The MATCHMAKERS HPT
Subcommittee of the
Northeast Regional Council
The Matchmaker Team
Professional Small Business Program
Training Series for Large Businesses and
Federal Agencies
Small Business Utilization Series
Training Guide
Revised:
September 2012
The MATCHMAKERS HPT
Subcommittee of the
Northeast Regional Council
What you have before you is a “Weapon System” designed to fight lack of knowledge and
misunderstanding about Small Business Programs. We hope to pass this body of information from our
dedicated team, the Matchmakers HPT, to the fighters for supplier diversity all over this nation. While this
training does not replace the actual regulations, the course can light the path to the wisdom needed to get
the Small Business participation mission accomplished.
This is the user’s guide to the system. Please use it wisely and often. Its application is what the
American Dream is all about. Small Business owners, their families, the President and the Congress of
these United States are all counting on you to get the job done.
We wish you great success!
Ira M. Brand, Team Leader (Emeritus)
on behalf of the Matchmakers HPT
a subcommittee of the Northeast Regional Council
Small Business Utilization Series
Training Guide
SMALL BUSINESS LIAISON OFFICER TRAINING
Small Business Training
Mark I: Professional Small Business Program Training Series

Module 1: Public Laws and Regulations
4

Module 2: Identifying a Small Business
24

Module 3: How Small Business Programs Work
54

Module 4A: Preparing a Small Business Subcontracting Plan
77

Module 4B: Preparing a Small Business Participation Plan
120

Module 5: Small Business Assessment
131

Module 6: Small Business Metrics and Reporting
138

Module 7: Information Resources and FAQs
162

Module 8: Staying Current
171

Resources
175

Appendix A: Summary for the Basics of Subcontracting
184
3
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations

This Module contains information on the Public Laws and Federal
Acquisition Regulations (FAR) that govern the requirements for Small
Business Subcontracting Programs. These small business laws and
regulations form the framework for what we do and why we do it.

The Module includes the goals for each business type and the Public Law
basis for these requirements. The module also covers FAR references for
incentive programs and liquidated damages provisions.
4
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001A – FAR Regulations
FAR 19.201(a)

It is the policy of the Government to provide maximum practicable
opportunities in its acquisitions to small business, veteran-owned small
business, service-disabled veteran-owned small business, HUBZone
small business, small disadvantaged business, and women-owned small
business concerns.

Such concerns must also have the maximum practicable opportunity to
participate as subcontractors in the contracts awarded by any executive
agency, consistent with efficient contract performance.
5
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001B – FAR Regulations

FAR parts 19 and 52 outline all the
requirements for preparing small business
plans.

Public Laws are the basis for these
regulations.
6
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001C – FAR Regulations
The percentage goals set by Public Laws are:
Small Business (SB)
Small Disadvantaged Business (SDB)
23%
5%
Alaska Native Corp. & Indian Tribes included in SDB goal
Woman-Owned SB (WOSB)
5%
HUBZone SB
3%
Veteran-Owned SB (VOSB)
Service-Disabled VOSB (SDVOSB)
Best Effort but includes SDVOSB
3%
7
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001D – FAR Regulations
 No
order of Precedence
• SB
• SDB
• 8(a)
• WOSB
• HUBZone
• SDVOSB
» Note: 8(a) firms are included as SDBs
8
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001E – FAR Regulations
About the Law

Section 8(d) of the Small Business Act
requires that “Small, SDB, HUBZone,
WOSB, VOSB, and SDVOSB have the
maximum practicable opportunity to
participate as subcontractors on Federal
contracts, to the extent that such opportunity
is consistent with efficient contract
performance.”
Revision of the Small Business Act of
1978 (Public Law 95-507)

Redefined minority firms as Socially and
Economically Disadvantaged Small Business
Concerns (SDB’s).

Required Federal agencies to establish
small business goals and explain to the
Congress when goals were not met.

Required small and small disadvantaged
business subcontracting goals for major
contracts awarded to large businesses.

Reserved all Federal awards under
$150,000 for small businesses.

Required establishment of the Office of
Small Business Programs (OSBP).

OSBP Directors appointed by Head of
Agency.
9
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001F – FAR Regulations
National Defense Authorization Act (Public Law
99-661 Section 1207)
• Passed in 1987.
• Established Small Disadvantaged Business Program.
• Established the 5% goal for Small Disadvantaged Businesses.
10
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001G – FAR Regulations
Federal Acquisition Streamlining Act of 1994 (Public
Law 103-355 Section 7106)

Established a government-wide goal for Women-Owned Small
Businesses (WOSBs).

Established the 5% goal for Women-Owned Small Businesses.
11
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001H – FAR Regulations
The HUBZone Empowerment Act (Public Law 105135)

Included in the Small Business Reauthorization Act of 1997.

Designed to stimulate economic development and create jobs in urban
and rural communities.

Provides contracting preferences to small businesses that are located in
a HUBZone and that hire employees who live in a HUBZone.

Established a 3% goal for HUBZone small businesses.
12
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001I – FAR Regulations
The Veteran's Entrepreneurship and Small Business
Development Act of 1999 (Public Law 106-50)

Established a goal for Government-awarded prime contracts and for
subcontracts awarded by prime contractors to (SDVOSB) concerns of 3%.

A best effort goal for veteran-owned small businesses (VOSB) shall apply
(must equal or exceed SDVOSB goal). SDVOSBs are a subset of
VOSBs.

Individual, Master, and Comprehensive Subcontract and Commercial
Plans must incorporate these goals.
13
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001J – SB Program Success
“Incentive
Clauses”
FAR 52.226-1
“Utilization of Indian Organizations & Indian Owned Economic
Enterprises”

The Indian Incentive Program provides for a payment of 5% of the amount
subcontracted to an Indian organization or Indian-Owned Economic Enterprise.
The Contracting Officer may include the clause if it is believed that there are
Indian sources and that funds are available for the incentive payment.

Indian-Owned Economic Enterprise means any Indian-owned (as determined by
the Secretary of the Interior) commercial, industrial, or business activity
established or organized for the purpose of profit, provided that Indian ownership
shall constitute not less than 51 percent of the enterprise.
14
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001K – SB Program Success
“Incentive Clauses”
FAR 52.219-26
“Small Disadvantaged Business Participation Program”

Incentive Subcontracting for specific parameters. Applies only to
negotiated acquisitions. Monetary incentives shall be based on actual
achievement as compared to proposed monetary targets for SDB
subcontracting. The incentive subcontracting program is separate and
distinct from the establishment, monitoring and enforcement of SDB
subcontracting goals in a subcontracting plan. This is an incentive to
encourage increased subcontracting in the North American Industry
Classification System (NAICS) Major Groups and is reported at the end of
the contract via the OF312 attached to the final ISR.
15
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001L – SB Program Success
“Incentive Clauses”
FAR 52.219-10 “Incentive Subcontracting Program”

Monetary incentive which encourages the development of increased
subcontracting opportunities based on actual achievement for Small
Business, SDB, WOSB, HUBZone small business, VOSB, and SDVOSB.

All goals must be exceeded for the clause to be effective.

Incentive will be 0-10% of the dollars by which the goals were exceeded.

Determinations are solely at the Government’s discretion.
16
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001M – SB Program Success
“Incentive Clauses”
FAR 52.219-16
“Liquidated Damages - Subcontracting Plan”

Willful or intentional failure to comply with a subcontracting plan is
considered a material breach of the contract and could result in the
imposition of liquidated damages to be paid by the contractor.

Size of damages is equal to the actual amount by which the contractor
missed each goal.
17
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001N – SB Program Success
“Good Faith Effort”
13 CFR 125.3
“Provide the maximum practicable subcontracting
opportunities for small business concerns.”
“Consistent with the efficient performance of the contract.”
18
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001O – SB Program Success
Examples of “maximum practicable opportunity”
13 CFR 125.3

Breaking out contract work items into economically feasible units, as
appropriate.

Conducting market research to identify small business subcontractors and
suppliers through all reasonable means.

Soliciting small business concerns early in the acquisition.

More>>
19
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001P – SB Program Success
Examples of “maximum practicable opportunity”
13 CFR 125.3

Providing adequate and timely information about the plans, specifications,
and requirements for performance of the prime contract to assist small
businesses in submitting a timely offer.

Negotiating in good faith with interested small businesses.

Assisting small businesses to obtain bonding, lines of credit, required
insurance, necessary equipment, supplies, materials, or services.

More >>
20
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001Q – SB Program Success
Examples of “maximum practicable opportunity”
13 CFR 125.3

Utilizing the available services of small business associations; local, state,
and Federal small business assistance offices; and other organizations.

Participating in a formal mentor-protégé program with one or more small
business protégés that results in developmental assistance to the
protégés.
21
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001R – Small Business Goal Summary
Small Business Type
Small Business
Small Disadvantaged Business
ANCs and Indian Tribes
Goals
Public Law Ref
23% PL: 100-656
5% PL: 99-661
(Part of SDB) PL: 99-661
Woman-Owned Small Business
5% PL: 103-355
HUBZone Small Business
3% PL: 105-135
Service-Disabled VOSB
3% PL: 106-50
Veteran-Owned Small Business
Best Effort PL: 106-50
22
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 1: Public Laws and Regulations
001S – Small Business Goal Summary
DoD Subcontracting Goals can Be Different
Small Business Type
FY 2012-2013
Small Business
36.7%
HUBZone Small Business
3%
SDVOSB
3%
SDB
5%
WOSB
5%
23
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business

This Module covers the requirements for a Small Business to qualify as a
specific recognized type for identification and reporting credit under
Federal contracts.

The module includes definitions of Small Disadvantaged Businesses, the
minority groups and the certification requirements for HUBZone firms.

The module also covers the penalties for misrepresentation.
24
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002A – Identifying Small BiZ
How is a Small Business Identified and Certified?
• Small Business Self-Certify.
• Does not exceed NAICS code size standard and is not owned
by a large business. Size standard exception for ANCs and
Indian tribes.
How is a Small Disadvantaged Business Identified and
Certified?
• SDBs Self-certify as of October 3, 2008.
• Does not exceed size standard (except ANCs and Indian
tribes), listed in SAM, 51% owned and operated by a Socially
and Economically Disadvantaged person as designated by
the SBA.
25
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002B – Identifying Small BiZ
How is a Women-Owned Small Business Identified and
Certified?
• WOSB’s Self-Certify.
• Meets size standard, 51% owned and operated by one or
more Women, Self Certified.
How is a HUBZone Firm identified and Certified?
• Must be certified by the SBA.
• Meets size standard, located in a HUBZone, 35% of
employees live in a HUBZone, owner US citizen, certified
by SBA and listed in SAM.
26
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002C – Identifying Small BiZ
How is a Veteran-Owned Business Identified & Certified?
• Self-Certified for agencies other than the Department of
Veterans Affairs (VA).
• For VA, certification required by Center for Veteran’s Enterprise
(https://www.vip.vetbiz.gov/).
• Meets size standard, 51% owned and operated by one or more
veterans with active duty (other than for training).
27
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002D – Identifying Small BiZ
How is a Service-Disabled Veteran-Owned Business
Identified and Certified?
• Self-Certified for agencies other than the Department of
Veterans Affairs (VA).
• For VA, certification required by Center for Veteran’s Enterprise
(https://www.vip.vetbiz.gov/).
• Meets size standard, 51% owned and operated by one or more
veterans with active duty (other than for training) and a service-related
disability (0-100%).
28
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002E – Identifying Small BiZ
Veterans Administration (VA) Exception
For a firm to work for the VA as either a VOSB or an
SDVOSB, it must be verified as such by the Center for
Veterans Enterprise (https://www.vip.vetbiz.gov/).
29
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002F – Identifying Small BiZ
Definition of a Small Business (SB)

A “for profit” concern including its affiliates that is independently owned
and operated.

Not dominant in the field of operations in which it is bidding on
government contracts.

Qualified as a small business under the criteria and size standards in CFR
Part 121 (See FAR 19.102).
30
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002G – Identifying Small BiZ
Penalties for misrepresentation as a Small Business (including all
subcategories) in order to obtain a prime contract or subcontract
15 U.S.C. 645(d)

Fine of not more than $500,000 or imprisonment for not more than 10
years or both;

Administrative remedies prescribed by the Program Fraud Civil Remedies
Act of 1986;

More >>
31
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002H – Identifying Small BiZ
Penalties for misrepresentation as a Small Business (including all
subcategories) in order to obtain a prime contract or subcontract
15 U.S.C. 645(d) (cont.)

Be subject to suspension and debarment; and

Be ineligible for participation in any program or activity conducted under
Title 15 U.S. Code or the Small Business Investment Act of 1958 for up to
3 years.
32
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002I – Identifying Small BiZ
Definition of Small Disadvantaged Business (SDB)

Net worth of each individual does not exceed $750,000 excluding home &
firm equity.

Firm must be at least 51% unconditionally owned by one or more socially
and economically disadvantaged individuals; or in the case of any publicly
owned business, at least 51 percent of the voting stock is unconditionally
owned by one or more socially and economically disadvantaged
individuals; and whose management and daily business operations are
controlled by one or more such individuals.
33
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002J – Identifying Small BiZ
Definition of Socially Disadvantaged Individuals

Those who have been subjected to ethnic prejudice or cultural bias
because of their identity as a member of a group without regard to their
individual qualities.
34
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002K – Identifying Small BiZ
Who are Socially Disadvantaged Individuals?

Black Americans

Hispanic Americans

Native Americans
(American Indians, Native Alaskans,
or Native Hawaiians)
35
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002L – Identifying Small BiZ
Who are Socially Disadvantaged
Individuals (cont.)?

Asian Pacific Americans (persons with
origins from Burma, Thailand, Malaysia,
Indonesia, Singapore, Brunei, Japan,
China (inc Hong Kong), Taiwan, Laos,
Cambodia (Kampuchea), Vietnam, Korea,
Philippines, US Trust Territory of Pacific
Islands (Republic of Palau), Republic of
Marshall Islands, Federated States of
Micronesia, Commonwealth of the
Northern Marina Islands, Guam, Samoa,
Macao, Fiji, Tonga, Kiribati, Tuvalu, or
Nauru).

Subcontinent Asian Americans (persons
with origins from India, Pakistan,
Bangladesh, Sri Lanka, Bhutan, the
Maldives or Nepal).
36
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002M – Identifying Small BiZ
Definition of Economically Disadvantaged Individuals

Socially disadvantaged individuals whose ability to compete in the free
enterprise system has been impaired due to diminished capital and credit
opportunities as compared to others in the same or similar line of
business who are not socially disadvantaged.
37
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002N – Identifying Small Biz
Regulation change (Sept. 17, 2007) regarding Alaskan
Native Corporations and Indian Tribes
* Subcontracts count towards goals for SB and SDB,
regardless of the size or SBA certification status.
* This new provision does not apply to Hawaiian Native owned firms.
38
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002O – Identifying Small BiZ
Definition of Women-Owned Small Business
(13CFR 127.200(b))

A small business firm at least 51% owned by one or more women, who
are U.S. citizens or, in the case of any publicly owned business, at least
51% of the stock of which is owned by one or more women; and whose
management and daily business operations are controlled by one or more
women.

There is also a Women-Owned Small Business Federal Contract
Program which applies only to Government Contracting Officers.
39
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002P – Identifying Small BiZ
Women-Owned Small Business Federal Contract Program
• Applies only to Government Contracting Officers.
• Aimed at giving equal access to Federal contracts to:
- Women-Owned Small Business (WOSB) and
- Economically Disadvantaged Women-Owned Small
Business (EDWOSB).
• Limited to certain NAICS Codes where women are
underrepresented or substantially underrepresented as
designated by SBA (over 360 currently eligible).
40
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002Q – Identifying Small BiZ
Women-Owned Small Business Federal Contract Program
Purpose: To enable contracting officers to set
aside certain contracts for competition among
WOSBs or EDWOSBs for the provision of goods
and services to the Federal Government.
Restricting competition to qualified WOSBs and
EDWOSBs increases their success to compete for
and win Federal contracts.
41
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002R – Identifying Small BiZ
 Eligibility
for WOSB: Must be small business at least 51%
unconditionally and directly owned and controlled by one or more
women who are U.S. citizens.
 Eligibility
for EDWOSB: Must be a WOSB that is at least 51%
owned by one or more women who are “economically
disadvantaged.”
• A woman is presumed economically disadvantaged if she has a personal net
worth of less than $750,000 (with some exclusions), her adjusted gross yearly
income averaged over the three years preceding the certification is less than
$350,000, and the fair market value of all her assets is less than $6 million
(with some exclusions).
42
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002S – Identifying Small BiZ
•WOSB /EDWOSBs must either:
- Self-certify
- Be Certified by SBA-approved Third-Party Certifier
Visit www.sba.gov/wosb for details of
the program
43
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002T – Identifying Small BiZ
Definition of HUBZone Small Business Concern

Must be a small business owned and at least 51% controlled by U.S.
citizens, a Community Development Corporation, an agricultural
cooperative, or an Indian Tribe.

The principal office (the location where the greatest number of employees
at any one location work [except for construction and service industries])
must be located in a Historically Underutilized Business Zone (HUBZone).

At least 35% of the employees must reside in a HUBZone, not necessarily
the same one where the firm is located.
44
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002U – Identifying Small BiZ
Definition of HUBZone Empowerment (Public Law 105-135)

Historically Underutilized Business Zone.

An area located within one or more qualified census tracts.

Qualified non-metropolitan counties (Rural Districts).

Lands within the external boundaries of an Indian Reservation.

Qualified Base Closure Areas.

HUBZones have higher unemployment and lower salaries than the state
average.
45
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002V – Identifying Small BiZ
Definition of Veteran-Owned Small Business Concern (VOSB)

A small business firm, not less than 51% of which is owned by one or
more veterans (as defined at 38 U.S.C. 101(2) ) or, in the case of any
publicly owned business, not less than 51% of the stock of which is
owned by one or more veterans; and the management and daily business
operations of which are controlled by one or more veterans.

Remember: there is no statutory goal for VOSBs, only for SDVOSBs.
46
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002W – Identifying Small BiZ
Definition of Service-Disabled Veteran-Owned Small Business
Concern (SDVOSB) [Public Law 106-50]

A small business firm not less than 51% of which is owned by one or
more service-disabled veterans or, in the case of any publicly owned
business, not less than 51% of the stock of which is owned by one or
more service-disabled veterans; and the management and daily business
operations of which are controlled by one or more service-disabled
veterans or, in the case of a veteran with permanent and severe disability,
the spouse or permanent caregiver of such veteran.
47
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002X – Identifying Small BiZ
Historically Black Colleges & Universities and Minority Institutions
(HBCUs/MIs) (DFARS 252.219-7003)

Minority Institutions are those organizations having significant minority
enrollment.

Designated minority groups include African Americans, Native Americans,
Hispanic Americans, Asian Americans, and Pacific Islanders.

The latest list of HBCUs can be obtained at
www2.ed.gov/about/inits/list/whhbcu/edlite-list.html

The latest list of MIs can be obtained at

www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-tab.html
 Note:
HBCUs/MIs are no longer included as SDBs
48
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002Y – Identifying Small BiZ
(Native American) Indian Incentive Program (FAR 26.1, 52.226-1)

The Indian Incentive Program may provide an incentive to prime
contractors that use Indian Organizations and Indian-Owned Economic
Enterprises as subcontractors.

Allows for an incentive payment to the prime contractor equal to 5% of the
amount paid to a performing Indian subcontractor, if it is authorized by the
contract.
49
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002Z – Identifying Small BiZ
(Native American) Indian Incentive Program (FAR 26.1, 52.226-1)
Definitions

“Indian” means any person who is a member of any Indian tribe, band,
group, pueblo, or community that is recognized by the Federal
Government as eligible for services from the Bureau of Indian Affairs (BIA)
in accordance with 25 U.S.C. 1452(c) and any “Native” as defined in the
Alaska Native Claims Settlement Act (43 U.S.C. 1601).

Indian organization means the governing body of any recognized Indian
tribe or Indian entity.
50
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002AA – Identifying Small BiZ
(Native American) Indian Incentive Program (FAR 26.1, 52.226-1)
Definitions (cont.)

Indian-Owned Economic Enterprise means any Indian-owned (as
determined by the Secretary of the Interior) commercial, industrial, or
business activity established or organized for the purpose of profit,
provided that Indian ownership shall constitute not less than 51 percent of
the enterprise.

“Indian tribe” means any Indian tribe, band, pueblo, or community,
including native villages and native groups (including corporations
organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska
Native Claims Settlement Act, that is recognized by the Federal
Government as eligible for services from BIA in accordance with 25
U.S.C. 1452(c).
51
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002AB – Identifying Small BiZ
Mentor-Protégé Program (DFARS 219.71)
Public Law 101-510, the National Defense Authorization Act of 1991,
as amended, established the DoD Pilot Mentor-Protégé Program.

Provides incentives to prime contractors (mentors) to assist small
disadvantaged businesses (SDB) firms (protégés) in enhancing their
technical and business capabilities.

Hopefully leads to increased SDB participation as subcontractors in
Federal and commercial contracts.

Fosters the establishment of long-term business relationships.

Firms are eligible to be mentors if they are currently performing a contract
with an approved subcontracting plan and are currently eligible for the
award of Federal contracts.
52
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 2: Identifying a Small Business
002AC – Identifying Small BiZ
Mentor-Protégé Program (DFARS 219.71)

Firms originally eligible to be a protégé:
• SDB firms or
• Qualifying organization that employs the severely disabled.

Recent law allows HUBZones, WOSBs and SDVOSBs to be protégés.

Mentors and Protégés must execute a formal agreement that sets forth
the type of developmental assistance that will be provided to the protégé.

Mentor-Protégé Programs may be for credit or reimbursement. DCMA is
the approving agency for all credit-only programs.
53
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work

This Module introduces the key elements of a successful Small Business
Program. A rating system is provided to assist in the assessment of your
current program and the suggested levels for reaching an “Outstanding”
rating.
54
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003A – Small Business Program Success
What should an effective small business
subcontracting program include?
Answer: A
Ten Key Elements
1.
Management Support.

A. 10 Key Elements
2.
An active SBLO.

B. 8
3.
A good Subcontracting Plan.

C. 6
4.
Matchmaker SB Training.

D. 4
5.
Meeting SB Goals & Objectives.

E. As many as it takes
6.
A good Outreach Program.
(check one)
7.
Connected to a Regional Council and a
PTAC/PTAP.
8.
Active Procurement Staff Participation.
9.
Connection to SAM & Dynamic Small
Business Search.
10.
Accurate and On-Time reporting.
55
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003B – Small Business Program Success
1. Management Support
SCORE GUIDE
1 = No management support.
3 = Management has minimal program
knowledge.
My company score is:
1 2 3 4 5 6 7 8 9 10
5 = Management knows about the
program.
7 = Management actively endorses the
program.
9 = Management endorses, monitors
and participates in the program.
Mark Score Here: ______
56
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003C – Small Business Program Success
2. An Active SBLO
SCORE GUIDE
1 = Our company does not have an
SBLO.
My company score is:
1 2 3 4 5 6 7 8 9 10
3 = Our SBLO has not been
“Matchmaker” certified.
5 = Our SBLO is “Matchmaker” certified
and is involved with at least 5 of the
success elements.
7 = Same as 5 but does 7 of the
success elements.
9 = Same as 5 but does all 10 elements.
Mark Score Here: ______
57
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003D – Small Business Program Success
3. A Good Subcontracting Plan
My company score is:
1 2 3 4 5 6 7 8 9 10
Mark Score Here: ______
SCORE GUIDE
1 = My company does not have a
subcontracting plan.
3 = Our subcontracting plan is not
approved by the agency buying
office.
5 = Our subcontracting plan is current
and approved by the agency buying
office.
7 = Same as 5 and we are actively
working our plan.
9 = Same as 5 and we are meeting our
plan goals.
10 = Same as 5 and we are exceeding
our plan goals.
58
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003E – Small Business Program Success
4. Matchmaker SB Training
SCORE GUIDE
1 = My company does not have a
training module for Small Business.
My company score is:
1 2 3 4 5 6 7 8 9 10
5 = We are scheduled for “Matchmaker”
training in the next 6-12 months.
10 = We are “Matchmaker” Certified.
Mark Score Here: ______
59
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003F – Small Business Program Success
5. Meeting SB Goals & Objectives
SCORE GUIDE
1 = My company has no goals or
objectives for small business.
My company score is:
1 2 3 4 5 6 7 8 9 10
3 = People are aware of subcontracting
goals.
5 = Management has established
company small business goals.
7 = Company goals are established and
metrics reported.
9 = Same as 7, most goals are being
met.
Mark Score Here: ______
10 = Same as 7, all goals are being met
or exceeded.
60
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003G – Small Business Program Success
6. A Good Outreach Program
SCORE GUIDE
1 = Our company does not do Outreach.
3 = Our SBLO does limited Outreach.
My company score is:
1 2 3 4 5 6 7 8 9 10
5 = Our Company has an active
Outreach Program.
7 = Our company is active and has
participated in one or more
matchmaking events.
9 = Same as 7, we have connected to
sources through this process.
Mark Score Here: ______
61
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003H – Small Business Program Success
7. Connected to a Regional Council
and a PTAC/PTAP
SCORE GUIDE
1 = What's a PTAC/PTAP?
3 = How do I connect to the SBA and a
Region Council?
My company score is:
1 2 3 4 5 6 7 8 9 10
5 = Our company is active in our
Regional Council.
7 = Same as 5, and we work with our
state PTAC/PTAP.
9 = Same as 7 and we are on a
“Matchmaker” Sub-Committee.
Mark Score Here: ______
SBA = Small Business Administration
PTAC = Procurement Technical Assistance
Center
PTAP = Procurement Technical Assistance Program
62
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003I – Small Business Program Success
8. Active Procurement Participation
SCORE GUIDE
1 = Procurement staff is untrained.
3 = Procurement staff is aware.
5 = Procurement staff is active.
My company score is:
1 2 3 4 5 6 7 8 9 10
7 = Procurement staff is “Mark I
Matchmaker” Certified.
9 = Same as 7, and procurement is
meeting the goals.
Mark Score Here: ______
63
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003J – Small Business Program Success
9. Connection to SAM – Dynamic
Small Business Search
My company score is:
1 2 3 4 5 6 7 8 9 10
SCORE GUIDE
1 = What is SAM – Dynamic Small
Business Search (DSBS)?
3 = How do I use SAM - Dynamic Small
Business Search ?
5 = SAM - Dynamic Small Business
Search is used to verify
certifications.
7 = Our database is checked against
SAM - Dynamic Small Business
Search database regularly.
Mark Score Here: ______
9 = Same as 7, and we are compliant.
SAM – https://www.sam.gov/portal/public/SAM
DSBS – http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm
64
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003K – Small Business Program Success
10. Accurate and On Time reporting.
SCORE GUIDE
1 = Reporting…What reporting?
3 = What’s an ISR?
5 = ISRs and SSRs are issued.
My company score is:
1 2 3 4 5 6 7 8 9 10
7 = Same as 5, and all data is
compliant.
9 = Same as 7, and reports are issued
on time.
ISR – Individual Subcontracting Report
(formerly SF294).
Mark Score Here: ______
SSR – Summary Subcontracting Report
(formerly SF295).
65
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003L – Small Business Program Success
How did your company rate?
SCORE CHART
1.
____
10 - 29 score
Unsatisfactory
2.
____
30 - 49 score
Marginal
3.
____
50 - 69 score
Acceptable
4.
____
70 - 90 score
Highly Successful
5.
____
91 - 100 score Outstanding
6.
____
7.
____
8.
____
9.
____
10.
____

Note: This approximate score rating is
subject to other factors and a formal
review by Federal agencies. Individual
results may vary from site to site.
Total: ______
66
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003M – Small Business Program Success



OUTSTANDING
Exceeded all negotiated goals or exceeded at least one goal and met all
of the others. [Negotiated goals for rating purposes compares the
percentage goals with the percentage achievements.]
Has exceptional success with initiatives to assist, promote and utilize SB,
SDB, WOSB, HUBZone, VOSB, and SDVOSB. [Examples include, but
are not limited to, participating in a Mentor-Protégé program, performing
compliance reviews at subcontractors' sites, administering a buyer
incentive program, participating in trade fairs, promoting registration in
SAM, and contacting suppliers to encourage SDB and HUBZone
certification.]
An outstanding rating signifies that the company has an exemplary
program that could be used as a model by other contractors in similar
industries.
67
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003N – Small Business Program Success
HIGHLY SUCCESSFUL

Met all of its negotiated goals in the traditional socio-economic categories
(SB, SDB, and WOSB) and met at least one of the newer socio-economic
goals (HUBZone, VOSB, and SDVOSB) for each contract that contains
two or more of these goals.

Has significant success with initiatives to assist, promote and utilize SB,
SDB, WOSB, HUBZone, VOSB and SDVOSB.

Makes an effort to go above and beyond the required elements of the
program and can provide documentation and success stories to support
such efforts.
68
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003O – Small Business Program Success
ACCEPTABLE

Demonstrated a good-faith effort to meet all of its goals, but has not met
the rigorous criteria for a Highly Successful or Outstanding rating.

Fulfills the requirements of its subcontracting plan and the regulations.
ISR and SSR reports are complete and accurate.
69
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003P – Small Business Program Success
MARGINAL

Deficient in meeting key subcontracting plan elements, the ISR and/or
SSR reports are not correct, or the contractor has failed to satisfy one or
more requirements of a corrective action plan currently in place.

However, contractor's management does show an interest in bringing its
program to an acceptable level and has demonstrated a commitment to
apply the necessary resources to do so. A corrective action plan is
required, and the Administrative Contracting Officer(s) must be notified.
70
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003Q – Small Business Program Success
UNSATISFACTORY

Non-compliant with the contractual requirements of DFARS and FAR
52.219-8 and 52.219-9.

Contractor's management shows little interest in bringing its program to
an acceptable level or is generally uncooperative [for example,
recommendations made by SBA or DCMA on previous reviews have
never been implemented].

A corrective action plan is required, and the Administrative Contracting
Officer(s) must be notified.
71
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003R – Small Business Program Success
Who is the Small Business Liaison Officer (SBLO)?
Appointment

The Small Business Liaison Officer (SBLO) should have a Letter of
Appointment defining the SBLO’s roles and responsibilities.

Reports directly to the CEO or senior level management and has
influence over all subcontracting activities and can effectively implement
the overall SB Program.

Assures maximum opportunities are afforded to those entities outlined in
the company policy statement.

The cognizant DCMA office should be notified when a new SBLO is
appointed.
72
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003S – Small Business Program Success
What is the SBLO responsible for in most organizations?
The SBLO is responsible for the entire program for the organization.

Develop local procedures.

Develop source lists, guides to identify suppliers. Use of SAM, 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, HUBZone, SDVOSB and
VOSB vendors.

Attend and sponsor procurement conferences.

Brief management and other personnel involved in the supply chain
management on SB program.
73
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003T – Small Business Program Success
What is the SBLO responsible for in most organizations?
The SBLO is responsible for the entire program for the organization.

Conduct training for all personnel involved in the subcontracting effort.

Completion of ISR/SSR semi-annually.

Use of Sub-Net (SBA’s program) and United States Air Force Interactive
Mall to advertise subcontracting opportunities.

Networking with industry SBLO’s, PTAC/PTAP, DCMA and SBA.
74
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003U – Small Business Program Success
Important: Small Business Programs are subject to monitoring
and review by DCMA and the SBA.

DCMA Offices provide performance data to Contracting Officers when
evaluating the subcontracting plans prior to contract award.

5 year trend data is maintained on the contractor’s overall performance

At contract completion, the Contracting Officer is provided a copy of the
results of your individual contract performance.

Monitor your program from every aspect.

Reduce the size of the supplier base and maintain long-term
relationships.

Ensure that small business concerns have an opportunity to compete over
a period of time; therefore the search should be continuous.
75
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 3: How Small Business Programs Work
003V – Small Business Program Success

Ongoing process involves all personnel involved in the supplier process.

Recommended that you request continuous input/feedback/reporting from
these individuals so that you have the information readily available.

Upon completion of the review, it is requested that an exit briefing be
scheduled with the CEO/President or senior management.

A program rating will be assigned as a result of the review. The five
categories were previously identified.
76
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4: Small Business Subcontracting Plans and
Participation Plans

This is a two-part Module.

Module 4A will provide the information needed to prepare a Small
Business Subcontracting Plan as part of a proposal or contract.

The required elements are covered as well as the calculation methods
used in establishing the goals. Incentive programs are also discussed.

In Module 4B the requirements of Small Business Participation Plans and
the differences between Participation Plans and Subcontracting Plans are
discussed.
77
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Small Business Subcontracting Plans
 This
Module will provide the information needed to
prepare a Small Business Subcontracting Plan as part of
a proposal or contract.
 The
required elements are covered as well as the
calculation methods used in establishing the goals.
Incentive programs are also discussed.
 The
Subcontracting Plan is a Material Part of the
contract.
78
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004A – Requirement for a Plan

U.S Government Policy: SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB
firms to have Maximum Practicable Opportunity to participate in performance
of Federal contracts.

Other-than-Small Business (OTSB) contractors are legally required to carry
out this policy in subcontracting to the fullest extent consistent with efficient
performance.

An OTSB is any entity not classified as Small including:
- Large Business
- State and Local Governments
- Non-profit Organizations (including Ability One)
- Federal Prison Industries (UNICOR)
- Foreign firms located outside the United States
79
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004B – Select Plan Type
First, Select the Plan Type
A separate plan for each

For Example:
Individual Subcontracting Plan
(FAR 19.704(a))
contract over:

OR another plan type
$1,500,000
(Construction)
$650,000
80
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004C – Select Plan Type
TYPES OF SUBCONTRACTING PLANS
• Commercial
• Comprehensive
• Master
• Individual
81
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004D – Select Plan Type
Commercial Subcontracting Plan (FAR 19.704(d) and 19.701)

A plan (including goals) that covers the offeror's fiscal year and that
applies to the entire production of commercial items sold by either the
entire company or a portion thereof (e.g.., division, plant, or product line).

Preferred type of plan for contractors furnishing commercial items (FAR
19.701).

Submitted to (1) the first Contracting Officer awarding a contract subject to
the plan during the contractor’s fiscal year or (2) if the contractor has
ongoing contracts with commercial plans, to the Contracting Officer
responsible for the contract with the latest completion date.

Approved plan shall remain in effect during the contractor’s fiscal year for
all Government contracts during that period.
82
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004E – Select Plan Type
Comprehensive Subcontracting Plan (DFARS 219.702(1) and PGI 219.702)

DoD is currently conducting a test program to determine whether a corporate,
division, or plant-wide comprehensive plan will increase subcontracting
opportunities for small business concerns. The test is being conducted from
October 1, 1990 through December 31, 2014.

No Incentive Clauses or Liquidated Damages Clauses are applicable during the
period of the test program.

Eligible contractors are large business concerns at the major (total) corporate level
during the preceding fiscal year that :
Were performing under at least 3 DoD Contracts, and were paid $5 million
or more for the contracts and achieved a small disadvantaged business
goal of 5% or more during the preceding year.
83
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004F – Select Plan Type
Comprehensive Subcontracting Plan (DFARS 219.702(1)) [cont.]

Negotiated on an annual basis by Defense Contract Management Agency
(DCMA).

Incorporated into all contractors’ active DoD contracts requiring a plan.

Used by all DoD Contracting Officers in contracts which require a plan
awarded contractors during the test period.

Not subject to application of liquidated damages during the period of the
test.
84
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004G – Select Plan Type
Participants in the Comprehensive Subcontracting Test Program
as of July 1, 2012

BAE Systems (Selected Divisions)
GE Aviation

General Dynamics (C4 Systems)
Hamilton Sundstrand

Harris Corp. (Govt. Communication Sys.)
Raytheon Company

L-3 Communications (CSB Sector)
Pratt & Whitney

Lockheed Martin Corporation
Textron Systems

Northrop Grumman (Electronic Systems)
Sikorsky Aircraft

Note: Boeing Company dropped out in 2008
85
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004H – Select Plan Type
Master Subcontracting Plan (FAR 19.704(b))

A subcontracting plan that contains all the required elements of an
individual contract plan, except goals (and description of the principal
types of supplies and/or services), and may be incorporated into
individual contract plans, provided the master plan has been approved by
the Administrative Contracting Officer.
86
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004I – Select Plan Type
Master Subcontracting Plan (FAR 19.704(b))

Incorporated, maintained and updated by the contractor’s cognizant
contract administration office and established on a plant or division-wide
basis.

Separate goals for SB, SDB, WOSB, HUBZone, SDVOSB, and VOSB are
submitted for each contract.

Effective for a 3-year period AFTER approval by the Administrative
Contracting Officer.

When incorporated in an Individual Plan, applies throughout the life of the
contract.
87
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004J – Select Plan Type
Individual Subcontracting Plan

A subcontracting plan that covers the entire contract period (including
option periods), applies to a specific contract, and has goals that are
based on the offeror's planned subcontracting in support of the specific
contract, except that indirect costs incurred for common or joint purposes
may be allocated on a prorated basis to the contract.

Contains 11 elements.
88
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004K – Establish Goals
1. Identify needs to satisfy the contract:
•
Purchased Parts
•
Subcontracts
•
Service Contracts
•
Indirect (MRO) Items
4. Goals

Based on perceived subcontracting
opportunities.

Categorize the dollars and
percentages by business type (i.e.:
small + large = total subcontracted
dollars) SDB, WOSB, HUBZone,
VOSB & SDVOSB are subcategories
of small business.

Goal percentages are calculated
based on total subcontracting dollars.

Prepare a “Goal Sheet” to add to your
Small Business plan.
2. Identify Supplier Ownership Type
3. Estimate Current Cost
•
Cost estimating may be based on
•
Historical Data
•
Supplier Quotes
•
Purchase agreement
89
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004L – Self-Certifications
Contractors acting in good faith
may rely on written representations by
their subcontractors regarding their
small business status or SBA
Certifications, when required by
regulation.
REMEMBER: Credit for Small
Business goals may require a
Certified supplier. Certifications
should be current.
Self Certification is required for:

a Small Business.

a Veteran-Owned Small Business

a Service-Disabled Veteran-Owned
Small Business.

a Women-Owned Small Business

a Small Disadvantaged Business.
SBA Certification is required for:

HUBZone businesses.
90
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004M – Percentages and Dollars
 Plan
must include:
1) Percentage goals for each category of small
business (FAR 52.219-9(d)(1).
-- Goals for option years must be broken
out separately.
2) Total dollars to be subcontracted and the
total dollars planned for each category of
small business (FAR 52.219-9(d)(2).
91
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004N – Identify Current Suppliers
Identify current Supplier category

Small Business

Large Business

Small Disadvantaged Business

HUBZone Small Business

Women-Owned Small Business

Veteran-Owned Small Business

Service-Disabled Veteran-Owned
Small Business
List Goals for each category
92
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004O – To Calculate Goals
Total planned subcontracting dollars =
Total of all Large and Small Subcontracting dollars
Anticipated spend with companies located in the United States to perform
customer contract
(this is the denominator for ALL GOAL calculations)
93
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004P – Small Business Concerns
Goal percentage to be subcontracted to:
Small Business
Small Business Dollars / (divided by)
Total Planned Subcontracting Dollars (x100)
= % SB goal
(Congressional goal 23.0%)
94
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004Q – Small Business Goals
Goal percentage to be subcontracted to:
Small Disadvantaged Business
Small Disadvantaged Business Concerns Dollars /
Total Planned Subcontracting Dollars
x100 = % SDB goal
(Congressional goal 5.0% & includes ANCs and Indian Tribes)
95
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004R – Small Business Goals
Goal percentage to be subcontracted to:
Women-Owned Small Business
Women-Owned Small Business Concerns Dollars/
Total Planned Subcontracting Dollars
x100 = % WOSB goal
(Congressional goal 5.0%)
96
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004S – Small Business Goals
Goal percentage to be subcontracted to:
HUBZone Small Business
HUBZone Small Business Concerns Dollars/
Total Planned Subcontracting Dollars
x100 = % HUBZone goal
(Congressional goal 3.0%)
97
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004T – Small Business Goals
Goal percentage to be subcontracted to:
Veteran-Owned Small Business
Veteran-Owned Small Business Concerns /
Total Planned Subcontracting Dollars
x100 = % VOSB goal
(Congressional goal 3.0% placed only on Service Disabled)
(VOSB goal includes SDVOSB goal)
98
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004U – Small Business Goals
Goal percentage to be subcontracted to:
Service-Disabled Veteran-Owned Small Business
Service-Disabled Veteran-Owned Small Business Concerns Dollars/
Total Planned Subcontracting Dollars
x100 = % SDVOSB goal
(Congressional goal 3.0%)
(Included in VOSB goal)
99
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004V – Small Business Goals
For
any percentage goal less
than the Congressional goal, you
must provide an explanation as
to why the goal is lower.
100
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004W – Type Product/Service Contracted
 The
plan must include (cont.):
 3) A description of the principal types of supplies and/or
services to be subcontracted and an identification of the
types planned for subcontracting with each category of
small business [FAR 52.219-9(d)(3)].
101
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004X – Type Product/Service Contracted
Prepare a matrix showing
the supply/service to be
procured and the SB
categories that will provide
the supplies or services
[FAR 52.219-9(d)(3)].
(Helps to identify ideal type of
plan)
Identify the source of the supply as:
1. Commercial Item
2. Standard Catalog Item
3. Contract Specific Item
4. Qualified Military Product
5. Sole/Single Source Item
Provide an explanation of the goals
based on the supply mix used in the
plan.
102
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004Y – Type Product/Service Contracted Sample Matrix
Commodity
LB
SB
SDB
Misc. Tooling
X
X
X
Computer
Hardware/Software
X
X
Metal Parts
X
WOSB
HUBZone
X
X
VOSB
SDVOSB
X
X
X
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Module 4A: Preparing a Small Business Subcontracting
Plan 004Z – Goal Development and Source Identification
The Plan must include:
 4) A description of methods used to develop goals [FAR
52.219-9(d)(4)].
Example: How SB content was realistically established based on historical
or Bill of Material sourcing analysis.
 5)
A description of methods used to identify potential sources
[FAR 52.219-9(d)(5)].
Example: History or SAM.
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AA –Indirect Costs
The Plan must include:
 6)
A Statement whether or not offeror included indirect costs
in establishing goals [FAR 52.219-9(d)(6)].
• Note: Indirect subcontracting is useful when NO direct subcontracting is
planned (an allocation method may be used).
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AB – Indirect Cost Allocation

If indirect costs (overhead) are included in the goal, then the allocation
method must be explained.

Each firm has its own method to allocate indirect costs to a contract.
As an example, one method would be to determine the total indirect spending
for the last year. Analyze the spending by source to determine which
categories the spending falls into.

Once the spending is categorized, determine what percentage of the total
indirect applies to each category of small business.

Apply that percentage to planned indirect costs and add the resulting
dollars to the planned direct dollar spending.
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AC – Name of Individual Administering
The Plan must include:
7) Individual Responsible for Administrating the Plan :
Employee (name, title, contact information) who will administer the
offeror’s subcontracting program and a description of duties [FAR
52.219-9 (d) (7)]
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AD – Assurances
 The
plan must include:
8) A description of the efforts the offeror will make to assure
small business concerns have an equitable opportunity to
compete for subcontracts. See FAR 52.219-9(e) for details.
[FAR ref: 52.219-9(d)(8)]
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AE – Assurances
 FAR
52.219-9(e) lists 6 functions that a contractor is
expected to perform in implementing its plan:
- Assist small firms by arranging solicitations, time for bid preparation,
quantities, specifications and delivery schedules to facilitate
participation.
- Provide adequate and timely consideration of the potentialities in all
“make-or-buy” decisions.
- Counsel and discuss subcontracting opportunities.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AF – Assurances
 FAR
52.219-9(e) lists 6 functions that a contractor is
expected to perform in implementing its plan (cont.):
- Confirm that a subcontractor representing itself as a HUBZone firm
is identified as certified in the System for Award Management or by
contacting SBA.
- Provide notice to subcontractors concerning the penalties and
remedies for misrepresentation of business status for the purpose of
obtaining a subcontract that is to be included as part of a goal.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AG – Assurances
 FAR
52.219-9(e) lists 6 functions that a contractor is
expected to perform in implementing its plan (cont.):
- For all competitive subcontracts over the simplified acquisition
threshold in which a small business concern received a small business
preference, upon determination of the successful subcontract offeror,
the Contractor must inform each unsuccessful small business
subcontract offeror in writing of the name and location of the apparent
successful offeror prior to award of the contract.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AH – Assurances
The plan must include:
9) Assurances that the offeror will include the following clause:
[FAR 52.219-9(d)(9)]
“Utilization of Small Business Concerns”
(FAR 52.219-8) in all subcontracts that offer further subcontracting
opportunities, and that the offeror will require all subcontractors (except
small business concerns) that receive subcontracts in excess of $650,000
($1,500,000 for construction of any public facility) to adopt a subcontracting
plan that complies with the requirements of this clause.
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AI – Assurances
 The
 10)
plan must include statements that :
The offeror will cooperate in any
studies or surveys as may be required.
[FAR 52.219-9(d)(10)(i)]
The offeror will submit periodic reports as
required. [FAR 52.219-9(d)(10)(ii)]
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AJ – Assurances
The plan must include the statements that (cont.):
 The
offeror will submit the Individual Subcontracting Report
(ISR) and/or the Summary Subcontract Report (SSR), in
accordance with the paragraph (l) of this clause using the
Electronic Subcontracting Reporting System (eSRS) at
http://www.esrs.gov. [FAR ref: 52.219-9(d)(10)(iii) ]
 Ensure
that its subcontractors with subcontracting plans
agree to submit the ISR and/or the SSR using eSRS.
[FAR ref: 52.219-9(d)(10)(iv)]
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AK – Assurances
The plan must include the statements that (cont.):

The offeror will provide its prime contract number, its DUNS number, and
the e-mail address of the offeror’s official responsible for acknowledging
receipt of or rejecting the ISRs, to all first-tier subcontractors with
subcontracting plans so they can enter this information into the eSRS
when submitting their ISRs. [FAR ref 52.219-9(d)(10)(v)]

The offeror will require that each subcontractor with a subcontracting plan
provide the prime contract number, its own DUNS number, and the e-mail
address of the subcontractor’s official responsible for acknowledging
receipt of or rejecting the ISRs, to its subcontractors with subcontracting
plans. [FAR ref 52.219-9(d)(10)(vi)]
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4A: Preparing a Small Business Subcontracting
Plan 004AL– Records
FAR 52.219-9(d)(11) lists 6 specific records
that the contractor must agree to maintain:
(i) Source lists, guides and other data identifying small
business concerns.
(ii) Organizations contacted to locate small business
concerns.
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AM – Records (cont.)
(iii) For awards over $150,000 were firms in each of the small
business categories solicited?
If not, Why not?
AND,
if applicable,
why the award was not made
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AN – Records (cont.)
(iv) Outreach efforts to contact trade associations, business
development organizations, conferences and trade fairs.
(v) Records of internal guidance and encouragement to buyers
through workshops, seminars, training, etc. and monitoring
performance to evaluate program compliance.
(vi) On a contract-by-contract basis, records to support award
data including the name, address and business size of each
subcontractor [does not apply to commercial plans].
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Module 4A: Preparing a Small Business Subcontracting
Plan 004AO – Assurances – Records of Awards of $150,000
Sample Matrix for Tracking Awards
Received
Award
Solicited
Did not
Respond
Not Solicited
Because
SB
SDB
WOSB
HUBZone
VOSB
SDVOSB
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4B: Small Business Participation Plans
004BA
 This
module discusses Small Business Participation
Plans and the Differences between Participation
Plans and Subcontracting Plans.
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Module 4B: Small Business Participation Plans
004BB
Small Business Participation Plans
 Part
of Source Selection Evaluation (DFARS
215.304)
 If
plans are required by the solicitation, they apply to both
Large and Small Businesses.
 Goals
will be based on Total Contract Value, not on
Dollars to be subcontracted unless otherwise specified in
the solicitation.
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Module 4B: Small Business Participation Plans
004BC
 As
specified in DFARS PGI 215_3, Evaluation
factors may include:
•
--Extent to which SB firms are specifically identified in the
proposal.
>>Should be CLEARLY indentified by name and CAGE.
>>Should identify specific work or components to be
supplied by SB.
• -- Extent of commitment to SB firms (enforceable
commitments weigh more heavily than non-enforceable
ones) [for example, Teaming Agreements].
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Module 4B: Small Business Participation Plans
004BD
 Evaluation
factors may include (cont.):
-- Realism of proposal.
-- Past performance of offeror in complying with
requirements of FAR 52.219-9 and 52.219-8 (i.e. ISR/SF
294 and SSR/SF 295 data over last 3 years).
-- Extent of participation of SB firms in terms of value of the
total contracts.
-- Extent proposal meets or exceeds solicitation goals.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4B: Small Business Participation Plans
004BE
Subcontracting versus SB Participation Example
 Assume
contract with a value of $100 million and
subcontracting of $10 million.
-- 25% SB Percentage in a Subcontracting Plan
SB would receive $2.5 million
-- 25% SB Percentage in a Participation Plan
SB would receive $25 million
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 4B: Small Business Participation Plan
004BF
 Proposal
Evaluations will summarize the plans and list:
-- Significant Strengths
-- Strengths
-- Significant Weaknesses
-- Weaknesses
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Module 4B: Small Business Participation Plan
004BG
 Things
to Watch:
-- Read the solicitation
-- Make sure that the SB dollars in the participation plan are
the same as in the subcontracting plan.
-- Do not include your overhead, profit, etc. The dollars
must be what will go to SB.
-- Identify the subcontractors accurately (CAGE Code)
-- Check SAM/DSBS, etc. and take credit for SB firms in
every category in which they qualify.
-- Do not make statements that the reviewer cannot verify.
-- Be conscious of page limitations.
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Module 4B: Small Business Participation Plan
004BH
Sample Small Business Participation Format
All Offerors (both large and small businesses) are required to complete a Small Business
Participation Proposal. Offerors should propose the level of participation of small businesses (as a
small business prime and/or small business subcontractors) in the performance of the acquisition
relative to the objectives/goals set forth in the evaluation of this area.
(a) Check the applicable size and categories for the PRIME offeror only -- Check all applicable boxes:
{ } Large Prime
{ } Historically Black Colleges or Universities and Minority Institutions (HBCU/MI)
or
{ } Small Business Prime; also categorized as a
{ } Small Disadvantaged Business (SDB)
{ } Woman-Owned Small Business (WOSB)
{ } Historically Underutilized Zone (HUB Zone) Small Business
{ } Veteran Owned Small Business (VOSB)
{ } Service Disabled Veteran Owned Small Business (SDVOSB)
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Module 4B: Small Business Participation Plan
004BI
(b) Submit the total combined percentage of work to be performed by both OTSB and small
businesses (include the percentage of work to be performed both by Prime and
Subcontractors):

Example: If Prime proposes a price of $100,000,000 (including all options), and small
business(es) will provide $250,000,000 in services/supplies as a prime or subcontractor, the
% planned for small businesses is 25%; and 75% for large business equaling 100%.
Total Percentage planned for Large Business(es) _______% = $ _______
Total Percentage planned for Small Business(es) _______% = $ _______
100%

When combined, Large and Small Business totals must equal 100%.
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Module 4B: Small Business Participation Plan
004BJ
(c) Indicate the total percentage of participation to be performed by each type of
subcategory small business. The percentage of work performed by Small Businesses that
qualify in multiple small business categories may be counted in each category:
Small Disadvantaged Business _________%
Woman Owned Small Business _________%
HUBZone Small Business _________%
Veteran Owned Small Business _________%
Service Disabled Veteran Owned SB _________%
HBCU /MI _________%
Example: Victory Prop Mgt (WOSB and SDVOSB) performing 2%; and
Williams Group (SDB, HUBZone and WOSB) performing 3%. Results
equate to: SDB 3%; HUBZone 3%; WOSB 5%; SDVOSB 2%; VOSB
2%;). SDVOSBs are also VOSBs automatically; however VOSBs are not
automatically SDVOSBs.
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Module 4B: Small Business Participation Plan
004BK
(d) List principal supplies/services to be performed by Small Businesses:
Note: If a Small Business qualifies also as a WOSB and a SDVOSB, you can add them to each category
below in which they qualify.
Name of Company and Type of Service/Supply
Small Business (SB):
Small Disadvantaged Business (SDB):
____________________ _________________
____________________ _________________
____________________ _________________
____________________ _________________
Women-Owned Small Business (WOSB):
Historically Underutilized Business Zone (HUBZone):
____________________ _________________
____________________ _________________
____________________ _________________
____________________ _________________
Veteran Owned Small Business (VOSB):
Service Disabled Veteran Owned Small Business (SDVOSB):
____________________ _________________
____________________ _________________
____________________ _________________
____________________ _________________
Historically Black Colleges and Universities and Minority Institutions (HBCU/MI):
____________________ _________________
____________________ _________________
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 5: Small Business Assessment

This module covers the assessment of small business firms in preparation
for solicitations and source selection. A series of recommendations on
the evaluation process are made to assist the user in determining the
probability of subcontractor success. The information will ensure that
buyers do not overlook the capability of small business entities in
performing subcontracts.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 5: Small Business Assessment
005A – SB Assessment
How should small business firms be
assessed and evaluated for prime or
subcontracting opportunities?
Answer: C
This Module covers:
1. Use of evaluation tools
2. The evaluation process

A. Gut feel
3. Fundamental success factors

B. Company brochures
4. Technical/Business Expertise

C. An organized assessment
process
5. Integrity/Ethics/Vision
D. An introduction at a Matchmaker
event
7. Subjective assessment

6. “Owner in the store”
(check one)
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Module 5: Small Business Assessment
005B – SB Assessment
1. Use of Evaluation Tools
 The use of evaluation tools may vary
from state to state and company to
company but here are the basic tool
types to consider.
2. The Evaluation Process
 Key elements that can assist in the
true picture of a company’s capability.
Evaluation Tools:
1. Standard business reports
2. Commercial evaluations
3. Lean Manufacturing
4. SAM Certifications
5. Not on Debarred List (EPLS)
Evaluation Elements
1. Past performance
2. Relationships
3. Inspection and Pre-award Surveys
4. References/History
5. Inventory position
6. Financial status
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Module 5: Small Business Assessment
005C – SB Assessment
3. Fundamental and Critical Success
Factors
Critical Success factors:
1.Adequately capitalized

2. Drive and determination
3. Competitive advantage
4. Demand for product or service
5. Pricing and profit margins
Elements that effect a firms ability to
be successful.
4. Technical Expertise
 The minimum required expertise to
conduct business and projects.
Technical Expertise Required
1. Marketing/Pricing
2. Production
3. Organization and management
4. Financial and Accounting
5. Quality Management
6. Safety and loss control
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Module 5: Small Business Assessment
005D – SB Assessment
5. Integrity/Ethics/Vision
Integrity/Ethics/Vision

1. Honesty
The foundation of any organization is
the ethical basis of the operation.
2. Vision - long term goals
3. People skills
4. Workers that share the vision
6. Expertise
Expertise:

1. Are the skill sets present to do the
work?
The basis for the firms ability to
perform any given task.
2. Is training a way of life?
3. Are there single points of failure?
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Module 5: Small Business Assessment
005E – SB Assessment
7. Owner in the Store
Owner in the Store

1. Is the owner involved on a day
Local management may be key to the
effectiveness of the business unit.
to day basis?
2. Does management have good
financial relations with financing
and professional services?
3. Are they profitable?
4. Is this a serious business for the
owners or just a hobby?
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 5: Small Business Assessment
005F – SB Assessment
8. Subjective Assessment
Subjective Assessment:

1. Housekeeping and general
appearance.
Use your experience and the
information from the above items to
help formulate the evaluation report.
2. Is this the company you would 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?
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting

This Module covers the reporting required against the Small Business
Subcontracting Plans created in Module #4. The ISR and SSR are
reviewed in detail. Optional form OP312 is also discussed.

Note: The information contained herein is for guidance and education only
and does not replace or supersede any Federal Acquisition Regulations
or instructions.

Some of the material to be presented in the following slides was taken
from the eSRS website (www.esrs.gov) and from a TRIAD presentation.
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Module 6: Small Business Metrics and Reporting
006A – Reporting
What is eSRS?

eSRS is the electronic reporting system that replaces paper reporting on
SF294s and SF295s.

SF294 has been replaced with the ISR – Individual Subcontracting
Report.

SF295 has been replaced with the SSR – Summary Subcontracting
Report.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006B – Reporting
Individual Subcontracting Report/Summary Subcontracting Report
(ISR/SSR)

Both reports are due semi-annually for those contractors reporting under
Individual Subcontracting Plans when reporting on DoD or NASA
contracts.

ALL DoD and NASA Contractors including those in the Comprehensive
Subcontracting Program report semi-annually via the SSR (except those
with Commercial Plans).

Contractors under Commercial Plans report via the SSR annually, at the
end of the Government’s fiscal year.

The performance data is based on the Government’s fiscal year between
October 1 through September 30.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006C – Reporting
Semi Annual Reporting Means:
Sending the reports to DCMA or the contracting agency on time

Midyear reports are due 30 days after the end of the first reporting period
(March 31), which is April 30 and

30 days after the end of the fiscal year September 30, which is October
30.
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Module 6: Small Business Metrics and Reporting
006D – Reporting
Authority:
 On
July 19, 2008, the Deputy Under Secretary of Defense
issued a Memorandum directing that eSRS be implemented
for FY08 year-end subcontracting reporting for ALL DoD
agencies.
 http://www.acq.osd.mil/osbp/doing_business/e-srs.htm
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006E – Reporting
FAR 52.219.9
ISR

Report for each individual contract with a plan

Data is cumulative during the life of your program as purchased from US
firms

At the end of contract performance, the final data is sent to the
Contracting Officer as a performance record

Timeliness and accuracy of the report is critical

Reports are deliverables under the contract
143
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006F – Metrics and Reporting
Contractor Registration in eSRS:

Registration in eSRS is a two-part process - Submitting a
registration request and Waiting for approval from eSRS.

Part 1 – Requesting Approval
1.
Visit www.esrs.gov to register
2.
Select “Contractors” under “Log-In or Register Now”
3.
Select “New Contractors: Register”
4.
Enter your company’s DUNS number
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006G – Metrics and Reporting
Requesting Approval, (cont’d)
5.
Review your company information. This information is
pulled directly from CCR. If it needs to be updated, stop the
registration process and go to www.ccr.gov to update your
information.
6.
Fill in the contact information.

TIP: Make sure that the DUNS number you are using is the
same as the DUNS number used on the contract you are
submitting the report for.
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Module 6: Small Business Metrics and Reporting
006H – Metrics and Reporting
Part 2 – Registration Approval:
 Check
your email for an email from esrs@gsa.gov. This
email will confirm your registration request. To finish the
registration process, click on the link provided in the email.
146
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006I – Reporting
Entering an ISR:
1.
Make sure you are registered in eSRS
2.
Click on “Contractor”
3.
Click on “File ISR” from the left navigation and then on “Continue”.
Because eSRS contains a number of new fields that did not exist on the
SF294, you will need the following for referral:
4.
-
DUNS number as it appears on your contract
-
Product and Service Codes
-
NAICS as it appears on your contract
Enter the contract number (no dashes). If there are existing contracts in
the system under the DUNS number you entered, they will appear in the
drop down menu.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006J – Reporting
Entering an ISR (Cont’d)
*** TIP ***
If you get an error message that your contract number does
not match any contracts in the system, contact your
Government contracting official. The contract you are trying to
reference is not coded in FPDS as having a subcontracting
plan. Accordingly, this needs to be updated in FPDS by the
Government before you can proceed with entering your ISR.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006K – Reporting
Entering an ISR (Cont’d)
5. Once eSRS has found your contract, indicate whether you are the prime
or the sub for the contract.
6. Your contract information will be pulled directly from FPDS (discussed a
few slides ahead). Ensure that the information provided is correct. If
not, inform your Government contracting official of the error(s).
7. Fill in any open boxes showing on the screen. These represent
information not found in FPDS.
8. Enter the dollar values in each box. All mandatory fields are marked
with a red *. eSRS will automatically calculate percentages.
9. Certify your information and include contact information for the person at
your organization that administers the contract. This may be different
from the person who is submitting the report.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006L – Reporting
Entering an ISR (Cont’d)
10.
Include the email addresses of those individuals you would like notified
that your report has been submitted. This must include the Government
contracting official responsible for your contract.
11.
Review the information you have inputted and select “Submit”. Those
that you have designated with email addresses will receive notification
that the report has been filed.
12.
The Approving Official is the Contracting Officer that issued the contract.
150
SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006M – Reporting
FPDS: Federal Procurement Data Systems – Next Generation

FPDS/NG identifies contracts having subcontracting requirements
https://www.fpds.gov

Use FPDS/NG if you are unable to find or report against a contract in
eSRS.

In FPDS you will find the Contract Number as it will appear in eSRS,
DUNS number, Vendor Name and Location.

If your contract is in FPDS/NG but not in eSRS, then the likely problem is
that the Government contracting official has not checked off that a
subcontracting plan is required.
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Module 6: Small Business Metrics and Reporting
006N – Reporting
SSR

SSR is a report of your entire US Owned Supplier Spend.

Data collected should include all direct US Govt. contracts, large and
small dollars as well as indirect dollars with US Firms.

The report is completed semi-annually and covers overall performance on
Federal contracts.

Provide separate SSRs for each agency with which you have contracts;
lump all of DoD together except for Corps of Engineers.

The Approving Official for your DoD SSR will be the cognizant Assistant
Director of Small Business at DCMA.

Retain signed hard copies for 4 years.
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SMALL BUSINESS LIAISON OFFICER TRAINING
Module 6: Small Business Metrics and Reporting
006O – Reporting
Entering an SSR:
1. Make sure you are registered in eSRS
2. Log into www.esrs.gov and select “Contractor”
3. Click on “File SSR” from the left navigation and then “Continue”.
Because eSRS contains a number of new fields that did not exist on the
SF295, have your DUNS number, Product and Service Codes and
NAICS for referral.
4. Select the type of Subcontracting Plan for which you are submitting the
SSR: “Individual” or “Commercial”.
5. Input your company’s DUNS number. Your company information will be
pulled directly from SAM. If your company information is incorrect, you
must go to www.ccr.gov and update the information before proceeding
with the SSR.
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Module 6: Small Business Metrics and Reporting
006P – Reporting
Entering an SSR (Cont’d)
6.
Input the date submitted and your contact information.
7.
Reporting Period: For a report submitted under an Individual
Subcontracting Plan, select the correct reporting period and year that
corresponds with your report. For a report submitted under a
Commercial Subcontracting Plan, the reporting period and the year are
the dates covered by your Commercial Subcontracting Plan.
8.
For a report submitted under an Individual Subcontracting Plan, select
the “Agency” from the drop-down menu. Do not select “Department of
Defense” as your Agency. You should select the organization at the
Department of Defense that administers the majority of subcontracting
plans (e.g., USAF or USTRANSCOM).
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Module 6: Small Business Metrics and Reporting
006Q – Reporting
Entering an SSR (Cont’d)
9. Check the box indicating whether you are a prime contractor or
subcontractor for this report.
10.
Provide the name and NAICS Code of the major product(s) or service
line(s) of your company.
11.
Fill in the subcontracting data for each business category. If you are
submitting a report based on a Commercial Subcontracting Plan,
specify agencies to which you are submitting your report and the
percentages of dollars attributable to each. Also indicate which agency
approved your Commercial Subcontracting Plan.
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Module 6: Small Business Metrics and Reporting
006R – Reporting
Entering an SSR (Cont’d)
12. Provide the contact information for the person at your company that
administers your subcontracting program. This person may be different
than the person who is submitting the report. (NOTE: This will not be
the name of any Government contracting official responsible for your
contracts.) Then certify that the information contained in the report is
accurate and that the totals do not include lower-tiers.
13.
Provide the name and title of the CEO in your company. Certify that the
CEO will review your report and will sign a hard copy that will be kept on
file for four (4) years.
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Module 6: Small Business Metrics and Reporting
006S – Reporting

Entering an SSR (Cont’d)
14. Include the email addresses of those individuals you would like
to be notified that your report has been submitted. This must
include the Government contracting official responsible for your
contract.
15. Review the information you have input. Select “Continue” and
then “Submit”. Those that you have designated with email
addresses will receive notification that the report has been filed.
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Module 6: Small Business Metrics and Reporting
006T – Reporting
Optional Form 312
#1 Reason

If a contract contains either of the SDB Participation mechanisms - the
Evaluation Factor for SDB Participation or the Monetary Subcontracting
Incentive- the contracting officer needs a way to determine at contract
completion that the contractor met its SDB target in the authorized NAICS
Major Groups codes. The Optional Form 312 does not have to be
submitted semi-annually, as does the ISR; rather it is submitted only
once, at contract completion.
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Module 6: Small Business Metrics and Reporting
006U – Reporting
Optional Form 312
#2 Reason

Is to provide a way for the Government to collect comprehensive
subcontracting data by NAICS code. This information will enable the
Dept. of Commerce to fine-tune its industry benchmarks in subcontracting.
It will be accomplished by requiring all Government contractors that
normally submit the Summary Subcontract Report, to include a breakout
of subcontract awards to SDBs by NAICS code.
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Module 6: Small Business Metrics and Reporting
006V – Reporting
NOTE:

Effective Oct 1, 2000, FAR Clause 52.219-9, under Paragraph (j)(2), SSR
Reporting, changed to read as follows: “All reports at the close of each
fiscal year (both commercial and individual plans) shall include a
breakout, in the Contractors format, of subcontract awards, in whole
dollars, to Small Disadvantaged Business concerns by NAICS
Classification Industry Subsector. For a Commercial Plan, the Contractor
may obtain from each of its subcontractors a predominant NAICS Major
Group and report all awards to that subcontractor under its predominant
NAICS Code.
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Module 6: Small Business Metrics and Reporting
006W – Reporting
Common mistakes on the forms:
Make sure the data is ACCURATE
 Block 2: Wrong or incomplete DUNS Number
 Block 6: Administering Activity. If you are reporting to NASA or Civilian
Agencies, you will have to issue a SSR to those agencies. DCMA does
not collect data for the Corps of Engineers – they have their own reporting
mechanism.
 Block 7: Report on both subcontract number, if applicable, and
appropriate contract #.
 Block 8: Use most recent address and street number for the Buying
Activity.
 Ensure data is cumulative on an annual basis for the SSR and for the life
of the contract for the ISR.
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Module 7: Information Resources and FAQs

This Module covers Frequently Asked Questions and the resources to
help find the answers. It is an overall resource management section for
small business professionals.

This is a starter module and should be enhanced as new questions come
up in the training sessions.
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Module 7: Information Resources and FAQs
007A – FAQ #1
FAQ #1:
Q: A supplier states they are certified as a minority business by the State of
Connecticut. Is that certification valid for a DOD prime contractor?
A: NO. A supplier is considered a Small Disadvantaged Business if they
are self-certified by signed statement from responsible company
management. State certifications have no effect.
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Module 7: Information Resources and FAQs
007B – FAQ #2
FAQ #2:
Q: Are certifications from the National Minority Supplier Development
Council or the U.S. Department of Transportation valid for US DOD
contractors?
A: NO. A supplier is considered a Small Disadvantaged Business if they
are self-certified by signed statement from responsible company
management.
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Module 7: Information Resources and FAQs
007C – FAQ #3
FAQ #3:
Q: A Woman-Owned Small Business is certified by a National WomanOwned Supplier Organization. Is this certification valid for US DoD
contractors?
A: NO. A supplier is considered a Woman-Owned business for
subcontracting purposes if they are self-certified by signed statement
from responsible company management. Certification applies only to
the WOSB prime contracting program.
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Module 7: Information Resources and FAQs
007D – FAQ #4
FAQ #4:
Q: A Woman-Owned Small Business claims to also be a DBE.
Is this valid proof they also are certified as an SDB and valid for US
DOD contractors?
A: NO. A supplier is considered a Woman-Owned business if they are selfcertified by signed statement from responsible company management.
To be considered an SDB, they must also self-certify as such.
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Module 7: Information Resources and FAQs
007E – FAQ #5
FAQ #5:
Q: Where can I get information about small businesses in my state?
A: The SBA Office, the Dynamic Small Business Search, or the
Procurement Technical Assistance Center/Procurement Technical
Assistance Program (PTACs or PTAPs near you).
PTACs or PTAPs are very helpful in connecting you with local small
businesses.
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Module 7: Information Resources and FAQs
007F – PTAC/PTAP Contacts
Contact List of Northeast PTACs/PTAPs

NH – David Pease
phone: 603-271-7581
email: david.pease@dred.state.nh.us
website: www.nheconomy.com/ptap

ME – Melody Weeks
phone: 207-942-6389
website : www.emdc.org

CT – Brien Robertson
phone: 860-437-4659 x208
email: brobertson@secter.org
website : www.secter.org/ptap.htm

VT – Robin Miller
phone: 802-828-5240
email: robin.miller@state.vt.us
website : www.thinkvermont.com/vtptac

RI - Dorothy Reynolds
phone: 401-278-9100
email: mweeks@emdc.org
email: dreynolds@riptac.org
website : www.riptac.com

MA - Peter Cokotis
phone: 413-737-6712
email: pcokotis@som.umass.edu
website : www. msbdc.org/ptac
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Module 7: Information Resources and FAQs
007G – PTAC/PTAP Contacts
Contact List of Northeast PTACs/PTAPs (cont.)

NY (Cattaraugus County) – Joseph J. Williams, Jr.
phone: 716-938-2331
email: jjwilliams@cattco.org
website: www.ccptac.org

NY (LaGuardia Community College) – Edgard Hernandez
phone: 718-482-5289
email: ehernandez@lagcc.cuny.edu
website: www.laguardiaptac.com

NY (NYC Department of Small Business) – Carolyn Githinji
phone: 202-618-8889
email: BIZhelp@sbs.nyc.gov
website: www.nyc.gov/html/sbs/nycbiz/html/selling_to_government/selling_to_government.shtml

NY (North Country) – Stephen Barr
email: pta@watertownny.com
phone: 315-788-4400
website: www.northcountryptac.com
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Module 7: Information Resources and FAQs
007H – PTAC/PTAP Contacts
Contact List of Northeast PTACs/PTAPs (cont.)

NY (Monroe County/Finger Lakes) – Paulette Birch
phone: 585-753-2015
email: PBirch@monroecounty.gov
website: www.MonroeCountyFingerLakesPTAC.org

NY (Rockland Economic Development Corporation) – Liz Kallen
phone: 845-735-7040
email: lizk@redc.org
website: www.rocklandlovesbusiness.com

NY (South Bronx) – Rogina Coar-Smith
email: rcoarsmith@sobro.org
phone: 718-732-7540
website: www.sobro.org
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Module 8: Staying Current

This module is about keeping up with the changes to the regulations and
policy statements that govern small business subcontracting.
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Module 8: Staying Current
008A
Stay on top of what is happening in the world of Small Business!
 Stay current on the changes to the Federal Acquisition Regulations
concerning small business programs.
 Stay abreast of pending legislation in the Federal Register.
 Inform company management about legislative changes.
 Keep company management informed on small business trends.
 Point out the strengths and weaknesses in your program.
 Maintain measurements of your program. Note your successes. Provide
continuous improvement methods on weaknesses.
 Continue to develop new suppliers to enhance your program.
 Maintain contact with your SBA, PTAC/PTAP.
 Get involved in your Regional Council.
 Attend conferences and matchmaker events.
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Module 8: Staying Current
008B
DO OUTREACH!!
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Expressions from a winning American Icon
“ It's déjà vu all over again"- Yogi Berra
Learn from last year’s SSR and try to improve performance every year
“ You can observe a lot by watching” - Yogi Berra
We hope that watching this training was helpful
“ We made too many wrong mistakes” - Yogi Berra
Wrong mistakes are the worst kind…don’t make em’.
Hope we helped you to avoid them.
“ It ain't over 'til it's over” - Yogi Berra
Well...It’s Over!
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SMALL BUSINESS LIAISON OFFICER TRAINING
Resources
DEFENSE DEPARTMENT AGENCIES
Department of Defense Office of Small Business
http://www.acq.osd.mil/osbp/
Air Force Small Business
http://www.airforcesmallbiz.org/
Army Small Business
http://sellingtoarmy.com/User/Misc/SearchASBS.aspx
Navy Small Business (Including Marine Corps)
http://www.donhq.navy.mil/OSBP/
Defense Logistics Agency
http:www.dla.mil/
Defense Advanced Research Projects Agency (DARPA)
http://www.darpa.mil/
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Resources
DEFENSE DEPARTMENT AGENCIES (CONT.)
Defense Contract Management Agency
http://www.dcma.mil
Defense Logistics Information Service, Battle Creek, MI
http://www.dlis.dla.mil/
Defense Procurement Acquisition Policy
http://www.acq.osd.mil/dpap/
Defense Reutilization and Marketing Svc. Battle Creek, MI
http://www.dispositionservices.dla.mil/
Defense Technical Information Service
http://www.dtic.mil/dtic/
Defense Automated Printing Service
http://www.documentservices.dla.mil/
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Resources
DEFENSE DEPARTMENT AGENCIES (CONT.)
Defense Acquisition University
http:www.dau.mil/
List of DoD Small Business Specialists
http://www.acq.osd.mil/osbp/doing_business/index.htm
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Resources
DEFENSE DEPARTMENT SMALL BUSINESS PROGRAMS
http://www.acq.osd.mil/osbp / Click on “for Small Businesses”,
1) Click on “Programs” , then click on the following:
Indian Incentive Program
Mentor Protégé
SBIR/STTR
2) Click on “Initiatives”, then click on the following:
Women-Owned Small Business
Service-Disabled Veteran-Owned Small Business
HUBZones
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Resources
OTHER FEDERAL AGENCIES
Department of Commerce
http://www.commerce.gov/
Department of Transportation
http://www.dot.gov
General Services Administration (GSA)
http://www.gsa.gov/
US Government Printing Office
http://www.access.gpo.gov/
National Aeronautics and Space Administration Small Business
http://www.osbp.nasa.gov/
National Security Agency
http://www.nsa.gov
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Resources
OTHER FEDERAL AGENCIES (CONT,)
Office of Personnel Management
http://www.opm.gov
Small Business Administration
http://www.sba.gov
U.S. House of Representatives
http://www.house.gov/
U.S. Senate
http://www.senate.gov/
The White House
http://www.whitehouse.gov/
Government Accountability Office (GAO)
http://www.gao.gov
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Resources
OTHER USEFUL GOVERNMENT WEBSITES
System for Award Management
https://www.sam.gov/portal/public/SAM
Code of Federal Regulations
http://www.gpoaccess.gov/cfr/index.html
Federal Acquisition Regulation
http://farsite.hill.af.mil
Federal Register
http://www.gpoaccess.gov/fr
Listing of Federal Opportunities
https://www.fbo.gov
Center for Veterans Enterprise
http://www.vetbiz.gov
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Resources
OTHER USEFUL GOVERNMENT WEBSITES (CONT.)
DLA FormFlow Index
http://www.dla.mil/dss/forms/
GSA Forms Library
http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=ALL
Office of Government Ethics
http://www.usoge.gov/
Office of Personnel Management Electronic Forms
http://www.opm.gov/forms/html/formflow.asp
Historically Black Colleges & Universities and Minority Institutions
http.//www2.ed.gov/about/inits/list/whhbcu/edlite-list.html
http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-tab.html
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Resources
OTHER USEFUL WEBSITES
The Federal Marketplace:
http:// www.fedmarket.com
National Industries for the Blind (NIB)
http://www.nib.org
National Industries for the Severely Handicapped (NISH)
http://www.nish.org
National Association of Women Business Owners (NAWBO):
http://www.nawbo.org
Womenbiz
http://www.womenbiz.gov
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Appendix A (go to website – www.acq.osd.mil/osbp)
DoD Subcontracting Program: THE BASICS
July 2011
Regulatory Requirements
Authority:
• Section 8(d) Small Business Act – 15 USC 637(d)
• Section 15(g) Small Business Act – 15 USC 644(g)
Regulations:
•
•
•
•
•
FAR 19.7 / DFARS 219.7, Small Business Subcontracting Program
FAR 52.219-8, Utilization of Small Business Concerns
FAR 52.219-9 / DFARS 52.219-7003 SB Subcontracting Plan (DEVIATION)
FAR 52.219-16 Liquidated Damages
DFARS 252.219-7004, SB Subcontracting Plan (Test) (DEVIATION)
Specifies that small businesses will have maximum
practicable opportunity to participate in contract
performance consistent with efficient performance
Specifies government-wide goals for contracts and
subcontracts awarded to small business concerns
• Small businesses will have maximum practicable
opportunity to participate in contract performance
consistent with efficient performance
• Subcontracting Plan requirement
• Comply in good faith with subcontract plan
requirements
• Imposition of liquidated damages
Utilization of SBs (FAR 19.7 / 52.219-8)
• Contracts > Simplified Acquisition Threshold
(SAT) ($100K)
AND
• Subcontract opportunities exist
Subcontracting Plan (FAR 19.7 / 219-9)
• Contracts > $650K ($1.5M construction) AND subcontract opportunities exist
• Modifications > $650K ($1.5M construction) with new work AND subcontract opportunities exist
• Multi-year contracts / contracts with options
o
Cumulative value of base contract & all options
o
SEPARATE goals for base & each option
Who?
• ALL business concerns (including small
businesses)
When not required?
• For personal services contracts
• For contracts / modifications performed
entirely outside US & outlying areas
ALL other than small business:
May also include:
• Large business
• Public utilities
• State & local government
• Educational institutions
• Non-profit organizations
• Foreign-owned firms
• From small businesses
• For personal services contracts
• For contracts / modifications performed entirely outside US & outlying areas
• For modifications to contracts within general scope of the contract that do not contain FAR
52.219-8 (or equivalent prior clauses, e.g., contracts awarded before enactment of PL 95-507)
• If no subcontract opportunities, approval required level above CO & placed in contract
When?
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Appendix A (go to website – www.acq.osd.mil/osbp)
Types of Subcontracting Plans (FAR 19.7 / 52.219-9)
Individual
• 1 contract – 1 plan
• Goals support planned subcontracting for 1
contract
• Covers entire contract period (including
options)
• Contains mandatory elements
• Submit Subcontracting Reports
o ISR* (semiannually)
o SSR** (semiannually for DoD)
*Individual Subcontracting Report (electronic
version)
**Summary Subcontracting Report
Master
• Boilerplate info – contains same
elements as individual plan minus
goals
• Goals negotiated for each applicable
contract
• Effective for 3 years after approval of
Contracting Officer
• May be developed on a Plant /
Division basis
• Subcontracting Reports required
when goals negotiated for each
applicable contract (same as for
Individual plan) (same as for
Individual plan)
Commercial
• Preferred for contractors
furnishing commercial items
• Applies to entire production of
commercial items sold by either
entire company or a portion
thereof (Division, plant or
product line)
• Based on contractor’s FY
• Annual plan (applies to all
government contracts in effect
during that period)
• Contains mandatory elements
• Submit Subcontracting Reports
• SSR (Annually)
Note:
Plan and Goals must be approved PRIOR to
contract award
Comprehensive
• DoD Test Program for Negotiation of
Comprehensive SB Subcontracting Plans
• Similar to a commercial plan
o May be on a Plant / Division / Corporate
basis
o Annual Plan (applies to DoD contracts in
effect during period)
• ONLY DCMA is delegated authority to
negotiate plan & perform surveillance review
functions (with input from MILDEPS /
Defense Agencies)
• Submit Subcontracting Reports
o SSR (semiannually)
Mandatory Elements Included in Subcontracting Plan (FAR 19.7 / 52.219-9)
• Goals (% based on total planned subcontracting $ for each SB category)
• Total % to be subcontracted (overall & by category)
• Description of principal types of supplies/services to be subcontracted (total & by
category)
• Description of method used to develop subcontract goals
• Description of method used to identify potential SB sources
• Indirect Costs (included/not included) & methodology used to determine
proportionate share of indirect costs for each category
• Name of individual administering subcontracting program & description of duties.
(Where are they located organizationally?)
• Description of efforts to ensure SB has an equitable opportunity to compete for
subcontracts
• Assurances
o Cooperate in studies / surveys
o Submit reports, as required
o Submit ISR / SSR as required
• Record-keeping: description / procedures / process
o “Flow down” clauses & reporting requirements
o 52.219-8 (Utilization of SB Concerns)
o 52.219-9 (Subcontracting Plan)
o ISR / SSR
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Appendix A (go to website – www.acq.osd.mil/osbp)
Categories Included in Goals of a Subcontracting Plan (as defined in FAR 19/26 and DFARS 252.219-7003)
Small business (SB) – located in U.S., organized for profit, including affiliates is independently owned & operated, not dominant in field of operations
in which it is bidding on Government contracts, AND meets Small Business Administration (SBA) size standards included in solicitation. The size
standard is based upon the North American Industrial Classification System (NAICS) assigned to the specific procurement dependent upon
product/service purchased. Self-certify FAR 52.219-9 also includes subcontracts awarded to Alaska Native Corporation (ANC) or Indian tribe,
regardless of size or SBA certification status of ANC or Indian tribe. DFARS 252.219-7003 also includes subcontracts awarded to qualified non-profit
agencies approved by Committee for Purchase from People Who Are Blind or Severely Disabled, the independent federal agency that administers
AbilityOne Program, formerly JWOD (Javits-Wagner-O’Day Act) (41 USC 46-48(c).
Woman-owned Small Business (WOSB) – Small Business, at least 51% owned by ≥ 1 women, AND management & daily business operations
controlled by ≥ 1 women. Self-certify
Historically Underutilized Business Zone (HUBZone) – Small Business, owned & controlled 51% or more by ≥ 1 U.S. citizens, AND SBAcertified as a HUBZone concern (principal office located in a designated HUBZone AND ≥ 35% of employees live in a HUBZone).
Veteran-Owned Small Business (VOSB) – Small Business, veteran-owned as defined in 38 USC 101(2), ≥ 51% owned by ≥ 1 veterans, AND
management & daily business operations controlled by ≥ 1 veterans. Self-certify
Service-Disabled Veteran-Owned Small Business (SD-VOSB) – Small Business, veteran-owned, ≥ 51% owned by ≥ 1 service-disabled veterans,
AND management & daily business operations controlled by ≥ 1 service-disabled veterans OR in the case of veteran with permanent & severe
disability, the spouse or permanent caregiver of such veteran, AND with 0% - 100% service-connected disability as defined in 38 USC 101(16) &
documented on DD 214 or equivalent. Self-certify
Small Disadvantaged Business (SDB) – Small Business unconditionally owned & controlled by ≥ 1 socially & economically disadvantaged
individuals who are in good character & citizens of the U.S. Self-certify
FAR 52.219-9, SDB also includes: subcontracts awarded to Alaska Native Corporation (ANC) or Indian tribe regardless of size or SBA certification
status of ANC or Indian tribe
DFARS 252.219-7003, SDB also includes:
• Work performed on Indian lands or joint venture with Indian tribe / tribally-owned corporation & meets requirements of 10 USC 2323a.
• Subcontracts awarded by a mentor firm, under the DoD Pilot Mentor-Protégé Program, to (1) protégé firms which are qualified organizations
employing severely handicapped and (2) former protégé firms that meet the criteria in Section 831(g)(4) of P.L 101-510 (not more than 2 times SBAspecified maximum size & previous mentor-protégé agreement was not terminated for cause).
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Appendix A (go to website – www.acq.osd.mil/osbp)
Subcontracting Resources

Procurement Technical Assistance Centers
(PTAC)
http://www.dla.mil/db/procurem.htm

DefenseLink ≥ $5M award notices
http://www.defenselink.mil/contracts


Electronic Subcontracting Reporting System
(eSRS)
http://www.esrs.gov

Subcontracting Opportunities with DoD
Major Prime Contractors
http://www.acq.osd.mil/osbp/doing_business
/index.htm

Companies Participating in DoD
Subcontracting Program Report
http://www.acq.osd.mil/osbp/doing_business
/ Subcontracting_Directory_0908.pdf

DAU Small Business Community of Practice
(SB COP)
https://acc.dau.mil/smallbusiness

FEDBIZOPPS
http://www.fbo.gov

SBA Subcontracting Opportunities Directory
http://www.sba.gov/aboutsba/sbaprograms/g
c/contacts/index.html
SBA Subnet
http://web.sba.gov/subnet
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Appendix B (go to website – www.dodneregional.org)
Subcontracting Plan Sample Template
A template for a subcontracting plan can be found on the Council website
under the Learning Center tab.
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This training was brought to you by:
The Department of Defense
Northeast Regional Council
for Small Business Education and Advocacy
http://www.dodneregional.org
Visit us Often!
Revised: April 2012