RFP 10-07 Conduct a Planning Study for the 2010 Survey of Public Participation in the Arts for ORA.pdf

March 17, 2010

Reference: Planning Study for the 2012 Survey of Public Participation in the Arts

Subject: Request for Proposal Solicitation Number RFP 10-07 100% Small Business Set-Aside

Dear Offeror:

The National Endowment for the Arts (NEA) invites contractors to submit proposals for the services described in the attached statements of work, under the authority of Part 12 of the Federal Acquisition Regulation.

Enclosed you will find a Statement of Work/solicitation that requests proposals that will address a Planning Study for the 2012 Survey of Public Participation in the Arts. Questions concerning this proposal shall be submitted only via email to HARRISL@ARTS.GOV by 5:00 pm (EST) March 29, 2010. Please submit your proposals by April 15, 2010 at 5:00 p.m. (EST). This RFP in no way obligates the U.S. Government to award a contract, nor does it commit the U.S. Government to pay any cost incurred in preparing and submitting your proposal.

The Government will award a contract resulting from this solicitation to the responsible offeror whose offer, conforming to the solicitation; will be most advantageous to the Government. Price and other factors will be considered. In order to select the winning offeror, NEA will rank offerors from best to worst. In addition to the narrative assessments prepared by the Evaluation Team for each evaluation factor, a point scoring system will be used to rank all technical proposals. The point scoring system uses a rating scale of 100%. However, NEA will not select an offeror for award on the basis of a superior capability without consideration of the amount of its price. In order to select the winning proposal, NEA will rank each offeror by making a series of paired comparisons between them, trading off the marginal differences in capability with the marginal difference in price.

This procurement is a 100% Small Business Set Aside. The NAICS Code for this solicitation is 541910.

The Government’s estimate is $100,000.00. The actual period of performance will be determined at the time of award; through submission of the final report. We anticipate awarding a 15 month contract.

Proposals submitted in response to this RFP will be received by email1. E-Mail Address:

HARRISL@ARTS.GOV

Proposals that are faxed will not be accepted. Proposals must be received by the closing date and time stated above. Please refer any questions concerning this request to Latonca M. Harris by email at

HARRISL@ARTS.GOV.

Sincerely, Latonca M. Harris

Latonca M. Harris Contracting Officer Grants & Contracts Office

1 The National Endowment for the Arts continues to experience lengthy delays in the delivery of First-Class and Priority mail. In addition, contents are subject to an irradiation process that may damage material. Until normal mail service resumes, please use email.

mailto:harrisl@arts.gov http://www.census.gov/eos/www/naics/htmls/5/541910.htm

Enclosures:

Section B, Supplies/Service and Prices Section C, Description/Specifications/Statement of Work Section D, Preservation, Packaging and Marking Section E, Inspection and Acceptance Section F, Deliveries or Performance Section G, Contract Administration Data Section H, Special Contract Requirements Section I, Contract Clauses Section J, List of Attachments Section K, Representations, Certifications and Other Statements of Offerors Section L, Instructions, Conditions and Notices to Offerors Section M, Evaluation Factors for Award

SECTION B

SUPPLIES/SERVICES AND PRICES

B.1 General

(a) The contractor shall conduct a Planning Study for the 2012 Survey of Public Participation in the Arts that will make recommendations concerning the specific questions to be used in the survey instrument. The recommendations will be based on an assessment of arts participation data needs for the survey’s primary users (e.g., arts researchers, policy-makers, foundations, and service organizations) and delivered to the National Endowment for the Arts, Office of Research & Analysis, located in Washington, DC.

(b) All unit prices are firm fixed rates.

B.2 Contract Type

Firm Fixed Price

Period of Performance: Date of Award through 15 months after award.

ITEM

No.

SUPPLIES OR SERVICES QTY UNIT UNIT PRICE AMOUNT

0001 Planning Study for the 2012 Survey of Public Participation in the Arts

1 Lot

FIRM FIXED PRICE

GRAND TOTAL

AMOUNT FOR

PROJECT:

NTE $

*NEA agrees to release some payments to the contractor consistent with the submission of deliverables during the task order period. The contractor may invoice according to the following schedule:

Task Cost Quantity Total Complete working group meeting.

Completion and Approval of Task C.3.4 within 5 months after award.

$ 1 Lump Sum

Conduct the test survey (a minimum of 300 completed responses).

Completion and Approval of Task C.3.7 within 12 months after award.

$ 1 Lump Sum

Present final report based on recommendations from the NEA Project Director.

Completion and Approval of Task C.10 within 15 months after award.

$ 1 Lump Sum

GRAND TOTAL: $

SECTION C

DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 GENERAL BACKGROUND

In 2012, the National Endowment for the Arts (NEA) plans to conduct its sixth Survey of Public Participation in the Arts (SPPA) in cooperation with the United States Census Bureau. The SPPA is the nation’s largest periodic survey of adult participation in arts and cultural activities. Like the 2002 and 2008 SPPAs, the 2012 survey will be conducted as a supplement to the Census Bureau’s Current Population Survey (CPS).

The NEA is seeking a Contractor to conduct a Planning Study to achieve these overarching goals:

• Provide a thorough, detailed description of the types of arts participation data that would be of the most value to arts and cultural researchers and practitioners (e.g., arts and cultural organizations, funders, and policy-makers);

• Recommend how those data might be obtained with the 2012 SPPA survey instrument while staying within the survey’s 10-minute timeframe and retaining most survey questions from the 2008 SPPA, especially those for which trend data can be generated;

o Options might include: adding new questions to existing modules;

revising the wording of questions in existing modules; and/or creating a new module to meet the data needs identified;

• For each recommended change to the 2008 survey instrument, characterize its strengths and weaknesses in the context of the SPPA’s overall ability to serve the data needs of arts and cultural researchers and practitioners;

• For the types of arts participation questions that cannot be addressed in the 2012 survey for reasons such as the limitations inherent in general population surveys such as the CPS and the SPPA, outline potential alternative national data-collection approaches;

• Develop, refine, and test all questions to be used in the 2012 SPPA.

Previous SPPAs occurred in 1982, 1985, 1992, 1997 (not with the Census Bureau), 2002, and 2008. This Planning Study, as described in the tasks below, offers an opportunity to examine the broad array of arts participation issues of most concern to the field and ensure that the 2012 SPPA addresses the maximum number of questions possible.

The Contractor will seek to maximize the utility of the survey to the agency and the field by obtaining input from current and potential users of the SPPA results and pretesting potential changes to the instrument. To the extent that some topics and questions cannot be addressed by the SPPA, recommendations for alternative data collection will assist the field and the Agency in determining how best to address those needs in the future.

C.2 SCOPE OF WORK

The Contractor will conduct a Planning Study for the 2012 Survey of Public Participation in the Arts that will make recommendations concerning the specific questions to be used in the survey instrument. The recommendations will be made based on an assessment of arts participation data needs for the survey’s primary users (e.g., arts researchers, policy-makers, foundations, and service organizations).

With input from a working group (designated by the Project Director) and the Project Director, the Contractor will weigh priorities for new information that potentially could be obtained through the survey (e.g., questions on barriers to arts participation, details about arts educational experiences, non-traditional venues for arts events and performances, and diverse forms of media participation) within the context of available survey time (10 minutes—the same as in 2008) and the need for survey continuity to achieve the optimum instrument for the 2012 survey.

In addition to preparing background materials for a working group meeting (12-15 individuals with arts and cultural research experience selected by the Project Director), the Contractor will be responsible for facilitating the meeting, drafting a test instrument for the 2012 survey and the required documents for OMB clearance of the instrument, conducting a small random-digit dial survey (a minimum of 300 respondents) to test the new instrument, and conducting cognitive tests of new question wording (less than 10 interviews). The Contractor will prepare a summary report on the overall results of the Planning Study, including recommendations on the specific content for the 2012 SPPA instrument; a description of the arts participation data needs of primary interest to the arts sector; and an outline or description of potential approaches to capturing that information, if not possible through the SPPA survey.

C.3 DETAILED SPECIFICATIONS

The goal of this Planning Study is to provide recommendations for the content of the questionnaire to be used in the 2012 Survey of Public Participation in the Arts and describe the arts participation data needs of primary interest to the arts field (e.g., arts researchers, policy-makers, foundations, and service organizations) and potential approaches to capturing that information, if not through the SPPA survey. The Contractor will perform the following tasks for this project:

C.3.1

Meet with the Project Director (either in person or via conference call) to obtain a list of working group participants (12-15) and discuss the schedule for the working group meeting and for completing the project tasks.

C.3.2

Prepare a brief work plan (2 pages) for accomplishing the remaining tasks of the project.

C.3.3

Prepare a draft package of materials to be sent to the advisors prior to the meeting described in C.3.4, below. The materials should include the following:

a) An overview of the questionnaire content (e.g., order and content of questions, proportion of sample receiving specific questions) of prior SPPA instruments (drawn largely from NEA Research Reports #27, #39, #45, and #49, which are available at www.nea.gov/research/ResearchReports_chrono.html).

b) A brief (no more than 15 pages), annotated summary listing the results of a directed literature search to be conducted by the Contractor (with the assistance of the Project Director) to identify books, journals, dissertations, or newspaper articles that have drawn from the NEA’s SPPA results over the years. The Project Director will provide lists from prior literature search efforts that identified publications that have used SPPA data. The Contractor will need to update the list and summarize the focus of the work, while noting the most and least widely used sections of the SPPA instrument.

c) An overview of the arts sector’s preferences for arts participation data as conveyed through the following items, all to be provided by the Project Director after award:

1) suggestions made during the NEA’s SPPA webinar of 12/10/09(transcript and summary to be provided by Project Director);

2) data user surveys conducted in 2000 and 1995;

3) recommendations from the 1992 Conference on Arts Participation Research conducted by the NEA; and

4) recommendations gleaned from summary reports of prior SPPA planning efforts (See

Attachments 1-3) and more recent suggestions from the field to be provided by the Project Director.

d) Based on a review of major arts participation efforts (Project Director to provide an initial list of 7-10 such efforts) conducted by other organizations both in the U.S. and internationally, a brief (2/3 pages) description of questions or data collection approaches that may assist in addressing user preferences for additional or different arts participation data identified in c).

e) Based on the information compiled in a), b), c), and d) above, prepare a draft list of arts participation questions and/or issues, and options for addressing them for the working group to discuss in the context of developing the potential content of the 2012 SPPA. The impact of each option needs to be described in detail (e.g., “adding a module reduces the sample size for all modules given a fixed interview time, which then limits analysis of all module items in the following ways…”).

C.3.4

Coordinate and facilitate the working group meeting (draft agenda, distribute, and discuss the background materials prepared, facilitate the discussion, and arrange for transcription). The meeting will be conducted at the NEA offices in Washington, D.C. The Contractor will be responsible for travel and per diem expenditures for the external advisors—approximately half of the attendees will be local (less than $50 in expenses) and half will need to travel and per diem (about $1,500 per person).

http://www.nea.gov/research/ResearchReports_chrono.html

C.3.5

Prepare a brief report that describes the results of the working group meeting and submit it to the Project Director and the working group for review. Include in the report a draft list of questions for the “test” survey instrument.

C.3.6

In consultation with the Project Director, prepare a final set of questions for a “test” survey instrument and submit a draft clearance package for submission to OMB.

C.3.7

Following OMB approval, conduct the test survey (a minimum of 300 completed responses).

C.3.8

Tabulate, analyze, and report on the test survey results—especially how the instrument functioned and whether additional revisions are needed.

C.3.9

Prepare a draft final report that summarizes the results of the overall planning effort and provides recommendations for the specific content of the instrument to be used in the 2012 SPPA.

C.3.10

Prepare a final report based on the comments provided by the Project Director.

SECTION D

PRESERVATION, PACKAGING AND MARKING

Not Applicable.

SECTION E

INSPECTION AND ACCEPTANCE

E.1 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 address: www.arnet.gov.

(END OF CLAUSE)

E.2 52.246-4 Inspection of Services—Fixed-Price (AUG 1996) http://www.arnet.gov/

E.3 Inspection and Acceptance

FAR Clause 52.246-4 Inspection of Services – Fixed Price, will govern inspection and acceptance of all services performed by the Contractor. The Contractor is responsible for carrying out its obligations under this contract by controlling the quality of all services rendered and ensuring performance of all contract requirements.

SECTION F

DELIVERIES OR PERFORMANCE

F.1 Timeline for Performing Contract Requirements Delivery Schedule:

Task Due Date Complete Task C.3.1 within 10 days after the award Complete Task C.3.2 within 15 days after the award Complete Task C.3.3 within 3 months after the award Complete Task C.3.4 within 5 months after the award.

Complete Task C.3.5 within 6 months after the award.

Complete Task C.3.6 within 7 months after the award.

Complete Task C.3.7 within 12 months after the award Complete Task C.3.8 within 13 months after the award Complete Task C.3.9 within 14 months after the award Complete Task C.3.10 within 15 months after the award

F.2 Term of Contract

The contract term is for 15 months from the date of award as shown in Section B. All work is expected to be completed within 15 months of award.

F.3 Notice to the Government of Delays

Required services shall begin at time of award in accordance with the Statement of Work. The Contractor is responsible for carrying out its obligations under this contract by controlling the quality of all services rendered and ensuring performance of all contract requirements. To this end, the Contractor shall establish, maintain, and manage quality control throughout the life of this contract. In the event the Contractor encounters difficulty in meeting performance requirements, or when the contractor anticipates difficulty in complying with the contract delivery schedule or completion date, or whenever the Contractor has knowledge that any actual or potential situation is delaying or threatens to delay the timely performance of this contract, the Contractor shall immediately notify the Contracting Officer and the NEA Project Director, in writing, giving pertinent details. The contractor shall provide these services within 24 hours of written notification, however, this data shall be informational only in character and that this provision shall not be construed as a waiver by the Government of any delivery schedule or date, or any rights or remedies provided by law or under this contract.

F.4 Deliverables

The contractor shall provide information regarding the content and format for each deliverable.

Acceptance of all written documents and receipt of the data tabulations will be based upon the NEA Project Director’s review and approval. The Contractor shall provide any additional reports that may be requested by the NEA Project Director.

SECTION G

CONTRACT ADMINISTRATION DATA

G.1 NEA Project Director

G.1.1 Upon award, a NEA Project Director will be designated to coordinate the technical aspects of this contract and inspect items/services furnished hereunder; however, he shall not be authorized to change any terms and conditions of the resultant contract, including price.

G.1.2 The NEA Project Director is authorized to certify (but not to reject or deny) invoices for payment in accordance with enclosed payment terms. The authority to reject or deny performance and associated invoice payment is expressly reserved for the Contracting Officer.

G.1.3 The NEA Project Director for this contract is:

To be determined at time of award

National Endowment for the Arts 1100 Pennsylvania Ave., NW, Suite 616

Washington, DC 20506

(202) 682-

G.1.4 The Administrative Contracting Officer for this contract is:

Latonca M. Harris

National Endowment for the Arts 1100 Pennsylvania Ave., NW, Suite 618

Washington, DC 20506

(202) 682-5476

Written communications shall make reference to the award contract number and shall be mailed to the above address.

G.2 Invoice Requirements

G.2.1 Payment for actual work and services rendered under this contract will be made. Payment will be made by the National Endowment for the Arts via Electronic Funds Transfer (EFT) and in accordance with the contract clause 52.212-4 Contract Terms and Conditions--Commercial Items (FEB 2007), and 52.232-34 Payment by Electronic Funds Transfer--Other Than Central Contractor Registration (May 1999), upon submission of commercial invoices to the Endowment Finance Office, Room 624.

G.2.2 The office that will make the payments due under this contract (i.e., the designated payment office) is shown below.

National Endowment for the Arts Finance Office, Suite 624

1100 Pennsylvania Ave., NW Washington, DC 20506

Please note:

The successful contractor is required to be registered in Central Contractor Registration:

http://www.ccr.gov/

SECTION H

SPECIAL CONTRACT REQUIREMENTS

H.1 Contract Type

This is a Firm Fixed Price Commercial Item Contract.

H.2 Private Use of Contract Information and Data

In accordance with the Federal Acquisition Regulation (FAR) 52.227-14 Rights in Data-General, the Contractor shall guarantee strict confidentiality of the data that is provided to the Government during the performance of the contract as it is of a sensitive nature and cannot be disclosed in any manner.

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished by the Contractor in the performance of this contract, shall be used by the Contractor only in connection with the work under this contract. The contractor must obtain permission through a written request to the Contracting Officer and approval from the NEA’s General Counsel Office prior to releasing any data for use outside of the performance of this NEA contract.

H.3 Prohibition against Soliciting and Performing Personal Services

A. The performance of personal services under this contract is strictly prohibited.

B. Personal service contracting is described in Section 37.104 of the Federal Acquisition Regulations

(FAR). There are a number of factors, when taken individually or collectively, which may constitute personal services. Each contract arrangement must be judged in light of its own facts and circumstances, but the question relative to personal services is: Will the Government exercise relatively continuous supervision and control over the contractor personnel performing this contract?

C. The government and the Contractor understand and agree that the support services to be delivered under this contract are nonpersonal services in nature that is no employer-employee relationships exist or will exist under the contract between the government and the contractor or between the Government and the contractor’s employees.

http://www.ccr.gov/

D. Contractor personnel under this contract shall not:

1. Be placed in a position where they are appointed or employed by a Federal employee, or are under the supervision, direction, or evaluation of a Federal employee.

2. Be placed in a Federal staff or policy making position.

3. Be placed in a position of supervision, direction, or evaluation over NEA personnel, or personnel of other contractors, or become a part of a government organization.

E. Employee Relationship

1. The services to be performed under this contract do not require the contractor or its employees to exercise personal judgment and discretion on behalf of the government.

2. Rules, regulations, direction, and requirements which are issued by NEA management under their responsibility for good order, administration, and security are applicable to all personnel who enter a Government installation. This is not to be construed or interpreted to establish any degree of Government control which is inconsistent with a non-personal services contract.

3. The Contractor shall immediately advise the Contracting Officer if the contractor or its employees are directed by any Government employee to perform work that the Contractor believes constitutes personal services.

H.4 Facility Access

A. Rights of Egress and Ingress

During the life of this contract, the rights of ingress to and egress from the National Endowment for the Arts facility for the Contractor's representatives shall be made available as required.

During all operations on Government premises, the Contractor's personnel shall comply with the rules and regulations governing the conduct of personnel and the operation of the facility. The Government reserves the right to require Contractor personnel to "sign-in" upon entry and "sign-out" upon departure from the National Endowment for the Arts facility.

B. Building Access Passes

When any Contractor personnel enter a NEA building for the first time, the Contractor must notify the NEA Project Director in advance and provide the full name and purpose of visit in order to obtain approval for escorted access.

SECTION I

CONTRACT CLAUSES

I.1 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 may be accessed electronically at this Internet address: http://www.arnet.gov.

I.2 52.204-9 Personal Identity Verification of Contractor Personnel. (SEPT 2007)

(a) The Contractor shall comply with agency personal identity verification procedures when applicable that implement Homeland Security Presidential Directive-12 (HSPD-12), Office of Management and Budget (OMB) guidance M-05-24, and Federal Information Processing Standards Publication (FIPS PUB) Number 201.

(b) The Contractor shall insert this clause in all subcontracts when the subcontractor is required to have physical access to a federally-controlled facility or access to a Federal information system.

(End of clause)

I.3 Subpart FAR 9.502 Contractor Preparing Specifications or Work

(a)(l) If a contractor prepares and furnishes complete specifications covering non-developmental items, to be used in a competitive acquisition, that contractor shall not be allowed to furnish these items, either as a prime contractor or as a subcontractor, for a reasonable period of time including, at least, the duration of the initial production contract. This rule shall not apply to-

(i) Contractors that furnish at Government request specifications or data regarding a product they provide, even though the specifications or data may have been paid for separately or in the price of the product; or

(ii) Situations in which contractors, acting as industry representatives, help Government agencies prepare, refine, or coordinate specifications, regardless of source, provided this assistance is supervised and controlled by Government representatives.

(2) If a single contractor drafts complete specifications for non-developmental equipment, it should be eliminated for a reasonable time from competition for production based on the specifications. This should be done in order to avoid a situation in which the contractor could draft specifications favoring its own products or capabilities. In this way the Government can be assured of getting unbiased advice as to the content of the specifications and can avoid allegations of favoritism in the award of production contracts.

(3) In development work, it is normal to select firms that have done the most advanced work in the field.

These firms can be expected to design and develop around their own prior knowledge. Development contractors can frequently start production earlier and more knowledgeably than firms that did not participate in the development, and this can affect the time and quality of production, both of which are important to the Government. In many instances the Government may have financed the development.

Thus, while the development contractor has a competitive advantage, it is an unavoidable one that is not considered unfair; hence no prohibition should be imposed.

(b)(l) If a contractor prepares, or assists in preparing, a work statement to be used in competitively acquiring a system or services-or provides material leading directly, predictably, and without delay to such a work statement-that contractor may not supply the system, major components of the system, or the services unless-

(i) It is the sole source;

(ii) It has participated in the development and design work; or

(iii) More than one contractor has been involved in preparing the work statement.

(2) Agencies should normally prepare their own work statements. When contractor assistance is necessary, the contractor might often be in a position to favor its own products or capabilities. To overcome the possibility of bias, contractors are prohibited from supplying a system or services acquired on the basis of work statements growing out of their services, unless excepted in paragraph (b)(l) of this section

(3) For the reasons given in 9.505-2(a)(3), no prohibitions are imposed on development and design contractors.

I.4 Subpart FAR 9.505-4, Obtaining Access to Proprietary Information

(a) When a contractor requires proprietary information from others to perform a Government contract and can use the leverage of the contract to obtain it, the contractor may gain an unfair competitive advantage unless restrictions are imposed. These restrictions protect the information and encourage companies to provide it when necessary for contract performance. They are not intended to protect information-

(1) Furnished voluntarily without limitations on its use; or

(2) Available to the Government or contractor from other sources without restriction.

(b) A contractor that gains access to proprietary information of other companies in performing advisory and assistance services for the Government must agree with the other companies to protect their information from unauthorized use or disclosure for as long as it remains proprietary and refrain from using the information for any purpose other than that for which it was furnished. The contracting officer shall obtain copies of these agreements and ensure that they are properly executed.

(c) Contractors also obtain proprietary and source selection information by acquiring the services of marketing consultants which, if used in connection with an acquisition, may give the contractor an unfair competitive advantage. Contractors should make inquiries of marketing consultants to ensure that the marketing consultant has provided no unfair competitive advantage

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

52.212-4 Contract Terms and Conditions--Commercial Items. (MAR 2009) 52.227-14 Rights in Data-General. (DEC 2007) 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders-

Commercial Items. (FEB 2010)

(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:

(2) 52.233-3, Protest After Award (AUG 1996) (31 U.S.C. 3553).

(3) 52.233-4, Applicable Law for Breach of Contract Claim (OCT 2004) (Pub. L. 108-77, 108-78)

(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:

[Contracting Officer check as appropriate.]

X (19) 52.222-3, Convict Labor (June 2003) (E.O. 11755).

X (38) 52.232-33, Payment by Electronic Funds Transfer—Central Contractor Registration

(OCT 2003) (31 U.S.C. 3332).

SECTION J

LIST OF ATTACHMENTS

1. Attachment 1 – 2008 SPPA Planning Study Final Report 08.31.07 (51 pages)

2. Attachment 2 – Report on SPPA Planning Meeting 10.21.05 (27 pages)

3. Attachment 3 – Results of the Pilot Survey to Test the SPPA Instrument 06.19.07 (87 pages)

4. Wage Determinations Online - www.wdol.gov. Department of Labor Wage Determination Number:

2005-2103 REV (08) Date of Revision: 05/26/2009 Area: Washington, DC

SECTION K

52.212-3 Offeror Representations and Certifications—Commercial Items.

As prescribed in 12.301(b)(2), insert the following provision:

OFFEROR REPRESENTATIONS AND CERTIFICATIONS—COMMERCIAL ITEMS (AUG 2009)

An offeror shall complete only paragraph (b) of this provision if the offeror has completed the annual representations and certifications electronically at http://orca.bpn.gov. If an offeror has not completed the annual representations and certifications electronically at the ORCA website, the offeror shall complete only paragraphs (c) through (m) of this provision.

(a) Definitions. As used in this provision— “Emerging small business” means a small business concern whose size is no greater than 50 percent of the numerical size standard for the NAICS code designated.

“Forced or indentured child labor” means all work or service—

(1) Exacted from any person under the age of 18 under the menace of any penalty for its nonperformance and for which the worker does not offer himself voluntarily; or

(2) Performed by any person under the age of 18 pursuant to a contract the enforcement of which can be accomplished by process or penalties.

“Inverted domestic corporation” means a foreign incorporated entity which is treated as an inverted domestic corporation under 6 U.S.C. 395(b), i.e., a corporation that used to be incorporated in the United States, or used to be a partnership in the United States, but now is incorporated in a foreign country, or is a subsidiary whose parent corporation is incorporated in a foreign country, that meets the criteria specified in 6 U.S.C. 395(b), applied in accordance with the rules and definitions of 6 U.S.C. 395(c).

“Manufactured end product” means any end product in Federal Supply Classes (FSC) 1000-9999, except—

(1) FSC 5510, Lumber and Related Basic Wood Materials;

(2) Federal Supply Group (FSG) 87, Agricultural Supplies;

(3) FSG 88, Live Animals;

(4) FSG 89, Food and Related Consumables;

(5) FSC 9410, Crude Grades of Plant Materials;

http://www.acqnet.gov/far/current/html/Subpart 12_3.html#wp1084399 http://orca.bpn.gov/ http://uscode.house.gov/ http://uscode.house.gov/

(6) FSC 9430, Miscellaneous Crude Animal Products, Inedible;

(7) FSC 9440, Miscellaneous Crude Agricultural and Forestry Products;

(8) FSC 9610, Ores;

(9) FSC 9620, Minerals, Natural and Synthetic; and

(10) FSC 9630, Additive Metal Materials.

“Place of manufacture” means the place where an end product is assembled out of components, or otherwise made or processed from raw materials into the finished product that is to be provided to the Government. If a product is disassembled and reassembled, the place of reassembly is not the place of manufacture.

“Restricted business operations” means business operations in Sudan that include power production activities, mineral extraction activities, oil-related activities, or the production of military equipment, as those terms are defined in the Sudan Accountability and Divestment Act of 2007 (Pub. L. 110-174).

Restricted business operations do not include business operations that the person (as that term is defined in Section 2 of the Sudan Accountability and Divestment Act of 2007) conducting the business can demonstrate—

(1) Are conducted under contract directly and exclusively with the regional government of southern Sudan;

(2) Are conducted pursuant to specific authorization from the Office of Foreign Assets Control in the Department of the Treasury, or are expressly exempted under Federal law from the requirement to be conducted under such authorization;

(3) Consist of providing goods or services to marginalized populations of Sudan;

(4) Consist of providing goods or services to an internationally recognized peacekeeping force or humanitarian organization;

(5) Consist of providing goods or services that are used only to promote health or education; or

(6) Have been voluntarily suspended.

“Service-disabled veteran-owned small business concern”—

(1) Means a small business concern—

(i) Not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and

(ii) The management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran.

(2) Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

“Small business concern” means a 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 size standards in this solicitation.

“Veteran-owned small business concern” means a small business concern—

(1) Not less than 51 percent of which is owned by one or more veterans (as defined at

38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and http://uscode.house.gov/uscode-cgi/fastweb.exe?getdoc+uscview+t37t40+200+2++%2838%29%20%20AND%20%28%2838%29%20ADJ%20USC%29%3ACITE%20%20%20%20%20%20%20%20%20 http://uscode.house.gov/uscode-cgi/fastweb.exe?getdoc+uscview+t37t40+200+2++%2838%29%20%20AND%20%28%2838%29%20ADJ%20USC%29%3ACITE%20%20%20%20%20%20%20%20%20 http://uscode.house.gov/uscode-cgi/fastweb.exe?getdoc+uscview+t37t40+200+2++%2838%29%20%20AND%20%28%2838%29%20ADJ%20USC%29%3ACITE%20%20%20%20%20%20%20%20%20

(2) The management and daily business operations of which are controlled by one or more veterans.

“Women-owned business concern” means a concern which is at least 51 percent owned by one or more women; or in the case of any publicly owned business, at least 51 percent of its stock is owned by one or more women; and whose management and daily business operations are controlled by one or more women.

“Women-owned small business concern” means a small business concern—

(1) That is at least 51 percent owned by one or more women; or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and

(2) Whose management and daily business operations are controlled by one or more women.

(b)

(1) Annual Representations and Certifications. Any changes provided by the offeror in paragraph

(b)(2) of this provision do not automatically change the representations and certifications posted on the Online Representations and Certifications Application (ORCA) website.

(2) The offeror has completed the annual representations and certifications electronically via the ORCA website at http://orca.bpn.gov. After reviewing the ORCA database information, the offeror verifies by submission of this offer that the representations and certifications currently posted electronically at FAR 52.212-3, Offeror Representations and Certifications—Commercial Items, have been entered or updated in the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201), except for paragraphs ______________.

[Offeror to identify the applicable paragraphs at (c) through (n) of this provision that the offeror has completed for the purposes of this solicitation only, if any.

These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer.

Any changes provided by the offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted on ORCA.]

(c) Offerors must complete the following representations when the resulting contract will be performed in the United States or its outlying areas. Check all that apply.

(1) Small business concern. The offeror represents as part of its offer that it o is, o is not a small business concern.

(2) Veteran-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents as part of its offer that it o is, o is not a veteran-owned small business concern.

(3) Service-disabled veteran-owned small business concern. [Complete only if the offeror represented itself as a veteran-owned small business concern in paragraph (c)(2) of this provision.] The offeror represents as part of its offer that it o is, o is not a service-disabled veteran-owned small business concern.

(4) Small disadvantaged business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents, for general statistical purposes, that it o is, o is not a small disadvantaged business concern as defined in 13 CFR 124.1002.

http://orca.bpn.gov/ http://www.acqnet.gov/far/current/html/Subpart 4_12.html#wp1073667

(5) Women-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it o is, o is not a women-owned small business concern.

Note: Complete paragraphs (c)(6) and (c)(7) only if this solicitation is expected to exceed the simplified acquisition threshold.

(6) Women-owned business concern (other than small business concern). [Complete only if the offeror is a women-owned business concern and did not represent itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it o is a women-owned business concern.

(7) Tie bid priority for labor surplus area concerns. If this is an invitation for bid, small business offerors may identify the labor surplus areas in which costs to be incurred on account of manufacturing or production (by offeror or first-tier subcontractors) amount to more than 50 percent of the contract price:____________________________________

(8) Small Business Size for the Small Business Competitiveness Demonstration Program and for the Targeted Industry Categories under the Small Business Competitiveness Demonstration Program.

[Complete only if the offeror has represented itself to be a small business concern under the size standards for this solicitation.]

(i) [Complete only for solicitations indicated in an addendum as being set-aside for emerging small businesses in one of the designated industry groups (DIGs).] The offeror represents as part of its offer that it o is, o is not an emerging small business.

(ii) [Complete only for solicitations indicated in an addendum as being for one of the targeted industry categories (TICs) or designated industry groups (DIGs).] Offeror represents as follows:

(A) Offeror’s number of employees for the past 12 months (check the Employees column if size standard stated in the solicitation is expressed in terms of number of employees); or

(B) Offeror’s average annual gross revenue for the last 3 fiscal years (check the Average Annual Gross Number of Revenues column if size standard stated in the solicitation is expressed in terms of annual receipts).

(Check one of the following):

Number of Employees Average Annual Gross Revenues

__ 50 or fewer __ $1 million or less

__ 51–100 __ $1,000,001–$2 million

__ 101–250 __ $2,000,001–$3.5 million

__ 251–500 __ $3,500,001–$5 million

__ 501–750 __ $5,000,001–$10 million

__ 751–1,000 __ $10,000,001–$17 million

__ Over 1,000 __ Over $17 million

(9) [Complete only if the solicitation contains the clause at FAR 52.219-23, Notice of Price

Evaluation Adjustment for Small Disadvantaged Business Concerns, or FAR 52.219-25, Small Disadvantaged Business Participation Program—Disadvantaged Status and Reporting, and the offeror desires a benefit based on its disadvantaged status.]

(i) General. The offeror represents that either— http://www.acqnet.gov/far/current/html/52_217_221.html#wp1136333 http://www.acqnet.gov/far/current/html/52_217_221.html#wp1136374

(A) It o is, o is not certified by the Small Business Administration as a small disadvantaged business concern and identified, on the date of this representation, as a certified small disadvantaged business concern in the database maintained by the Small Business Administration (PRO-Net), and that no material change in disadvantaged ownership and control has occurred since its certification, and, where the concern is owned by one or more individuals claiming disadvantaged status, the net worth of each individual upon whom the certification is based does not exceed $750,000 after taking into account the applicable exclusions set forth at 13 CFR 124.104(c)(2); or

(B) It o has, o has not submitted a completed application to the Small Business Administration or a Private Certifier to be certified as a small disadvantaged business concern in accordance with 13 CFR 124, Subpart B, and a decision on that application is pending, and that no material change in disadvantaged ownership and control has occurred since its application was submitted.

(ii) o Joint Ventures under the Price Evaluation Adjustment for Small Disadvantaged Business Concerns. The offeror represents, as part of its offer, that it is a joint venture that complies with the requirements in 13 CFR 124.1002(f) and that the representation in paragraph (c)(9)(i) of this provision is accurate for the small disadvantaged business concern that is participating in the joint venture. [The offeror shall enter the name of the small disadvantaged business concern that is participating in the joint venture: ________________.]

(10) HUBZone small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents, as part of its offer, that—

(i) It o is, o is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material change in ownership and control, principal office, or HUBZone employee percentage has occurred since it was certified by the Small Business Administration in accordance with 13 CFR Part 126; and

(ii) It o is, o is not a joint venture that complies with the requirements of 13 CFR Part 126, and the representation in paragraph (c)(10)(i) of this provision is accurate for the HUBZone small business concern or concerns that are participating in the joint venture. [The offeror shall enter the name or names of the HUBZone small business concern or concerns that are participating in the joint venture:

__________.] Each HUBZone small business concern participating in the joint venture shall submit a separate signed copy of the HUBZone representation.

(d) Representations required to implement provisions of Executive Order 11246—

(1) Previous contracts and compliance. The offeror represents that—

(i) It o has, o has not participated in a previous contract or subcontract subject to the Equal Opportunity clause of this solicitation; and

(ii) It o has, o has not filed all required compliance reports.

(2) Affirmative Action Compliance. The offeror represents that—

(i) It o has developed and has on file, o has not developed and does not have on file, at each establishment, affirmative action programs required by rules and regulations of the Secretary of Labor (41 cfr parts 60-1 and 60-2), or

(ii) It o has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.

(e) Certification Regarding Payments to Influence Federal Transactions (31 U.S.C. 1352). (Applies only if the contract is expected to exceed $100,000.) By submission of its offer, the offeror certifies to the best of its knowledge and belief that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress on his or her behalf in connection with the award of any resultant contract. If any registrants under the Lobbying Disclosure Act of 1995 have made a lobbying contact on behalf of the offeror with respect to this contract, the offeror shall complete and submit, with its offer, OMB Standard Form LLL, Disclosure of Lobbying Activities, to provide the name of the registrants. The offeror need not report regularly employed officers or employees of the offeror to whom payments of reasonable compensation were made.

(f) Buy American Act Certificate. (Applies only if the clause at Federal Acquisition Regulation (FAR) 52.225-1, Buy American Act—Supplies, is included in this solicitation.)

(1) The offeror certifies that each end product, except those listed in paragraph (f)(2) of this provision, is a domestic end product and that for other than COTS items, the offeror has considered components of unknown origin to have been mined, produced, or manufactured outside the United States.

The offeror shall list as foreign end products those end products manufactured in the United States that do not qualify as domestic end products, i.e., an end product that is not a COTS item and does not meet the component test in paragraph (2) of the definition of “domestic end product.” The terms “commercially available off-the-shelf (COTS) item” “component,” “domestic end product,” “end product,” “foreign end product,” and “United States” are defined in the clause of this solicitation entitled “Buy American Act— Supplies.”

(2) Foreign End Products:

Line Item No. Country of Origin

[List as necessary]

(3) The Government will evaluate offers in accordance with the policies and procedures of FAR Part 25.

(g)(1) Buy American Act—Free Trade Agreements—Israeli Trade Act Certificate. (Applies only if the clause at FAR 52.225-3, Buy American Act—Free Trade Agreements—Israeli Trade Act, is included in this solicitation.)

(i) The offeror certifies that each end product, except those listed in paragraph (g)(1)(ii) or (g)(1)(iii) of this provision, is a domestic end product and that for other than COTS items, the offeror has considered components of unknown origin to have been mined, produced, or manufactured outside the United States. The terms “Bahrainian, Moroccan, Omani, or Peruvian end product,” “commercially available off-the-shelf (COTS) item,” “component,” “domestic end product,” “end product,” “foreign end product,” “Free Trade Agreement country,” “Free Trade Agreement country end product,” “Israeli end http://www.acqnet.gov/far/current/html/52_223_226.html#wp1168995 http://www.acqnet.gov/far/current/html/FARTOCP25.html#wp225048 http://www.acqnet.gov/far/current/html/52_223_226.html#wp1169038 product,” and “United States” are defined in the clause of this solicitation entitled “Buy American Act— Free Trade Agreements–Israeli Trade Act.”

(ii) The…