The MATCHMAKERS HPT Subcommittee of the Northeast Regional

The MATCHMAKERS HPT Subcommittee of the Northeast Regional

The MATCHMAKERS HPT Subcommittee of the Northeast Regional Council The Matchmaker Team Professional Small Business Program Training Series for Large Businesses and Federal Agencies Small Business Utilization Series Training Guide Revised: August 2012 The MATCHMAKERS HPT Subcommittee of the Northeast Regional Council What you have before you is a Weapon System designed to fight lack of knowledge and misunderstanding about Small Business Programs. We hope to pass this body of information from our dedicated team, the Matchmakers HPT, to the fighters for supplier diversity all over this nation. While this training does not replace the actual regulations, the course can light the path to the wisdom needed to get the Small Business participation mission accomplished. This is the users guide to the system. Please use it wisely and often. Its application is what the American Dream is all about. Small Business owners, their families, the President and the Congress of these United States are all counting on you to get the job done.

We wish you great success! Ira M. Brand, Team Leader (Emeritus) on behalf of the Matchmakers HPT a subcommittee of the Northeast Regional Council Small Business Utilization Series Training Guide SMALL BUSINESS LIAISON OFFICER TRAINING Small Business Training Mark I: Professional Small Business Program Training Series Module 1: Public Laws and Regulations 4 Module 2: Identifying a Small Business 24

Module 3: How Small Business Programs Work 54 Module 4A: Preparing a Small Business Subcontracting Plan 77 Module 4B: Preparing a Small Business Participation Plan 120 Module 5: Small Business Assessment 131

Module 6: Small Business Metrics and Reporting 138 Module 7: Information Resources and FAQs 162 Module 8: Staying Current 171 Resources 175

Appendix A: Summary for the Basics of Subcontracting 184 3 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations This Module contains information on the Public Laws and Federal Acquisition Regulations (FAR) that govern the requirements for Small Business Subcontracting Programs. These small business laws and regulations form the framework for what we do and why we do it. The Module includes the goals for each business type and the Public Law basis for these requirements. The module also covers FAR references for incentive programs and liquidated damages provisions. 4 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 1: Public Laws and Regulations 001A FAR Regulations FAR 19.201(a) It is the policy of the Government to provide maximum practicable opportunities in its acquisitions to small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns. Such concerns must also have the maximum practicable opportunity to participate as subcontractors in the contracts awarded by any executive agency, consistent with efficient contract performance. 5 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001B FAR Regulations

FAR parts 19 and 52 outline all the requirements for preparing small business plans. Public Laws are the basis for these regulations. 6 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001C FAR Regulations The percentage goals set by Public Laws are: Small Business (SB) Small Disadvantaged Business (SDB) 23% 5%

Alaska Native Corp. & Indian Tribes included in SDB goal Woman-Owned SB (WOSB) 5% HUBZone SB 3% Veteran-Owned SB (VOSB) Service-Disabled VOSB (SDVOSB) Best Effort but includes SDVOSB 3% 7 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001D FAR Regulations No order of Precedence

SB SDB 8(a) WOSB HUBZone SDVOSB Note: 8(a) firms are included as SDBs 8 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001E FAR Regulations About the Law Section 8(d) of the Small Business Act requires that Small, SDB, HUBZone, WOSB, VOSB, and SDVOSB have the maximum practicable opportunity to participate as subcontractors on Federal contracts, to the extent that such opportunity is consistent with efficient contract performance. Revision of the Small Business Act of

1978 (Public Law 95-507) Redefined minority firms as Socially and Economically Disadvantaged Small Business Concerns (SDBs). Required Federal agencies to establish small business goals and explain to the Congress when goals were not met. Required small and small disadvantaged business subcontracting goals for major contracts awarded to large businesses. Reserved all Federal awards under $150,000 for small businesses. Required establishment of the Office of Small Business Programs (OSBP). OSBP Directors appointed by Head of

Agency. 9 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001F FAR Regulations National Defense Authorization Act (Public Law 99-661 Section 1207) Passed in 1987. Established Small Disadvantaged Business Program. Established the 5% goal for Small Disadvantaged Businesses. 10 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001G FAR Regulations Federal Acquisition Streamlining Act of 1994 (Public Law 103-355 Section 7106)

Established a government-wide goal for Women-Owned Small Businesses (WOSBs). Established the 5% goal for Women-Owned Small Businesses. 11 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001H FAR Regulations The HUBZone Empowerment Act (Public Law 105135) Included in the Small Business Reauthorization Act of 1997. Designed to stimulate economic development and create jobs in urban and rural communities.

Provides contracting preferences to small businesses that are located in a HUBZone and that hire employees who live in a HUBZone. Established a 3% goal for HUBZone small businesses. 12 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001I FAR Regulations The Veteran's Entrepreneurship and Small Business Development Act of 1999 (Public Law 106-50) Established a goal for Government-awarded prime contracts and for subcontracts awarded by prime contractors to (SDVOSB) concerns of 3%. A best effort goal for veteran-owned small businesses (VOSB) shall apply

(must equal or exceed SDVOSB goal). SDVOSBs are a subset of VOSBs. Individual, Master, and Comprehensive Subcontract and Commercial Plans must incorporate these goals. 13 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001J SB Program Success Incentive Clauses FAR 52.226-1 Utilization of Indian Organizations & Indian Owned Economic Enterprises The Indian Incentive Program provides for a payment of 5% of the amount subcontracted to an Indian organization or Indian-Owned Economic Enterprise. The Contracting Officer may include the clause if it is believed that there are

Indian sources and that funds are available for the incentive payment. Indian-Owned Economic Enterprise means any Indian-owned (as determined by the Secretary of the Interior) commercial, industrial, or business activity established or organized for the purpose of profit, provided that Indian ownership shall constitute not less than 51 percent of the enterprise. 14 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001K SB Program Success Incentive Clauses FAR 52.219-26 Small Disadvantaged Business Participation Program Incentive Subcontracting for specific parameters. Applies only to negotiated acquisitions. Monetary incentives shall be based on actual achievement as compared to proposed monetary targets for SDB

subcontracting. The incentive subcontracting program is separate and distinct from the establishment, monitoring and enforcement of SDB subcontracting goals in a subcontracting plan. This is an incentive to encourage increased subcontracting in the North American Industry Classification System (NAICS) Major Groups and is reported at the end of the contract via the OF312 attached to the final ISR. 15 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001L SB Program Success Incentive Clauses FAR 52.219-10 Incentive Subcontracting Program Monetary incentive which encourages the development of increased subcontracting opportunities based on actual achievement for Small Business, SDB, WOSB, HUBZone small business, VOSB, and SDVOSB.

All goals must be exceeded for the clause to be effective. Incentive will be 0-10% of the dollars by which the goals were exceeded. Determinations are solely at the Governments discretion. 16 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001M SB Program Success Incentive Clauses FAR 52.219-16 Liquidated Damages - Subcontracting Plan Willful or intentional failure to comply with a subcontracting plan is considered a material breach of the contract and could result in the

imposition of liquidated damages to be paid by the contractor. Size of damages is equal to the actual amount by which the contractor missed each goal. 17 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001N SB Program Success Good Faith Effort 13 CFR 125.3 Provide the maximum practicable subcontracting opportunities for small business concerns. Consistent with the efficient performance of the contract. 18 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 1: Public Laws and Regulations 001O SB Program Success Examples of maximum practicable opportunity 13 CFR 125.3 Breaking out contract work items into economically feasible units, as appropriate. Conducting market research to identify small business subcontractors and suppliers through all reasonable means. Soliciting small business concerns early in the acquisition. More>> 19 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 1: Public Laws and Regulations 001P SB Program Success Examples of maximum practicable opportunity 13 CFR 125.3 Providing adequate and timely information about the plans, specifications, and requirements for performance of the prime contract to assist small businesses in submitting a timely offer. Negotiating in good faith with interested small businesses. Assisting small businesses to obtain bonding, lines of credit, required insurance, necessary equipment, supplies, materials, or services. More >> 20

SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001Q SB Program Success Examples of maximum practicable opportunity 13 CFR 125.3 Utilizing the available services of small business associations; local, state, and Federal small business assistance offices; and other organizations. Participating in a formal mentor-protg program with one or more small business protgs that results in developmental assistance to the protgs. 21 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001R Small Business Goal Summary Small Business Type Small Business

Small Disadvantaged Business ANCs and Indian Tribes Goals Public Law Ref 23% PL: 100-656 5% PL: 99-661 (Part of SDB) PL: 99-661 Woman-Owned Small Business 5% PL: 103-355 HUBZone Small Business 3% PL: 105-135 Service-Disabled VOSB 3% PL: 106-50 Veteran-Owned Small Business

Best Effort PL: 106-50 22 SMALL BUSINESS LIAISON OFFICER TRAINING Module 1: Public Laws and Regulations 001S Small Business Goal Summary DoD Subcontracting Goals can Be Different Small Business Type FY 2012-2013 Small Business 36.7% HUBZone Small Business 3% SDVOSB 3%

SDB 5% WOSB 5% 23 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business This Module covers the requirements for a Small Business to qualify as a specific recognized type for identification and reporting credit under Federal contracts. The module includes definitions of Small Disadvantaged Businesses, the minority groups and the certification requirements for HUBZone firms.

The module also covers the penalties for misrepresentation. 24 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002A Identifying Small BiZ How is a Small Business Identified and Certified? Small Business Self-Certify. Does not exceed NAICS code size standard and is not owned by a large business. Size standard exception for ANCs and Indian tribes. How is a Small Disadvantaged Business Identified and Certified? SDBs Self-certify as of October 3, 2008. Does not exceed size standard (except ANCs and Indian tribes), listed in SAM, 51% owned and operated by a Socially and Economically Disadvantaged person as designated by the SBA. 25

SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002B Identifying Small BiZ How is a Women-Owned Small Business Identified and Certified? WOSBs Self-Certify. Meets size standard, 51% owned and operated by one or more Women, Self Certified. How is a HUBZone Firm identified and Certified? Must be certified by the SBA. Meets size standard, located in a HUBZone, 35% of employees live in a HUBZone, owner US citizen, certified by SBA and listed in SAM. 26 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002C Identifying Small BiZ How is a Veteran-Owned Business Identified & Certified? Self-Certified for agencies other than the Department of Veterans Affairs (VA).

For VA, certification required by Center for Veterans Enterprise (https://www.vip.vetbiz.gov/). Meets size standard, 51% owned and operated by one or more veterans with active duty (other than for training). 27 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002D Identifying Small BiZ How is a Service-Disabled Veteran-Owned Business Identified and Certified? Self-Certified for agencies other than the Department of Veterans Affairs (VA). For VA, certification required by Center for Veterans Enterprise (https://www.vip.vetbiz.gov/). Meets size standard, 51% owned and operated by one or more veterans with active duty (other than for training) and a service-related disability (0100%). 28 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002E Identifying Small BiZ

Veterans Administration (VA) Exception For a firm to work for the VA as either a VOSB or an SDVOSB, it must be verified as such by the Center for Veterans Enterprise (https://www.vip.vetbiz.gov/). 29 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002F Identifying Small BiZ Definition of a Small Business (SB) A for profit concern including its affiliates that is independently owned and operated. Not dominant in the field of operations in which it is bidding on government contracts.

Qualified as a small business under the criteria and size standards in CFR Part 121 (See FAR 19.102). 30 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002G Identifying Small BiZ Penalties for misrepresentation as a Small Business (including all subcategories) in order to obtain a prime contract or subcontract 15 U.S.C. 645(d) Fine of not more than $500,000 or imprisonment for not more than 10 years or both; Administrative remedies prescribed by the Program Fraud Civil Remedies Act of 1986;

More >> 31 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002H Identifying Small BiZ Penalties for misrepresentation as a Small Business (including all subcategories) in order to obtain a prime contract or subcontract 15 U.S.C. 645(d) (cont.) Be subject to suspension and debarment; and Be ineligible for participation in any program or activity conducted under Title 15 U.S. Code or the Small Business Investment Act of 1958 for up to 3 years. 32 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 2: Identifying a Small Business 002I Identifying Small BiZ Definition of Small Disadvantaged Business (SDB) Net worth of each individual does not exceed $750,000 excluding home & firm equity. Firm must be at least 51% unconditionally owned by one or more socially and economically disadvantaged individuals; or in the case of any publicly owned business, at least 51 percent of the voting stock is unconditionally owned by one or more socially and economically disadvantaged individuals; and whose management and daily business operations are controlled by one or more such individuals. 33 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002J Identifying Small BiZ Definition of Socially Disadvantaged Individuals

Those who have been subjected to ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities. 34 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002K Identifying Small BiZ Who are Socially Disadvantaged Individuals? Black Americans Hispanic Americans Native Americans (American Indians, Native Alaskans, or Native Hawaiians)

35 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002L Identifying Small BiZ Who are Socially Disadvantaged Individuals (cont.)? Asian Pacific Americans (persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China (inc Hong Kong), Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, Philippines, US Trust Territory of Pacific Islands (Republic of Palau), Republic of Marshall Islands, Federated States of Micronesia, Commonwealth of the Northern Marina Islands, Guam, Samoa, Macao, Fiji, Tonga, Kiribati, Tuvalu, or Nauru).

Subcontinent Asian Americans (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives or Nepal). 36 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002M Identifying Small BiZ Definition of Economically Disadvantaged Individuals Socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same or similar line of business who are not socially disadvantaged. 37 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002N Identifying Small Biz

Regulation change (Sept. 17, 2007) regarding Alaskan Native Corporations and Indian Tribes * Subcontracts count towards goals for SB and SDB, regardless of the size or SBA certification status. * This new provision does not apply to Hawaiian Native owned firms. 38 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002O Identifying Small BiZ Definition of Women-Owned Small Business (13CFR 127.200(b)) A small business firm at least 51% owned by one or more women, who are U.S. citizens or, in the case of any publicly owned business, at least 51% of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women.

There is also a Women-Owned Small Business Federal Contract Program which applies only to Government Contracting Officers. 39 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002P Identifying Small BiZ Women-Owned Small Business Federal Contract Program Applies only to Government Contracting Officers. Aimed at giving equal access to Federal contracts to: - Women-Owned Small Business (WOSB) and - Economically Disadvantaged Women-Owned Small Business (EDWOSB). Limited to certain NAICS Codes where women are underrepresented or substantially underrepresented as designated by SBA (over 360 currently eligible). 40 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002Q Identifying Small BiZ

Women-Owned Small Business Federal Contract Program Purpose: To enable contracting officers to set aside certain contracts for competition among WOSBs or EDWOSBs for the provision of goods and services to the Federal Government. Restricting competition to qualified WOSBs and EDWOSBs increases their success to compete for and win Federal contracts. 41 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002R Identifying Small BiZ Eligibility for WOSB: Must be small business at least 51% unconditionally and directly owned and controlled by one or more women who are U.S. citizens. Eligibility for EDWOSB: Must be a WOSB that is at least 51%

owned by one or more women who are economically disadvantaged. A woman is presumed economically disadvantaged if she has a personal net worth of less than $750,000 (with some exclusions), her adjusted gross yearly income averaged over the three years preceding the certification is less than $350,000, and the fair market value of all her assets is less than $6 million (with some exclusions). 42 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002S Identifying Small BiZ WOSB /EDWOSBs must either: - Self-certify - Be Certified by SBA-approved Third-Party Certifier Visit www.sba.gov/wosb for details of the program 43 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business

002T Identifying Small BiZ Definition of HUBZone Small Business Concern Must be a small business owned and at least 51% controlled by U.S. citizens, a Community Development Corporation, an agricultural cooperative, or an Indian Tribe. The principal office (the location where the greatest number of employees at any one location work [except for construction and service industries]) must be located in a Historically Underutilized Business Zone (HUBZone). At least 35% of the employees must reside in a HUBZone, not necessarily the same one where the firm is located. 44 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002U Identifying Small BiZ Definition of HUBZone Empowerment (Public Law 105-135)

Historically Underutilized Business Zone. An area located within one or more qualified census tracts. Qualified non-metropolitan counties (Rural Districts). Lands within the external boundaries of an Indian Reservation. Qualified Base Closure Areas. HUBZones have higher unemployment and lower salaries than the state average.

45 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002V Identifying Small BiZ Definition of Veteran-Owned Small Business Concern (VOSB) A small business firm, not less than 51% of which is owned by one or more veterans (as defined at 38 U.S.C. 101(2) ) or, in the case of any publicly owned business, not less than 51% of the stock of which is owned by one or more veterans; and the management and daily business operations of which are controlled by one or more veterans. Remember: there is no statutory goal for VOSBs, only for SDVOSBs. 46 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002W Identifying Small BiZ

Definition of Service-Disabled Veteran-Owned Small Business Concern (SDVOSB) [Public Law 106-50] A small business firm not less than 51% of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51% of the stock of which is owned by one or more service-disabled veterans; and the management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. 47 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002X Identifying Small BiZ Historically Black Colleges & Universities and Minority Institutions (HBCUs/MIs) (DFARS 252.219-7003) Minority Institutions are those organizations having significant minority enrollment.

Designated minority groups include African Americans, Native Americans, Hispanic Americans, Asian Americans, and Pacific Islanders. The latest list of HBCUs can be obtained at www2.ed.gov/about/inits/list/whhbcu/edlite-list.html The latest list of MIs can be obtained at www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-tab.html Note: HBCUs/MIs are no longer included as SDBs 48 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 2: Identifying a Small Business 002Y Identifying Small BiZ (Native American) Indian Incentive Program (FAR 26.1, 52.226-1) The Indian Incentive Program may provide an incentive to prime contractors that use Indian Organizations and Indian-Owned Economic Enterprises as subcontractors. Allows for an incentive payment to the prime contractor equal to 5% of the amount paid to a performing Indian subcontractor, if it is authorized by the contract. 49 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002Z Identifying Small BiZ (Native American) Indian Incentive Program (FAR 26.1, 52.226-1) Definitions

Indian means any person who is a member of any Indian tribe, band, group, pueblo, or community that is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs (BIA) in accordance with 25 U.S.C. 1452(c) and any Native as defined in the Alaska Native Claims Settlement Act (43 U.S.C. 1601). Indian organization means the governing body of any recognized Indian tribe or Indian entity. 50 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002AA Identifying Small BiZ (Native American) Indian Incentive Program (FAR 26.1, 52.226-1) Definitions (cont.) Indian-Owned Economic Enterprise means any Indian-owned (as determined by the Secretary of the Interior) commercial, industrial, or business activity established or organized for the purpose of profit, provided that Indian ownership shall constitute not less than 51 percent of

the enterprise. Indian tribe means any Indian tribe, band, pueblo, or community, including native villages and native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act, that is recognized by the Federal Government as eligible for services from BIA in accordance with 25 U.S.C. 1452(c). 51 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002AB Identifying Small BiZ Mentor-Protg Program (DFARS 219.71) Public Law 101-510, the National Defense Authorization Act of 1991, as amended, established the DoD Pilot Mentor-Protg Program. Provides incentives to prime contractors (mentors) to assist small disadvantaged businesses (SDB) firms (protgs) in enhancing their technical and business capabilities.

Hopefully leads to increased SDB participation as subcontractors in Federal and commercial contracts. Fosters the establishment of long-term business relationships. Firms are eligible to be mentors if they are currently performing a contract with an approved subcontracting plan and are currently eligible for the award of Federal contracts. 52 SMALL BUSINESS LIAISON OFFICER TRAINING Module 2: Identifying a Small Business 002AC Identifying Small BiZ Mentor-Protg Program (DFARS 219.71) Firms originally eligible to be a protg: SDB firms or

Qualifying organization that employs the severely disabled. Recent law allows HUBZones, WOSBs and SDVOSBs to be protgs. Mentors and Protgs must execute a formal agreement that sets forth the type of developmental assistance that will be provided to the protg. Mentor-Protg Programs may be for credit or reimbursement. DCMA is the approving agency for all credit-only programs. 53 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work This Module introduces the key elements of a successful Small Business Program. A rating system is provided to assist in the assessment of your

current program and the suggested levels for reaching an Outstanding rating. 54 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003A Small Business Program Success What should an effective small business subcontracting program include? Answer: A Ten Key Elements 1. Management Support. A. 10 Key Elements 2. An active SBLO.

B. 8 3. A good Subcontracting Plan. C. 6 4. Matchmaker SB Training. D. 4 5. Meeting SB Goals & Objectives.

E. As many as it takes 6. A good Outreach Program. 7. Connected to a Regional Council and a PTAC/PTAP. 8. Active Procurement Staff Participation. 9. Connection to SAM & Dynamic Small Business Search. 10. Accurate and On-Time reporting.

(check one) 55 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003B Small Business Program Success 1. Management Support SCORE GUIDE 1 = No management support. 3 = Management has minimal program knowledge. My company score is: 1 2 3 4 5 6 7 8 9 10 5 = Management knows about the program. 7 = Management actively endorses the program. 9 = Management endorses, monitors

and participates in the program. Mark Score Here: ______ 56 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003C Small Business Program Success 2. An Active SBLO SCORE GUIDE 1 = Our company does not have an SBLO. My company score is: 1 2 3 4 5 6 7 8 9 10 3 = Our SBLO has not been Matchmaker certified. 5 = Our SBLO is Matchmaker certified and is involved with at least 5 of the success elements.

7 = Same as 5 but does 7 of the success elements. 9 = Same as 5 but does all 10 elements. Mark Score Here: ______ 57 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003D Small Business Program Success 3. A Good Subcontracting Plan SCORE GUIDE 1 = My company does not have a subcontracting plan. My company score is: 1 2 3 4 5 6 7 8 9 10 3 = Our subcontracting plan is not approved by the agency buying office.

5 = Our subcontracting plan is current and approved by the agency buying office. 7 = Same as 5 and we are actively working our plan. Mark Score Here: ______ 9 = Same as 5 and we are meeting our plan goals. 10 = Same as 5 and we are exceeding our plan goals. 58 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003E Small Business Program Success 4. Matchmaker SB Training SCORE GUIDE 1 = My company does not have a training module for Small Business. My company score is:

1 2 3 4 5 6 7 8 9 10 5 = We are scheduled for Matchmaker training in the next 6-12 months. 10 = We are Matchmaker Certified. Mark Score Here: ______ 59 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003F Small Business Program Success 5. Meeting SB Goals & Objectives SCORE GUIDE 1 = My company has no goals or objectives for small business. My company score is: 1 2 3 4 5 6 7 8 9 10

3 = People are aware of subcontracting goals. 5 = Management has established company small business goals. 7 = Company goals are established and metrics reported. 9 = Same as 7, most goals are being met. Mark Score Here: ______ 10 = Same as 7, all goals are being met or exceeded. 60 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003G Small Business Program Success 6. A Good Outreach Program SCORE GUIDE 1 = Our company does not do Outreach. 3 = Our SBLO does limited Outreach.

My company score is: 1 2 3 4 5 6 7 8 9 10 5 = Our Company has an active Outreach Program. 7 = Our company is active and has participated in one or more matchmaking events. 9 = Same as 7, we have connected to sources through this process. Mark Score Here: ______ 61 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003H Small Business Program Success 7. Connected to a Regional Council and a PTAC/PTAP SCORE GUIDE

1 = What's a PTAC/PTAP? 3 = How do I connect to the SBA and a Region Council? My company score is: 1 2 3 4 5 6 7 8 9 10 5 = Our company is active in our Regional Council. 7 = Same as 5, and we work with our state PTAC/PTAP. 9 = Same as 7 and we are on a Matchmaker Sub-Committee. Mark Score Here: ______ SBA = Small Business Administration PTAC = Procurement Technical Assistance Center PTAP = Procurement Technical Assistance Program 62 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 3: How Small Business Programs Work 003I Small Business Program Success 8. Active Procurement Participation SCORE GUIDE 1 = Procurement staff is untrained. 3 = Procurement staff is aware. 5 = Procurement staff is active. My company score is: 1 2 3 4 5 6 7 8 9 10 7 = Procurement staff is Mark I Matchmaker Certified. 9 = Same as 7, and procurement is meeting the goals. Mark Score Here: ______ 63 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work

003J Small Business Program Success 9. Connection to SAM Dynamic Small Business Search My company score is: 1 2 3 4 5 6 7 8 9 10 SCORE GUIDE 1 = What is SAM Dynamic Small Business Search (DSBS)? 3 = How do I use SAM - Dynamic Small Business Search ? 5 = SAM - Dynamic Small Business Search is used to verify certifications. 7 = Our database is checked against SAM - Dynamic Small Business Search database regularly. Mark Score Here: ______ 9 = Same as 7, and we are compliant. SAM https://www.sam.gov/portal/public/SAM DSBS http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

64 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003K Small Business Program Success 10. Accurate and On Time reporting. SCORE GUIDE 1 = ReportingWhat reporting? 3 = Whats an ISR? 5 = ISRs and SSRs are issued. My company score is: 1 2 3 4 5 6 7 8 9 10 7 = Same as 5, and all data is compliant. 9 = Same as 7, and reports are issued on time. ISR Individual Subcontracting Report (formerly SF294).

Mark Score Here: ______ SSR Summary Subcontracting Report (formerly SF295). 65 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003L Small Business Program Success How did your company rate? SCORE CHART 1. ____ 10 - 29 score Unsatisfactory 2. ____

30 - 49 score Marginal 3. ____ 50 - 69 score Acceptable 4. ____ 70 - 90 score Highly Successful 5. ____

91 - 100 score Outstanding 6. ____ 7. ____ 8. ____ 9. ____ 10. ____ Note: This approximate score rating is

subject to other factors and a formal review by Federal agencies. Individual results may vary from site to site. Total: ______ 66 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003M Small Business Program Success OUTSTANDING Exceeded all negotiated goals or exceeded at least one goal and met all of the others. [Negotiated goals for rating purposes compares the percentage goals with the percentage achievements.] Has exceptional success with initiatives to assist, promote and utilize SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB. [Examples include, but are not limited to, participating in a Mentor-Protg program, performing compliance reviews at subcontractors' sites, administering a buyer

incentive program, participating in trade fairs, promoting registration in SAM, and contacting suppliers to encourage SDB and HUBZone certification.] An outstanding rating signifies that the company has an exemplary program that could be used as a model by other contractors in similar industries. 67 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003N Small Business Program Success HIGHLY SUCCESSFUL Met all of its negotiated goals in the traditional socio-economic categories (SB, SDB, and WOSB) and met at least one of the newer socio-economic goals (HUBZone, VOSB, and SDVOSB) for each contract that contains two or more of these goals.

Has significant success with initiatives to assist, promote and utilize SB, SDB, WOSB, HUBZone, VOSB and SDVOSB. Makes an effort to go above and beyond the required elements of the program and can provide documentation and success stories to support such efforts. 68 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003O Small Business Program Success ACCEPTABLE Demonstrated a good-faith effort to meet all of its goals, but has not met the rigorous criteria for a Highly Successful or Outstanding rating. Fulfills the requirements of its subcontracting plan and the regulations. ISR and SSR reports are complete and accurate.

69 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003P Small Business Program Success MARGINAL Deficient in meeting key subcontracting plan elements, the ISR and/or SSR reports are not correct, or the contractor has failed to satisfy one or more requirements of a corrective action plan currently in place. However, contractor's management does show an interest in bringing its program to an acceptable level and has demonstrated a commitment to apply the necessary resources to do so. A corrective action plan is required, and the Administrative Contracting Officer(s) must be notified. 70 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 3: How Small Business Programs Work 003Q Small Business Program Success UNSATISFACTORY Non-compliant with the contractual requirements of DFARS and FAR 52.219-8 and 52.219-9. Contractor's management shows little interest in bringing its program to an acceptable level or is generally uncooperative [for example, recommendations made by SBA or DCMA on previous reviews have never been implemented]. A corrective action plan is required, and the Administrative Contracting Officer(s) must be notified. 71 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work

003R Small Business Program Success Who is the Small Business Liaison Officer (SBLO)? Appointment The Small Business Liaison Officer (SBLO) should have a Letter of Appointment defining the SBLOs roles and responsibilities. Reports directly to the CEO or senior level management and has influence over all subcontracting activities and can effectively implement the overall SB Program. Assures maximum opportunities are afforded to those entities outlined in the company policy statement. The cognizant DCMA office should be notified when a new SBLO is appointed. 72

SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003S Small Business Program Success What is the SBLO responsible for in most organizations? The SBLO is responsible for the entire program for the organization. Develop local procedures. Develop source lists, guides to identify suppliers. Use of SAM, PTACs, SBA, DCMA and other sources. Ensure updates to supplier base and that on-going efforts are being made to locate, utilize and develop SB, SDB,WOSB, HUBZone, SDVOSB and VOSB vendors. Attend and sponsor procurement conferences.

Brief management and other personnel involved in the supply chain management on SB program. 73 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003T Small Business Program Success What is the SBLO responsible for in most organizations? The SBLO is responsible for the entire program for the organization. Conduct training for all personnel involved in the subcontracting effort. Completion of ISR/SSR semi-annually. Use of Sub-Net (SBAs program) and United States Air Force Interactive

Mall to advertise subcontracting opportunities. Networking with industry SBLOs, PTAC/PTAP, DCMA and SBA. 74 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003U Small Business Program Success Important: Small Business Programs are subject to monitoring and review by DCMA and the SBA. DCMA Offices provide performance data to Contracting Officers when evaluating the subcontracting plans prior to contract award. 5 year trend data is maintained on the contractors overall performance

At contract completion, the Contracting Officer is provided a copy of the results of your individual contract performance. Monitor your program from every aspect. Reduce the size of the supplier base and maintain long-term relationships. Ensure that small business concerns have an opportunity to compete over a period of time; therefore the search should be continuous. 75 SMALL BUSINESS LIAISON OFFICER TRAINING Module 3: How Small Business Programs Work 003V Small Business Program Success Ongoing process involves all personnel involved in the supplier process.

Recommended that you request continuous input/feedback/reporting from these individuals so that you have the information readily available. Upon completion of the review, it is requested that an exit briefing be scheduled with the CEO/President or senior management. A program rating will be assigned as a result of the review. The five categories were previously identified. 76 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4: Small Business Subcontracting Plans and Participation Plans This is a two-part Module.

Module 4A will provide the information needed to prepare a Small Business Subcontracting Plan as part of a proposal or contract. The required elements are covered as well as the calculation methods used in establishing the goals. Incentive programs are also discussed. In Module 4B the requirements of Small Business Participation Plans and the differences between Participation Plans and Subcontracting Plans are discussed. 77 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Small Business Subcontracting Plans This

Module will provide the information needed to prepare a Small Business Subcontracting Plan as part of a proposal or contract. The required elements are covered as well as the calculation methods used in establishing the goals. Incentive programs are also discussed. The Subcontracting Plan is a Material Part of the contract. 78 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004A Requirement for a Plan U.S Government Policy: SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB firms to have Maximum Practicable Opportunity to participate in performance of Federal contracts.

Other-than-Small Business (OTSB) contractors are legally required to carry out this policy in subcontracting to the fullest extent consistent with efficient performance. An OTSB is any entity not classified as Small including: - Large Business - State and Local Governments - Non-profit Organizations (including Ability One) - Federal Prison Industries (UNICOR) - Foreign firms located outside the United States 79 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004B Select Plan Type First, Select the Plan Type For Example:

Individual Subcontracting Plan (FAR 19.704(a)) OR another plan type A separate plan for each contract over: $1,500,000 (Construction) $650,000 80 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004C Select Plan Type TYPES OF SUBCONTRACTING PLANS Commercial Comprehensive

Master Individual 81 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004D Select Plan Type Commercial Subcontracting Plan (FAR 19.704(d) and 19.701) A plan (including goals) that covers the offeror's fiscal year and that applies to the entire production of commercial items sold by either the entire company or a portion thereof (e.g.., division, plant, or product line). Preferred type of plan for contractors furnishing commercial items (FAR 19.701). Submitted to (1) the first Contracting Officer awarding a contract subject to the plan during the contractors fiscal year or (2) if the contractor has

ongoing contracts with commercial plans, to the Contracting Officer responsible for the contract with the latest completion date. Approved plan shall remain in effect during the contractors fiscal year for all Government contracts during that period. 82 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004E Select Plan Type Comprehensive Subcontracting Plan (DFARS 219.702(1) and PGI 219.702) DoD is currently conducting a test program to determine whether a corporate, division, or plant-wide comprehensive plan will increase subcontracting opportunities for small business concerns. The test is being conducted from October 1, 1990 through December 31, 2014. No Incentive Clauses or Liquidated Damages Clauses are applicable during the

period of the test program. Eligible contractors are large business concerns at the major (total) corporate level during the preceding fiscal year that : Were performing under at least 3 DoD Contracts, and were paid $5 million or more for the contracts and achieved a small disadvantaged business goal of 5% or more during the preceding year. 83 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004F Select Plan Type Comprehensive Subcontracting Plan (DFARS 219.702(1)) [cont.] Negotiated on an annual basis by Defense Contract Management Agency (DCMA). Incorporated into all contractors active DoD contracts requiring a plan.

Used by all DoD Contracting Officers in contracts which require a plan awarded contractors during the test period. Not subject to application of liquidated damages during the period of the test. 84 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004G Select Plan Type Participants in the Comprehensive Subcontracting Test Program as of July 1, 2012 BAE Systems (Selected Divisions) GE Aviation

General Dynamics (C4 Systems) Hamilton Sundstrand Harris Corp. (Govt. Communication Sys.) Raytheon Company L-3 Communications (CSB Sector) Pratt & Whitney Lockheed Martin Corporation Textron Systems Northrop Grumman (Electronic Systems)

Sikorsky Aircraft Note: Boeing Company dropped out in 2008 85 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004H Select Plan Type Master Subcontracting Plan (FAR 19.704(b)) A subcontracting plan that contains all the required elements of an individual contract plan, except goals (and description of the principal types of supplies and/or services), and may be incorporated into individual contract plans, provided the master plan has been approved by the Administrative Contracting Officer. 86 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 4A: Preparing a Small Business Subcontracting Plan 004I Select Plan Type Master Subcontracting Plan (FAR 19.704(b)) Incorporated, maintained and updated by the contractors cognizant contract administration office and established on a plant or division-wide basis. Separate goals for SB, SDB, WOSB, HUBZone, SDVOSB, and VOSB are submitted for each contract. Effective for a 3-year period AFTER approval by the Administrative Contracting Officer. When incorporated in an Individual Plan, applies throughout the life of the contract. 87

SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004J Select Plan Type Individual Subcontracting Plan A subcontracting plan that covers the entire contract period (including option periods), applies to a specific contract, and has goals that are based on the offeror's planned subcontracting in support of the specific contract, except that indirect costs incurred for common or joint purposes may be allocated on a prorated basis to the contract. Contains 11 elements. 88 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004K Establish Goals 1.

Identify needs to satisfy the contract: 4. Goals Purchased Parts Subcontracts Based on perceived subcontracting opportunities. Service Contracts

Indirect (MRO) Items Categorize the dollars and percentages by business type (i.e.: small + large = total subcontracted dollars) SDB, WOSB, HUBZone, VOSB & SDVOSB are subcategories of small business. Goal percentages are calculated based on total subcontracting dollars. Prepare a Goal Sheet to add to your Small Business plan. 2. Identify Supplier Ownership Type 3.

Estimate Current Cost Cost estimating may be based on Historical Data Supplier Quotes Purchase agreement 89 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004L Self-Certifications Contractors acting in good faith

may rely on written representations by their subcontractors regarding their small business status or SBA Certifications, when required by regulation. REMEMBER: Credit for Small Business goals may require a Certified supplier. Certifications should be current. Self Certification is required for: a Small Business. a Veteran-Owned Small Business a Service-Disabled Veteran-Owned Small Business.

a Women-Owned Small Business a Small Disadvantaged Business. SBA Certification is required for: HUBZone businesses. 90 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004M Percentages and Dollars Plan must include: 1) Percentage goals for each category of small business (FAR 52.219-9(d)(1). -- Goals for option years must be broken separately.

out 2) Total dollars to be subcontracted and the total dollars planned for each category of small business (FAR 52.219-9(d)(2). 91 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004N Identify Current Suppliers Identify current Supplier category Small Business Large Business Small Disadvantaged Business

HUBZone Small Business Women-Owned Small Business Veteran-Owned Small Business Service-Disabled Veteran-Owned Small Business List Goals for each category 92 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004O To Calculate Goals

Total planned subcontracting dollars = Total of all Large and Small Subcontracting dollars Anticipated spend with companies located in the United States to perform customer contract (this is the denominator for ALL GOAL calculations) 93 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004P Small Business Concerns Goal percentage to be subcontracted to: Small Business Small Business Dollars / (divided by) Total Planned Subcontracting Dollars (x100) = % SB goal (Congressional goal 23.0%) 94 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 4A: Preparing a Small Business Subcontracting Plan 004Q Small Business Goals Goal percentage to be subcontracted to: Small Disadvantaged Business Small Disadvantaged Business Concerns Dollars / Total Planned Subcontracting Dollars x100 = % SDB goal (Congressional goal 5.0% & includes ANCs and Indian Tribes) 95 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004R Small Business Goals Goal percentage to be subcontracted to: Women-Owned Small Business Women-Owned Small Business Concerns Dollars/ Total Planned Subcontracting Dollars x100 = % WOSB goal (Congressional goal 5.0%) 96

SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004S Small Business Goals Goal percentage to be subcontracted to: HUBZone Small Business HUBZone Small Business Concerns Dollars/ Total Planned Subcontracting Dollars x100 = % HUBZone goal (Congressional goal 3.0%) 97 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004T Small Business Goals Goal percentage to be subcontracted to: Veteran-Owned Small Business Veteran-Owned Small Business Concerns / Total Planned Subcontracting Dollars x100 = % VOSB goal

(Congressional goal 3.0% placed only on Service Disabled) (VOSB goal includes SDVOSB goal) 98 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004U Small Business Goals Goal percentage to be subcontracted to: Service-Disabled Veteran-Owned Small Business Service-Disabled Veteran-Owned Small Business Concerns Dollars/ Total Planned Subcontracting Dollars x100 = % SDVOSB goal (Congressional goal 3.0%) (Included in VOSB goal) 99 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004V Small Business Goals For

any percentage goal less than the Congressional goal, you must provide an explanation as to why the goal is lower. 100 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004W Type Product/Service Contracted The plan must include (cont.): 3) A description of the principal types of supplies and/or services to be subcontracted and an identification of the types planned for subcontracting with each category of small business [FAR 52.219-9(d)(3)]. 101 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 4A: Preparing a Small Business Subcontracting Plan 004X Type Product/Service Contracted Prepare a matrix showing the supply/service to be procured and the SB categories that will provide the supplies or services [FAR 52.219-9(d)(3)]. (Helps to identify ideal type of plan) Identify the source of the supply as: 1. Commercial Item 2. Standard Catalog Item 3. Contract Specific Item 4.

Qualified Military Product 5. Sole/Single Source Item Provide an explanation of the goals based on the supply mix used in the plan. 102 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004Y Type Product/Service Contracted Sample Matrix Commodity LB SB SDB

Misc. Tooling X X X Computer Hardware/Software X X Metal Parts X WOSB HUBZone X

X VOSB SDVOSB X X X 103 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004Z Goal Development and Source Identification The Plan must include: 4) A description of methods used to develop goals [FAR 52.219-9(d)(4)]. Example: How SB content was realistically established based on historical or Bill of Material sourcing analysis.

5) A description of methods used to identify potential sources [FAR 52.219-9(d)(5)]. Example: History or SAM. 104 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AA Indirect Costs The Plan must include: 6) A Statement whether or not offeror included indirect costs in establishing goals [FAR 52.219-9(d)(6)]. Note: Indirect subcontracting is useful when NO direct subcontracting is planned (an allocation method may be used). 105 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting

Plan 004AB Indirect Cost Allocation If indirect costs (overhead) are included in the goal, then the allocation method must be explained. Each firm has its own method to allocate indirect costs to a contract. As an example, one method would be to determine the total indirect spending for the last year. Analyze the spending by source to determine which categories the spending falls into. Once the spending is categorized, determine what percentage of the total indirect applies to each category of small business. Apply that percentage to planned indirect costs and add the resulting dollars to the planned direct dollar spending. 106 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 4A: Preparing a Small Business Subcontracting Plan 004AC Name of Individual Administering The Plan must include: 7) Individual Responsible for Administrating the Plan : Employee (name, title, contact information) who will administer the offerors subcontracting program and a description of duties [FAR 52.219-9 (d) (7)] 107 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AD Assurances The plan must include: 8) A description of the efforts the offeror will make to assure small business concerns have an equitable opportunity to compete for subcontracts. See FAR 52.219-9(e) for details. [FAR ref: 52.219-9(d)(8)]

108 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AE Assurances FAR 52.219-9(e) lists 6 functions that a contractor is expected to perform in implementing its plan: - Assist small firms by arranging solicitations, time for bid preparation, quantities, specifications and delivery schedules to facilitate participation. - Provide adequate and timely consideration of the potentialities in all make-or-buy decisions. - Counsel and discuss subcontracting opportunities. 109 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AF Assurances FAR 52.219-9(e) lists 6 functions that a contractor is

expected to perform in implementing its plan (cont.): - Confirm that a subcontractor representing itself as a HUBZone firm is identified as certified in the System for Award Management or by contacting SBA. - Provide notice to subcontractors concerning the penalties and remedies for misrepresentation of business status for the purpose of obtaining a subcontract that is to be included as part of a goal. 110 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AG Assurances FAR 52.219-9(e) lists 6 functions that a contractor is expected to perform in implementing its plan (cont.): - For all competitive subcontracts over the simplified acquisition threshold in which a small business concern received a small business preference, upon determination of the successful subcontract offeror, the Contractor must inform each unsuccessful small business subcontract offeror in writing of the name and location of the apparent successful offeror prior to award of the contract.

111 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AH Assurances The plan must include: 9) Assurances that the offeror will include the following clause: [FAR 52.219-9(d)(9)] Utilization of Small Business Concerns (FAR 52.219-8) in all subcontracts that offer further subcontracting opportunities, and that the offeror will require all subcontractors (except small business concerns) that receive subcontracts in excess of $650,000 ($1,500,000 for construction of any public facility) to adopt a subcontracting plan that complies with the requirements of this clause. 112 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AI Assurances The 10)

plan must include statements that : The offeror will cooperate in any studies or surveys as may be required. [FAR 52.219-9(d)(10)(i)] The offeror will submit periodic reports as required. [FAR 52.219-9(d)(10)(ii)] 113 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AJ Assurances The plan must include the statements that (cont.): The offeror will submit the Individual Subcontracting Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with the paragraph (l) of this clause using the Electronic Subcontracting Reporting System (eSRS) at http://www.esrs.gov. [FAR ref: 52.219-9(d)(10)(iii) ]

Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS. [FAR ref: 52.219-9(d)(10)(iv)] 114 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AK Assurances The plan must include the statements that (cont.): The offeror will provide its prime contract number, its DUNS number, and the e-mail address of the offerors official responsible for acknowledging receipt of or rejecting the ISRs, to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their ISRs. [FAR ref 52.219-9(d)(10)(v)] The offeror will require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractors official responsible for acknowledging receipt

of or rejecting the ISRs, to its subcontractors with subcontracting plans. [FAR ref 52.219-9(d)(10)(vi)] 115 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AL Records FAR 52.219-9(d)(11) lists 6 specific records that the contractor must agree to maintain: (i) Source lists, guides and other data identifying small business concerns. (ii) Organizations contacted to locate small business concerns. 116 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AM Records (cont.) (iii) For awards over $150,000 were firms in each of the small business categories solicited?

If not, Why not? AND, if applicable, why the award was not made 117 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AN Records (cont.) (iv) Outreach efforts to contact trade associations, business development organizations, conferences and trade fairs. (v) Records of internal guidance and encouragement to buyers through workshops, seminars, training, etc. and monitoring performance to evaluate program compliance. (vi) On a contract-by-contract basis, records to support award data including the name, address and business size of each subcontractor [does not apply to commercial plans]. 118 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4A: Preparing a Small Business Subcontracting Plan 004AO Assurances Records of Awards of $150,000

Sample Matrix for Tracking Awards Received Award Solicited Did not Respond Not Solicited Because SB SDB WOSB HUBZone VOSB SDVOSB 119 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plans 004BA This

module discusses Small Business Participation Plans and the Differences between Participation Plans and Subcontracting Plans. 120 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plans 004BB Small Business Participation Plans Part of Source Selection Evaluation (DFARS 215.304) If plans are required by the solicitation, they apply to both Large and Small Businesses. Goals will be based on Total Contract Value, not on

Dollars to be subcontracted unless otherwise specified in the solicitation. 121 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plans 004BC As specified in DFARS PGI 215_3, Evaluation factors may include: --Extent to which SB firms are specifically identified in the proposal. >>Should be CLEARLY indentified by name and CAGE. >>Should identify specific work or components to be supplied by SB. -- Extent of commitment to SB firms (enforceable commitments weigh more heavily than non-enforceable ones) [for example, Teaming Agreements]. 122

SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plans 004BD Evaluation factors may include (cont.): -- Realism of proposal. -- Past performance of offeror in complying with requirements of FAR 52.219-9 and 52.219-8 (i.e. ISR/SF 294 and SSR/SF 295 data over last 3 years). -- Extent of participation of SB firms in terms of value of the total contracts. -- Extent proposal meets or exceeds solicitation goals. 123 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plans 004BE Subcontracting versus SB Participation Example Assume

contract with a value of $100 million and subcontracting of $10 million. -- 25% SB Percentage in a Subcontracting Plan SB would receive $2.5 million -- 25% SB Percentage in a Participation Plan SB would receive $25 million 124 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plan 004BF Proposal Evaluations will summarize the plans and list: -- Significant Strengths -- Strengths -- Significant Weaknesses -- Weaknesses 125 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 4B: Small Business Participation Plan 004BG Things to Watch: -- Read the solicitation -- Make sure that the SB dollars in the participation plan are the same as in the subcontracting plan. -- Do not include your overhead, profit, etc. The dollars must be what will go to SB. -- Identify the subcontractors accurately (CAGE Code) -- Check SAM/DSBS, etc. and take credit for SB firms in every category in which they qualify. -- Do not make statements that the reviewer cannot verify. -- Be conscious of page limitations. 126 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plan 004BH Sample Small Business Participation Format All Offerors (both large and small businesses) are required to complete a Small Business Participation Proposal.

Offerors should propose the level of participation of small businesses (as a small business prime and/or small business subcontractors) in the performance of the acquisition relative to the objectives/goals set forth in the evaluation of this area. (a) Check the applicable size and categories for the PRIME offeror only -- Check all applicable boxes: { } Large Prime { } Historically Black Colleges or Universities and Minority Institutions (HBCU/MI) or { } Small Business Prime; also categorized as a { } Small Disadvantaged Business (SDB) { } Woman-Owned Small Business (WOSB) { } Historically Underutilized Zone (HUB Zone) Small Business { } Veteran Owned Small Business (VOSB) { } Service Disabled Veteran Owned Small Business (SDVOSB) 127 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plan 004BI (b) Submit the total combined percentage of work to be performed by both OTSB and small businesses (include the percentage of work to be performed both by Prime and Subcontractors):

Example: If Prime proposes a price of $100,000,000 (including all options), and small business(es) will provide $250,000,000 in services/supplies as a prime or subcontractor, the % planned for small businesses is 25%; and 75% for large business equaling 100%. Total Percentage planned for Large Business(es) _______% = $ _______ Total Percentage planned for Small Business(es) _______% = $ _______ 100% When combined, Large and Small Business totals must equal 100%. 128 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plan 004BJ (c) Indicate the total percentage of participation to be performed by each type of subcategory small business. The percentage of work performed by Small Businesses that qualify in multiple small business categories may be counted in each category: Small Disadvantaged Business _________% Woman Owned Small Business _________% HUBZone Small Business _________% Veteran Owned Small Business _________% Service Disabled Veteran Owned SB _________%

HBCU /MI _________% Example: Victory Prop Mgt (WOSB and SDVOSB) performing 2%; and Williams Group (SDB, HUBZone and WOSB) performing 3%. Results equate to: SDB 3%; HUBZone 3%; WOSB 5%; SDVOSB 2%; VOSB 2%;). SDVOSBs are also VOSBs automatically; however VOSBs are not automatically SDVOSBs. 129 SMALL BUSINESS LIAISON OFFICER TRAINING Module 4B: Small Business Participation Plan 004BK (d) List principal supplies/services to be performed by Small Businesses: Note: If a Small Business qualifies also as a WOSB and a SDVOSB, you can add them to each category below in which they qualify. Name of Company and Type of Service/Supply Small Business (SB): Small Disadvantaged Business (SDB): ____________________ _________________

____________________ _________________ ____________________ _________________ ____________________ _________________ Women-Owned Small Business (WOSB): Historically Underutilized Business Zone (HUBZone): ____________________ _________________ ____________________ _________________ ____________________ _________________ ____________________ _________________ Veteran Owned Small Business (VOSB): Service Disabled Veteran Owned Small Business (SDVOSB): ____________________ _________________ ____________________ _________________

____________________ _________________ ____________________ _________________ Historically Black Colleges and Universities and Minority Institutions (HBCU/MI): ____________________ _________________ ____________________ _________________ 130 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment This module covers the assessment of small business firms in preparation for solicitations and source selection. A series of recommendations on the evaluation process are made to assist the user in determining the probability of subcontractor success. The information will ensure that buyers do not overlook the capability of small business entities in performing subcontracts. 131

SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005A SB Assessment How should small business firms be assessed and evaluated for prime or subcontracting opportunities? Answer: C This Module covers: 1. Use of evaluation tools 2. The evaluation process A. Gut feel 3.

Fundamental success factors B. Company brochures 4. Technical/Business Expertise C. An organized assessment process 5. Integrity/Ethics/Vision D. An introduction at a Matchmaker event 6. Owner in the store

7. Subjective assessment (check one) 132 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005B SB Assessment 1. Use of Evaluation Tools The use of evaluation tools may vary from state to state and company to company but here are the basic tool types to consider. Evaluation Tools: 1. Standard business reports

2. Commercial evaluations 3. Lean Manufacturing 4. SAM Certifications 5. Not on Debarred List (EPLS) 2. The Evaluation Process Key elements that can assist in the true picture of a companys capability. Evaluation Elements 1. Past performance 2. Relationships 3. Inspection and Pre-award Surveys 4. References/History 5. Inventory position 6. Financial status 133 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005C SB Assessment 3. Fundamental and Critical Success

Factors Elements that effect a firms ability to be successful. Critical Success factors: 1.Adequately capitalized 2. Drive and determination 3. Competitive advantage 4. Demand for product or service 5. Pricing and profit margins 4. Technical Expertise The minimum required expertise to conduct business and projects. Technical Expertise Required 1. Marketing/Pricing 2. Production 3. Organization and management 4. Financial and Accounting 5. Quality Management

6. Safety and loss control 134 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005D SB Assessment 5. Integrity/Ethics/Vision The foundation of any organization is the ethical basis of the operation. Integrity/Ethics/Vision 1. Honesty 2. Vision - long term goals 3. People skills 4. Workers that share the vision 6. Expertise The basis for the firms ability to perform any given task.

Expertise: 1. Are the skill sets present to do the work? 2. Is training a way of life? 3. Are there single points of failure? 135 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005E SB Assessment 7. Owner in the Store Local management may be key to the effectiveness of the business unit. Owner in the Store 1. Is the owner involved on a day to day basis? 2. Does management have good financial relations with financing and professional services? 3. Are they profitable?

4. Is this a serious business for the owners or just a hobby? 136 SMALL BUSINESS LIAISON OFFICER TRAINING Module 5: Small Business Assessment 005F SB Assessment 8. Subjective Assessment Use your experience and the information from the above items to help formulate the evaluation report. Subjective Assessment: 1. Housekeeping and general appearance. 2. Is this the company you would do business with if it was your money? 3. Hows the attitude of the people? Are they ready to take our order and perform all aspects of it well?

YES or NO? 137 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting This Module covers the reporting required against the Small Business Subcontracting Plans created in Module #4. The ISR and SSR are reviewed in detail. Optional form OP312 is also discussed. Note: The information contained herein is for guidance and education only and does not replace or supersede any Federal Acquisition Regulations or instructions. Some of the material to be presented in the following slides was taken from the eSRS website (www.esrs.gov) and from a TRIAD presentation.

138 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006A Reporting What is eSRS? eSRS is the electronic reporting system that replaces paper reporting on SF294s and SF295s. SF294 has been replaced with the ISR Individual Subcontracting Report. SF295 has been replaced with the SSR Summary Subcontracting Report. 139

SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006B Reporting Individual Subcontracting Report/Summary Subcontracting Report (ISR/SSR) Both reports are due semi-annually for those contractors reporting under Individual Subcontracting Plans when reporting on DoD or NASA contracts. ALL DoD and NASA Contractors including those in the Comprehensive Subcontracting Program report semi-annually via the SSR (except those with Commercial Plans). Contractors under Commercial Plans report via the SSR annually, at the end of the Governments fiscal year.

The performance data is based on the Governments fiscal year between October 1 through September 30. 140 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006C Reporting Semi Annual Reporting Means: Sending the reports to DCMA or the contracting agency on time Midyear reports are due 30 days after the end of the first reporting period (March 31), which is April 30 and 30 days after the end of the fiscal year September 30, which is October 30. 141 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 6: Small Business Metrics and Reporting 006D Reporting Authority: On July 19, 2008, the Deputy Under Secretary of Defense issued a Memorandum directing that eSRS be implemented for FY08 year-end subcontracting reporting for ALL DoD agencies. http://www.acq.osd.mil/osbp/doing_business/e-srs.htm 142 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006E Reporting FAR 52.219.9 ISR Report for each individual contract with a plan

Data is cumulative during the life of your program as purchased from US firms At the end of contract performance, the final data is sent to the Contracting Officer as a performance record Timeliness and accuracy of the report is critical Reports are deliverables under the contract 143 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006F Metrics and Reporting

Contractor Registration in eSRS: Registration in eSRS is a two-part process - Submitting a registration request and Waiting for approval from eSRS. Part 1 Requesting Approval 1. Visit www.esrs.gov to register 2. Select Contractors under Log-In or Register Now 3. Select New Contractors: Register 4. Enter your companys DUNS number

144 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006G Metrics and Reporting Requesting Approval, (contd) 5. Review your company information. This information is pulled directly from CCR. If it needs to be updated, stop the registration process and go to www.ccr.gov to update your information. 6. Fill in the contact information. TIP: Make sure that the DUNS number you are using is the same as the DUNS number used on the contract you are submitting the report for.

145 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006H Metrics and Reporting Part 2 Registration Approval: Check your email for an email from [email protected] This email will confirm your registration request. To finish the registration process, click on the link provided in the email. 146 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006I Reporting Entering an ISR: 1. Make sure you are registered in eSRS 2.

Click on Contractor 3. Click on File ISR from the left navigation and then on Continue. Because eSRS contains a number of new fields that did not exist on the SF294, you will need the following for referral: 4. - DUNS number as it appears on your contract - Product and Service Codes - NAICS as it appears on your contract Enter the contract number (no dashes). If there are existing contracts in the system under the DUNS number you entered, they will appear in the

drop down menu. 147 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006J Reporting Entering an ISR (Contd) *** TIP *** If you get an error message that your contract number does not match any contracts in the system, contact your Government contracting official. The contract you are trying to reference is not coded in FPDS as having a subcontracting plan. Accordingly, this needs to be updated in FPDS by the Government before you can proceed with entering your ISR. 148 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006K Reporting Entering an ISR (Contd) 5.

Once eSRS has found your contract, indicate whether you are the prime or the sub for the contract. 6. Your contract information will be pulled directly from FPDS (discussed a few slides ahead). Ensure that the information provided is correct. If not, inform your Government contracting official of the error(s). 7. Fill in any open boxes showing on the screen. These represent information not found in FPDS. 8. Enter the dollar values in each box. All mandatory fields are marked with a red *. eSRS will automatically calculate percentages. 9. Certify your information and include contact information for the person at your organization that administers the contract. This may be different from the person who is submitting the report.

149 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006L Reporting Entering an ISR (Contd) 10. Include the email addresses of those individuals you would like notified that your report has been submitted. This must include the Government contracting official responsible for your contract. 11. Review the information you have inputted and select Submit. Those that you have designated with email addresses will receive notification that the report has been filed. 12. The Approving Official is the Contracting Officer that issued the contract. 150

SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006M Reporting FPDS: Federal Procurement Data Systems Next Generation FPDS/NG identifies contracts having subcontracting requirements https://www.fpds.gov Use FPDS/NG if you are unable to find or report against a contract in eSRS. In FPDS you will find the Contract Number as it will appear in eSRS, DUNS number, Vendor Name and Location. If your contract is in FPDS/NG but not in eSRS, then the likely problem is that the Government contracting official has not checked off that a

subcontracting plan is required. 151 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006N Reporting SSR SSR is a report of your entire US Owned Supplier Spend. Data collected should include all direct US Govt. contracts, large and small dollars as well as indirect dollars with US Firms. The report is completed semi-annually and covers overall performance on Federal contracts.

Provide separate SSRs for each agency with which you have contracts; lump all of DoD together except for Corps of Engineers. The Approving Official for your DoD SSR will be the cognizant Assistant Director of Small Business at DCMA. Retain signed hard copies for 4 years. 152 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006O Reporting Entering an SSR: 1. Make sure you are registered in eSRS 2.

Log into www.esrs.gov and select Contractor 3. Click on File SSR from the left navigation and then Continue. Because eSRS contains a number of new fields that did not exist on the SF295, have your DUNS number, Product and Service Codes and NAICS for referral. 4. Select the type of Subcontracting Plan for which you are submitting the SSR: Individual or Commercial. 5. Input your companys DUNS number. Your company information will be pulled directly from SAM. If your company information is incorrect, you must go to www.ccr.gov and update the information before proceeding with the SSR. 153 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting

006P Reporting Entering an SSR (Contd) 6. Input the date submitted and your contact information. 7. Reporting Period: For a report submitted under an Individual Subcontracting Plan, select the correct reporting period and year that corresponds with your report. For a report submitted under a Commercial Subcontracting Plan, the reporting period and the year are the dates covered by your Commercial Subcontracting Plan. 8. For a report submitted under an Individual Subcontracting Plan, select the Agency from the drop-down menu. Do not select Department of Defense as your Agency. You should select the organization at the Department of Defense that administers the majority of subcontracting plans (e.g., USAF or USTRANSCOM). 154 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 6: Small Business Metrics and Reporting 006Q Reporting Entering an SSR (Contd) 9. Check the box indicating whether you are a prime contractor or subcontractor for this report. 10. Provide the name and NAICS Code of the major product(s) or service line(s) of your company. 11. Fill in the subcontracting data for each business category. If you are submitting a report based on a Commercial Subcontracting Plan, specify agencies to which you are submitting your report and the percentages of dollars attributable to each. Also indicate which agency approved your Commercial Subcontracting Plan. 155 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 6: Small Business Metrics and Reporting 006R Reporting Entering an SSR (Contd) 12. Provide the contact information for the person at your company that administers your subcontracting program. This person may be different than the person who is submitting the report. (NOTE: This will not be the name of any Government contracting official responsible for your contracts.) Then certify that the information contained in the report is accurate and that the totals do not include lower-tiers. 13. Provide the name and title of the CEO in your company. Certify that the CEO will review your report and will sign a hard copy that will be kept on file for four (4) years. 156 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006S Reporting

Entering an SSR (Contd) 14. Include the email addresses of those individuals you would like to be notified that your report has been submitted. This must include the Government contracting official responsible for your contract. 15. Review the information you have input. Select Continue and then Submit. Those that you have designated with email addresses will receive notification that the report has been filed. 157 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006T Reporting Optional Form 312 #1 Reason If a contract contains either of the SDB Participation mechanisms - the Evaluation Factor for SDB Participation or the Monetary Subcontracting Incentive- the contracting officer needs a way to determine at contract

completion that the contractor met its SDB target in the authorized NAICS Major Groups codes. The Optional Form 312 does not have to be submitted semi-annually, as does the ISR; rather it is submitted only once, at contract completion. 158 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006U Reporting Optional Form 312 #2 Reason Is to provide a way for the Government to collect comprehensive subcontracting data by NAICS code. This information will enable the Dept. of Commerce to fine-tune its industry benchmarks in subcontracting. It will be accomplished by requiring all Government contractors that normally submit the Summary Subcontract Report, to include a breakout of subcontract awards to SDBs by NAICS code. 159 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 6: Small Business Metrics and Reporting 006V Reporting NOTE: Effective Oct 1, 2000, FAR Clause 52.219-9, under Paragraph (j)(2), SSR Reporting, changed to read as follows: All reports at the close of each fiscal year (both commercial and individual plans) shall include a breakout, in the Contractors format, of subcontract awards, in whole dollars, to Small Disadvantaged Business concerns by NAICS Classification Industry Subsector. For a Commercial Plan, the Contractor may obtain from each of its subcontractors a predominant NAICS Major Group and report all awards to that subcontractor under its predominant NAICS Code. 160 SMALL BUSINESS LIAISON OFFICER TRAINING Module 6: Small Business Metrics and Reporting 006W Reporting Common mistakes on the forms: Make sure the data is ACCURATE

Block 2: Wrong or incomplete DUNS Number Block 6: Administering Activity. If you are reporting to NASA or Civilian Agencies, you will have to issue a SSR to those agencies. DCMA does not collect data for the Corps of Engineers they have their own reporting mechanism. Block 7: Report on both subcontract number, if applicable, and appropriate contract #. Block 8: Use most recent address and street number for the Buying Activity. Ensure data is cumulative on an annual basis for the SSR and for the life of the contract for the ISR. 161

SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs This Module covers Frequently Asked Questions and the resources to help find the answers. It is an overall resource management section for small business professionals. This is a starter module and should be enhanced as new questions come up in the training sessions. 162 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007A FAQ #1 FAQ #1: Q: A supplier states they are certified as a minority business by the State of Connecticut. Is that certification valid for a DOD prime contractor?

A: NO. A supplier is considered a Small Disadvantaged Business if they are self-certified by signed statement from responsible company management. State certifications have no effect. 163 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007B FAQ #2 FAQ #2: Q: Are certifications from the National Minority Supplier Development Council or the U.S. Department of Transportation valid for US DOD contractors? A: NO. A supplier is considered a Small Disadvantaged Business if they are self-certified by signed statement from responsible company management. 164 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007C FAQ #3 FAQ #3:

Q: A Woman-Owned Small Business is certified by a National WomanOwned Supplier Organization. Is this certification valid for US DoD contractors? A: NO. A supplier is considered a Woman-Owned business for subcontracting purposes if they are self-certified by signed statement from responsible company management. Certification applies only to the WOSB prime contracting program. 165 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007D FAQ #4 FAQ #4: Q: A Woman-Owned Small Business claims to also be a DBE. Is this valid proof they also are certified as an SDB and valid for US DOD contractors? A: NO. A supplier is considered a Woman-Owned business if they are self-certified by signed statement from responsible company management. To be considered an SDB, they must also self-certify as such. 166 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 7: Information Resources and FAQs 007E FAQ #5 FAQ #5: Q: Where can I get information about small businesses in my state? A: The SBA Office, the Dynamic Small Business Search, or the Procurement Technical Assistance Center/Procurement Technical Assistance Program (PTACs or PTAPs near you). PTACs or PTAPs are very helpful in connecting you with local small businesses. 167 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007F PTAC/PTAP Contacts Contact List of Northeast PTACs/PTAPs NH David Pease phone: 603-271-7581 email: [email protected] website: www.nheconomy.com/ptap

ME Melody Weeks website : www.emdc.org phone: 207-942-6389 CT Brien Robertson phone: 860-437-4659 x208 email: [email protected] website : www.secter.org/ptap.htm VT Robin Miller phone: 802-828-5240 email: [email protected] website : www.thinkvermont.com/vtptac

RI - Dorothy Reynolds phone: 401-278-9100 email: [email protected] email: [email protected] website : www.riptac.com MA - Peter Cokotis phone: 413-737-6712 email: [email protected] website : www. msbdc.org/ptac 168 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007G PTAC/PTAP Contacts Contact List of Northeast PTACs/PTAPs (cont.)

NY (Cattaraugus County) Joseph J. Williams, Jr. phone: 716-938-2331 email: [email protected] website: www.ccptac.org NY (LaGuardia Community College) Edgard Hernandez phone: 718-482-5289 email: [email protected] website: www.laguardiaptac.com NY (NYC Department of Small Business) Carolyn Githinji phone: 202-618-8889 email: [email protected] website: www.nyc.gov/html/sbs/nycbiz/html/selling_to_government/selling_to_government.shtml NY (North Country) Stephen Barr

email: [email protected] phone: 315-788-4400 website: www.northcountryptac.com 169 SMALL BUSINESS LIAISON OFFICER TRAINING Module 7: Information Resources and FAQs 007H PTAC/PTAP Contacts Contact List of Northeast PTACs/PTAPs (cont.) NY (Monroe County/Finger Lakes) Paulette Birch phone: 585-753-2015 email: [email protected] website: www.MonroeCountyFingerLakesPTAC.org NY (Rockland Economic Development Corporation) Liz Kallen phone: 845-735-7040 email: [email protected]

website: www.rocklandlovesbusiness.com NY (South Bronx) Rogina Coar-Smith email: [email protected] phone: 718-732-7540 website: www.sobro.org 170 SMALL BUSINESS LIAISON OFFICER TRAINING Module 8: Staying Current This module is about keeping up with the changes to the regulations and policy statements that govern small business subcontracting. 171 SMALL BUSINESS LIAISON OFFICER TRAINING

Module 8: Staying Current 008A Stay on top of what is happening in the world of Small Business! Stay current on the changes to the Federal Acquisition Regulations concerning small business programs. Stay abreast of pending legislation in the Federal Register. Inform company management about legislative changes. Keep company management informed on small business trends. Point out the strengths and weaknesses in your program.

Maintain measurements of your program. Note your successes. Provide continuous improvement methods on weaknesses. Continue to develop new suppliers to enhance your program. Maintain contact with your SBA, PTAC/PTAP. Get involved in your Regional Council. Attend conferences and matchmaker events. 172 SMALL BUSINESS LIAISON OFFICER TRAINING Module 8: Staying Current 008B

DO OUTREACH!! 173 SMALL BUSINESS LIAISON OFFICER TRAINING Expressions from a winning American Icon It's dj vu all over again"- Yogi Berra Learn from last years SSR and try to improve performance every year You can observe a lot by watching - Yogi Berra We hope that watching this training was helpful We made too many wrong mistakes - Yogi Berra Wrong mistakes are the worst kinddont make em. Hope we helped you to avoid them. It ain't over 'til it's over - Yogi Berra Well...Its Over! 174 SMALL BUSINESS LIAISON OFFICER TRAINING Resources

DEFENSE DEPARTMENT AGENCIES Department of Defense Office of Small Business http://www.acq.osd.mil/osbp/ Air Force Small Business http://www.airforcesmallbiz.org/ Army Small Business http://sellingtoarmy.com/User/Misc/SearchASBS.aspx Navy Small Business (Including Marine Corps) http://www.donhq.navy.mil/OSBP/ Defense Logistics Agency http:www.dla.mil/ Defense Advanced Research Projects Agency (DARPA) http://www.darpa.mil/ 175 SMALL BUSINESS LIAISON OFFICER TRAINING Resources DEFENSE DEPARTMENT AGENCIES (CONT.) Defense Contract Management Agency http://www.dcma.mil Defense Logistics Information Service, Battle Creek, MI http://www.dlis.dla.mil/ Defense Procurement Acquisition Policy

http://www.acq.osd.mil/dpap/ Defense Reutilization and Marketing Svc. Battle Creek, MI http://www.dispositionservices.dla.mil/ Defense Technical Information Service http://www.dtic.mil/dtic/ Defense Automated Printing Service http://www.documentservices.dla.mil/ 176 SMALL BUSINESS LIAISON OFFICER TRAINING Resources DEFENSE DEPARTMENT AGENCIES (CONT.) Defense Acquisition University http:www.dau.mil/ List of DoD Small Business Specialists http://www.acq.osd.mil/osbp/doing_business/index.htm 177 SMALL BUSINESS LIAISON OFFICER TRAINING Resources

DEFENSE DEPARTMENT SMALL BUSINESS PROGRAMS http://www.acq.osd.mil/osbp / Click on for Small Businesses, 1) Click on Programs , then click on the following: Indian Incentive Program Mentor Protg SBIR/STTR 2) Click on Initiatives, then click on the following: Women-Owned Small Business Service-Disabled Veteran-Owned Small Business HUBZones 178 SMALL BUSINESS LIAISON OFFICER TRAINING Resources OTHER FEDERAL AGENCIES Department of Commerce http://www.commerce.gov/ Department of Transportation http://www.dot.gov General Services Administration (GSA) http://www.gsa.gov/ US Government Printing Office

http://www.access.gpo.gov/ National Aeronautics and Space Administration Small Business http://www.osbp.nasa.gov/ National Security Agency http://www.nsa.gov 179 SMALL BUSINESS LIAISON OFFICER TRAINING Resources OTHER FEDERAL AGENCIES (CONT,) Office of Personnel Management http://www.opm.gov Small Business Administration http://www.sba.gov U.S. House of Representatives http://www.house.gov/ U.S. Senate http://www.senate.gov/ The White House http://www.whitehouse.gov/ Government Accountability Office (GAO) http://www.gao.gov

180 SMALL BUSINESS LIAISON OFFICER TRAINING Resources OTHER USEFUL GOVERNMENT WEBSITES System for Award Management https://www.sam.gov/portal/public/SAM Code of Federal Regulations http://www.gpoaccess.gov/cfr/index.html Federal Acquisition Regulation http://farsite.hill.af.mil Federal Register http://www.gpoaccess.gov/fr Listing of Federal Opportunities https://www.fbo.gov Center for Veterans Enterprise http://www.vetbiz.gov 181 SMALL BUSINESS LIAISON OFFICER TRAINING Resources

OTHER USEFUL GOVERNMENT WEBSITES (CONT.) DLA FormFlow Index http://www.dla.mil/dss/forms/ GSA Forms Library http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=ALL Office of Government Ethics http://www.usoge.gov/ Office of Personnel Management Electronic Forms http://www.opm.gov/forms/html/formflow.asp Historically Black Colleges & Universities and Minority Institutions http.//www2.ed.gov/about/inits/list/whhbcu/edlite-list.html http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-tab.html 182 SMALL BUSINESS LIAISON OFFICER TRAINING Resources OTHER USEFUL WEBSITES The Federal Marketplace: http:// www.fedmarket.com National Industries for the Blind (NIB) http://www.nib.org National Industries for the Severely Handicapped (NISH)

http://www.nish.org National Association of Women Business Owners (NAWBO): http://www.nawbo.org Womenbiz http://www.womenbiz.gov 183 SMALL BUSINESS LIAISON OFFICER TRAINING Appendix A (go to website www.acq.osd.mil/osbp) DoD Subcontracting Program: THE BASICS July 2011 Regulatory Requirements Authority: Regulations: Section 8(d) Small Business Act 15 USC 637(d) Specifies that small businesses will have maximum practicable opportunity to participate in contract performance consistent with efficient performance

Section 15(g) Small Business Act 15 USC 644(g) Specifies government-wide goals for contracts and subcontracts awarded to small business concerns Small businesses will have maximum practicable opportunity to participate in contract performance consistent with efficient performance Subcontracting Plan requirement Comply in good faith with subcontract plan requirements Imposition of liquidated damages FAR 19.7 / DFARS 219.7, Small Business Subcontracting Program FAR 52.219-8, Utilization of Small Business Concerns FAR 52.219-9 / DFARS 52.219-7003 SB Subcontracting Plan (DEVIATION) FAR 52.219-16 Liquidated Damages DFARS 252.219-7004, SB Subcontracting Plan (Test) (DEVIATION)

Utilization of SBs (FAR 19.7 / 52.219-8) Contracts > Simplified Acquisition Threshold (SAT) ($100K) AND Subcontract opportunities exist Subcontracting Plan (FAR 19.7 / 219-9) Contracts > $650K ($1.5M construction) AND subcontract opportunities exist Modifications > $650K ($1.5M construction) with new work AND subcontract opportunities exist Multi-year contracts / contracts with options o Cumulative value of base contract & all options o SEPARATE goals for base & each option Who? ALL business concerns (including small businesses) ALL other than small business: Large business State & local government Non-profit organizations When not required?

For personal services contracts For contracts / modifications performed entirely outside US & outlying areas When? May also include: Public utilities Educational institutions Foreign-owned firms From small businesses For personal services contracts For contracts / modifications performed entirely outside US & outlying areas For modifications to contracts within general scope of the contract that do not contain FAR 52.219-8 (or equivalent prior clauses, e.g., contracts awarded before enactment of PL 95-507) If no subcontract opportunities, approval required level above CO & placed in contract 184

SMALL BUSINESS LIAISON OFFICER TRAINING Appendix A (go to website www.acq.osd.mil/osbp) Types of Subcontracting Plans (FAR 19.7 / 52.219-9) Individual 1 contract 1 plan Goals support planned subcontracting for 1 contract Covers entire contract period (including options) Contains mandatory elements Submit Subcontracting Reports o ISR* (semiannually) o SSR** (semiannually for DoD) *Individual Subcontracting Report (electronic version) **Summary Subcontracting Report Master Boilerplate info contains same elements as individual plan minus goals Goals negotiated for each applicable contract Effective for 3 years after approval of

Contracting Officer May be developed on a Plant / Division basis Subcontracting Reports required when goals negotiated for each applicable contract (same as for Individual plan) (same as for Individual plan) Commercial Preferred for contractors furnishing commercial items Applies to entire production of commercial items sold by either entire company or a portion thereof (Division, plant or product line) Based on contractors FY Annual plan (applies to all government contracts in effect during that period) Contains mandatory elements Submit Subcontracting Reports SSR (Annually)

Note: Plan and Goals must be approved PRIOR to contract award Comprehensive DoD Test Program for Negotiation of Comprehensive SB Subcontracting Plans Similar to a commercial plan o May be on a Plant / Division / Corporate basis o Annual Plan (applies to DoD contracts in effect during period) ONLY DCMA is delegated authority to negotiate plan & perform surveillance review functions (with input from MILDEPS / Defense Agencies) Submit Subcontracting Reports o SSR (semiannually) Mandatory Elements Included in Subcontracting Plan (FAR 19.7 / 52.219-9) Goals (% based on total planned subcontracting $ for each SB category) Total % to be subcontracted (overall & by category) Description of principal types of supplies/services to be subcontracted (total & by category)

Description of method used to develop subcontract goals Description of method used to identify potential SB sources Indirect Costs (included/not included) & methodology used to determine proportionate share of indirect costs for each category Name of individual administering subcontracting program & description of duties. (Where are they located organizationally?) Description of efforts to ensure SB has an equitable opportunity to compete for subcontracts Assurances o Cooperate in studies / surveys o Submit reports, as required o Submit ISR / SSR as required Record-keeping: description / procedures / process o Flow down clauses & reporting requirements o 52.219-8 (Utilization of SB Concerns) o 52.219-9 (Subcontracting Plan) o ISR / SSR 185 SMALL BUSINESS LIAISON OFFICER TRAINING Appendix A (go to website www.acq.osd.mil/osbp) Categories Included in Goals of a Subcontracting Plan (as defined in FAR 19/26 and DFARS 252.219-7003) Small business (SB) located in U.S., organized for profit, including affiliates is independently owned & operated, not dominant in field of operations

in which it is bidding on Government contracts, AND meets Small Business Administration (SBA) size standards included in solicitation. The size standard is based upon the North American Industrial Classification System (NAICS) assigned to the specific procurement dependent upon product/service purchased. Self-certify FAR 52.219-9 also includes subcontracts awarded to Alaska Native Corporation (ANC) or Indian tribe, regardless of size or SBA certification status of ANC or Indian tribe. DFARS 252.219-7003 also includes subcontracts awarded to qualified non-profit agencies approved by Committee for Purchase from People Who Are Blind or Severely Disabled, the independent federal agency that administers AbilityOne Program, formerly JWOD (Javits-Wagner-ODay Act) (41 USC 46-48(c). Woman-owned Small Business (WOSB) Small Business, at least 51% owned by 1 women, AND management & daily business operations controlled by 1 women. Self-certify Historically Underutilized Business Zone (HUBZone) Small Business, owned & controlled 51% or more by 1 U.S. citizens, AND SBAcertified as a HUBZone concern (principal office located in a designated HUBZone AND 35% of employees live in a HUBZone). Veteran-Owned Small Business (VOSB) Small Business, veteran-owned as defined in 38 USC 101(2), 51% owned by 1 veterans, AND management & daily business operations controlled by 1 veterans. Self-certify Service-Disabled Veteran-Owned Small Business (SD-VOSB) Small Business, veteran-owned, 51% owned by 1 service-disabled veterans, AND management & daily business operations controlled by 1 service-disabled veterans OR in the case of veteran with permanent & severe disability, the spouse or permanent caregiver of such veteran, AND with 0% - 100% service-connected disability as defined in 38 USC 101(16) & documented on DD 214 or equivalent. Self-certify Small Disadvantaged Business (SDB) Small Business unconditionally owned & controlled by 1 socially & economically disadvantaged individuals who are in good character & citizens of the U.S. Self-certify FAR 52.219-9, SDB also includes: subcontracts awarded to Alaska Native Corporation (ANC) or Indian tribe regardless of size or SBA certification status of ANC or Indian tribe DFARS 252.219-7003, SDB also includes: Work performed on Indian lands or joint venture with Indian tribe / tribally-owned corporation & meets requirements of 10 USC 2323a. Subcontracts awarded by a mentor firm, under the DoD Pilot Mentor-Protg Program, to (1) protg firms which are qualified organizations employing severely handicapped and (2) former protg firms that meet the criteria in Section 831(g)(4) of P.L 101-510 (not more than 2 times SBAspecified maximum size & previous mentor-protg agreement was not terminated for cause). 186

SMALL BUSINESS LIAISON OFFICER TRAINING Appendix A (go to website www.acq.osd.mil/osbp) Subcontracting Resources Procurement Technical Assistance Centers (PTAC) http://www.dla.mil/db/procurem.htm DefenseLink $5M award notices http://www.defenselink.mil/contracts Subcontracting Opportunities with DoD Major Prime Contractors http://www.acq.osd.mil/osbp/doing_busines s/index.htm

Companies Participating in DoD Subcontracting Program Report http://www.acq.osd.mil/osbp/doing_busines s/ Subcontracting_Directory_0908.pdf DAU Small Business Community of Practice (SB COP) https://acc.dau.mil/smallbusiness FEDBIZOPPS http://www.fbo.gov SBA Subcontracting Opportunities Directory http://www.sba.gov/aboutsba/sbaprograms/ gc/contacts/index.html

Electronic Subcontracting Reporting System (eSRS) http://www.esrs.gov SBA Subnet http://web.sba.gov/subnet 187 SMALL BUSINESS LIAISON OFFICER TRAINING Appendix B (go to website www.dodneregional.org) Subcontracting Plan Sample Template A template for a subcontracting plan can be found on the Council website under the Learning Center tab. 188 SMALL BUSINESS LIAISON OFFICER TRAINING This training was brought to you by: The Department of Defense Northeast Regional Council for Small Business Education and Advocacy

http://www.dodneregional.org Visit us Often! Revised: April 2012

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