B04 73351021R0008.pdf

Solicitation Number: 73351021R0008 Solicitation Issue Date: 30 July 2021 Response Deadline: 19 August 2021 at 5:00pm Eastern Time (ET).

Contracting Office: U.S. Small Business Administration, Office of the Chief Financial Operations and Acquisitions Management (OFOAM), 721 19th St., Denver, CO 80202 Point of Contact (POC): Rachelle Colon-Serna; Rachelle.Colon-Serna@sba.gov

General Information This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulations (FAR) Subpart 12.6, Streamlined Procedures for Evaluation and Solicitation for Commercial Items, as applicable, and supplemented with additional information included in this notice. This announcement constitutes the only solicitation; proposals are being requested and a written solicitation will not be issued.

73351021R0008 is being issued as a request for proposal (RFP).

The solicitation incorporates provisions and clauses in effect through Federal Acquisition Circular 2021-06, effective 12 July 2021.

This is a total small business set aside. The North American Industry Size Classification System (NAICS) code associated with this requirement is 541720 Research and Development in the Social Sciences and Humanities. The small business size standard is $22M. The Product Service Code is AF11 Education, Training, Employment, & Social Services Research & Development Services; Basic Research.

This notice does not obligate the Government to award a contract; it does not restrict the Government’s ultimate approach; nor does it obligate the Government to pay for any proposal preparation costs.

Requirement Information The U.S. Small Business Administration (SBA), Office of Advocacy intends to procure research on small business topics using economic data, in accordance with the Attachment 1 – Statement of Work.

The purpose of this requirement is to produce an economic study with empirical, data-intensive analysis of an issue of current relevance to small businesses. This economic study will analyze important aspects of the economic impacts of the COVID-19 pandemic on small businesses, challenges during recessions and recovery trends, and assess the policy implications of their findings. This study may focus on small businesses overall, small businesses in certain industries, or business owner demographic groups, such as veterans, minorities, or women.

Line Item

Description Quantity Unit of Measure

Unit Price

Extended Price

0001 Outline and data development completed (includes 1.a and 1.b)

1 Each TBD TBD

0002 Draft Introduction, Literature Review, & Data Discussion sections – submitted for COR and editorial review in complete or nearly complete form.

1 Each TBD TBD

0003 First Draft Sections; Peer Review or External Consultation Possibly Initiated (includes 3.a and 3.b)

1 Each TBD TBD

0004 Polished Draft including all report sections and Peer Review or External Consultation – complete first draft submitted for COR, editorial, and peer review or external consultation

1 Each TBD TBD

0005 Final Draft Passback (includes 5.a and 5.b)

1 Each TBD TBD

0006 Reworked, Resubmission of Proposed Final Document (includes 6.a and 6.b)

1 Each TBD TBD

0007 Reworked, Resubmission of Proposed Final Document (includes 6.a and 6.b)

1 Each TBD TBD

Total Price TBD

Place of Delivery/Acceptance/FOB Point SBA Headquarters, Office of Advocacy, 409 3rd Street SW, Washington, DC. 20416.

Clauses and Provisions FAR Provision 52.212-1 Instructions to Offerors-Commercial Items (Jul 2021), applies to this acquisition and includes addenda, see Attachment 3 – Instructions to Offerors.

FAR Provision 52.212-2 Evaluation-Commercial Items (Best Value/Trade-Off) (Oct 2014) is applicable with Technical and Price for evaluation criteria, see Attachment 3 – Instructions to Offerors.

FAR Provision 52.212-3 Offeror Representations and Certifications – Commercial Items (Feb 2021) is included in Attachment 3 – Instructions to Offers and shall be completed and returned with the proposals.

FAR Clause 52.212-4, Contract Terms and Conditions-Commercial Items (Oct 2018), applies to this acquisition and includes addenda, see Attachment 2 – Terms and Conditions.

FAR Clause 52.212-5, Contract Terms and Conditions Required To Implement Statutes or Executive Orders-Commercial Items (Jul 2021), applies to this acquisition and the applicable clauses are found in Attachment 2 –Terms and Conditions.

Instructions to Offerors & Evaluation Criteria See Attachment 3 - Instructions to Offerors including when questions and answers are due and how to submit proposals.

73351021R0008 Attachment 1 Page 1 of 11

Research on Small Business Topics Using Economic Data

Statement of Work

The U.S. Small Business Administration’s Office of Advocacy examines the role and status of small business in the economy and represents the views of small business to federal agencies, Congress, and the President. Advocacy is an independent office within the Small Business Administration that conducts policy analysis of small business impacts, disseminates small business statistics, and funds research into small business issues. For more information on the Office of Advocacy, including past research projects, visit https://advocacy.sba.gov/category/research/economic-reports/economic-studies/.

Type of contract: Firm Fixed Price Location of work: Contractor’s facility Anticipated period of performance: Not more than one year from the award date Clearance required: None

1 Purpose

The purpose of this solicitation is to produce an economic study with empirical, data-intensive analysis of an issue of current relevance to small businesses. This economic study will analyze important aspects of the economic impacts of the COVID-19 pandemic on small businesses, challenges during recessions and recovery trends, and assess the policy implications of their findings. This study may focus on small businesses overall, small businesses in certain industries, or business owner demographic groups, such as veterans, minorities, or women.

2 Background

The Office of Advocacy is responsible for examining the contributions and challenges of small businesses in the U.S. economy, including veteran, women, and minority-owned small businesses. Advocacy is constantly seeking to increase understanding of the state of small businesses, and supports research related to the role of entrepreneurship in the economy and the examination of various issues of relevance to small business owners. In light Covid-19’s impact on the nation’s small businesses, understanding the status of small businesses is vital to economic recovery and supporting them in future crises. To this end the Office of Advocacy seeks research that increases knowledge about the state of small businesses as well as major issues facing small businesses.

In March 2020, the COVID-19 pandemic hit the United States causing widespread economic damage. The economic impact of the pandemic varied across geographic areas, with metropolitan and coastal areas hardest hit. Additionally, some industries suffered more than others, with the largest declines in employment in leisure and hospitality. Further, https://advocacy.sba.gov/category/research/economic-reports/economic-studies/

73351021R0008 Attachment 1 Page 2 of 11 disproportionate metropolitan impacts contributed to differences across demographic categories, with Black and Asian business owners suffering the most.1

Business owners of different demographic groups display unique characteristics and encounter specific business challenges. Various research has shown that crises magnify pre-existing disparities across business ownership demographic groups, industries, and job types. Pre-crises, women and minorities tended to be underrepresented in business ownership and, on average, had smaller operations. 2 And from April 2019 to April 2020 due to the unprecedented shock from COVID-19, the number of business owners for all demographic groups dropped precipitously.3

The Office of Advocacy’s research has focused on illuminating unique business challenges for policymakers. For example, research has shown that during the pandemic, declines in business activity among Black business owners has been nearly three times the decline among other owners.4 Similar disparities exist across industries, where net job losses through January have been especially severe in the leisure and hospitality industry—in which employment is still 22.9 percent below pre-pandemic.5 Restaurants and bars, a category dominated by small businesses, have suffered disproportionate declines in employment.6 In the post crisis period of the Great Recession, both applications and transitions to employer startups decreased slowly but persistently, which contrasts the pandemic recession — where new applications initially declined, but have since sharply rebounded.7 Other research showed that during the recent downturn job seekers shifted their searches away from early-stage companies and toward larger firms, which led to a deterioration in the quality of the human capital pool available to early-stage ventures during the downturn.8 This study also finds that economic downturns negatively impact entrepreneurship.9 Understanding how recessions affect business formation among business owner demographic groups may aid in the formulation of policy to encourage future economic growth and innovation.

1 Wilmoth, Daniel, “The Effects of the COVID-19 Pandemic on Small Businesses.” U.S. Small Business Administration, Office of Advocacy, March 2021. https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/02112318/COVID-19- Impact-On-Small-Business.pdf

2 Headd, Brian "Business Ownership Demographics.” U.S. Small Business Administration, Office of Advocacy, March 2021. https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/16095912/Business-Ownership-Demographics-Fact- Sheet.pdf

3 Fairlie, Robert, “The Impact of Covid-19 On Small Business Owners: Evidence of Early-Stage Losses from the April 2020 Current Population Survey.” National Bureau of Economic Research, Working Paper Series, June 2020.

https://www.nber.org/system/files/working_papers/w27309/w27309.pdf

4 Wilmoth, Daniel “Black Business Owners Hit Hard By Pandemic.” U.S. Small Business Administration, Office of Advocacy, August 2020. https://cdn.advocacy.sba.gov/wp-content/uploads/2020/08/31083212/Black-Business- Owners-Hit-Hard-By-Pandemic.pdf

5 Monetary Policy Report. Board of Governors of the Federal Reserve System. February 2021.

https://www.federalreserve.gov/monetarypolicy/files/20210219_mprfullreport.pdf

6 Wilmoth, Daniel, “Restaurants and Bars Staggered by Pandemic.” U.S. Small Business Administration, Office of Advocacy, June 2020. https://cdn.advocacy.sba.gov/wp-content/uploads/2020/06/29105857/Small-Business-Facts- Restaurants-And-Bars-Staggered-By-Pandemic.pdf

7 Dinlersoz E.; Dunne T.; Haltiwanger J.; and Penciakova V., “Business Formation: A Tale of Two Recessions.” Center for Economic Studies (CES), January 2021. https://www2.census.gov/ces/wp/2021/CES-WP-21-01.pdf

8 Bernstein,S,; Townsend R.R., and Xu Ting, “Flight To Safety: How Economic Downturns Affect Talent Flows To Startups.” National Bureau of Economic Research, Working Paper Series October 2020.

https://www.nber.org/system/files/working_papers/w27907/w27907.pdf

9 Ibid https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/02112318/COVID-19-Impact-On-Small-Business.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/02112318/COVID-19-Impact-On-Small-Business.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/16095912/Business-Ownership-Demographics-Fact-Sheet.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2021/03/16095912/Business-Ownership-Demographics-Fact-Sheet.pdf https://www.nber.org/system/files/working_papers/w27309/w27309.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2020/08/31083212/Black-Business-Owners-Hit-Hard-By-Pandemic.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2020/08/31083212/Black-Business-Owners-Hit-Hard-By-Pandemic.pdf https://www.federalreserve.gov/monetarypolicy/files/20210219_mprfullreport.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2020/06/29105857/Small-Business-Facts-Restaurants-And-Bars-Staggered-By-Pandemic.pdf https://cdn.advocacy.sba.gov/wp-content/uploads/2020/06/29105857/Small-Business-Facts-Restaurants-And-Bars-Staggered-By-Pandemic.pdf https://www2.census.gov/ces/wp/2021/CES-WP-21-01.pdf https://www.nber.org/system/files/working_papers/w27907/w27907.pdf

73351021R0008 Attachment 1 Page 3 of 11

Adding to the economic literature on important issues affecting small businesses can help inform policymakers and potentially improve future small business outcomes.

3 Scope

3.1 Overview

a. Any additional terms must be submitted with the proposal. No additional terms or agreements will be considered following award.

b. The research contract will incorporate by reference the contractor’s complete research proposal, the complete Statement of Work (SOW), and additional documents.

c. This is a nonpersonal services contract to provide services as detailed herein and in the contractor’s complete research proposal.

d. The contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform this service as defined in this SOW. The contractor shall perform to the standards identified in this contract.

3.2 Proposal Expectations

This solicitation is for empirical research on an economic issue salient to small businesses to increase understanding and provide policymaking insight and is not intended specifically for evaluation of SBA programs. Research proposals should exhibit strong knowledge of the research area. The hypotheses to be tested should be presented, and the data that will be used to test them should be identified. Research proposals can use a wide range of data sources.

Modern statistical techniques and timely data are preferred. It is not expected that a research proposal will cover all issues and all owner demographic groups. If focusing on an issue relevant to a particular owner demographic group, groups of interest include but are not limited to racial groups, ethnic groups, sex/gender groups, groups with disabilities, age, and veteran status. Preference will be given to the proposal that best shows a strong technical knowledge of the issue to be researched, demonstrates the policy relevance of the research and potential findings, and presents a clear, concise, and feasible research plan.

3.3 Data Sources

The proposed analysis can use a variety of economic datasets, and proposals should identify the economic dataset(s) that will be analyzed. The following list is not a comprehensive list of data sources appropriate for this research, and proposals that use the mentioned data will not necessarily be given preference.

a. American Community Survey (ACS)

b. Annual Business Survey (ABS)

c. Statistics of U.S. Business (SUSB)

d. Survey of Income and Program Participation (SIPP)

e. Current Population Survey (CPS)

f. Longitudinal Employer-Household Dynamics (LEHD)

g. County Business Patterns (CBP)

h. Business Employment Dynamics (BED)

73351021R0008 Attachment 1 Page 4 of 11

i. Business Dynamics Statistics (BDS)

j. Job Openings and Labor Turnover Survey (JOLTS)

k. National Longitudinal Surveys (NLS)

l. Nonemployer Statistics (NES)

m. Nonemployer Statistics by Demographics (NES-D)

n. Business Formation Statistics (BFS)

o. International Trade Administration Exporter Database

p. Census PUMS files

q. FDIC Call Reports

r. FDIC Summary of Deposits

s. FFIEC Community Reinvestment Act (CRA) Data

t. Small Business Pulse Survey (SBPS)

3.4 Possible Topics

The Office of Advocacy encourages offerors to submit proposals on a topic of relevance to Advocacy’s mission10, small business stakeholders, policymakers, academics, and small business owners. Possible topic areas of focus include:

a. Economic impacts of the COVID-19 pandemic on small businesses

b. Closure and startup trends during the COVID-19 pandemic

c. Small business job vacancies, finding and retaining qualified workers, and workforce development needs

d. Small business wages and employment

e. Trends in small business participation in federal procurement

f. Economic impacts of federal policies on small businesses

g. The effects of seed and venture capital on early stage startups

h. Trends in bank lending and alternative financing

i. Economic impact of tax policy on small businesses

j. Small businesses in international trade

k. Business dynamism and survival rates during crises

l. Role of nonemployer businesses

m. Innovation and entrepreneurship during recessions

n. Reasons for disparities across demographic groups in business ownership, revenues, and employment

o. Barriers to entrepreneurship and small business growth

p. Small business supply chain challenges

3.5 Research Methods

The proposal should describe the empirical methods that will be used. The use of modern statistical techniques to test hypotheses about causal relationships is preferred. Proposals involving instrumental variables should identify the instruments to be used and defend their

10 see 15 U.S.C. § 634(b).

73351021R0008 Attachment 1 Page 5 of 11 suitability. The software that will be used to conduct the analysis should be identified. Research should be thoroughly documented and reproducible, and scripts of the analysis in statistical packages like R or Stata should be available upon request.

3.6 Components of Finished Research

The final research report should contain an executive summary, a literature review of the relevant research, discussion and description of the data and methodology, the results and findings of the analysis, policy implications, and overall conclusions. The final research report should be thorough, clear, concise, and cohesive.

4 Deliverables

4.1 Final Deliverable Schedule

The following is a general set of deliverables and deadlines for the delivery of those deliverables.

More specific deliverables and a more specific deliverable schedule shall be finalized following the award of the contract and shall be mutually agreed upon by the Contractor, Contracting Officer, and Contracting Officer Representative at the kick-off meeting for the contract. The deliverables and deliverable schedule shall be based on the milestones identified in this section, the accepted proposal, and the specific period of performance of the contract upon award, including specific due dates within the contract term. The final deliverable schedule shall be formally amended to the contract through a modification.

4.2 Progress of Deliverables

Deliverables must show significant progress relative to each previous deliverable and must be consistent with all parts of section 5 of the Statement of Work, Performance Requirements. SBA’s Office of Advocacy will not cover the costs associated with correcting rejected deliverables.

4.3 Acceptance of Deliverables

The Contracting Officer Representative (COR) shall review submitted deliverables over a reasonable amount of time and shall make an express determination of whether to accept or reject the deliverable.

Deliverable Due Date Format for Written Submissions

Transition Method

Transmitted to Whom

Post Award Conference – discuss expectations, procedures/invoicing, and deliverables milestones

10 business days after award

N/A -- Phone Conference

N/A CO and

COR

Monthly progress reports 3rd business day of each month

Microsoft Word document

Via Email COR

Discussions on reports/submittals, including passback and edits

As scheduled by request of the COR (possible bi-

N/A -- Phone Conference

N/A COR/Vendor

73351021R0008 Attachment 1 Page 6 of 11

Deliverable Due Date Format for Written Submissions

Transition Method

Transmitted to Whom weekly calls)

Detailed Contract Deliverables Milestones

1. Outline and data development completed (includes 1.a and 1.b)

Months 1-3 of contract term

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

a. Outline – establishes planned overarching structure for report

Microsoft Word document

Via Email COR

b. Initial Briefing – contractor presents outline, projected research path, and any preliminary findings.

Microsoft Word or PowerPoint Document

Via Tele-conference or in Person

COR and internal staff including Advocacy editors

2. Draft Introduction, Literature Review, & Data Discussion sections – submitted for COR and editorial review in complete or nearly complete form.

Months 3-4 of contract term

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

3. First Draft Sections; Peer Review or External Consultation Possibly Initiated (includes 3.a and 3.b)

Months 4-6 of contract term

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

a. Initial results of analysis submitted for review, including: preliminary model & results, descriptive statistics/cross-tabulations, preliminary graphics, Microsoft Word documents formatted in accordance with specifications and/or statistical

Via Email COR

73351021R0008 Attachment 1 Page 7 of 11

Submissions

Transition Method

Transmitted to Whom preliminary discussion of results results (no PDFs or locked files)

b. Complete Draft submitted for COR and editorial review, including methodology, model, results, and discussion

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

4. Polished Draft including all report sections and Peer Review or External Consultation – complete first draft submitted for COR, editorial, and peer review or external consultation

Months 6-8 of contract term

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

5. Final Draft Passback (includes 5.a and 5.b)

Months 8-9 of contract term

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

a. Peer review or external consultation and COR, editorial feedback distributed – contractor will receive comments

Microsoft Word or

PDF

Via Email COR to contractor

b. Response to peer review or external consultation – submitted for COR review, including proposed revisions in response to comments with brief explanation.

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

6. Reworked, Resubmission of Proposed Final Document (includes 6.a and 6.b)

Months 9- 11 of

Microsoft Word documents formatted in

Via Email COR

73351021R0008 Attachment 1 Page 8 of 11

Submissions

Transition Method

Transmitted to Whom contract term accordance with specifications and/or statistical results (no PDFs or locked files)

a. Final round of substantive comments distributed.

Microsoft Word or

PDF

Via Email COR to contractor

b. Draft Final Report – submitted for COR and editorial review, including final revisions in response to comments/edits.

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

7. Final Report Submission

– completed final product.

No later than day before end of contract term.

Microsoft Word documents formatted in accordance with specifications and/or statistical results (no PDFs or locked files)

Via Email COR

5 Performance Requirements

5.1 General Requirements

a. The methodology and hypotheses put forth in the proposal will clearly show how the research will be conducted, are binding upon award, and are expected to be reflected in the final report.

b. All research team members listed in the proposal, including but not limited to subject matter and technical experts, will actively contribute through the performance of these services.

c. The resulting final submission will fully document the analysis and conclusions to fully support the position asserted.

d. The final product should contain a thorough review of the current and relevant literature, discussion of the data and findings, and overall conclusions.

e. The report should demonstrate policy relevance to current issues.

f. Deliverables as listed in the final deliverable schedule will reflect reasonable progress toward the final product and should be submitted according to final product formatting requirements, meaning all deliverables should be thoroughly proofread and edited, written clearly and concisely and free of grammatical and typographical errors.

73351021R0008 Attachment 1 Page 9 of 11

g. For other details on the final product, see section 4 of the Statement of Work on deliverables and section 5.2 of the Statement of Work on additional requirements.

5.2 Additional Requirements

Contractors must adhere to the following when submitting draft and final deliverables, with the draft and final versions completed by the listed deadlines:

5.2.1 Adherence to Contract Terms

All submissions will be presented by the prescribed deadlines; presented under the prescribed methodology; in the prescribed format to the contracting officer’s representative (COR).

Documents shall be clearly annotated and/or identified as either a draft or a final document.

5.2.2 Deliverables

The contractor will provide the Office of Advocacy with an electronic version of the final deliverable within the contract term. All of the deliverables listed in the deliverables chart of this SOW and any subsequent modifications to the contract, including all drafts identified as deliverables, shall be created in accordance with the terms and conditions detailed in this document. The research is expected to progress along the timeline and benchmarks as noted in the Deliverables section and as incorporated into the contract.

5.2.3 Contract Team

a. Key Personnel Key personnel shall have the technical skills requisite to perform the project. This requires a minimum of advanced technical training in applied economic and econometric analysis and demonstrated experience as subject matter experts. For example, a Ph.D. in Economics or survey methodology would be considered acceptable. Offerors shall submit resumes that demonstrate these minimum qualifications for key personnel, such as project leads.

b. Changes in Contract Team Contractors must seek prior written approval from the contracting officer and COR before any changes are implemented among the key personnel and other staff listed in the proposal.

Individuals that the contractor proposes to use as replacements for those listed in the proposal shall satisfy the minimum qualification requirements contained in the solicitation and the contractor must provide resumes for each proposed replacement as part of its request for prior written approval.

5.2.4 Paperwork Reduction Act Requirements

When surveys or new information collections are necessary, contractors must meet the requirements of the Paperwork Reduction Act (PRA) where applicable. In order to do so, the contractor will need to anticipate within the performance term the required public notice and OMB review for information collections under the PRA. The creation of a new information collection will require the contractor to develop survey procedures; identify appropriate respondents; provide clarification of the collection process; provide realistic estimates of the response rates; and work to develop an appropriate survey instrument (see, https://www.whitehouse.gov/omb/information-regulatory-affairs/federal-collection-information/).

73351021R0008 Attachment 1 Page 10 of 11

It is the contractor’s responsibility to prepare any materials necessary to obtain PRA clearances associated with the work to be performed.

5.2.5 Data Quality and Transparency Requirements

All research and data projects are subject to the Office of Management and Budget Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies (see, https://www.gpo.gov/fdsys/pkg/FR-2002-02-22/pdf/R2- 59.pdf).

Per these guidelines, data source disclosure and robustness checks will be required for any research or data project, including all data coding necessary to replicate findings and datasets derived through coding and query and used in support of analysis, unless otherwise limited by special access agreements. Peer review may range from internal Advocacy staff review to that of external reviewers in relevant fields such as academics or technical experts. Feedback from this process will be incorporated into subsequent drafts before the report can be finalized for release.

5.2.6 Data Rights

Rights in Data under FAR §§ 52.227-14 (alternates II, IV and V), 52.227-15, and 52.227-16 shall apply. In accordance with alternate IV of FAR § 52.227-14, this contract contains limitations on the contractor’s rights to assert copyright in work produced under this contract.

5.2.7 Editing and Proofreading Requirements

The documented submissions related to the post award service, including the final report and all intervening deliverables, must be thoroughly edited and of high professional quality before submission to the COR. These high professional quality drafts and reports shall include professional language, presentation, and citations commensurate with published research in academic journals in the relevant subject matter field and shall be free of typographical and grammatical errors.

5.2.8 Style Requirements

The final report must contain an executive summary and table of contents. It must conform to the current version of one of the major style guides, such as the University of Chicago Manual of Style or the American Psychological Association (APA) Style Manual, in terms of grammar, style, and organization. In particular, each table and figure must have a source specified on the page;

references, footnotes and bibliographies shall be formatted consistent with a major style guide;

and all pages shall have page numbers, including tables and figures.

5.2.9 ADA Section 508 Requirements

All government agency electronic and information technology (EIT) is required to comply with the Americans with Disabilities Act of 1990 (ADA). Section 508 of the ADA’s 1998 amendments requires the electronic documents posted by Federal agencies to be accessible to employees and members of the public with disabilities to the extent that it does not pose an "undue burden." To comply with this mandate, the final report must be formatted in accordance with Section 508 requirements. The according to the Office of Advocacy will provide guidance to achieve 508 compatibility at the time of award; however, it is ultimately the contractor’s responsibility to provide all deliverables in accordance with the legal requirements for section 508 compliance. Per the guidelines, written descriptions of all figures and charts in the final report must be provided in a separate document.

73351021R0008 Attachment 1 Page 11 of 11

5.2.10 Formatting Requirements

Final reports must be double-spaced. The format of the electronic version must be a native word processing software format. An Acrobat (PDF) file is not acceptable. All tables, graphics, and charts must be supplied in an editable software format. The font size used in the document will be no smaller than 12 point for manuscript text; 10 point for tables, graphics and charts; and 9 point for footnotes.

5.2.11 Disclaimer

The Office of Advocacy will prepare a cover page carrying the following disclaimer, "The statements, findings, conclusions, and recommendations found in this study are those of the authors and do not necessarily reflect the views of the Office of Advocacy, the United States Small Business Administration, or the United States Government."

5.2.12 Product Release

If the contracted product is a complete publishable report, following approval and acceptance of the final report, the Office of Advocacy will assign a date for public release of the report. Upon release, an electronic final report, along with an Office of Advocacy-prepared research summary, will be posted on Advocacy's web site, https://advocacy.sba.gov/.

5.2.13 Definition of Small Business

Within the research product, the definition of small businesses should be the same as that of the proposal and should be consistent with either the general definition of small businesses (less than 500 employees), the definition of small business established by the U.S. Small Business Administration’s Office of Size Standards, or a reasonably justified definition of small business as substantiated in the contractor’s proposal.

5.2.14 Future Publication and Attribution

Prior to the Office of Advocacy’s release, the Contractor shall not release, distribute, or publish the final research product without written permission of the Office of Advocacy. The Office of Advocacy encourages contractors to publish their findings in professional journals, if possible, but they can do so only after completing the contract, and, if prior to the Office of Advocacy’s release, receiving written permission of the Office of Advocacy. Prior to publication, the Contractor must notify the Contracting Officer Representative in writing regarding attribution to the Office of Advocacy. Attribution must cite the SBA contract number under which the research was performed.

https://advocacy.sba.gov/

73351021R0008 Attachment 2 - Terms and Conditions Page 1 of 10

52.212-4 Contract Terms and Conditions-Commercial Items (Oct 2018)

Addendum to 52.212-4

(w) The following are clauses required by the Federal Acquisition Regulation (FAR) and the U.S. Small Business Administration (SBA). The clauses are categorized for the purposes of paragraph (s) Order of Precedence as Other Compliances and Compliance with Laws Unique to Government Contracts.

Invoice Submission

a. Invoices shall be submitted via the Invoice Processing Platform (IPP), a service provided by the U.S. Treasury’s Bureau of the Fiscal Service. Contractors are solely responsible for ensuring invoices are accepted by IPP and transmitted to the SBA. IPP will submit a status update to the vendor when the invoice is transmitted to the SBA.

b. Contractors not enrolled in IPP will be notified to register upon award of a contract, agreement or order. Unless already enrolled in IPP, Contractors shall enroll at https://www.ipp.gov/. Contractors should contact the IPP Customer Support for system-related questions at 866-973-3131or IPPCustomerSupport@fiscal.treasury.gov.

c. Contractors shall ensure that their System for Award Management (SAM) account remains active during contract or order performance. IPP will not allow a submission or payment of an invoice if the Contractor’s SAM registration is expired.

d. The Contractor shall include or input the following information. Additional information may be required by the contract, agreement or order. Items with asterisks typically automatically populate from the contract or order.

i. Vendor name and address

ii. Invoice date: Future dates and dates greater than five years in the past cannot be entered into IPP

iii. Invoice number. Duplicate invoice numbers cannot be used

iv. Contract and/or order number

v. Quantity per Contract Line Item Number (CLIN)

vi. Description, unit of measure, unit price, and extended price of delivered items or provided services

vii. Unless otherwise specified in the contract or order, a billing period for services is a month.

viii. For Time and Materials contracts or orders, the Contractor shall invoice no less often than monthly, and shall include the following on the invoice or an attachment to the invoice:

a. Total amount funded by CLIN

b. Total amount invoiced to date by CLIN

c. Funding balance by CLIN iv. Estimated completion cost by CLIN

ix. Discount terms for prompt payment if offered

x. Name and phone number of a Contractor’s Point of Contact (POC) https://www.ipp.gov/ https://www.ipp.gov/

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xi. Attachments as applicable including the Contractor’s internally generated invoice or supporting documentation

e. IPP allows Contractors to view the status of invoices in IPP. IPP invoice status codes are:

i. Pending Approval – Invoice has been submitted via IPP

ii. Approved to Pay – Invoice is approved and payment is or will be scheduled

iii. Rejected – Invoice has been rejected and the invoice must be resubmitted with new invoice number

iv. Paid – Payment has been made to the Contractor’s financial institution

v. Saved in Exception – Invoice has not been created in IPP because of a rule set error

Restrictions on Endorsements

The Contractor shall not refer to contracts/agreements/orders awarded by the SBA in commercial advertising, as defined in FAR 31.205-1, in a manner which states or implies that the product or service provided is approved or endorsed by the Government, or is considered by the Government to be superior to other products or services. This restriction is intended to avoid the appearance of preference by the Government toward any product or service. The Contractor may request the Contracting Officer to make a determination as to the propriety of promotional material.

Preservation of and Access to Contract Records

a. Contract records” means information created or maintained by the contractor in the performance of the contract. Contract records include documents required to be retained in accordance with FAR 4.703 and other information generated or maintained by the contractor that is pertinent to the contract and its performance including, but not limited to: email and attachments; formal and informal correspondence; calendars; notes; reports; memoranda;

spreadsheets; tables; telephone logs; forms; surveys; books; papers; photographs; drawings;

machine-readable materials; and data. Contract records may be maintained as electronically stored information or as tangible materials. Contract records may exist in either final or any interim version (e.g., drafts that have been circulated for official purposes and contain unique information, such as notes, edits, comments, or highlighting).

b. “Electronically stored information (ESI)” means any contract records that are stored on, or generated by, an electronic device, or contained in electronically accessible media, either owned by the contractor, subcontractor(s), or employees of the contractor or subcontractor(s) regardless of the physical location of the device or media (e.g., offsite servers or data storage).

c. “ESI devices and media” include, but shall not be limited to:

1. Computers (mainframe, desktop, and laptop);

2. Network servers, including shared and personal drives;

73351021R0008 Attachment 2 - Terms and Conditions Page 3 of 10

3. Individual e-mail accounts of the contractor’s and any subcontractors’ principals, officers, and

4. employees including all folders contained in each email account such as “Inbox,” “Outbox,”

5. “Drafts,” “Sent,” “Trash,” “Archive,” and any other folders;

6. Personal data assistants (PDAs);

7. External data storage devices including portable devices (e.g., flash drive); and

8. Data storage media (magnetic, e.g., tape; optical, e.g., compact disk; microfilm; etc.).

9. “Tangible materials” means contract records that exist in a physical (i.e., non-electronic) state.

d. If during the period of performance of this contract, SBA becomes or anticipates becoming a party to any litigation concerning matters related to records maintained or generated by the contractor in the performance of this contract, the contracting officer may provide the contractor with a written (either hardcopy or email) preservation hold and certification of compliance with preservation hold. Upon receipt of the hold, the contractor shall immediately take the following actions:

1. Discontinue any alteration, overwriting, deletion, or destruction of all tangible materials and ESI;

2. Preserve tangible materials and ESI. The contractor shall preserve ESI in its “native” form to preserve metadata (i.e., creation and modification history of a document);

3. Identify all individuals who possess or may possess, tangible materials and ESI related to this matter, including contractor employees, subcontractors, and subcontractor employees. The contractor shall provide the names of all such individuals via email to the SBA official indicated in the notice;

4. Document in writing the contractor’s efforts to preserve tangible materials ESI. It may be useful to maintain a log documenting preservation efforts;

5. Complete the certification of compliance with litigation hold upon receipt and return it to the identified contact person; and

6. Upon the request of the contracting officer, provide to the contracting officer or other SBA official designated by the contracting officer with any of the information described in this clause.

7. The contractor shall immediately confirm receipt of such request. The contractor shall describe in detail any records that the contractor knows or believes to be unavailable and provide a detailed explanation of why they are unavailable, and if known, their location.

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1. If any request for records pursuant to paragraph (b)(6) of this clause causes an increase in the estimated cost or price, or the time required for performance of any part of the work under this contract, or otherwise affects any other terms and conditions of this contract, the contracting officer shall make an equitable adjustment in any one or more of the following and will modify the contract accordingly:

a. Contract price.

b. Delivery schedule.

c. Other affected terms.

2. The contractor must assert its right to an adjustment under this clause within 30 days from the date of receipt of the contracting officer’s request made pursuant to paragraph (b)(6) of this clause. However, if the contracting officer decides that the facts justify it, the contracting officer may receive and act upon a request submitted before final payment of the contract.

3. Failure to agree to any adjustment shall be a dispute under the Disputes clause.

However, nothing in this clause shall excuse the contractor from providing the records requested by the contracting officer.

4. The contractor shall include the terms of this clause in all subcontracts awarded under this contract.

52.252-2 Clauses Incorporated by Reference (Feb 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es):

www.acquisition.gov

(End of clause)

Clauses by Reference:

52.204-13 System for Award Management Maintenance (Oct 2018) 52.204-18 Commercial and Government Entity Code Maintenance (Aug 2020) 52.227-14 Rights in Data-General (May 2014) 52.232-39 Unenforceable or Unauthorized Obligations (Jun 2013) 52.232-40 Providing Accelerated Payments to Small Business Subcontractors (Dec 2013)

End of addendum to 52.212-4

52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items (Jul 2021)

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(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or

Statements (JAN 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (JUL 2018) (Section 1634 of Pub. L. 115-91).

(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (AUG 2020) (Section 889(a)(1)(A) of Pub. L. 115- 232).

(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (NOV 2015).

(5) 52.233-3, Protest After Award (AUG 1996) (31 U.S.C. 3553).

(6) 52.233-4, Applicable Law for Breach of Contract Claim (OCT 2004) (Public Laws 108-77 and 108-78 ( 19 U.S.C. 3805 note)).

(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

__ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (JUNE 2020), with Alternate I (OCT 1995) (41 U.S.C. 4704 and 10 U.S.C. 2402).

__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (JUN 2020) (41 U.S.C. 3509)).

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (JUN 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

__ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (JUN 2020) (Pub. L. 109-282) ( 31 U.S.C. 6101 note).

__ (5) [Reserved].

__ (6) 52.204-14, Service Contract Reporting Requirements (OCT 2016) (Pub. L. 111-117, section 743 of Div. C).

__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery

Contracts (OCT 2016) (Pub. L. 111-117, section 743 of Div. C).

__ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors

Debarred, Suspended, or Proposed for Debarment. (JUN 2020) (31 U.S.C. 6101 note).

__ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility

Matters (OCT 2018) (41 U.S.C. 2313).

__ (10) [Reserved].

__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (MAR

2020) (15 U.S.C. 657a).

__ (ii) Alternate I (MAR 2020) of 52.219-3.

https://www.acquisition.gov/far/part-52#FAR_52_203_19 https://www.acquisition.gov/far/part-52#FAR_52_203_19 https://www.acquisition.gov/far/part-52#FAR_52_204_23 https://www.acquisition.gov/far/part-52#FAR_52_204_25 https://www.acquisition.gov/far/part-52#FAR_52_209_10 https://www.acquisition.gov/far/part-52#FAR_52_233_3 http://uscode.house.gov/browse.xhtml;jsessionid=114A3287C7B3359E597506A31FC855B3 https://www.acquisition.gov/far/part-52#FAR_52_233_4 http://uscode.house.gov/browse.xhtml;jsessionid=114A3287C7B3359E597506A31FC855B3 https://www.acquisition.gov/far/part-52#FAR_52_203_6 http://uscode.house.gov/browse.xhtml;jsessionid=114A3287C7B3359E597506A31FC855B3 http://uscode.house.gov/browse.xhtml;jsessionid=114A3287C7B3359E597506A31FC855B3 https://www.acquisition.gov/far/part-52#FAR_52_203_13 http://uscode.house.gov/browse.xhtml;jsessionid=114A3287C7B3359E597506A31FC855B3 https://www.acquisition.gov/far/part-52#FAR_52_203_15 https://www.acquisition.gov/far/part-52#FAR_52_204_10 http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section6101&num=0&edition=prelim https://www.acquisition.gov/far/part-52#FAR_52_204_14 https://www.acquisition.gov/far/part-52#FAR_52_204_15 https://www.acquisition.gov/far/part-52#FAR_52_209_6 http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section6101&num=0&edition=prelim https://www.acquisition.gov/far/part-52#FAR_52_209_9 http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title41-section2313&num=0&edition=prelim https://www.acquisition.gov/far/part-52#FAR_52_219_3 http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section637a&num=0&edition=prelim https://www.acquisition.gov/far/part-52#FAR_52_219_3

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__ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (MAR 2020) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).

__ (ii) Alternate I (MAR 2020) of 52.219-4.

__ (13) [Reserved] X (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (NOV 2020) (15 U.S.C. 644).

__ (ii) Alternate I (MAR 2020) of 52.219-6.

__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (NOV 2020) (15 U.S.C. 644).

__ (ii) Alternate I (MAR 2020) of 52.219-7.

__ (16) 52.219-8, Utilization of Small Business Concerns (OCT 2018) (15 U.S.C. 637(d)(2) and

(3)).

__ (17) (i) 52.219-9, Small Business Subcontracting Plan (JUN 2020) (15 U.S.C. 637(d)(4)).

__ (ii) Alternate I (NOV 2016) of 52.219-9.

__ (iii) Alternate II (NOV 2016) of 52.219-9.

__ (iv) Alternate III (JUN 2020) of 52.219-9.

__ (v) Alternate IV (JUN 2020) of 52.219-9 __ (18) (i) 52.219-13, Notice of Set-Aside of Orders (MAR 2020) (15 U.S.C. 644(r)).

__ (ii) Alternate I (MAR 2020) of 52.219-13.

__ (19) 52.219-14, Limitations on Subcontracting (MAR 2020) (15 U.S.C. 637(a)(14)).

__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (JAN

1999) (15 U.S.C. 637(d)(4)(F)(i)).

__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (MAR

2020) (15 U.S.C. 657f).

X (22) (i) 52.219-28, Post Award Small Business Program Rerepresentation (NOV

2020) (15 U.S.C. 632(a)(2)).

__ (ii) Alternate I (MAR 2020) of 52.219-28.

__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged Women-Owned Small Business Concerns (MAR 2020) (15 U.S.C. 637(m)).

__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business Concerns Eligible Under the Women-Owned Small Business Program (Mar2020) (15 U.S.C. 637(m)).

__ (25) 52.219-32, Orders Issued Directly Under Small Business Reserves (MAR 2020) (15 U.S.C. 644(r)).

__ (26) 52.219-33, Nonmanufacturer Rule (MAR 2020) (15U.S.C. 637(a)(17)).

X (27) 52.222-3, Convict Labor (JUN 2003) (E.O.11755).

X (28) 52.222-19, Child Labor-Cooperation with Authorities and

Remedies…