s, Operating Outcome Plan 

Progress)

•Annual/Panel Reviews

•Board Bylaws

Monitor

•Revisions to various documents Adjust •Amendments (CD-451s)
NIST MEP Multiyear Renewal Guidelines 3 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 centerop@nist.gov 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 4 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

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).”
NIST MEP Multiyear Renewal Guidelines 5 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 6 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 7 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 8 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 9 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 10 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 11 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 12 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 area4

). 

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.
NIST MEP Multiyear Renewal Guidelines 13 March 2018

(3) Start-up/Emerging Small and Mid-Sized Enterprises (SMEs) (an establishment that 

has been in operation for five years or less5

).

(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 Plan6 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

Small 

Establishments 

(<20 

employees)

Rural

Establishmen

ts (Use USDA 

Definition)

Start-up

Establish

ments

Transformational

Clients (Use 

NIST MEP 

definition)

Other 

manufacturers

Total 

Number of 

Unique 

Manufactur

ers Served

Over 

Three 

Years 

XX XX 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: 

• Growth Services Product Suite

5 “Start-Up” and “Emerging” Manufacturers are considered to be synonymous terms.

6 Semiannual Report/Progress Plan as referred to in the NIST MEP General Terms and Conditions and award documentation.
NIST MEP Multiyear Renewal Guidelines 14 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 codes7

: 

• 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 Total Direct Client 

Effort

Over Three Years 60% 40% 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 15 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 16 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.