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Breakout Session # 1905 Vida K. Castillo, Ph.D. Government Contract Manager, VLOC, Inc. 24 April 2007 1:40PM – 2

Small Business Programs: The Why and The How. Breakout Session # 1905 Vida K. Castillo, Ph.D. Government Contract Manager, VLOC, Inc. 24 April 2007 1:40PM – 2:40PM. Overview. What Is It? Historical Development Small Business Program Basics Subcontracting Plans and Reporting

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Breakout Session # 1905 Vida K. Castillo, Ph.D. Government Contract Manager, VLOC, Inc. 24 April 2007 1:40PM – 2

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  1. Small Business Programs: The Why and The How Breakout Session # 1905 Vida K. Castillo, Ph.D. Government Contract Manager, VLOC, Inc. 24 April 2007 1:40PM – 2:40PM

  2. Overview • What Is It? • Historical Development • Small Business Program Basics • Subcontracting Plans and Reporting • Liabilities and Errors • Summary

  3. What is a Small Business? What is the difference between an SDB and an MBE?

  4. What Is It? • Implemented program/policy to allow maximum practicable opportunity for small business to participate in procurements • Mandated by Public Law • Makes good business sense

  5. Historical Development

  6. Historical Development • Wagner-O’Day Act of 1938 • Passed under FDR • Provided employment opportunities for people who are blind • Birth of NIB and JWOD

  7. Historical Development • Establishment of House Permanent Select Committee on Small Business • Created in 1941, 3 days before Pearl Harbor • Encouraged free competition and SB development • SB Mobilization Act of 1938 • Accounted for SB lack of economies of scale

  8. Historical Development • Armed Services Procurement Act of 1947 • Mandated that fair proportion of total Federal contracts places with SB • Implemented Armed Services Procurement Regulation • SB Act of 1953 (PL 83-163) • Temporarily created SBA

  9. Historical Development • SB Investment Act of 1958 (PL 85-536) • Made SBA permanent • Implemented SB subcontracting clause in Gov’t contracts >$10,000 • Amendment of Wagner-O’Day of 1971 • Included people with severe disabilities • Established JWOD program

  10. Historical Development • Revision of SB Act of 1978 (PL 95-507) • Required SubK plans for contracts in excess of $500K ($1M for construction) “Maximum practicable opportunities” for contracts over $100K • Established OSDBU’s • Made USPS and GAO exempt from provisions of SB Act

  11. Historical Development • National Defense Authorization Act (PL 99-661) • Established 5% minority business goal and SDB program • PL 100-180 of 1987 • Required primes to work toward 5% SDB goal in subcontracting plans • Allowed Government to withhold payment or future contracts if primes do not meet subcontracting plan goals.

  12. Historical Development • Business Opportunity Development Reform Act of 1988 (PL 100-656) • Established 20% SB goal and 5% SDB goal • Provided for assessment of liquidated damages for failure to meet goals • PL 101-144 of 1989 • Established 8% SDB goal for NASA • PL 101-189 of 1989 • Authorized Comprehensive Test Program for DoD

  13. Historical Development • National Defense Authorization act for FY1991 (PL 101-510) • Established Mentor-Protégé Program • Federal Acquisition Streamlining Act of 1994 • Established 5% WOSB goal • PL 105-56 of 1997 • Established DoD 5% Indian Incentive Program

  14. Historical Development • Small Business Reauthorization Act of 1997 (PL 105-135) • Established phased-in 3% HUBZone goal beginning with 1% in FY99 • Increased SB goal to 23% • Federal Acquisition Circular of 1998 • Made SDB certification by SBA mandatory • Mandated that primes track SDBs by SIC

  15. Historical Development • Veteran’s Entrepreneurship and Small Business Development Act of 1999 (PL 106-50) • Established SDVOSB (and VOSB) goal of 3% • Ronald W. Reagan National Defense Authorization Act for FY 2005 (PL 108-375) • Provided for adjustment every 5 years of acquisition-related thresholds (Section 807)

  16. Historical Development • Effective 04 Oct 2006, prime contractor subcontracting plan floor increased to $550,000 • Remains $1M for construction • Due to Sec 807, PL 108-375, providing for adjustments of acquisition-related thresholds every 5 years

  17. Historical Development - Summary * No goal, but SDVOSB counts + Credited in SDB goals

  18. Small Business Program Basics

  19. Small Business Program Basics • Small Business Liaison Officer • Appointed position • Duties defined in FAR 52.219-9

  20. Small Business Program Basics • SBLO Responsibilities • Concentrate on maximizing business opportunities for SB within corporation • Maintain contract, policy, and procedural compliance • Ensure awareness and understanding

  21. Small Business Program Basics • SBLO Basic Duties • Act as SB resource • Establish goals for organization and/or for subk plans • Issue reports on progress • Participate in outreach events • Develop corporate procedures • Maintain compliance • Develop source lists

  22. Small Business Program Basics • SB Program Development • Develop and post SB Policy • Devise method to capture/report SB data • Drive efforts to utilize and develop SB • Develop corporate training • Establish advocacy team

  23. Subcontracting Plans and Reporting

  24. Subcontracting Plan • Contractor plan to forecast anticipated procurement by SB type • Outline of procedures to achieve goals • Required for contracts >$550K (or >$1M for construction) – FAR 19.702 • Not required for SB or contracts performed entirely outside US and outlying areas

  25. Subcontracting Plan • Four types of plans • Individual plan • FAR 19.704 (a) • Covers entire contract period for specific contract • Master plan • FAR 19.704 (b) • Covers all contracts for 3 years • Specific goals negotiated by contract

  26. Subcontracting Plan • Four types of plans (cont’d) • Commercial plan • FAR 19.704(d) • Covers all production for company fiscal year • Comprehensive plan • DFARS 219.702(a) • Covers company wide goals for company fiscal year

  27. Subcontracting Plan • Subcontracting Goals • Projected goals listed in SubK plan • Statutory percentage goals established through PL • “Goaling Guidelines for the Small Business Preference Programs for Prime and Subcontract Federal Procurement Goals and Achievements (www.sba.gov/GC/goals/ggtotal71503.pdf)

  28. Subcontracting Plan • 11 Elements of Subcontracting Plan (FAR 19.7) • Goals • Subcontracted dollars • Supplies/services to be subcontracted • Method to develop goals • Method to identify sources for solicitation

  29. Subcontracting Plan • 11 Elements of Subcontracting Plan (cont’d) • Statement indicating whether indirect costs included • Name of program administrator • Description of efforts • Inclusion of flow-down clause • Reports • Records

  30. Reporting • Electronic Subcontracting Reporting System (eSRS) • Web-based reporting system to replace SF294 and SF295 • Government-wide • SBA = system steward • Linked to CCR, FPDS-NG, DUNS

  31. Reporting • Contract with subcontracting plan • Entered into FPDS-NG • Automatically received into eSRS • Reports covered • ISR (SF294) and SSR (SF295) • Year-end SDB Supplementary Reports • SDB Participation Report (SF312)

  32. Reporting • System Features • Calculates % of contract value • Calculates % of subcontracted value • Breaks out subcontracting data to buying activity level • Generates several standard reports • Generates reminders and delinquent notices

  33. Reporting • Troubleshooting eSRS • Email help@esrs.gov for technical questions regarding eSRS • SBA answers questions on SubK policy • Agency Coordinator of awarding agency addresses other problems or issues • CCR Assistance Center (888-227-2423) • Contracting Officer handles FPDS-NG issues

  34. Liabilities and Errors • Liquidated Damages • Willful or intentional failure to meet goal (19.701) • LD clause must be in contract (52.219-16) • Not applicable for Comprehensive plans • Damages equal to dollar amount by which goal was not achieved

  35. Liabilities and Errors • Common Errors • Missing goals • Calculated incorrectly • Goals for option years not included • Goals below required levels without justification

  36. Liabilities and Errors • Common Errors (cont’d) • No explanation why planned purchases to LB cannot go to SB • Failure to list all types of supplies and services • No assurance that SubK plans and reports will be required from qualifying subcontractors

  37. Summary • Small business program initiatives date back at least to 1938 • Current goals reflect changes due to many public laws • Small Business Program gives maximum practicable opportunities to SB’s

  38. Summary (continued) • Subcontracting plan content specified in FAR 19 • Reporting on SubK plan goals transitioning from SF’s 294 and 295 to eSRS • More to come in this exciting and important field!

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