Attachment 2 SubK Checklist-SPRBL1-21-R-0019 GUARDRAIL SPOT BUY.pdf

SUBCONTRACTING PLAN CHECKLIST

Buyer: Ext: Office:

Cage Code:

Contracting Officer:

National Stock Number:

Item or Service Description:

Contractor Name:

Approximate Value of Contract:

ESSENTIAL ELEMENTS OF PLAN - Buyers are to ensure that all elements below are met by the contractors in their subcontracting plan.

Individual Plan Master Plan Commercial Plan Comprehensive Plan

Goals

a. Total Planned Subcontracting :

Small Business HubZone Small Business Small Disadvantaged Business Women Owned Small Business Veteran Owned Small Business Small Disabled Veteran Owned Large or Other than Small Business

Total (all SB Categories)

Note: If an individual plan is submitted and the contract is multiyear or contains options, the company must provide separate goals and statements of total planned subcontracting as shown in paragraph a above for each option.

b. Addresses whether subcontracting opportunities exist for HBCUs and MIs.

be subcontracted and identification of those areas where it is planned to use HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB concerns.

d. Method used for developing proposed subcontracting goals for HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB concerns.

e. If offeror includes indirect and overhead costs in established goals:

Discussed method used in determining proportionate share incurred with HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB concerns

Page Ref:

Page/Paragraph Ref:

c. Description of principal supply and service areas to

f. Method used for identifying potential HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB concerns for solicitation purposes:

Company source lists Procurement Marketing and Access Network (PRO-Net) National Minority Purchasing Council Vendor Information Service U.S. Dept. of Commerce Minority Business Development Agency’s Research and Information Division HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB Trade Associations SBA’s Lists of Certified SDB and HUBZone Concerns

RESPONSIBILITY FOR ADMINISTRATION:

Name of company employee.

Duties of such employee.

EQUITABLE OPPORTUNITY TO COMPETE:

Description of efforts the firm will make to assure HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB an equitable opportunity to compete for subcontracts.

Description of internal efforts to guide and encourage buyers to solicit HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB marketplace.

ASSURANCES that the offeror will:

Include the FAR 52.219-8 clause in all subcontracts which offer further subcontracting possibilities in the U.S. and

Require all subcontractors (except SB concerns) who receive subcontracts in excess of $700,000 to adopt a plan in that complies with the requirements of this clause.

ASSURANCES that the offeror will:

Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan, and

Cooperate in studies or surveys required by the contracting agency or SBA, and

Submit Individual Subcontracting Reports (ISR) former (SF294 and SF295) as required. Ensure that its subcontractors agree to submit ISR’s, as required.

DESCRIPTION OF THE TYPES OF RECORDS the offeror will maintain to show compliance:

a. HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB source lists, guides and other data identifying HUBZone SB, SB, SDB, WOSB,VOSB and SDVOSB vendors.

b. Organizations contacted for HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB sources.

c. On a contract-by-contract basis, records on all subcontract solicitations over $150,000, indicating

(1) Whether HUBZone SB was solicited and if not, why not;

(2) Whether SB was solicited and if not, why not;

(3) Whether SDB was solicited and if not, why not;

(4) Whether WOSB was solicited and if not, why not;

(5) Whether VOSB was solicited and if not, why not;

(6) Whether SDVOSB was solicited and if not, why not; and

(7) Reasons for the failure of responding HUBZone SB,SB, SDB, WOSB, VOSB,or SDVOSB to receive the subcontract award.

d. Records to support such efforts as:

(1) Contacts with HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB trade associations;

(2) Contacts with business development organizations;

(3) Attendance at HUBZone SB, SB, SDB, WOSB, VOSB and SDVOSB business procurement conferences and trade fairs.

e. Records to support internal activities to guide and encourage buyers such as:

(1) Workshops, seminars, training programs, etc; and

(2) Monitoring performance to evaluate compliance.

f. On a contract-by-contract basis, records to support award data submitted to the Government to include name, address and size status of contractor.

make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns that the offeror used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal. Responding to a request for a quote does not constitute use in preparing a bid or proposal. An offeror used a small business concern in preparing the bid or proposal if--

(i) The offeror identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the contract; or

(ii) The offeror used the small business concern's pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the offeror is awarded the contract;

ASSURANCES that the offeror will:

provide the contracting officer with a written explanation if the contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in (a)(12) of this section. This written explanation will be submitted to the contracting officer within 30 days of contract completion;

ASSURANCES that the contractor will:

ASSURANCES that the contractor will not:

prohibit a subcontractor from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor; and that the offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the subcontract, and notify the contracting officer if the offeror pays a reduced or an untimely payment to a small business subcontractor

ASSURANCES that the contractor will:

DLA Small Business Programs

SBA Procurement Center Representative

DLA Contracting Officer

Comments:

Comments:

Comments:

1 - Goals Northrop Grumman Private/Proprietary Level I thru

Baltimore, MD 21240

Plan Number 08338 Revision Number XXXX

Plan Date 4/16/2020

Contract Administrator Address 7323 Aviation Blvd

Contracting Officer Address 6565 Surveillance Loop, Bldg 600

Address Baltimore, MD 21240 Telephone (410) 993-3726

E-mail Ellen.Ruchman@ngc.com

Address Aberdeen Proving Ground, MD 21005-1846 Telephone (443) 861-4539

Individual Subcontracting Goals Under Approved Master Small Business Subcontracting Plan

Submitted By:

Land & Avionics C4ISR Mission Solutions 7323 Aviation Blvd

Name Ellen Ruchman Company Northrop Grumman Systems Corporation

Voltaire C. Walker Small Business Liaison Officer (SBLO) Plan Administrator 410-765-0306 Global Supplier Diversity Programs voltaire.walker@ngc.com

Signed

E-mail Michelle.Bontempo@dla.mil

Name Michelle Bontempo Company DLA Land

Name Hubert McMinn Company Defense Contract Management Agency - NGMS

Divisional Administrative Contracting Officer

Address 7323 Aviation Blvd, MS 1293 Address Linthicum, MD 21090

Prime Contract SPRBL119Q0139 Contract Information Subcontract 0

Effort Description DLA Land Spot Buy

Telephone 410-765-3479 E-mail Hubert.McMinn@dcma.mil

Proposal Number SPRBL119Q0139

Period of Performance 3/30/2020 9/30/2021 mailto:voltaire.walker@ngc.com mailto:Deanna.Mahanand@dcma.mil

2 - Goals Northrop Grumman Private/Proprietary Level I

Goals

Note o Women-Owned o Hub Zone o Veteran o Service Disabled Veteran o HBCU/MI o ANC and Indian Tribes not certified as SDB o ANC and Indian Tribes not SB

Table 2.0 –Northrop Grumman Small Business Participation Goals based on Total Subcontract & Contract Value

0.0%

Dollars 1,128,855.84$

321,646.06$ 161,091.43$ 160,554.63$

5,280.52$ 45,492.19$ 7,921.45$ 1,987.76$

130.24$ $0.00

Revision Number XXXX

For the purpose of this contract, the following separate percentage goals are hereby expressed in terms of a percentage of the total planned subcontract dollars. The goal for businesses classified as Small Disadvantaged (SDB), Women-Owned (WOSB), HUBZone (HZ),Veteran-Owned (VOSB), Service Disabled Veteran-Owned (SDVOSB), Historically Black Colleges and Universities / Minority Institutions (HBCU/MI), Alaskan Native Corporations (ANC) and Indian Tribes (IT) that have not been certified by the Small Business Administration as SDB, and ANCs and Indian Tribes that are not Small Businesses (SB), while stated separately as a percentage of total planned subcontracting dollars, are included in the goal for SB concerns and constitute a subset thereof. These total planned subcontracting dollars include all first tier subcontracts to be awarded in the performance of this contract but do not include the cost of any products or services normally allocated as indirect or overhead.

Individual Subcontracting Goals Under Approved Master Small Business Subcontracting Plan

Plan Number 08338

SDVOSB ANC / IT

Fabricated Parts X X X

X X

Hardware

Total Contract Dollars Planned Subcontracting Dollars Large Business Small Business

0.7% 0.2%

0.5% 4.0%

1.6% 14.1% 2.5% 0.6%

14.3% 14.2%

% Contract

28.5%

% Subk

100.0% 50.1% 49.9% o Disadvantaged

The planned subcontracting in support of this proposal was based on a rigorous review of the Consolidated Bill of Materials to determine the small business sources from which to purchase the required material. There were no opportunities for HBCU\MI, ANC or Indian Tribes

Table 1.0 - Principle Product & Service Areas

Product / Service LB SB SDB WOSB HZ HBCU/MI VOSB

Electronic Components X X X X X Printed Wiring Boards X

Assemblies X X Displays

Power supply Optics X

Miscellaneous Outside services Chemicals/Adhesives/Raw Materials

Individual Goals TCV

2020-04-16T17:39:35-0400

Voltaire C. Walker (A66945)

UNCLASSIFIED

Northrop Grumman Mission Systems October 1, 2018 through September 30, 2021

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Northrop Grumman Proprietary Level I and Competition Sensitive

NORTHROP GRUMMAN MISSION SYSTEMS

(NGMS) SECTOR

Operating Under

NORTHROP GRUMMAN SYSTEMS CORPORATION

1580-A West Nursery Road Linthicum, Maryland 21090

MASTER SUBCONTRACTING PLAN

FOR

SMALL BUSINESSES (SB)

SMALL DISADVANTAGED BUSINESSES (SDB)

WOMEN-OWNED SMALL BUSINESSES (WOSB)

HISTORICALLY UNDERUTILIZED BUSINESS ZONES (HUBZONE)

VETERAN-OWNED SMALL BUSINESSES (VOSB)

SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSES (SDVOSB)

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU)

MINORITY INSTITUTIONS (MI)

ALASKAN NATIVE CORPORATIONS (ANC)

INDIAN TRIBES (IT)

Effective Date: October 1, 2018 – September 30, 2021

Approvals:

Monica M. Graham Date: Deanna Mahanand Date:

Sector Manager, Global Supplier Diversity Programs

Divisional Administrative Contracting Officer Defense Contract Management Agency

Master Subcontracting Plan

Table of Contents Page

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1.0 Northrop Grumman (NG) Organizational Structure and Overview

1.1 Introduction & Corporate Commitment

1.2 Definitions

2.0 Separate Goals in Terms of Dollars and Percentages [FAR 52.219-9 (d)(1)]

3.0 Total Dollars Planned to be Subcontracted [FAR 52.219-9 (d) (2)]

4.0 Principal Supplies/Services to be Subcontracted [FAR 52.219-9 (d)(3)]

5.0 Goal Development [FAR 52.219-9 (d)(4)]

6.0 Identification and Development of Potential Sources [FAR 52.219-9 (d)(5)]

7.0 Utilization of Indirect Costs [FAR 52.219-9 (d)(6)]

8.0 Administration of the Master Subcontracting Plan [FAR 52.219-9 (d)(7)]

8.1 Duties of the Administrator [FAR 52.219-9 (d)(7)]

9.0 Efforts to Assure an Equitable Opportunity to Compete for Procurement opportunities [FAR 52.219-9 (d)(8)]

10.0 Subcontract Flow-down Provisions [FAR 52.219-9 (d)(9)]

11.0 Reports, Reviews, Studies and Surveys [FAR 52.219-9 (d)(10)

12.0 Description of Types of Records Maintained to Comply with the Requirements and Goals of the Plan [FAR 52.219-9 (d)(11)]Records

13.0 Outreach Efforts

14.0 Internal Training Guidance and Recognition

14.1 Assistance to all Small Business Concerns

14.2 Counseling of Referrals

14.3 Confirmation of HUBZONE Small Business Concerns

14.4 Notice to Subcontractors - Misrepresentation [FAR 52.219-1 (d) (2)]

15.0 Good Faith Effort to Utilize Small Business Concerns in Bids or Proposals [FAR 52.219-9 (d)(12)]

15.1 Written Explanation to Contract Officer [FAR 52.219-9 (d)(13)]

15.2 Non-Interference with Subcontractors [FAR 52.219.9(d)(14)]

15.3 Prompt Paybrment [FAR 52.219-9 (d)(15)]

16.0 NGMS Master Subcontracting Plan

16.1 Master Subcontracting Plan Deviations

16.2 Subcontractor Commercial Plans

List of Tables

Table 1-1. Northrop Grumman Mission Systems DUNS & CAGE Codes Under This Master Subcontracting Plan

Table 8-1. Small Business Program Plan Administrators

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1.0 Northrop Grumman (NG) Organizational Structure and Overview

Northrop Grumman Corporation (NGC) operates under four sectors, for Governmental Accounting purposes:

● Mission Systems Sector

● Aerospace Systems Sector

● Technology Services Sector

● Innovation Systems Sector

Northrop Grumman Corporation, headquartered in Falls Church, VA, is a leading global security company providing innovative systems, products and solutions in autonomous systems, cyber, C4ISR (command, control, communications, computers, intelligence and reconnaissance), strike and logistics and modernization to government and commercial customers worldwide.

1.1 Introduction & Corporate Commitment

This Master Subcontracting Plan covers the Northrop Grumman Corporation, Mission Systems Sector headquartered at 1580-A West Nursery Road, Linthicum, Maryland, 21090. This Master Subcontracting Plan is effective for the period of October 1, 2018 – September 30, 2021.

Effective for contract awards after September 30, 2018, the seven (7) operating divisions for Mission Systems Sector are as follows:

● Airborne C4ISR Systems

● Cyber and Intelligence Mission Solutions

● Land and Avionics C4ISR

● Missile Defense and Protective Systems

● Navigation and Maritime Systems

● Space ISR Systems

● Engineering, Science & Technology

Listed in Table 1-1 the DUNS, CAGE Code, Legal Business Name and Address for the locations supported under this Master Subcontracting Plan.

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Table 1-1. Northrop Grumman Mission Systems DUNS & CAGE Codes Under This Master Subcontracting Plan DUNS CAGE Legal Business Name Address City State Zip

102092285 9F909 Northrop Grumman Systems Corporation 213 Wynn Dr. Huntsville AL 35805 001864081 048Z1 Northrop Grumman Systems Corporation 401 East Hendy Rd. Sunnyvale CA 94086 095148581 6R520 Northrop Grumman Systems Corporation 21200 Burbank Blvd. Woodland Hills CA 91367 039134218 06481 Northrop Grumman Systems Corporation 21240 Burbank Blvd. Woodland Hills CA 91367 188171334 70143 Northrop Grumman Systems Corporation 1100 W Hollyvale St. Azusa CA 91702 622377856 1BB89 Northrop Grumman Systems Corporation 6120 Longbow Dr. Boulder CO 80301 062818880 6U529 Northrop Grumman Systems Corporation 3535 Northrop Grumman Pt. Colorado Springs CO 80916 139301295 34860 Northrop Grumman Systems Corporation 2787 S. Orange Blossom Trail Apopka FL 32703 005128988 1M1W8 Northrop Grumman Systems Corporation 600 Hicks Rd. Rolling Meadows IL 60008 005128988 26916 Northrop Grumman Systems Corporation 600 Hicks Rd. Rolling Meadows IL 60008 962491671 612T7 Northrop Grumman Systems Corporation 100 Brickstone Square Andover MA 01810 018204151 04804 Northrop Grumman Systems Corporation 7301 Sykesville Rd. Sykesville MD 21784 018204151 08452 Northrop Grumman Systems Corporation 7301 Sykesville Rd. Sykesville MD 21784 800131955 15055 Northrop Grumman Systems Corporation 1580B W Nursery Rd, Linthicum Heights MD 21090 003094059 18323 Northrop Grumman Systems Corporation 7323 Aviation Blvd. Baltimore MD 21240 047665836 1N4V1 Northrop Grumman Systems Corporation 1580A West Nursery Rd. Linthicum Heights MD 21090 041812665 1VH39 Northrop Grumman Systems Corporation 7040A Troy Hill Dr. Elkridge MD 21075 043204924 25512 Northrop Grumman Systems Corporation 7040 Troy Hill Dr. Elkridge MD 21075 784127763 2S209 Northrop Grumman Systems Corporation 1580A West Nursery Rd. Linthicum Heights MD 21090 020649336 31442 Northrop Grumman Systems Corporation 895 Oceanic Dr. Annapolis MD 21401 018202122 4L530 Northrop Grumman Systems Corporation 7323 Aviation Blvd. Linthicum Heights MD 21090 966764417 95542 Northrop Grumman Systems Corporation 7323 Aviation Blvd. Linthicum Heights MD 21090 091808832 97942 Northrop Grumman Systems Corporation 1580A W Nursery Rd. Linthicum Heights MD 21090 185728458 0N4Z0 Northrop Grumman Systems Corporation 6608 Sunscope Dr. Ocean Springs MS 39564 962460056 5YBY0 Northrop Grumman Systems Corporation 3005 Carrington Mill Blvd. Morrisville NC 27560 074044769 1L4J7 Northrop Grumman Systems Corporation 1740 Wehrle Dr. Buffalo NY 14221 091451302 21877 Northrop Grumman Systems Corporation 65 Marcus Dr. Melville NY 11747 073095804 5D172 Northrop Grumman Systems Corporation 2211 West North Temple Salt Lake City UT 84116 112762443 03956 Northrop Grumman Systems Corporation 1070 Seminole Trail Charlottesville VA 22901 793018888 0RBN7 Northrop Grumman Systems Corporation 2340 Dulles Corner Blvd. Herndon VA 20171 015247885 32143 Northrop Grumman Systems Corporation 7575 Colshire Dr. McLean VA 22102 962048646 5YRP9 Northrop Grumman Systems Corporation 4807 Stonecroft Blvd. Chantilly VA 20151 962048695 5YY61 Northrop Grumman Systems Corporation 7575 Colshire Dr. McLean VA 22102 068943042 61742 Northrop Grumman Systems Corporation 460 West Crescentville, Rd. Cincinnati OH 45246 064674588 1V0C4 Northrop Grumman Systems Corporation 15010 Conference Center Dr., Ste. 1000 Chantilly VA 20151 064677243 1V4D7 Northrop Grumman Systems Corporation 7575 Colshire Dr. McLean VA 22102 077652761 26512 Northrop Grumman Systems Corporation 925 Oyster Bay Rd. Bethpage NY 11714 086140449 61399 Northrop Grumman Systems Corporation 43865 Airport View Dr. Hollywood MD 20636 121713036 65409 Northrop Grumman Systems Corporation One Rancho Carmel Dr. San Diego CA 92128 614227643 0J198 Northrop Grumman Systems Corporation One Space Park Redondo Beach CA 90278

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Table 1-1. Northrop Grumman Mission Systems DUNS & CAGE Codes Under This Master Subcontracting Plan DUNS CAGE Legal Business Name Address City State Zip

053634593 1LY77 Northrop Grumman Systems Corporation 12011 Sunset Hills Rd. Reston VA 20190 064683464 1V4X9 Northrop Grumman Systems Corporation 2340 Dulles Corner Blvd. Herndon VA 20171 833157261 2AB19 Northrop Grumman Systems Corporation 2340 Dulles Corner Blvd. Herndon VA 20171 004179453 28815 Northrop Grumman Space & Missions Systems Corp. 6379 San Ignacio Ave. San Jose CA 95119 048856090 92755 Northrop Grumman Systems Corporation 1745A West Nursery Rd. Linthicum Heights MD 21090 004671194 055W0 Northrop Grumman Systems Corporation 1550 West Nursery Rd. Linthicum Heights MD 21090 037915055 0AJL2 Remotec, Inc. 353 JD Yarnell Industrial Pkwy. Clinton TN 37716 072036317 1K9H0 Northrop Grumman Systems Corporation 7055 Troy Hill Dr., Ste. 400 Elkridge MD 21075 093670151 1M1J8 Northrop Grumman Systems Corporation 7910 Thunder Blvd. Fort Campbell KY 42223 104638205 1XSU7 Northrop Grumman Security Systems 1580B West Nursery Rd. Linthicum Heights MD 21090 125681747 2P413 Northrop Grumman Systems Corporation 30 S La Patera Ln., Ste. 7 Goleta CA 93117 140043295 3LZB3 Northrop Grumman Fed’l Civil Systems 8100 Gatehouse Rd. Falls Church VA 22042

064890205 3T020 Northrop Grumman Systems Corporation 2691 Technology Dr.

Annapolis Junc-tion MD 20701

809896207 50T00 Northrop Grumman Cobham Intercoms 7040 Troy Hill Dr. Elkridge MD 21075 022200740 6MKG6 Northrop Grumman Systems Corp. 1865 Industrial Blvd. Harvey LA 70058 079471995 769Y7 Northrop Grumman Int’l. Trading 1740 Wehrle Dr. Buffalo NY 14221 079612927 7APC0 Northrop Grumman Int’l. Trading 21240 Burbank Blvd. Woodland Hills CA 91367 069071801 8W106 Northrop Grumman Systems Corporation 7055 Troy Hill Dr., Ste. 400 Elkridge MD 21075 833157261 5V1X2 Northrop Grumman Systems Corporation 2340 Dulles Corner Blvd. Herndon VA 20171

Northrop Grumman Corporation is committed to providing a fair and competitive environment for all small business concerns. The company places great importance upon the competitiveness and timely procurement of products and services which meet the highest standards of quality and reliability.

This plan represents NGMS’ policy regarding our commitment to actively support the federal government initiatives and laws to enhance and increase Small Businesses (SB); Small Disadvantaged Businesses (SDB); Women Owned Small Businesses (WOSB); HUBZONE Small Businesses (HUBZONE); Veteran Owned Small Businesses (VOSB); Service-disabled Veteran-owned Small Businesses (SDVOSB); and Historically Black Colleges and Universities (HBCU), Minority Institutions (MI), Alaska Native Corporations (ANC) and Indian Tribes (IT) in the subcontracting process.

The goals and objectives of the Northrop Grumman programs will continue to remain an essential part of our company’s commitment.

Additionally, the Mentor- Protégé Program and the SBIR/STTR programs, while voluntary, remain a company commitment and are monitored closely.

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1.2 Definitions

AbilityOne Program (formerly the Javits-Wagner-O’Day Program): The AbilityOne Program is a federal initiative to help people who are blind (National Industries for the Blind) or severely disabled (formerly National Industries for the Severely Handicapped (NISH), as of July 2013 Source America) find employment by working for nonprofit agencies that sell products and/or services to the U.S. Government.

Alaska Native Corporation (ANC): Any regional corporation, village corporation, urban corporation, or group corporation organized under state of Alaska in accordance with the Alaskan Claims Settlement Act, which is considered a minority and economically and disadvantaged concern. The definition also includes ANC direct and indirect subsidiary corporations, joint ventures and partnerships.

Commercial Plan: A subcontracting plan (including goals) that covers the offeror's fiscal year and 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).

Economically Disadvantaged Women-owned Small Business: A small business concern that is at least 51 percent directly and unconditionally owned and controlled by one or more women who are citizens (born or naturalized) of the United States and who are economically disadvantaged. A woman is presumed economically disadvantaged if she has a personal net worth of less than $750,000, her adjusted gross yearly income averaged over the three years preceding the certification does not exceed $350,000, and the fair market value of all her assets (including her primary residence and the value of the business concern) does not exceed $6 million)

8(a) Business Development Program: A concern meets the basic requirements for admission to the 8(a) BD program if it is a small business which is unconditionally owned and controlled by one or more socially and economically disadvantaged individuals who are of good character and citizens of and residing in the United States, and which demonstrates potential for success. All 8(a) SDB businesses must be certified by the Small Business Administration.

Electronic Subcontracting Reporting System (eSRS): The Government-wide, electronic, web-based system for small business subcontracting program reporting. The eSRS is located at http://www.esrs.gov.

GSDP: Global Supplier Diversity Program

Indian Tribe: Any Indian tribe, band, group, 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 the Bureau of Indian Affairs in accordance with 25 U.S.C. 1452(c). This definition also includes Indian-owned economic enterprises that meet the requirements of 25 U.S.C. 1452(e).

Historically Black Colleges and Universities (HBCU): An institution that has been determined by the Secretary of Education to meet the requirements of FAR Subpart 26.3. The term also means any nonprofit research institution that was an integral part of such a college or university before November 14, 1986.

http://www.esrs.gov/

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HUBZONE Small Business Concern (HUBZ): A small business concern that is owned and controlled only by United States citizens with the principal office located in a HUBZONE and at least 35 percent of the employees must reside in a HUBZONE. All HUBZONE Small Businesses must receive certification by the Small Business Administration.

Individual Contract 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 planned subcontracting dollars or contract value in support of the specific contract. The plan may include indirect costs incurred for common or joint purposes may be allocated on a prorated basis to the contract.

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

Minority Institutions (MI): Accredited colleges and universities or enrollment of a single minority group or a combination of minority groups, underrepresented in science and engineering and exceeds 51% percent of the total enrollment.

Mentor-Protégé Program: Federal Government program which provides incentives to major prime contractors to assist firms within designated socioeconomic categories to enhance their capabilities of performing as prime contractors and subcontractors under various agency contracts.

The program seeks to increase the participation of these firms in Federal Government and commercial contracts. The program encourages firms and prime contractors to establish long-term business relationships free from government interference and existing government restrictions on the relationships between large and small businesses.

Small Business Innovation Research (SBIR): The Small Business Innovation Research (SBIR) program is a highly competitive program that encourages domestic small businesses to engage in Federal Research/Research and Development (R/R&D) that has the potential for commercialization. Through a competitive awards-based program, SBIR enables small businesses to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s R&D arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs.

The SBIR Program is structured in three phases:

Phase I. The objective of Phase I is to establish the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II. SBIR Phase I awards normally do not exceed $150,000 total costs for 6 months.

Phase II. The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Only Phase I awardees are eligible for a Phase II award. SBIR Phase II awards normally do not exceed $1,000,000 total costs for 2 years.

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Phase III. The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR program does not fund Phase III. Some Federal agencies, Phase III may involve follow-on non-SBIR funded R&D or production contracts for products, processes or services intended for use by the U.S.

Government.

Small Business Technology Transfer (STTR): Small Business Technology Transfer (STTR) is a program that expands funding opportunities in the federal innovation research and development (R&D) arena. Central to the program is expansion of the public/private sector partnership to include the joint venture opportunities for small businesses and nonprofit research institutions. The unique feature of the STTR program is the requirement for the small business to formally collaborate with a research institution in Phase I and Phase II. STTR’s most important role is to bridge the gap between performance of basic science and commercialization of resulting innovations.

The STTR Program is structured in three phases:

Phase I. The objective of Phase I is to establish the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts and to determine the quality of performance of the small businesses prior to providing further Federal support in Phase II. STTR Phase I awards normally do not exceed $150,000 total costs for 1 year.

Phase II. The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the Phase II project proposed. Only Phase I awardees are eligible for a Phase II award.

STTR Phase II awards normally do not exceed $1,000,000 total costs for 2 years.

Phase III. The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The STTR program does not fund Phase III. In some Federal agencies, Phase III may involve follow-on non-STTR funded R&D or production contracts for products, processes or services intended for use by the U.S. Government.

Small Disadvantaged Business (SDB): A small business that is at least 51 percent owned by an individual who is both a United States citizen and socially and economically disadvantaged, as defined by the Small Business Administration at 13 CFR part 124, the majority of earnings which directly accrue to such individuals. Social disadvantage must include at least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic origin, gender, physical handicap, long- term residence in an environment isolated from the mainstream of American society. Members of the following designated groups are considered socially disadvantaged: African-Americans, Hispanic Americans, Native Americans (American Indians, Eskimos, Aleuts, or Native Hawaiians), Asian-Pacific Americans (persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands [Republic of Palau], Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru), Subcontinent Asian (Asian-Indian) American (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal) and other

–7– groups that SBA may designate. Social disadvantage in a non-designated group must establish individual social disadvantage based on a “preponderance of the evidence”.

Economic disadvantage is defined as net worth below $750,000 minus equity in primary residence and the applicant’s ownership interest.

The SDB concern can self-certify as a small disadvantaged business concern consistent with 13 CFR 124. (Note: 8(a) SDB companies must be certified by the Small Business Administration), Small Business (SB): A business concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard in paragraph (a) of this provision.

Source America, formerly the National Industries for Severely Handicapped (NISH): An association for handicapped individuals. A handicapped individual is a person who has a physical, mental, or emotional impairment, defect, ailment, disease, or disability of a permanent nature that in any way limits the selection of any type of employment for which the person would otherwise be qualified.

Women-Owned Small Business (WOSB): A small business that is at least 51 percent owned by one or more women and in the case of any publicly owned business, at least 51 percent of the stock is owned by one or more women. One or more women must control the management and daily business operations.

Veteran-Owned Small Business (VOSB): A small business that is at least 51 percent owned by one or more veterans and in the case of any publicly owned business, at least 51 percent of the stock is owned by one or more veterans. One or more veterans must control the management and daily business operations.

Service-Disabled Veteran-Owned Small Business (SDVOSB): A small business that is at least 51 percent owned by one or more service-disabled veterans and in the case of any publicly owned business not less than 51 percent of the stock is owned by one or more service-disabled veterans.

The management and daily business operations must be 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.

2.0 Separate Goals in Terms of Dollars and Percentages [FAR 52.219-9 (d)(1)]

For each individual subcontracting plan, NGMS will include separate goals in terms of total dollars subcontracted and as a percentage of total planned subcontracting dollars for using small business (including ANCs and Indian tribes), small disadvantaged business (including ANCs and Indian tribes), women-owned small business concerns, HUBZone small business, Historically Black Colleges and Universities, Minority Institutions, veteran-owned small business, and service-disabled veteran-owned small business as subcontractors.

3.0 Total Dollars Planned to be Subcontracted [FAR 52.219-9 (d) (2)]

Included in each individual subcontracting plan, NGMS will include a statement of the total dollars planned to be subcontracted and a statement of the total dollars planned to be subcontracted to

–8– small business (including ANCs and Indian tribes), small disadvantaged business (including ANCs and Indian tribes), women-owned small business concerns, HUBZONE small business, Historically Black Colleges and Universities, Minority Institutions, veteran-owned small business, and service-disabled veteran-owned small business concerns.

4.0 Principal Supplies/Services to be Subcontracted [FAR 52.219-9 (d)(3)]

NGMS strives to subcontract to every small business subcategory in all potential North American Industry Classification System (NAICS) categories to the maximum extent possible. The principal supplies and services to be subcontracted are listed in each individual subcontracting plan.

5.0 Goal Development [FAR 52.219-9 (d)(4)]

The term Small Business Concerns (SBC) includes Small Businesses (SB), Small Disadvantaged Businesses (SDB); Women Owned Small Businesses (WOSB); HUBZONE Small Businesses (HUBZONE); Veteran Owned Small Businesses (VOSB); Service-disabled Veteran-owned Small Businesses (SDVOSB); and Historically Black Colleges and Universities (HBCU), Minority Institutions (MI), Alaska Native Corporations (ANC) and Indian Tribes (IT).

It is the policy of NGMS to base subcontracting plan goals on total volume of planned subcontracting for each applicable contract while considering complexity, technical content and security constraints. A detailed review of request for proposals, outreach efforts, technical briefings, procurement documents, contract bill of materials, supplier quotations, engineering estimates, past performance, and/or possible new suppliers, is performed to determine subcontract opportunities for Small Business Concerns (SBCs) so that comprehensive and achievable goals may be established and incorporated into individual subcontracting plans.

Initial action for the development of the subcontracting plan goals begins during the capture phase of a pursuit with close coordination between Contracts and Supply Chain functions to ensure that negotiated goals are realistic and achievable.

In contracts that contain options, the cumulative value of the basic contracts and all options is considered in determining whether a subcontracting plan is necessary. If an individual subcontracting plan is required, the individual plan will contain all of the separate parts, one for the basic contract and one for each option.

Subcontract award data reported by NGMS is limited to awards made to our immediate next-tier subcontractors. Credit cannot be taken for awards made to lower tier subcontractors, unless the Contractor or subcontractor has been designated to receive a small business or small disadvantaged business credit from an ANC or Indian tribe.

For contracts requiring individual subcontracting plans, the small business goals are expressed as a percentage of the total dollars subcontracted and as a percentage of total subcontract dollars.

However, a contracting officer may establish additional goals as a percentage of total contract dollars.

The names of probable small business concerns are included in the individual subcontracting plan.

The dollar figures and percentages proposed are approximations and are subject to change pending final negotiated values.

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Our internal policies and procedures ensure that subcontracts awarded to an ANC or Indian tribe are;

● Counted towards the subcontracting goals for small business and small disadvantaged business (SDB) concerns, regardless of the size or Small Business Administration certification status of the ANC or Indian tribe;

● If one or more subcontractors are in the subcontract tier between the prime contractor and the ANC or Indian tribe, the ANC or Indian tribe shall designate the appropriate contractor(s) to count the subcontract towards its small business and small disadvantaged business subcontracting goals.

Goals are established to comply with the requirements of the following Federal Acquisition Regulations (FAR), FAR Supplements, Public Law and the Request for Proposal (RFP).

FAR Subpart 19.7, “The Small Business Subcontracting Program”

FAR 52.219-8, “Utilization of Small Business Concerns”

FAR 52.219-9, “Small Business Subcontracting Plan”

Public Law 95-507 (1978): Amendments to the Small Business Investment Act of 1978 redefined minority firms as Socially and Economically Disadvantaged Small Business Concerns (SDBs).

These amendments required Federal agencies to establish small business goals and explain to Congress when goals were not met. The amendments also required small and small disadvantaged business subcontracting goals for major contracts awarded to large businesses and reserved all awards under $25,000 for small business. In addition, the amendments required establishment of the Office of Small and Disadvantaged Business Utilization.

Public Law 99-661 (1987): “National Defense Authorization Act” established the Small Disadvantaged Business Program and the 5% minority owned business goal for awards to prime contractors. Emphasizes contracting with Historically Black Colleges and universities/Minority Institutions.

Public Law 103-355: “Federal Acquisition Streamlining Act (FASA) of 1994”, Section 7106, established a government wide goal for WOSB concerns of not less than 5% of the total value of all prime contract and subcontract awards for each fiscal year.

Public Law 103-135 (1997): “The HUBZONE Empowerment Contracting Program” included in the Small Business Reauthorization Act of 1997, stimulates economic development and creates jobs in urban and rural communities by providing contracting preferences to small businesses that are located in a Historically Underutilized Business Zone (HUBZONE) and that hire employees that live in a HUBZone. The act required government performance in increments of 1% initiating in GFY 1999 and for a final 3% for GFY 2003 each year thereafter.

Public Law 105–135 (1997): “Small Business Reauthorization Act of 1997”: Amended the Small Business Act to increase the overall Small Business Participation Goal in federal contracting from 20% to 23%.

Public Law 106-50 (1999): “The Veterans Entrepreneurship and Small Business Development Act of 1999”, established a goal for subcontracts awarded by prime contractors to service-

–10– disabled veteran-owned small business concerns of 3%. A best effort goal was established for veteran owned small businesses. Individual, master and comprehensive subcontract plans must incorporate these goals.

6.0 Identification and Development of Potential Sources [FAR 52.219-9 (d)(5)]

NGMS conducts a robust outreach program with small business development organizations and trade associations to develop a source list of qualified small businesses. NGMS participates in numerous socio-economic business trade fairs, Federal and Congressional sponsored conferences each year to identify new potential small business sources. Information gathered at these venues is disseminated by the Global Supplier Diversity Program Office (GSDPO) through the use of the GSDP database and the GSDP website.

NGMS relies on the information contained in the Dynamic Small Business Search (DSBS) and/or the System for Award Management (SAM), as an accurate representation of a small business concern's size and ownership characteristics for the purposes of maintaining a small, small disadvantaged, women-owned small business, veteran-owned and service-disabled veteran-owned small business, HUBZONE small business, AbilityOne, Alaska Native Corporation and Indian Tribe.

NGMS participates in the Aerospace Industry Association (AIA) Tri-Association Advisory Panel on Small Business (TRIAD), NASA Roundtable, and other Federal and Congressional sponsored panels.

Sources utilized to locate small business entities include but are not limited to the following:

● Aerospace Industries Association TRIAD Council

● Capital Region Minority Supplier Development Council

● Dynamic Small Business Search

● System for Award Management (SAM)

● U. S. Department of Commerce Minority Business Development Agency

● VetBiz Registry

● Marshall Space Flight Center Small Business Council

● Missile Defense Agency Small Business Advocacy Council

● National Association of Women Business Owners

● National Defense Industrial Association

● National Center for American Indian Enterprise Development

● National Minority Supplier Development Council

● DoD Western Regional Small Business Council

● DoD Mid-Atlantic Regional Small Business Council

● Southern California Minority Business Development Council

● San Diego Procurement Technical Assistance Center Contracting Opportunities Center

● San Diego Supplier Development Council

● Small and Emerging Contractors Advisory Forum

● South Region Minority Supplier Development Council

● Women’s Business Center of North Alabama

● U. S. Department of Education Accredited Postsecondary Minority Institutions

● U. S. Department of Education List of HBCUs

● Veterans Administration

–11–

7.0 Utilization of Indirect Costs [FAR 52.219-9 (d)(6)]

NGMS will apply indirect costs at the Summary Subcontract Report (SSR) level only. Indirect costs will not be applied at the ISR level.

8.0 Administration of the Master Subcontracting Plan [FAR 52.219-9 (d)(7)]

Monica Graham, Sector Manager, Global Supplier Diversity Programs, administers this subcontracting plan. Ms. Graham has administrative responsibility for the creation and implementation of policies and procedures to ensure compliance to government regulations. The duties of the administrator are described in section 8.1.

Ms. Janine Nyre, NGMS Vice President, Global Supply Chain, has executive responsibility for the success of the overall program.

Table 8-1 outlines individuals that have authority to approve individual small business subcontracting plans at various business units within the Mission Systems Sector.

Table 8-1. Small Business Program Plan Administrators Division Plan Administrators

Mission Systems Sector Ms. Monica Graham Sector Manager, Global Supplier Diversity Pro-grams P.O. Box 1693 Baltimore, MD 21203 Phone: 410.765.4050 Email: monica.graham@ngc.com

Mission Systems Sector Alternate Airborne C4ISR Systems

Voltaire C. Walker Manager, Global Supplier Diversity Programs Northrop Grumman Corporation 880 Elkridge Landing Road, Mail Stop S401 Linthicum, MD 21090 Telephone: (410) 765-0306 Email: voltaire.walker@ngc.com

Mission Systems Sector Alternate Airborne C4ISR Systems - Communications

Mikal Aziz Small Business Liaison Officer Northrop Grumman Corporation 9326 Spectrum Center Boulevard San Diego, CA 92123 Telephone: (858) 514-9096 Email: mikal.aziz@ngc.com

Cyber and Intelligence Mission Solutions Ronald Penick

Northrop Grumman Corporation 4807 Stonecroft Blvd.

Chantilly, VA 20151 Telephone: (703) 322-5113 Email: ronald.penick@ngc.com

Cyber and Intelligence Mission Solutions (Xe-tron)

Brian James

Northrop Grumman Corporation 460 W. Crescentville Rd.

Cincinnati, OH 45246 Telephone: (513) 881-3405 Email: j.james@ngc.com mailto:monica.graham@ngc.com mailto:mikal.aziz@ngc.com mailto:ronald.penick@ngc.com mailto:j.james@ngc.com

–12–

Table 8-1. Small Business Program Plan Administrators Division Plan Administrators

Land and Avionics C4ISR, Space & ISR Systems

Cynthia McKeever

Northrop Grumman Corporation 880 Elkridge Landing Road, Mail Stop S401 Linthicum, MD 21090 Telephone: (410) 993-9366 Email: cynthia.mckeever@ngc.com

Land and Avionics C4ISR Anthony Fisher

Northrop Grumman Corporation 1740 Wehrle Drive Buffalo, NY 14221-7032 Telephone: (716) 626-3821 Email: anthony.fisher2@ngc.com

Land and Avionics C4ISR Sandra Ehlers

Northrop Grumman Corporation 2787 South Orange Blossom Trail Apopka, FL 32703-2010 Telephone: (321) 354-2662 Email: sandra.ehlers@ngc.com

Missile Defense and Protective Systems Robert Watson

Northrop Grumman Corporation 301 Voyager Way, NW, M/S UAL311/4606 Huntsville, AL 35806 Telephone: (256) 327-6455 Email: robert.watson@ngc.com

Navigation & Maritime Systems Melissa Ozaeta

Northrop Grumman Corporation 401 E. Hendy Ave Sunnyvale, CA 94088 Telephone: (408) 735-3353 Email: melissa.ozaeta@ngc.com

Navigation & Maritime Systems Kristen Browning

Northrop Grumman Corporation 1070 Seminole Trail Charlottesville, VA 22901 Telephone: (434) 974-2148 Email: kristen.browning@ngc.com

Engineering, Science & Technology Voltaire C. Walker Manager, Global Supplier Diversity Programs Northrop Grumman Corporation 880 Elkridge Landing Road, Mail Stop S401 Linthicum, MD 21090 Telephone: (410) 765-0306 Email: voltaire.walker@ngc.com

8.1 Duties of the Administrator [FAR 52.219-9 (d)(7)]

Advise, assist, and represent NGMS on small business matters and coordinate with the small business community and the government.

1. Assist in the establishment of internal small business goals.

2. Develop and conduct an annual Socio-Economic Business Training Program for program management, business development, acquisition, and technical personnel.

mailto:cynthia.mckeever@ngc.com mailto:anthony.fisher2@ngc.com mailto:sandra.ehlers mailto:robert.watson@ngc.com mailto:melissa.ozaeta@ngc.com mailto:kristen.browning@ngc.com

–13–

3. Assist internal personnel to search for and develop qualified small business concerns as sources of supply.

4. Counsel and discuss subcontracting opportunities with representatives of small business concerns.

5. Assist small business concerns preparing proposals and arranging the engineering and quality assurance support needed to meet specifications and other documentation requirements. Reasonable effort will be made to give all known potential bidders an opportunity to compete of a period of time.

6. Acts as an intermediary between the customer and the Small Business Administration on matters pertaining to the administration of this plan.

7. Establish formats and due dates for the preparation of internal company small business reports.

8. Conduct periodic audits of company compliance and performance.

9. Maintain listings of small business concerns.

10. Communicate NGMS small business performance and accomplishments within

NGMS and to upper management.

11. Develop a socioeconomic business programs recognition/incentive program for NGMS personnel.

12. Support the eSRS reporting requirements through the preparation and submission of ISRs and SSRs.

13. Ensure that subcontractors with subcontracting plans agree to submit ISRs and/or the SSRs using eSRS.

9.0 Efforts to Assure an Equitable Opportunity to Compete for Procurement opportunities [FAR 52.219-9 (d)(8)]

NGMS assures that small business concerns have an equitable opportunity to compete for subcontracts, by arranging solicitations, time for preparation of bids, quantities, specifications, and delivery schedules so as to facilitate the participation of SB, SDB, WOSB, HUBZONE, HBCU/MI, VOSB, SDVOSB, ANC/IT and AbilityOne concern activities.

Training programs are conducted annually within the NGMS sector to review corporate policies and procedures regarding support of the socio-economic program. NGMS personnel are encouraged to seek out the use of these approved small business sources and encouraged to develop new qualified sources on new business opportunities.

NGMS publicizes subcontract opportunities through participation in various advertising publications, trade fairs, federal procurement conferences, industry conferences and local affiliations.