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									             The MATCHMAKERS HPT
               Subcommittee of the Northeast
                     Regional Council




            The Matchmaker Team
           Mark I : Professional Small
           Business Program Training
                      Series

                  Small Business Utilization Series   Training Guide
06/10/06
                                                                  1
             The MATCHMAKERS HPT
               Subcommittee of the Northeast
                     Regional Council




             The Matchmaker Team
           Mark I : Professional Small
           Business Program Training
                      Series
                      Level I
                   Small Business Utilization Series   Training Guide
05/28/06
                                                                   2
                       The MATCHMAKERS HPT
                    Subcommittee of the Northeast
                           Regional Council



A Word from the Matchmakers HPT……...
 ― 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 this 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
 Mark I 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
                                   on behalf of the Matchmakers HPT
                                   a Subcommittee of the Northeast Regional Council
                                                                                             3
  The MATCHMAKERS HPT
    Subcommittee of the Northeast
          Regional Council




        Matchmaker
Mark I : Professional Small
Business Program Training
           Series
          Level II
        Small Business Utilization Series
                                            Training Guide
                                                        4
  Small Business Training


 The “Matchmakers” High Performance Team
 Mark I: Professional Small Business Training Series

 Module 1: Public Laws and Regulations


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional
Council - March 23, 2003
                                            V: – 2/7/07

                                                          5
     Small Business Training
                                Module # and Title


Module 1. Public Laws and Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                     6
 Small Business Training
   Module 001 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
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.

                                                         7
    Small Business Training
         Module # 001A - FAR REGULATIONS



1. What Federal Regulations
   govern the formation of
   Small Business Plans and
   the Goals set for Small    Answer: E
   Business Subcontracting?   1.FAR part 19 and 52
 A. FAR parts 19 and 52       outline all the requirements
 B. Public laws               for preparing a Small
 C. The Small Bus Law         Business Plans.
 D. A and C                  2. Public Laws are the basis
 E. A and B                  for the regulations
  (check one)
                                                      8
  Small Business Training
        Module # 001B - FAR REGULATIONS


1. What are the goals set by
   Public Laws for:            And the answer is:
SB                             Small Business                 23%
SDB                            Small Disadvantaged Business 5%
WOSB                           Woman Owned SB                5%
HBCU’s                         Hist Black College/Univ Best Effort*
HUBZone                        HubZone SB                    3%
Vet- Owned SB                  Veteran Owned SB         Best Effort
SDVOSB                         Service Disabled-Vets           3%
Native Americans               Native Americans        Part of SDB
                                * Part of the SDB Goal

                                                            9
     Small Business Training
             Module # 001C - FAR REGULATIONS



About the LAW:               Revision of the Small Business Act of 1978 (Public Law 95-507)
Section 8(d) of the Small    •Redefined minority firms as Socially and Economically
Business Act requires         Disadvantaged Small Business Concerns (SDB’s).
“Small, SDB, HUBZone
WOSB, VOSB, and              •Required federal agencies to establish Small Business Goals and
                              explain to Congress when goals were not met
SDVOSB have the maximum
practicable                  •Required small and small disadvantaged business subcontracting
opportunity to participate    goals for major contracts awarded to large businesses
as subcontractors on         •Reserved all awards under $25,000 for small businesses
federal contracts, to the
extent that such             •Required establishment of the Office of Small and Disadvantaged
opportunity is consistent     Business Utilization
with efficient contract    • Directors appointed by Head of Agency
performance.”

                                                                                      10
     Small Business Training
             Module # 001D - FAR REGULATIONS



What is the goal for Small Disadvantaged   National Defense Authorization Act
                                           (Public Law 99-661)
Business subcontracting emphasis?
                                           •Passed in 1987
A. 1%
B. 2%                                      •Established Small Disadvantaged Business Program
C. 3%
D. 4%                                      •5% goal for minority owned businesses
E. 5%
                                           •Emphasized contracting with Historically Black
                                            Colleges and Universities/Minority Institutions
                                            (HBCUs/Mis)



   Answer: E



                                                                                          11
     Small Business Training
              Module # 001E - FAR REGULATIONS



Public Law 103-355 introduced a 5% goal        Federal Acquisition Streamlining Act of 1994
against the value of all prime contracts for   (Public Law 103-355) Section 7106
Women Owned Small Businesses.
                                               • Established a government-wide goal for
                                                 Women-Owned Small Businesses (WOSBs)
A. True
                                               • Not less than 5% of the total value of all prime
B. False                                         contract/subcontract awards for each fiscal year

                                               • Note: There are no preference programs for
                                                       for Woman Owned Small Businesses




  Answer: A




                                                                                              12
   Small Business Training
           Module # 001F - FAR REGULATIONS



                                        The HUBZone Empowerment Act
How is a HUBZone (Historically          (Public Law 105-135)
Underutilized Business Zone) Business
Verified?                               • Included in the Small Business Reauthorization Act of
                                          1997

                                        • Stimulates economic development
A.By SBA certification as shown in
  Central Contractors Registry (CCR)    • Creates jobs in urban and rural communities

B.By DOC Zone Charts                    • Provides contracting preferences to small businesses
                                          that are located in a HUBZone and that hire
C. By the Census Bureau                   employees who live in a HUBZone

                                        • 1% of prime contracts for HUBZone small businesses
 Answer: A                                for FY1999, not less than 1.5% for FY2000, 2% for
                                          FY2001, 2.5% for FY2002, and 3% for FY2003 and
                                          each year thereafter


                                                                                        13
     Small Business Training
             Module # 001G - FAR REGULATIONS



What is the Service Disabled Veteran Owned   The Veteran's Entrepreneurship and Small Business
                                             Development Act of 1999 (Public Law 106-50)
goal as set forth in the subcontracting
provisions of Public Law 106-50.             • Established a goal for subcontracts awarded by
                                              prime contractors to (SDVOSB) concerns of 3%
A.   1%
B.   2%                                      • A best effort goal for veteran-owned small businesses
C.   3%                                       shall apply
D.   4%
                                             • Individual, Master, and Comprehensive Subcontract
E.   5%
                                              and Commercial Plans must incorporate these goals




 Answer: C




                                                                                            14
 Small Business Training
    Module # 001H - SB Program Success




                               FAR 52.226-1

                       “Utilization of Indian Organizations
“Incentive Clauses”       and 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.


                                                       15
 Small Business Training
       Module # 001I - SB Program Success



                                             FAR 52.219-26
                                       “Small Disadvantaged Business
 “Incentive Clauses”                      Participation Program”
                                        Incentive Subcontracting for specific
                                 parameters. Monetary incentives shall be based
                                 on actual achievement as compared to proposed
                                 monetary targets for SDB sub-contracting. The
                                  incentive subcontracting program is separate
                                 and distinct from the establishment, monitoring
                                 and enforcement of SDB subcontracting goals in
                                  a sub-contracting plan. This is an incentive to
                                    encourage increased subcontracting in the
* NAICS = North America
                                 NAICS Major Groups and is reported at the end
Industry Classification System     of the contract via the OF312 attached to the
                                                    final SF294.

                                                                        16
Small Business Training
   Module # 001J - SB Program Success



                                FAR 52.219-10
                       “Incentive Subcontracting Program”
                       Monetary incentive from 0-10%, which
“Incentive Clauses”   encourages the development of increased
                       subcontracting opportunities based on
                         actual achievement for small, small
                        disadvantaged, women-owned small
                         business and HUBZone businesses.




                                                       17
 Small Business Training
    Module # 001K - SB Program Success



                                 FAR 52.219-16

                        “Liquidated Damages - Subcontracting
“Liquidated Damages”                   Plan”
                        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.

                                                          18
Small Business Training
 Module # 001K.5 - SB Program Success




                              13 CFR 125.3

                        “Provide the maximum
“Good Faith Effort”      practicable subcontracting
                           opportunities for small
                            business concerns.”
                      “Consistent with the efficient
                             performance of the
                                 contract.”



                                                  19
Small Business Training
     Module # 001K.6 - SB Program Success


                                          13 CFR 125.3
                                  *Breaking out contract work
                                   items into economically
   Examples of “maximum           feasible units, as appropriate
    practicable opportunity”      *Conducting market research
                                   to identify small business
                                   subcontractors and suppliers
                                   through all reasonable means
                                  * Soliciting small business
                                   concerns early in the
                                   acquisition
                                  MORE>>>

                                                               20
Small Business Training
    Module # 001K.7 - SB Program Success


                                  *Providing adequate and timely
                                   information about the plans,
                                   specifications, and requirements
                                   for performance of the prime
                                   contract to assist them in
   Examples of “maximum           submitting a timely offer
    practicable opportunity”      *Negotiating in good faith with
                                   interested small businesses
                                  *Assisting them to obtain
                                   bonding, lines of credit, required
                                   insurance, necessary equipment,
                                   supplies, materials, or services
                                  MORE >>>


                                                                   21
Small Business Training
     Module # 001K.8 - SB Program Success


                                  * Utilizing the available
                                   services of small business
                                   associations, local, state, and
   Examples of “maximum           Federal small business
    practicable opportunity”       assistance offices; and other
                                   organizations
                                  * Participating in a formal
                                   mentor-protégé program with
                                   one or more small business
                                   protégés that results in
                                   developmental assistance to
                                   the protégés


                                                                22
   Small Business Training
             Small Business Goal Summary
                     Module 001L


    Small Business Type           Goals        Public Law Ref
Small Business                     23 %        PL:100-656 initially set at 20%
Small Disadvantaged Business        5%         PL: 99-661
                                                     .
Woman Owned Small Business          5%         PL: 103-355
HUBZone Small Business              3%         PL: 105-135
SDVOSB                              3%         PL: 106-50
Historical Black Colleges/Univ   Best Effort   PL: 99-661
Vet- Owned Small Business        Best Effort   PL: 106-50
Native American SB               Part of SDB   PL: 99-661



                                                                    23
   Small Business Training
            Small Business Goal Summary
                    Module 10M


Subcontracting Goals Can Be Different
   Small Business   FY 2006       FY 2007
   Type
   Small Business   35.0%         35.0%
   HUBZone          Require       Require
                    negotiation   negotiation
   SDVOSB           3.0%          3.0%
   SDB              5.0%          5.0%
   WOSB             5.0%          5.0%
   HBC              5.0%          5.0%
                                                24
  Small Business Training


    The “Matchmakers” High Performance Team
    Mark I:Professional Small Business Training Series

    Module 2: Identifying a Small Business


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21,2003


                                                    V: 1.P.2 – 9/7/06
                                                                        25
     Small Business Training
                                Module # and Title


Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                     26
             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 SDB and HUBzone firms.




                                                            27
  Small Business Training
         Module # 002A - Identifying Small BiZ


                                     Small Business Self-Certify
                                     Does not exceed NAICS code size standard, is not
How is a Small Business              owned by a large business, self certified. Size std.
Identified and Certified?            exception for ANCs and Indian tribes.
                                     Certified by the SBA
                                     Meets size std (except ANCs and Indian tribes),
How is a Small Disadvantaged         SBA certified & in CCR,
Business Identified and Certified?   51% owned and operated by a Disadvantaged
                                     person as designated by the SBA.
How is a Women Owned Small            WOSB’s Self-Certify
                                      Meets size std, 51% owned and operated by
Business Identified and Certified?
                                      one or more women, Self Certified
                                     Certified by the SBA
How is a HUBZone Firm identified     Meets size std, located in a HUBZone, 35% of
and Certified?                       employees live in a HUBZone, owner US
                                     citizen, Certified by SBA & in CCR


                                                                                 28
   Small Business Training
         Module # 002B - Identifying Small BiZ


How is a Veteran Owned               Self Certify but Verifiable by VA
Business Identified and              Meets size std, Owned and operated by one or
Certified?                           more veterans with active duty (other than
                                     training), Self Certified


                                     Self Certify but verifiable by VA

                                     Meets size std, 51% owned and operated by
How is a Service Disabled Veteran    one or more veterans with active duty (other
Business Identified and Certified?   than training) and a service related disability
                                     Veteran firms are self-certified.




                                                                             29
Small Business Training
 Module # 002D - Identifying Small BiZ




                          A “for Profit” concern including its
                     affiliates that are independently owned and
                                        operated
  Definition of
                      Not dominant in the field of operations in
 Small Business      which it is bidding on government contracts

                         Qualified as a small business under
                          the criteria and size standards in
                             CFR Part 121 (See 19.102)




                                                          30
Small Business Training
 Module # 002E - Identifying Small BiZ


                    Has received certification as a SDB concern
                    consistent with 13 CFR Part 124, Subpart B

                    Net worth of each individual upon whom the
                    certification applies does not exceed $750,000
                    Excluding Home & Firm Equity.
  Definition of
     Small          The firm must be at least 51% unconditionally
                    owned by one or more socially and
 Disadvantaged      economically disadvantaged individuals, or
    Business        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.

                                                            31
Small Business Training
    Module # 002I - Identifying Small BiZ




                         Those who have been subjected to
                          ethnic prejudice or cultural bias
Definition of Socially
                            because of their identity as a
  Disadvantaged             member of a group without
    Individuals              regard to their individual
                                      qualities.




                                                         32
    Small Business Training
         Module # 002F - Identifying Small BiZ



         Who are the Socially Disadvantaged Individuals?

•Black Americans
•Hispanic Americans




•Native Americans
 (American Indians, Eskimos, Aleuts, or Native Hawaiians)

                                                            33
    Small Business Training
         Module # 002G - Identifying Small BiZ


         Who are the Socially Disadvantaged Individuals?

•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 Islands or Nepal)

                                                           34
Small Business Training
 Module # 002H - Identifying Small BiZ




                           Socially disadvantaged
                         individuals whose ability to
                        compete in the free enterprise
  Definition of       system has been impaired due to
 Economically         the diminished capital and credit
                        opportunities as compared to
 Disadvantaged        others in the same or similar line
  Individuals          of business who are not socially
                               disadvantaged.




                                                      35
    Small Business Training

   New regulation (Sept. 17, 2007)
    regarding Alaskan Native Corporations,
    Indian tribes and Indian-owned economic
    enterprises.
o   * Subcontracts count towards goals for SB and
    SDB, regardless of the size or SBA certification
    status
o   * This new provision does not apply to Hawaiian
    Native owned.


                                               36
Small Business Training
  Module # 002L - Identifying Small BiZ




                       A Small Business firm at least 51%
                      owned by one or more women, or, in
                         the case of any publicly owned
  Definition of       business, at least 51% of the stock of
 Women -Owned            which is owned by one or more
 Small Business       women; and whose management and
                          daily business operations are
  (FAR 19.001)         controlled by one or more women.
                      DoD does not consider women-owned
                          businesses as disadvantaged.



                                                       37
Small Business Training
 Module # 002O - Identifying Small BiZ



                     •Minority Institutions are those
Historically Black   organizations having significant
   Colleges and      minority enrollment.
 Universities and
    Minority         •Designated minority groups include
                     African Americans, Native Americans,
   Institutions
                     Hispanic Americans, Asian Americans,
  (HBCUs/MIs)        and Pacific Islanders.
(DFARS 252.219-
      7003)



                                                        38
Small Business Training
    Module # 002C - Identifying Small BiZ



                          Historically Underutilized Business
                                         Zone

                          An area located within one or more
                                qualified census tracts
    Definition of
     HUBZone              Qualified non-metropolitan counties
                                    ( Rural Districts)
   Empowerment
                              Lands within the external
(Public Law 104-135)      boundaries of an Indian Reservation

                         Hubzones have higher unemployment
                                          and
                         lower salaries than the state average


                                                           39
Small Business Training
    Module # 002J - Identifying Small BiZ




                          A small business firm where, not
                          less than 51% of which is owned
                             by one or more veterans (as
Definition of Veteran-    defined at 38 U.S.C. 101(2) or, in
                           the case of any publicly owned
    Owned Small          business, not less than 51% of the
 Business Concern        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.


                                                         40
Small Business Training
  Module # 002K - Identifying Small BiZ



                        A small business firm where 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
   Definition of         stock of which is owned by one or
 Service-Disabled       more service-disabled veterans; and
                        the management and daily business
 Veteran-Owned
                       operations of which are controlled by
  Small Business      one or more service-disabled veterans
     Concern                or, in the case of veteran with
                       permanent and severe disability, the
                      spouse or permanent caregiver of such
                                        veteran.

                                                       41
 Small Business Training
     Module # 002P - Identifying Small BiZ


                         •The Indian Incentive Program provides
                         an incentive to prime contractors that use
                         Indian Organizations and Indian-owned
                         Economic Enterprises as subcontractors.
Native American Indian
                         •The program allows for an incentive
  Incentive Program      payment equal to 5% of the amount paid
                         to a performing NA subcontractor,
(FAR 26.101, 52.226-1)   if it is authorized by the contract.

                         •Indian organization means the governing
                         body of any recognized Indian tribe or
                         Indian entity.



                                                            42
 Small Business Training
     Module # 002Q - Identifying Small BiZ



                         •Indian-owned economic enterprise means
                         any Indian-owned (as determined by the
                         Secretary of the Interior) commercial,
Native American Indian   industrial, or business activity established
  Incentive Program      or organized for the purpose of profit,
                         provided that Indian ownership shall
(FAR 26.101, 52.226-1)   constitute not less than 51 percent
                         of the enterprise




                                                             43
    Small Business Training
         Module # 002M - Identifying Small BiZ


                                        •Provides incentives to major prime
                                        contractors (mentors) to assist small
       Mentor-Protégé                   disadvantaged businesses (SDB) firms
         Program                        (proteges) in enhancing their technical
                                        and business capabilities
      (DFARS 219.71)                    •Hopefully lead to increased SDB
                                        participation as subcontractors in federal
                                        and commercial contracts
                                        •Fosters the establishment of long-term
       Public Law 101-510, the          business relationships
                                        •Firms are eligible to be mentors if they
   National Defense Authorization
                                        are currently performing a contract with
      Act of 1991, as amended,
                                        an approved subcontracting plan and are
established the Pilot Mentor-Protégé.   currently eligible for the award of federal
                                        contracts

                                                                            44
    Small Business Training
         Module # 002N - Identifying Small BiZ


                                        •Firms eligible to be proteges:
                                         (1) SDB firms certified by SBA or
       Mentor-Protégé                    (2) Qualifying organization that employ
         Program                             the severely disabled
                                        •Recent law allows HUBZones, WOSBs
      (DFARS 219.71)                    and VOSBs to be protégés.

                                        •Mentors and Proteges are required to
                                        execute a formal agreement that sets forth
       Public Law 101-510, the          the type of developmental assistance that
                                        will be provided to the protégé.
   National Defense Authorization
      Act of 1991, as amended,
                                        • MP Programs may be for SDB Credit
established the Pilot Mentor-Protégé.     or Reimbursement.


                                                                          45
  Small Business Training


    The “Matchmakers” High Performance Team

    Mark I:Professional Small Business Training Series

    Module 3: How Small Business Programs Work

Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 – 9/7/06

                                                                        46
     Small Business Training
                                Module # and Title


Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                     47
Small Business Training
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.




                                                     48
    Small Business Training
        Module # 003A - SB Program Success


                                A. TEN KEY ELEMENTS
A successful Small Business     1. Management Support
Program has __basic elements    2. An active SBLO
that assist in meeting goals!   3. A good Subcontracting Plan
                                4. Matchmaker SB Training
A. 10 Key Elements             5. Meeting SB Goals & Objectives
                                6. A good Outreach Program
B. 8                           7. Connected to a Regional
C. 6                              Council and a PTAC
D. 4                           8. Active Procurement Participation
E. As many as it takes         9. Connection to CCR – Dynamic
 (Check One)                       Small Business Search
                                10. Accurate and On-Time reporting

                                                                49
 Small Business Training
        Module # 003B - SB Program Success



1. Management Support    SCORE GUIDE
                         1= No management support
My company score is:     3= Management has min
                          program knowledge
                         5= Management knows about the
1 2 3 4 5 6 7 8 9 10       program
                         7= Management actively endorses the
                           program
Mark                     9= Management endorses, monitors
score                      and participates in the program
here:


                                                       50
   Small Business Training
        Module # 003C - SB Program Success



2. An active SBLO         SCORE GUIDE
                          1= Our company does not
My company score is:        have an SBLO.
                          3= Our SBLO has not been
                            ―Matchmaker‖ certified
1 2 3 4 5 6 7 8 9 10      5.= Our SBLO is M-certified and is
                            involved with at least 5 of the
                            success elements
Mark                      7= Same as 5 but does 7 of the
score                       success elements
                          9= Same as 5 but does all 10 elements
here:


                                                         51
   Small Business Training
        Module # 003D - SB Program Success



3. A Good Subcontracting   SCORE GUIDE
  Plan                     1= My company does not have a master
                              or Subcontracting Plan
                           3= Our plan is not approved by the
My Company Score is:
                              Buying Office.
                           5= Our plan is current and approved by
1 2 3 4 5 6 7 8 9 10
                              DCMA.
                           7= Same as 5 and we are actively
                              working our plan.
Mark the Score
                           9= Same as 5 and we are meeting our
here:
                              plan goals.



                                                           52
   Small Business Training
         Module # 003E - SB Program Success



4. Matchmaker SB Training   SCORE GUIDE
                            1= My company does not have a training
                               module for Small Business
 My Company Score is:
                            5= We are scheduled for ―Matchmaker‖
                               training in the next 3 months
 1 2 3 4 5 6 7 8 9 10
                            10= We are ―Matchmaker‖ Certified.

 Mark the Score
 here:




                                                             53
    Small Business Training
         Module # 003F - SB Program Success



                                   SCORE GUIDE
5. Meeting SB Goals & Objectives
                                   1= My company has no goals or
                                      objectives for Small Business
 My Company Score is:
                                   3= People are aware of the Public
                                       law goals
 1 2 3 4 5 6 7 8 9 10
                                   5= Management has established
                                        company small business goals
                                   7= Company goals are established and
 Mark the Score
                                        metrics reported
 here:
                                   9= Same as 7, goals are being met




                                                                  54
   Small Business Training
        Module # 003G - SB Program Success


                             SCORE GUIDE
6. A good Outreach Program   1= Our company does not do Outreach
                             3= Our SBLO does limited Outreach
 My Company Score is:        5= Our Company has an active
                                Outreach Program
 1 2 3 4 5 6 7 8 9 10        7= Our company is active and has
                                participated in one or more
                               ―Matchmaker‖ events
 Mark the Score              9= Same as 7, we have connected to
 here:                           sources through this process




                                                           55
  Small Business Training
        Module # 003H - SB Program Success



7. Connected to a Regional       SCORE GUIDE
   Council, a PTAC and the SBA   1= What's a PTAC?
                                 3= How do I connect to the SBA
                                    and a Region Council?
My Company Score is:
                                 5= Our company is active in our
                                   Regional Council
1 2 3 4 5 6 7 8 9 10
                                 7= Same as 5, and we work with our state
                                    PTAC
                                 9= Same as 7, we are on a ―Matchmaker‖
Mark the Score
                                    Sub-Committee
here:
                                 SBA = SMALL BUSNESS ADMINISTRATION
                                 PTAC = PROCUREMENT TECHNICAL ASSISTANCE CENTER




                                                                         56
    Small Business Training
          Module # 003I - SB Program Success



                                      SCORE GUIDE
8. Active Procurement Participation   1= Procurement is Untrained
                                      3= Procurement is aware
 My Company Score is:                 5= Procurement is active
                                      7= Procurement is ―MK I:Matchmaker‖
 1 2 3 4 5 6 7 8 9 10                    Certified
                                      9= Same as 7, and Procurement is
                                       meeting the goals
 Mark the Score
 here:




                                                                   57
    Small Business Training
          Module # 003J - SB Program Success


                                SCORE GUIDE
9. Connection to CCR –Dynamic   1= What is CCR?
Small Business Search           3= How do I use CCR?
My Company Score is:            5= CCR is used for Certifications
                                7= Our database is checked against
1 2 3 4 5 6 7 8 9 10               CCR-Dynamic Small
                                   Business Search database regularly
                                9= Same as 7, and we are compliant
Mark the Score
here:
                                CCR
                                WWW.CCR.GOV




                                                                 58
    Small Business Training
         Module # 003K - SB Program Success



10. Accurate and On-Time reporting   SCORE GUIDE
                                     1= Reporting…What reporting?
                                     3= What’s an SF294?
 My Company Score is:                5= SF294 and SF295’s are issued
                                     7= Same as 5, and all data is compliant
 1 2 3 4 5 6 7 8 9 10                9= Same as 7, and reports are issued
                                       on time.

 Mark the Score
 here:




                                                                     59
 Small Business Training
     Module # 003L - SB Program Success


                         Score Chart
How did your
company rate?            10 - 29 score   Unsatisfactory
             1. ___      30 - 49 score   Marginal
             2. ___      50 - 69 score   Acceptable
             3. ___
             4. ___
                         70 - 90 score   Highly Successful
             5. ___      91-100 score    Outstanding
             6. ___
             7. ___      Note: This approximate score rating
             8. ___
             9. ___
                         is subject to other factors and a formal
             10. ___     review by DCMA. Individual results
        TOTAL: _______    may vary from site to site.


                                                              60
    Small Business Training
          Module # 003M - SB 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-Protege program, performing compliance reviews at
subcontractors' sites, administering a buyer incentive program, participating in
trade fairs, promoting registration in CCR, 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.

                                                                          61
 Small Business Training
       Module # 003N - SB 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.

                                                                               62
 Small Business Training
       Module # 003O - SB 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.
SF294 and SF295 reports are complete and accurate.




                                                                              63
Small Business Training
     Module # 003P - SB Program Success


                             MARGINAL
•Deficient in meeting key subcontracting plan elements, the SF294
and/or SF295 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 in 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.



                                                                        64
    Small Business Training
          Module # 003Q - SB 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.



                                                                            65
  Small Business Training
      Module # 003R - SB Program Success


                                           Appointment

                            •The Small Business Liaison Officer(SBLO)
                            should have a Letter of Appointment
                            defining their responsibilities
Who is the Small Business
Liaison Officer (SBLO)?     •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

                                                                         66
Small Business Training
   Module # 003S - SB Program Success



                          The SBLO is responsible for the entire
                             program for their organization.
What is the SBLO          •Develop local procedures
responsible for in most   •Develop source lists, guides to identify suppliers.
organizations?            Use of CCR, PTAC’s, 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, and HUBZone vendors.
                          •Attend and sponsor procurement conferences
                          •Brief Management and other personnel involved
                          in the Supplier Chain Management on SB
                          program.

                                                                      67
Small Business Training
   Module # 003T - SB Program Success


                          The SBLO is responsible for the entire
                             program for their organization.

What is the SBLO          •Conduct training for all personnel involved in
responsible for in most   the subcontracting effort.
organizations?            •Completion of SF294/SF295 semi-annually
                          •Use of Sub-Net (SBA’s program) and USAF
                          Interactive Mall to advertise subcontracting
                          opportunities.
                          •Networking with industry SBLO’s, PTAC,
                          DCMA and SBA.




                                                                   68
   Small Business Training
       Module # 003U - SB Program Success


                            •DCMA Offices provide performance data to
                            Contracting Officers when evaluating the
                            Subcontracting Plans prior to contract award
Important:                  •5 year trend data is maintained on the
Small Business Programs     contractor’s overall performance

are subject to monitoring   •At contract completion, the Contracting
                            Officer is provided a copy of the results of
and review by DCMA          your individual contract performance
and the SBA.
                            •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

                                                                        69
 Small Business Training
     Module # 003V - SB Program Success




  The DCMA Small Business Specialist will
        conduct an annual review -
              they are not audits.
The surveillance review outline is via the DCMA FORM 640,
     ―Review of Contractor’s Subcontracting Program‖



                                                        70
    Small Business Training
         Module # 003X - SB 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. There are five
categories of performance ratings; the following criteria are provided in
determining the rating assigned.




                                                                              71
                Small Business Training



    The “Matchmakers” High Performance Team
    Mark I:Professional Small Business Training Series

    Module 4: Small Business Plans


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21,2003


                                                    V: 1.P.2 – 9/12/07

                                                                         72
                Small Business Training


Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                 73
Small Business Training
Module 4 Preparing Small Business Plans
            F.A.R. 52.219.9




           Preparing a
Small Business Subcontracting Plan



                                          74
 Small Business Training
                 Module 004
Preparing Small Business Subcontracting Plans




 This Module will provide the information needed to
 prepare a Small Business Subcontracting Plan in support
 of a Proposal.
 The required elements are covered as well as the calculation
 methods used in establishing the goals. Incentive programs
 are also discussed.




                                                            75
         Small Business Training
      Module 4A (cont.) Select plan type
 Preparing Small Business Plans F.A.R. 52.219.9


                              A separate plan for each
First, Select the Plan Type        contract over:
For Example: Individual
                                           $1,000,000
Subcontracting Plan
                                         (Construction)
(FAR 19.704(a))


OR another plan type          $550,000




                                                        76
      Small Business Training
          Module 004B Select plan type
  Preparing Small Business Plans F.A.R. 52.219.9



• A Commercial plan
                 means:
                    a subcontracting 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
                   (eg., division, plant, or product line).



                                                           77
             Module 4C (cont.)
               Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                       •Preferred type of subcontracting plan for
                       contractors furnishing commercial items
                       (FAR 19.701)
      Commercial       •Submitted to (1) the first Contracting
    Subcontracting     Officer awarding a contract subject to the
                       plan during the contractor’s fiscal year or
         Plan          (2) if the contractor has ongoing contracts
    (FAR 19.704(d))    with commercial plans, to the Contracting
                       Officer responsible for the contract with
                       the latest completion date

                       •Approved Plan shall remain in effect
                       during the contractor’s fiscal year for all
                       Government contracts during that period
                                                           78
            Module 004D (cont.)
              Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                        •DoD is currently conducting a test
                        program to determine whether a
                        corporate, division, or plant-wide
                        basis will increase subcontracting
   Comprehensive        opportunities for small business
                        concerns
 Subcontracting Plan
 (DFARS 219.702(a))     •The test is being conducted from
                        October 1, 1990 through
                        September 30, 2010

                        •No Incentive Clauses are
                        applicable during the period of the
                        test program
                                                       79
              Module 4E (cont.)
               Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                        Eligible contractors are large business
                        concerns at the major (total) corporate
                         level that during the preceding fiscal
                                          year:
   Comprehensive
 Subcontracting Plan   •Were performing under at least 3 DoD
 (DFARS 219.702(a))    Contracts, and were paid $5 million or
                       more for the contracts.

                       •Achieved a small disadvantaged
                       business goal of 5% or more during the
                       preceding year.


                                                         80
              Module 4F (cont.)
               Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                        Comprehensive subcontracting plans:
                        Are negotiated on an annual basis by the
                            designated contracting activities
   Comprehensive
 Subcontracting Plan   •Incorporated into all contractors’ active
                       DoD contracts, which require a plan
 (DFARS 219.702(a))
                       •Use by all DoD Contracting Officers in
                       contracts which require a plan awarded
                       contractors during the test period

                       •Not subject to application of the
                       liquidated damages during the period of
                       the test

                                                           81
 Chapter plan type
DoD Comprehensive plan
  participants 004G


              BAE Systems
  General Electric - Aircraft Engines
  Harris - Electronic Systems Sector
            Lockheed Martin
       Northrop Grumman-ACS
  Northrop Grumman-ESS Division
            Pratt & Whitney
               Raytheon
           Sikorsky Aircraft
           Textron Systems
       Textron-Bell Helicopter
      UTC-Hamilton Sundstrand
         L-3 Communications
   General Dynamics C-4 Systems




                                        82
                   Module 004H
                Select plan type
  Preparing Small Business Plans F.A.R. 52.219.9



A Master plan
           means
          a subcontracting plan that contains all
          the required elements of an individual contract plan,
          except goals (and description),
          and may be incorporated into individual contract
          plans, provided the master plan has been approved.




                                                              83
               Module 4I (cont.)
               Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                        •Incorporated, maintained and updated by the
                        contractor’s cognizant contract administration
                        office and Established on a plant or division-
                        wide basis
       Master
    Subcontracting      •Contains all required elements except goals

         Plan           •Separate goals for SB, SDB, WOSB,
                        HUBZone,VOSB, and SDVOSB are submitted
    (FAR 19.704(b))     for each contract

                        •Effective for a 3-year period AFTER approval
                        by the Administrative Contracting Officer

                        •When incorporated in an Individual Plan,
                        shall apply throughout the life of the contract

                                                                84
                   Module 004J
                  Select plan type
  Preparing Small Business Plans F.A.R. 52.219.9


An Individual
Subcontracting plan
               means 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.




                                                                   85
 Small Business Training                                             Module
                         4 slide 004K
                          Establish Goals
                Preparing Small Business Plans
                        F.A.R. 52.219.9

1. Identify needs to satisfy the contract:   4. Goals:
     • Purchased Parts                       Based on the current cost estimates
     • Subcontracts                          establish the dollars to be committed
     • Service Contracts                     if the contract is awarded.
     • Indirect (MRO) Items
                                             Sort the dollars by business type
2. Identify Supplier Ownership Type          (ie: Small, Large, SDB, WOSB, etc)

3. Estimate Current Cost                     Prepare a ―Goal Sheet‖ to add to your
    • Cost estimating may be based on        Small Business plan
         • Historical Data
         • Supplier Quotes                   Ref: Form in the Appendix
         • Purchase agreement

                                                                             86
                         Module 004L
                      Self-Certifications
               Preparing Small Business Plans
                    004B F.A.R. 52.219.9

                                      REMEMBER: Credit for Small
                                      Business goals may require a
Contractors acting in good faith      Certified supplier.
may rely on written representations
                                      Self Certification is required for:
by their subcontractors regarding     a small business
their Small Business status or        a veteran-owned small business
SBA Certifications, when              a service-disabled veteran-
                                        owned small business
required by regulation.
                                      a women-owned small business

                                      SBA Certification is Required for:

                                      a HUBZone small business
                                      a small disadvantaged business,
                                      except ANCs and Indian tribes


                                                                      87
                    Module 004M
             Identify Current Suppliers
  Preparing Small Business Plans F.A.R. 52.219.9


Identify current Supplier category-
                                      Small Business
                                      Large Business
                                      Small Disadvantaged Business
                                      Small Hubzone Business
                                      Women-Owned Small Business
                                      Small Veteran-Owned Business
                                      Small Service-Disabled firm
                                      Veteran-Owned Business
                                      HBCU/MI
List Goals for each category



                                                                88
                     Module 004P
             Type Product/Service contracted
            Preparing Small Business Plans
                    F.A.R. 52.219.9



Make a Matrix showing        Identify the source of the supply
                             as:
the Product/Service to be
                             1. Commercial Item
provided to the customer     2. Standard Catalog Item
and the SB Types that will   3. Contract Specific Item
provide the goods or         4. Qualified Military Product
services                     5. Sole/Single Source Item
(Helps to identify ideal
                             Provide an explanation of the
type of plan)                Goals based on the supply mix
                             used in the plan


                                                             89
                          Module 004Q

                To Calculate Goals
   Preparing Small Business Plans              F.A.R. 52.219.9




        Total planned subcontracting dollars =
            Total of all Large and Small
              Subcontracting dollars

Anticipated spend with U.S. Owned concerns to perform customer contract

          (this is the denominator for ALL GOAL calculations)



                                                                   90
          Small Business Goals 004R
           Small Business Concerns
Preparing Small Business Plans F.A.R. 52.219.9




    Total dollars planned/Goal % to be subcontracted to:

                Small Business Concerns
           Total Planned Subcontracting Dollars

                    x100=% SB goal

               (Congressional goal 23.0%)


                                                           91
                 Module 004V
         Small Business Goals (cont.)
   Small Disadvantaged Business Concerns
Preparing Small Business Plans F.A.R. 52.219.9



    Total dollars planned/Goal % to be subcontracted to:

         Small Disadvantaged Business concerns
           Total Planned Subcontracting Dollars

                    x100=% SDB goal

    (Congressional goal 5.0% & includes HBCU/MI’s)


                                                           92
                 Module 004W
         Small Business Goals (cont.)
   Small Women-Owned Business Concerns
Preparing Small Business Plans F.A.R. 52.219.9



     Total dollars planned Goal % to be subcontracted to:

         Women-Owned small business concerns
          Total Planned Subcontracting Dollars

                   x100 = % WOSB goal

                 (Congressional goal 5.0%)


                                                            93
                Module 004V
         Small Business Goals (cont.)
   Small Disadvantaged Business Concerns
Preparing Small Business Plans F.A.R. 52.219.9



    Total dollars planned/Goal % to be subcontracted to:

                       HBCU/MIs
           Total Planned Subcontracting Dollars

                x100=% HBCU/MI goal

   (Congressional SDB goal 5.0% includes HBCU/MI’s)


                                                           94
                 Module 004U
         Small Business Goals (cont.)
      HUBZone Small Business Concerns
Preparing Small Business Plans F.A.R. 52.219.9




 Total dollars planned/Goal % to be subcontracted to:

        HUBZone small business concerns
        Total Planned Subcontracting Dollars

              x100=% HUBZone goal

             (Congressional goal 3.0%)


                                                        95
                    Module 004S
                Small Business Goals (cont.)
Veteran-Owned Small Business Concerns Preparing Small
           Business Plans F.A.R. 52.219.9




  Total dollars planned /Best Effort % to be subcontracted to:

          Veteran-Owned small business concerns
            Total Planned Subcontracting Dollars

                     x100=% VOSB goal

  (Congressional goal 3.0% placed only on Service-Disabled)


                                                             96
                       Module 004T
                Small Business Goals (cont.)
Service-Disabled Veteran-Owned Small Business Concerns
      Preparing Small Business Plans F.A.R. 52.219.9




     Total dollars planned /Goal % to be subcontracted to:

  Service-Disabled Veteran-Owned small business concerns
             Total Planned Subcontracting Dollars

                   x100=% SDVOSB goal

                 (Congressional goal 3.0%)


                                                             97
                   Module 004X
          Components of Small Business Plan
  Preparing Small Business Plans F.A.R. 52.219.9



 The Plan must include:
• A Description
       of methods used to develop goals
       Example: How SB Content was realistically established Based
       on Historical or Bill Of Material sourcing analysis
• A Description
       of methods used to identify potential sources
       Example: Historical or CCR
• A Statement
       whether or not offeror included indirect costs in establishing goals
       Note: Indirect Subcontracting is useful when NO direct
       subcontracting is planned ( an allocation method may be used)

                                                                              98
                    Module 004Y
                  Indirect Allocation


• Indirect Goals based on      •The ratio between each Indirect
Allocation are allowed         small business type spend and
for use on Small Business      the Total Direct spend is
Plans.                         then expressed as a factor (Decimal %).
• Allocation is derived from
the Total Indirect spend       •When a new plan is established, the
calculated by Small Business   Indirect allocation is calculated
Type and then factored in      by multiplying the Indirect Factor
relation to the direct spend   for each SB type against the
contained in the annual        total direct subcontracting goal.
forward rates.
                                                                99
                Module 004Z
         Name of Individual Administering
Preparing Small Business Plans F.A.R. 52.219.9




   Individual Responsible for Administrating the Plan :

       Employee (name, title, contact information)
  who will administer the offeror’s subcontracting program
                              &
                   Description of duties

                    Ref: FAR 52.219-9 (d) (7)




                                                          100
                     Module 004AA
                       Assurances
             Preparing Small Business Plans F.A.R.
                        2.219.9



Statement the offeror will include the clause of this contract entitled
"Utilization of Small Business Concerns―
(F.A.R. 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 $550,000 ($1,000,000 for construction of any public facility)
to adopt a subcontracting plan that complies with the requirements
of this clause.


                                                                  101
                  Module 004BB
                 Assurances (cont.)
  Preparing Small Business Plans F.A.R. 52.219.9




• Describe efforts
offeror will make to assure small business concerns
have an equitable opportunity to compete for subcontracts.
FAR ref: 52.219-9 (d) (8)


• Statement :Contractor will Cooperate
in any studies or surveys as may be required
FAR ref: 52.219-9 (d) (9)




                                                             102
                             Module 004CC
                  Assurances (cont.)
       Preparing Small Business Plans         F.A.R. 52.219.9



• Statement:
Contractor will submit periodic reports as required
(Standard Forms 294/ & 295)
FAR ref: 52.219-9 (d) (10)


• Statement:
That describe types of Small Business records that
will be maintained
FAR ref: 52.219-9 (d) (11)




                                                                103
            Module 4FF (cont.)
               Select plan type
Preparing Small Business Plans F.A.R. 52.219.9


                         The contracting officer shall evaluate the extent
                        to which offerors identify and commit to small
   Some Contracts       business and historically black college or
                        university and minority institution performance
   Require a Small      of the contract, whether as a joint venture,
       Business         teaming arrangement, or subcontractor.
                          (A) Evaluation factors may include—
  Participation Plan       (1) The extent to which such firms are
                        specifically identified in proposals;
  (DFARS 215.304)          (2) The extent of commitment to use such
                        firms (for example, enforceable commitments are
                        to be weighted more heavily than non-
                        enforceable ones);
                            (3) The complexity and variety of the work
                        small firms are to perform;
                            (4) The realism of the proposal;

                                                                104
               Module 004GG
             Assurances (cont.)
Records for Awards of $100,000 F.A.R. 52.219.9



              Questions to be answered
            Regarding awards of $100,000
                     or more to:
                    SB
                   VOSB
                 SDVOSB
                 HUBZone
                    SDB
                   WOSB
                 opportunity?

                                           105
         Module 004HH   Sample Matrix
             Records for Awards of $100,000
                    F.A.R. 52.219.9


          Received               Did Not      Not Solicited
           Award     Solicited   Respond        Because
SB

SDB

WOSB

HUBZone

VOSB

SDVOSB


                                                     106
                Module 004II
             Assurances (cont.)
Records for Awards of $100,000 F.A.R. 52.219.9




                   Solicited?
                If NOT, Why not?
                    AND
                  If, applicable,
                the reason award was
                   not made to a
                small business concern



                                          107
                Small Business Training



     The “Matchmakers” High Performance Team
      Mark I:Professional Small Business Training Series

     Module 5: Small Business Assessment



Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21,2003

                                                    V: 1.P.2 – 6/6/06

                                                                        108
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                 109
          Small Business Training
  Module # 005 - 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 subcontracting success. The information will ensure
that buyers do not overlook the capability of Small Business
entities in performing subcontracts.




                                                         110
      Small Business Training
   Module # 005A - SB Assessment


How should Small Business firms    ANSWER: C
be assessed and evaluated for      This Module covers:
alignment with opportunities for   1. Use of Evaluation Tools
contracting and subcontracting?    2. The Evaluation Process
                                   3. Fundamental Success Factors
A. Gut Feel                        4. Technical / Business Expertise
B. Their Brochures                 5. Integrity/Ethics/Vision
C. An Organized Assessment         6. Owner in the Store
   Process                         7. Subjective Assessment
D. An introduction at a
   Matchmaker event



                                                                   111
       Small Business Training
    Module # 005B - SB Assessment


                               Evaluation Tools:
1. Use of Evaluation Tools     1. Standard Business Reports
The use of evaluation tools    2. Commercial Evaluations
may vary from state to state   3. Lean Manufacturing Assessments
and company to company,        4. CCR Certifications
but here are the basic tool
                                Evaluation Elements
types to consider.
                                1. Past Performance
                                2. Relationships
2. The Evaluation Process       3. Inspection and Pre-award Surveys
Key elements that can assist    4. References / History
in the true picture of a        5. Inventory Position
company’s capability            6. Financial Status


                                                           112
      Small Business Training
   Module # 005C - SB Assessment


                                 Critical Success factors:
3. Fundamental and Critical
                                 1.Adequately Capitalized
    Success Factors
                                 2. Drive and Determination
                                 3. Competitive Advantage
Elements that effect a firms
                                 4. Demand for Product and Service
ability to be successful.
                                 5. Pricing and Profit Margins
4. Technical Expertise            Technical Expertise Required
                                  1. Marketing / Pricing
The minimum required expertise    2. Production
to conduct business and           3. Organization and Management
projects                          4. Financial and Accounting
                                  5. Quality Management
                                  6. Safety and Loss Control

                                                                     113
       Small Business Training
    Module # 005D - SB Assessment


5. Integrity/Ethics/Vision     Integrity/Ethics/Vision
The foundation of any          1. Honesty
organization is the Ethical    2. Visions - long term goals
basis of the operation.        3. People Skills
                               4. Workers that share the vision

6. Expertise                   Expertise:
The basis for the firms        1. Are the skill sets present
ability to perform any given       to do the work?
task                           2. Is training a way of life?
                               3. Are there single points of failure?



                                                                  114
       Small Business Training
    Module # 005E - SB Assessment


7. Owner in the Store             Owner in the Store
Local management may be           1. Is the owner involved on a day
key to the effectiveness of the      to day basis.
business unit.                    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?




                                                                   115
      Small Business Training
   Module # 005F - SB Assessment


8. Subjective Assessment         Subjective Assessment:
Use your experience and          1. Housekeeping and general
the information from the above     appearance
items to help formulate the      2. Is this the company you would
evaluation report                   do business with if it was your
                                    money?
                                 3. How’s the attitude of the people?
Are they ready to take our
order and perform all aspects
of it well?                        YES or NO?



                                                                   116
                Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series

  Module 6: Metrics and Reporting


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 23,2003
                                                    V: 1.P.2 -9/7/06

                                                                       117
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Appendix:

                                                 118
               Module 6 slide 006A
               Metrics and Reporting


This Module covers the reporting required against the Small
Business Subcontracting Plans created in Module #4.
The SF294 and SF295 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 supercede any
Federal Acquisition Regulations or instructions.




                                                             119
     Module 6 slide 006A
    Metrics and Reporting
     Preparing Small Business Reports



                       •Both reports are due semi-annually for
                       those contractors reporting under Individual
                       or Subcontracting Plans.

Standard Form          •ALL Contractors including those in the
                       Comprehensive Subcontracting Program
    294/295            report semi-annually via the SF295

                       •Contractors under Commercial Plans
   Reporting           report via the SF295 annually, at the end of
                       the Government’s fiscal year

                       •The performance data is based on the
                       Government’s fiscal year between October 1
                       through September 30


                                                           120
        Module 6 slide 006B
                 REPORTING
 Preparing Small Business Plans       F.A.R. 52.219.9


Semi Annual Reporting
       Means:
Sending the reports to    •Midyear reports are due 30 days after
                          the first reporting period Close of
     DCMA or              March 30, which is April 30 and

         the              •30 days after the end of the fiscal year,
                          which is October 30
  contracting agency
       on time


                                                              121
              Module 6 slide 006C
                            Reporting
    Preparing Small Business Plans                     F.A.R. 52.219.9


                                         • SF295 is a report of your entire US
                                           Owned Supplier Spend


         SF295                           • 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
                                           reports on overall performance on Federal
You may access this data by internet:      contracts
http://siadapp.dior.whs.mil/index.html
                                         • The DCMA Small Business Specialist
  Go to Procurement then access            inputs the data into the Pentagon’s DIOR
Companies Participating in the DoD         Database. Information is also provided to
  Subcontracting Program (P14)             the Congress and the White House

                                                                             122
      Module 6 slide 006D
               Reporting
Preparing Small Business Plans        F.A.R. 52.219.9


                        •Report for individual contracts

                        •Data is cumulative during the life of your
                         program as purchased from US Firms

                        •At the end of contract performance, the

    SF294               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

                        •On the back of the report are guidelines for
                         completion of the form. Recommend you
                        review the instructions each reporting period.

                                                                123
      Module 6 slide 006E
               Reporting
Preparing Small Business Plans      F.A.R. 52.219.9


                                      #1 Reason
                       •If a contract contains either of the SDB
                       Participation mechanisms - the Evaluation
Optional               Factor for SDB Participation or the
                       Monetary Subcontracting Incentive- the
                       contracting officer needs a way to
Form 312               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
                       SF294; rather it is submitted only once, at
                       contract completion.
                                                         124
      Module 6 slide 006F
               Reporting
Preparing Small Business Plans     F.A.R. 52.219.9


                                     #2 Reason

                       •Is to provide a way for the Government
                       to collect comprehensive subcontracting
Optional               data by NAICS code. This information
                       will enable the Dept. of Commerce to
Form 312               fine-tune its industry benchmarks in
                       subcontracting. It will be accomplished
                       by requiring all Government contractors
                       that normally submit the SF-295,
                       Summary Subcontract Report, to include
                       a breakout of subcontract awards to SDBs
                       by NAICS code.

                                                       125
      Module 6 slide 006G
               Reporting
Preparing Small Business Plans       F.A.R. 52.219.9


                        Effective Oct 1, 2000, FAR Clause 52.219-
                        9, under Paragraph (j)(2), SF295
                        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

 Note:                  may obtain from each of its
                        subcontractors a predominant NAICS
                        Major Group and report all awards to
                        that subcontractor under its predominant
                        NAICS Code.
                                                            126
            Module 6 slide 006H
                         Reporting
    Preparing Small Business Plans            F.A.R. 52.219.9


                                •Block 2: Wrong or incomplete DUNS Number

                                •Block 6: Administering Activity. If you are
                                reporting to NASA or Civilian Agencies, you will
Common mistakes on the forms:   have to issue a SF295 to those agencies. DCMA
                                does not collect data for the Corps of Engineers –
                                they have their own reporting mechanism.

 Make sure the data is          •Block 7 Report on both subcontract number, if
             .
 ACCURATE                       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 SF295 and for the life of the contract for
                                the SF294

                                                                        127
            Module 6 slide 006H
                      Reporting
    Preparing Small Business Plans         F.A.R. 52.219.9



            A word on SBA Recertification
AIA and TRIAD have been promoting the policy change to SBA
 that a prime contractor should be able to continue to consider a
     previously certified SDB company as an SDB while the
  recertification application is being processed. In an August 9,
     2003 memo from Ms Barbara Little, DCMA, to industry
   representatives and DoD Small and Disadvantaged Business
Utilization Offices, she noted that SBA resolved this longstanding
                                issue.

                                                             128
               Module 6 slide 006H
                   Reporting
Preparing Small Business Plans F.A.R. 52.219.9


 ―The (SBA) Office of Government Contracting and Business Development has
  established an interim policy that prime contractors may continue to take credit
     for a certified SDB until we (SBA) process its re-certification application,
 provided that the SDB in question applied for re-certification before its original
certification expired. If on re-certification, the firm is declined, then that decision
 will be final and the firm will no longer be allowed to be counted as an SDB. If
      the firm pursues the reconsideration process or appeals process of the re-
 certification final decision, and the outcome is that the firm is once again found
 to be an SDB, then the firm may be counted again as an SDB certified firm. For
      more information on this subject please contact the SDB Answer desk at
 (202)619-1850. SDB web site: (www.sba.gov/sdb <http://www.sba.gov/sdb>);
   click on Frequently Asked Questions (see button on left-hand side of screen),
                       Questions and Answers; Question #4.‖
                                                                               129
                 Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series


  Module 7: Resources and FAQ’s


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 – 9/7/06
                                                                        130
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations
Module 2. Identifying a Small Business
Module 3: How Small Business Programs Work
Module 4: Preparing Small Business Plans
Module 5: Small Business Assessment
Module 6: Small Business Metrics and Reporting
Module 7: Information Resources and FAQ’s
Module 8: Staying Current
Appendix:




                                                 131
          Small Business Training
      Module # 007 -Resources and FAQ’s


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.




                                                            132
        Small Business Training
     Module # 007A - Information and
                 FAQ’s


FAQ #1:
A supplier states they are certified   A: NO. Suppliers are considered
as a minority business by the          certified small disadvantaged
State of Connecticut.                  businesses if they are certified
Is that certification valid for        by the SBA.
a DOD prime contractor?




                                                                     133
       Small Business Training
    Module # 007B - Information and
                FAQ’s


FAQ #2:
Are certifications from          A: NO. Suppliers are considered
the National Minority Supplier   certified small disadvantaged
Development Council or the       businesses if they are certified
U.S. Department of               by the SBA, unless they are ANCs
Transportation valid for         or Indian Tribes.
US DOD contractors?




                                                             134
       Small Business Training
    Module # 007C - Information and
                FAQ’s


FAQ #3:
A Woman Owned Small          A: NO. Suppliers are considered
Business is certified by a    certified as a Woman Owned
National W.O. Supplier        business if they are self certified
Organization. Is this         by signed statement from
certification valid for      responsible company management.
US DOD contractors?




                                                             135
       Small Business Training
    Module # 007D - Information and
                FAQ’s


FAQ #4:
                                    A: NO. Suppliers are considered
A Woman Owned Small                  .
                                     certified small disadvantaged
Business claims to also be
                                     businesses if they are certified
a DBE.
                                     by the SBA, unless they are ANCs
Is this valid proof they also are
                                     or Indian tribes. DBE certifications
certified as an SDB and valid for
                                    are not valid on US DOD Contracts
US DOD contractors?




                                                                    136
           Small Business Training
    Module # 007E - Information and FAQ’S


FAQ #5:
                                    A: The SBA Office or the state
Where can I get information about    .
                                    Procurement Technical Assistance
Small Businesses in my state
                                    Center (PTAC) near you.
from locally knowledgeable
people?
                                    PTACS are very helpful in
                                    connecting you with local small
                                    businesses they have trained
                                    and are now clients.




                                                                      137
            Small Business Training
           Module 007E-1 WEBSITES

                   Contact List of NE PTAC’s
NH   – Chris Way           Phone 603-271-7581 Email: cway@dred.state.nh.us
                           www.nheconomy.com/ptac
ME - Pat Rice             Phone 800-339-6389 Email: price@emdc.org
                           www.emdc.org
CT – Brien Robertson       Phone 860-437-4659 Email: brobertson@secter.org
                           www.secter.org/ptap.htm
VT – Greg Maguire          Phone 802-828-5237 Email: greg.maguire@state.vt.us
                           www.thinkvermont.com/vtptac
RI - Dorothy Reynolds Phone 401-222-2601 Email: dreynold@riedc.com
                           www.riptac.com
MA - Peter Cokotis         Phone 413-737-6712 Email: pcokotis@som.umass.edu
                           www. msbdc.org/ptac
NY is divided into regional programs. Go to www.aptac-us.org for a list

                                                                      138
       Small Business Training
     Module # 007E-2 - Information
              and FAQ’s

                    Websites for Information
                       SBA: www.sba.gov
                 DOD Office of Small Business
               Utilization: www.acq.osd.mil/sdbu
                    FAR: www.arnet.gov/far
Federal Register: www.access.gpo.gov/su_docs/aces/aces140.html
            National Association of Women Business
               Owners(NAWBO): www.nawbo.org
                 Womenbiz: www.womenbiz.gov



                                                         139
      Small Business Training
Module # 007F - Information and FAQ’s


              More Websites for information
                 National Industries for the
        Blind: http://www.nib.org/about/about_NIB.
  U. S. Department of Transportation: http://www.dot.gov/
             DOD Native American Incentive
         Program: http://www.acq.osd.mil/sadbu/iip/
 HBCU’s/MI’s: http://www.edonline.com/cq/hbcu/c_state.htm




                                                      140
                 Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series

  Module 8: Staying Current


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 – 6/10/06
                                                                     141
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Apendix:


                                                 142
   Small Business Training
 Module # 008 - Staying Current


This module is about keeping up with the regulations
and policy statements that govern small business
subcontracting.




                                                       143
      Small Business Training
   Module # 008A - Staying Current
        FAR REGULATIONS


Stay on top of what        •Keep current on the changes in the Federal
                            Acquisition Regulations Concerning
is happening in the
                            Small Business Programs
world of Small Business!
                           •Keep current on pending legislation
                             .
                            on Small Business Programs

                           •Keep Company Management informed
                            on changes in legislation




                                                               144
        Small Business Training
       Module 8B Staying Current


- Keep Company              - Maintain measurements
Management informed         of your program. Note
on Small Business           successes. Provide
trends.                     continuous improvement
                            methods on weaknesses.
- Point out the strengths
and weaknesses in your
program.




                                                 145
         Small Business Training
        Module 8C Staying Current


*Continue to develop   See the Data links for access
new suppliers where    to more information
required to enhance
                       Contact:
your program.
                       1. PTAC Organizations
                       2. The SBA
                       3. Do Outreach




                                                 146
             Small Business Training
            Module 8D Staying Current

US Government, DoD and DLA Links
Acquisition Reform Net (ARNET)
http://www.arnet.gov/
Air Force Contracting
http://selltoairforce.org/
Code of Federal Regulations
http://www.access.gpo.gov/nara/cfr/index.html
Computer Assisted Tech. Transfer (CATT) Program
http://catt.bus.okstate.edu/asset/index.html
Defense Acquisition Revolution - Acquisition Reform Now
http://www.acq.osd.mil/ar/arnow.htm




                                                          147
             Small Business Training
            Module 8E Staying Current

US Government, DoD and DLA Links
GSA
http://www.gsa.gov/Portal/home.jsp
Defense Acquisition Revolution - Acquisition Reform Today
http://www.acq.osd.mil/ar/artoday.htm
Defense Logistics Information Service, Battle Creek, MI
http://www.dlis.dla.mil/
Defense Reutilization and Marketing Svc. Battle Creek, MI
http://www.drms.dla.mil/
Defense Acquisition Deskbook
http://deskbook.dau.mil/isp/default.isp




                                                            148
             Small Business Training
            Module 8F Staying Current


US Government, DoD and DLA Links
NSA
http://www.nsaarc.net/
Defense Acquisition University- (DAU) Virtual Campus
https://dau1.fedworld.gov/dau/index.htm
Defense Advanced Research Projects Agency (DARPA)
http://www.darpa.mil/sbir/
OSD Acquisition Reform Office
http://www.acq.osd.mil/ar/library.htm
Defense Automated Printing Service
http://www.daps.dla.mil/




                                                       149
           Small Business Training
          Module 8G Staying Current

US Government, DoD and DLA Links
Defense Logistic Agency,Ft. Belvoir, Virginia
http://www.dla.mil/
The White House
http://www.whitehouse.gov/
Defense Supply Center, Columbus, OH
http://www.dscc.dla.mil/
Defense Supply Center, Richmond, VA
http://www.dscr.dla.mil/sitemap.htm
US Gov't. Printing Office
http://www.access.gpo.gov/




                                                150
           Small Business Training
          Module 8H Staying Current

US Government, DoD and DLA Links
Defense Technical Information Center, Ft. Belvoir, VA
http://www.dtic.mil/mctl/
US House of Representatives
http://www.house.gov/
US Marines
http://www.hqmc.usmc.mil/ilweb.nsf
DLA Publishing System (DLAPS)
http://www.dlaps.hq.dla.mil/
US Senate
http://www.senate.gov/




                                                        151
          Small Business Training
         Module 8I Staying Current



US Government, DoD and DLA Links

Procurement Guidance and Data
http://www.dior.whs.mil/peidhome/guide/procoper.htm
DLA Job Announcements
http://www.hr.dla.mil/onjams/splash.htm




                                                      152
       Small Business Training
    Module 8J Links to Government
                Forms
Army & DD Forms
http://www.forscom.army.mil/pubs/
DLA FormFlow Index
http://www.dla.mil/dss/forms/
DOD Forms Program
http://web1.whs.osd.mil/icdhome/FORMTAB.HTM
GSA Forms Library
http://www.gsa.gov/Portal/content/offerings_content.jsp?contentOID=116369&contentTy
pe=1004&P=1&S=1
Navy Forms
http://neds.nebt.daps.mil/Directives/navyform.htm
Office of Government Ethics Forms
http://www.usoge.gov/index.html
Office of Personnell Management Electronic Forms
http://www.opm.gov/forms/html/formflow.asp
Additional Source for Government Forms
http://web2.deskbook.osd.mil/htmlfiles/forms/DBY_FORMS_AGENCY.asp
                                                                                  153
           Small Business Training
         Module 8K   Staying Current


List of HBCU/MI          http://www.ed.gov/offices/OCR/minorityinst.html


Verify Suppliers         http://www.ccr.gov

                         https://eweb1.sba.gov/hubzone/internet
                         http://www.nmbc.org/industry_list.cfm

NAICS/SIC                http://www.sba.gov/size/sizetable2002.html
Various Info             http://www.crbcc.com/html/internet_resources.htm

CAGE Code cross reference             http://www.dlis.dla.mil/cage_welcome.asp

FAR, DFARS, DOE, etc. regulations http://farsite.hill.af.mil/
                                                                      154
 Small Business Training
Module 8L Staying Current


     Agency WebSites


        http://www.sba.gov/
        http://www.ccr.gov
     http://www.commerce.gov/
       www.osdbu.nasa.gov




                                155
 Small Business Training
Module 8M Staying Current



Be involved in:

A. Your Region DOD SB Council
B. PTAC Activities
C. SBA Conferences
D. Local and National Small Business
  Organizations!


                                       156
                 Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series

  Module 9: Buyer / SCA / PCO Training


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 – 6/10/06
                                                                         157
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Module 9: Buyer/SCA/PCO Training
Appendix:
                                                 158
    Small Business Training
  Module # 009 - Buyer Training


This module is used to train Buyers, Subcontract
Administrators and Procurement Contracting Officers
on the requirements for Small Business Subcontracting.




                                                    159
        Small Business Training
      Module # 009A - Buyer Training
           FAR REGULATIONS


Making Small Business Programs       About the LAW:
work is EVERYONE’S responsibility.   Section 8(d) of the Small
                                     Business Act requires
Prime Contractors and agencies       that “Small, SDB, HUBZone
sign-up to provide the most          WOSB, VOSB, and
                                       .
opportunity possible to small        SDVOSB have the maximum practicable
businesses on every contract over    opportunity to participate
over $500K.                          as subcontractors on
                                     federal contracts, to the
BUYERS,SCA’s AND PCO’s               extent that such
Make it Happen!                      opportunity is consistent
                                     with efficient contract performance.”



                                                                   160
        Small Business Training
      Module # 009B - Buyer Training
           FAR REGULATIONS


Contracts over $500K require a      About the LAW:
Small Business Subcontracting       FAR 52.219 describes Small Business
Plan with goals for each contract   Plan requirements where goals
(unless there is a Comprehensive    for Small Business Subcontracting
Test Plan).                         are established at Contract Award.
                                      .

                                    The penalty for failing to meet the goals
                                    can be:
                                    1. Downgrade in Company rating
                                    2. Liquidated Damages




                                                                      161
          Small Business Training
           Module # 009C - FAR
             REGULATIONS

1. What are the goals set by
   Public Laws for:
Small Business                 Small Business     23%
SDB                            SDB                5%
SWOB                           SWOB               5%
HUBZone                        HUBZone            3%
SDVOSB                         SDVOSB             3%
HBCU’s                         HBCU’s             Best Effort
VOSB                           VOSB               Best Effort
Native Americans               Native Americans   Incl in SDB


                                                        162
       Small Business Training
     Module 009D Small Business

                      There are several ways to
                      .
How do I find Small   find Small Businesses:
Business Firms to     1. Look at your SBLO’s
Subcontract with to       contact list.
meet the goals?       2. www.ccr.gov Dynamic
                        Small Business Search
                      3. Contact your local PTAC
                      4. Contact the local SBA
                      5. Ask your SBLO for
                         assistance in locating
                         sources of supply
                                            163
            Small Business Training
             Module 009E PRO-NET


The CCR Dynamic                   The requirements for the
Small Business Search tool        Small Business Types
is the best place to go to find   are covered in Module Two.
a supplier’s certification
status.                           Here are some sites to provide
                                  additional information.




                                                            164
Small Business Training
Module 009F WEBSITES


      Agency Web Sites
 SBA
 http://www.sba.gov/

 Contractor Central Registration
 http://www.ccr.gov

 DEPT OF COMMERCE
 http://www.commerce.gov/
                                   165
              Small Business Training
               Module 009G PTACS

                           Contact List of NE PTAC’s
NH – Chris Way               Phone 603-271-7581 Email: cway@dred.state.nh.us
                             www.nheconomy.com/ptac
ME - Pat Rice                Phone 800-339-6389 Email: price@emdc.org
                             www.emdc.org
CT – Brien Robertson         Phone 860-437-4659 Email: brobertson@secter.org
                             www.secter.org/ptap.htm
VT – Greg Maguire            Phone 802-828-5237 Email: greg.maguire@state.vt.us
                             www.thinkvermont.com/vtptac
RI - Dorothy Reynolds        Phone 401-222-2601 Email: dreynold@riedc.com
                             www.riptac.com
MA - Peter Cokotis           Phone 413-737-6712 Email: pcokotis@som.umass.edu
                             www. msbdc.org/ptac
NY is covered by regional programs. Go to www.aptac-us.org to find your region


                                                                             166
        Small Business Training
      Module 009H Finding Sources


The CCR Dynamic Small             The certifications in the CCR
Business Search Database          Dynamic Small Business Search
is the best place to go to find   Database can be relied on to
supplier’s by Commodity           Validate supplier types.
type.
                                  Additional information about
Ask your SBLO to show             the supplier size , staff and
you how to search the             capability is also there.
Database.


                                                            167
       Small Business Training
    Module 009I BEING PROACTIVE


Getting an order placed is
important.                   THINK BIG PICTURE…..

 WHERE you                   THINK…SMALL BUSINESS.
place it can make a Small
Business Plan meet the       Ask your SBLO for
goals. It can change         assistance!
the whole
 ―Small Business Picture‖.


                                                    168
                 Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series

  Module 10: Management Small Business Briefing


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 - 06/10/06
                                                                          169
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations
Module 2. Identifying a Small Business
Module 3: How Small Business Programs Work
Module 4: Preparing Small Business Plans
Module 5: Small Business Assessment
Module 6: Small Business Metrics and Reporting
Module 7: Information Resources and FAQ’s
Module 8: Staying Current
Module 9: Buyer/SCA Training
Module 10: Management Small Business Briefing
Module 11: SBLO Mentoring

Appendix:




                                                 170
         Small Business Training
       Module # 010 – Management


This module is designed to facilitate discussion with business
unit leaders about the requirements for a Small Business
Program included in US Government proposals and contracts.

It covers information about Small Business plan impacts on
proposals, contract awards and DCMA/SBA annual review
ratings. It outlines the actions needed to assure compliance
with Federal Acquisition Regulations and the objectives
of US Government Agencies and Services.


                                                          171
         Small Business Training
      Module # 010A – Mgmt Training
           FAR REGULATIONS


Small Business Programs               About the LAW:
are both challenging and rewarding.   Section 8(d) of the Small
                                      Business Act requires
Prime Contractors and agencies        that “Small, SDB, HUBZone
sign-up to provide as many            WOSB, VOSB, and
                                        .
opportunities as possible to          SDVOSB have the maximum practicable
all types of small businesses on      opportunity to participate
every contract.                       as subcontractors on
                                      federal contracts, to the
Buyers ,Subcontract Administrators    extent that such
and Procurement Contracting           opportunity is consistent
Officers (PCO) Make it Happen!        with efficient contract performance.”



                                                                    172
        Small Business Training
      Module # 010B - Mgmt Training
           FAR REGULATIONS


Preparing a Small Business             About the LAW:
Subcontracting Plan with accurate      FAR parts 19 and 52 describe
goals or negotiating a Comprehensive   Small Business Plan requirements
Subcontracting Plan requires           where goals for Small Business
management support.                    Subcontracting are established at
                                         .
                                       Proposal and Contract Award.
Our current strategy is to operate
Under a:                               The penalties for failing to meet the goals
a. Individual Plan                     can be:
b. Master Plan                         1. A downgrade in company rating
c. Comprehensive Plan                  2. Liquidated damages (FAR 52.219)
d. Commercial Plan                     3. Reduction of score on a
                                          Proposal Evaluation


                                                                         173
        Small Business Training
      Module 010C – Mgmt Training

                       1.  Open Presidential Support
The changing face of   2.  Military under scrutiny
Socio-Economic         3.  Congressional Pressure
subcontracting.        4.  Some RFP’s requiring
                           SB participation as a % of
                           Contract Value (up to 40%).
                       5. Up to 15% of Proposal
                           evaluation points typical
                       6. Top Military/DOD officials
                           publicly endorsing SB Programs
                       7. Increased DCMA/SBA Surveillance



                                                    174
       Small Business Training
      Module 010D- Mgmt training

                          There are several ways:
 How can management       1.. Support Policy that gives
 Help meet these goals?        Small Business the
SB     - 23%                   opportunity to participate.
                          2. Encourage partnering with
SDB - 5%
                              qualified and capable Small
WOSB - 5%                     Business firms.
HUBZone-3%                3. Understand the SB goals and
SDVOSB -3%                    include them in proposal
VOSB - B/E                    reviews
                          4. Publicly support the SB
HBCU - B/E
                              Program and include it as
                              a performance evaluation item.

                                                      175
          Small Business Training
         Module 010E Mgmt Training


Our DCMA SB rating helps
                                    There are five rating levels:
win contracts and is passed to
the buying commands.                1. Outstanding
                                    2. Highly Successful
Our past performance data is        3. Acceptable
is an evaluation factor.            4. Marginal
                                    5. Unsatisfactory
Review frequency is based on
rating levels and risk assessment
by DCMA.



                                                                176
Small Business Training
Module 010F - WEBSITES




  Learn more about SB
 at the Northeast Council
         Web Site
    http://www.dodneregional.org




                                   177
             Small Business Training
              Module 010G PTACS

                         Contact List of NE PTAC’s
NH – Chris Way            Phone 603-271-2591 Email: cway@dred.state.nh.us
                          www.nheconomy.com/ptac
ME - Pat Rice             Phone 800-339-6389 Email: price@emdc.org
                          www.emdc.org
CT – Brien Robertson      Phone 860-437-4659 Email: brobertson@secter.org
                          www.secter.org/ptap.htm
VT – Greg Maguire         Phone 802-828-5237 Email: greg.maguire@state.vt.us
                          www.thinkvermont.com/vtptac
RI - Dorothy Reynolds Phone 401-222-2601 Email: dreynold@riedc.com
                          www.riptac.com
MA - Peter Cokotis        Phone 413-737-6712 Email: pcokotis@som.umass.edu
                          www. msbdc.org/ptac
NY is covered by regional programs – go to www.aptac-us.org to find your region
                                                                        178
       Small Business Training
      Module 010H - Matchmaking


                                   Matchmaking means the SBLO:
SBLO Outreach and Management       1. Has knowledge of the Business
support is Key to making           Unit procurement requirements and
any Small Business Program         can honestly counsel small Businesses
work.                               on opportunity now or in the future.

The Matchmaker HPT event was       2. Collects information to help Buyers
invented by the Northeast          locate Small Businesses that can quote
Regional Council and first         on requirements
implemented in the fall of 2000.
                                   3. Uses Outreach as a TOOL not an
                                     obligation.


                                                                 179
          Small Business Training
       Module 010I SBLO DISCUSSION


What are the aspects of the       Have your decision makers
Small Business Program            taken the MATCHMAKERS HPT
That you should know about:       MARK I: Professional Small
                                  Business Training Program?
1. How are we rated?
2. How are we performing?
3. Are we challenging ourselves
   to reach or exceed the
   customers goals?


                                                       180
       Small Business Training
    Module 010J BEING PROACTIVE


Getting an order placed is
important.                   Ask Everyone to:
                             THINK BIG PICTURE…..
 WHERE you
place it can help a Small    THINK…SMALL BUSINESS.
Business Plan meet the
goals. It can change         And ask the SBLO for
the whole                    assistance!
 ―Small Business Picture‖.


                                                    181
                 Small Business Training



  The “Matchmakers” High Performance Team
  Mark I: Professional Small Business Training Series

  Module 11: Mentoring SBLO’s


Prepared By:
The Matchmakers HPT
A sub-committee of the Northeast Regional Council
March 21, 2003

                                                    V: 1.P.2 – 06/10/06
                                                                      182
                Small Business Training
                  Module # and Title

Module 1. Public Laws and FAR Regulations

Module 2. Identifying a Small Business

Module 3: How Small Business Programs Work

Module 4: Preparing Small Business Plans

Module 5: Small Business Assessment

Module 6: Small Business Metrics and Reporting

Module 7: Information Resources and FAQ’s

Module 8: Staying Current

Module 11: SBLO Mentoring
Appendix:
                                                 183
       Small Business Training
    Module # 011 - SBLO Mentoring



This module is designed to facilitate discussion
to help mentor the SBLO. It covers the
information Small Business advocates need to
think about when performing their jobs.The SBLO
should receive this training before giving Module
09 to Buyers and SubContract Administrators.




                                                    184
        Small Business Training
      Module # 011A - Buyer Training
           FAR REGULATIONS


Small Business Programs               About the LAW:
are both challenging and rewarding.   Section 8(d) of the Small
                                      Business Act requires
Prime Contractors and agencies        that “Small, SDB, HUBZone
sign-up to provide the most           WOSB, VOSB, and
                                        .
opportunity possible to small         SDVOSB have the maximum practicable
businesses on every contract.         opportunity to participate
                                      as subcontractors on
BUYERS,SCA’s AND PCO’s                federal contracts, to the
Make it Happen!                       extent that such
                                      opportunity is consistent
                                      with efficient contract performance.”



                                                                    185
        Small Business Training
      Module # 011B - Buyer Training
           FAR REGULATIONS


Preparing a Small Business             About the LAW:
Subcontracting Plan with accurate      FAR 52.219 describes Small Business
goals or negotiating a Comprehensive   Plan requirements where goals
Test Plan requires unique skills.      for Small Business Subcontracting
                                       are established at Contract Award.
                                         .
How do you acquire allies to
support your program?                  The penalty for failing to meet the goals
                                       can be:
                                       1. Downgrade in Company rating
                                       2. Liquidated Damages




                                                                         186
        Small Business Training
      Module 011C Small Business

                       There are several ways to
                         .
How do I help Buyers   find Small Businesses:
find Small             1. Do outreach and keep an
Business Firms to           SBLO contact list.
Subcontract with to    2. www.ccr.gov
 meet the goals?       3. Contact your local PTAC
                       4. Contact the local SBA
                       5. Network with other SBLO’s
                        for assistance in locating
                           sources of supply

                                             187
            Small Business Training
              Module 011D CCR


The CCR.GOV Website               The requirements for the
is the best place to go to find   Small Business Types
a supplier’s certification        are covered in Module Two.
status.
                                  There are other sites that provide
                                  additional information.




                                                             188
        Small Business Training
      Module 011E Finding Sources


The CCR.GOV Website               The certifications in CCR
is the best place to go to find   can be relied on to validate
suppliers by Commodity            supplier types.
type.
                                  Additional information about
Show Buyers how to                the supplier size , staff and
search the Database.              capability is also there.




                                                             189
Small Business Training
Module 011F WEBSITES


      Agency Web Sites
 SBA
 http://www.sba.gov/

 Central Contractor Registration
 http://www.ccr.gov

 DEPT OF COMMERCE
 http://www.commerce.gov/
                                   190
   Small Business Training
                     Module 011G PTACS


                         Contact List of NE PTAC’s
NH – Chris Way            Phone 603-271-7581 Email: cway@dred.state.nh.us
                          www.nheconomy.com/ptac
ME - Pat Rice             Phone 800-339-6389 Email: price@emdc.org
                          www.emdc.org
CT – Brien Robertson      Phone 860-437-4659 Email: brobertson@secter.org
                          www.secter.org/ptap.htm
VT – Greg Maguire         Phone 802-828-5237 Email: greg.maguire@state.vt.us
                          www.thinkvermont.com
RI - Dorothy Reynolds Phone 401-222-2601 Email: dreynold@riedc.com
                          www.riptac.com
MA - Peter Cokotis        Phone 413-737-6712 Email: pcokotis@som.umas.edu
                          www. msbdc.org/ptac
NY is covered by regional programs. Go to www.aptac-us.org to find your region.
                                                                        191
        The Matchmaker Analysis of why the Hubzone Program
                     wasn’t working     011H

         HUBZONE MISMATCH PROBLEM - NOTHNG MATCHED




 1. REQMTS TO HUBZONE                                    1. SUPPLIER TO HUBZONE

  SUPPLIERS                      REQMTS
                                   $      SUPPLIERS

1. REQMTS TO COMMODITIES                                   1. HUBZONE TO BENEFITS
2. COMMODITY TO SUPPLIER                                   2. HUBZONE TO REQMTS
                           COMMODITIES       HUBZONES      3. HUBZONE TO DATABASE
                                                           4. HUBZONE TO
                                                           COMMODITY


1. DATABASE TO SUPPLIER                   EDUC &
2. DATABASE TO COMMODITY     DATABASES    BENEFITS

                                                        1. EDUCATION TO REQMTS
                                                        2. EDUCATION TO SUPPLIERS
 ―Nothing Matched‖                                      3. EDUCATION TO DATABASE

                                                                        192
           Small Business Training
                  Module 011I    Matchmaking




The MATCHMAKER events              Matchmaking means the SBLO:
were created to manually solve     1. Has knowledge of the Business
the Hexi-Mismatch Problem          Unit procurement requirements and
and jump start the Program.        can honestly counsel small Businesses
                                    on opportunity now or in the future.
SBLO Outreach is Key to making
any Small Business Program         2. Collects information to help Buyers
work.                              locate Small Businesses that can quote
                                   on requirements

                                   3. Uses Outreach as a TOOL not an
                                     obligation.


                                                                 193
   Small Business Training
               Module 011J SBLO DISCUSSION




What are the aspects of the   Did the
Small Business Program        MATCHMAKERS
that:                         MARK I: Professional Small
1. You need the most help     Business Training Program
    with?                     Help you with any of these
2. You find the most          areas?
   difficult to administer?
3. You need more
   understanding of ?


                                                      194
   Small Business Training
               Module 011K BEING PROACTIVE




Getting an order placed is
important.                   Tell Buyers to:
                             THINK BIG PICTURE…..
 WHERE you
place it can make a Small    THINK…SMALL BUSINESS.
Business Plan meet the
goals. It can change         And ask the SBLO for
the whole                    assistance!
 ―Small Business Picture‖.


                                                    195
                         Expressions ….
                  From a winning American Icon

It's deja vu            "You can observe             "We made too many
all over again"         a lot by watching"           wrong mistakes"
- Yogi Berra            - Yogi Berra                 - Yogi Berra

Learn from last         We hope that watching        Wrong mistakes are
year’s 295 and                                       the worst kind…
try to improve          this training was helpful
                                                     don’t make em’. Hope we
performance every                                    helped you to avoid them.
year

                    "It ain't over 'til it's over"
                    - Yogi Berra
                    Well…..It’s Over!
                                                                     196

								
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