Attachment_0036_-_Small_Business_Participation_Workbook_Instructions__R2.pdf

Small Business Participation Factor Workbook Instructions (2 Jun 2016)

GENERAL INSTRUCTIONS

Read the entire set of instructions before beginning to fill out the Workbook.

1. Cover Sheet: Fill out the Offeror Name and Solicitation Number. DO NOT add logos.

2. Remaining Tabs: Fill out or review the remaining tabs as described below and in the “INSTRUCTIONS FOR EACH TAB” starting on the next page. Tabs may be filled out in any order.

3. Formulas and Links: The worksheets contain formulas and some links, so anything filled out on one sheet may have an impact on another. DO NOT add formulas or links to cells where they do not exist in the template.

DO NOT delete or edit existing formulas or links. Submit the workbook in the Microsoft Excel workbook format with all tabs, formulas, and links that are built into the template in the solicitation. Print image files or pictures (for example a picture of an Excel spreadsheet embedded into a Word document) or files containing only values are not acceptable.

Tab to Fill Out:

Who Shall Fill Out the Tab:

Prime $ Prime Contractor Participation Dollars All offerors

Sub $ Subcontractor Participation Dollars All offerors who propose to subcontract to Small Business (SB) and/or to Other Than Small Business (OTSB)

SB Prime List Small Business Prime List Small Business (SB) Offerors

SB Sub List Small Business Subcontractor List All offerors who propose to subcontract to Small Business (SB)

Tab to Review for Proposal Accuracy and Consistency:

Who Shall Review the Tab:

Con Consistency between the

Small Business Participation Factor Submittal and Small Business Subcontracting Plan

Other than Small Business (OTSB) Offerors

Roll-up Participation Roll-Up All offerors

4. Acronyms:

OTSB Other Than Small Business

SB Small Business

SDB Small Disadvantaged Business

WOSB Woman Owned Small Business

HUBZone SB Historically Underutilized Business Zone Small Business

VOSB Veteran Owned Small Business

SDVOSB Service Disabled Veteran Owned Small Business

ANC Alaskan Native Corporation

IT Indian Tribe

INSTRUCTIONS FOR EACH TAB

Prime $ Prime Contractor Participation Dollars

1. Who shall fill out this Tab: All offerors.

2. General Instructions for Dollars:

a. Prime Portion: Fill in Dollar Amounts for the portion (not Total Contract Amount) of work to be performed by the prime contractor (not subcontracting).

b. Affiliates’ Portion: If purchases are being made from first tier affiliates, include those dollars in the dollars for work to be performed by the prime. First tier affiliates are considered part of the prime (see 13 CFR 121.103) and are not considered subcontractors.

c. Joint Venture Members’ Portion: If the prime is a joint venture, include the dollars for the members and any separate legal entity in the dollars for work to be performed by the prime. Place the dollars in the categories that apply to the joint venture rather than in the categories that apply to each of the members. Joint venture members are considered affiliates of the prime and therefore part of the prime, even if they are designated as first tier subcontractors in the joint venture legal agreement.

d. Cost Sharing: Include dollars for both the Government and Contractor portions if a Cost Share Contract is allowed and proposed. Cost share is not allowed in all RFPs. Check the RFP.

e. Applying Multiple Small Business Categories: If the prime contractor falls into more than one category of SB, include the dollars in each of those categories. Note about the SB line: SDB, WOSB, HUBZone SB, VOSB, and SDVOSB are subcategories of SB, but the offeror shall not simply add-up all the subcategory totals for entry in the SB line. If, for example, a prime contractor will do $10,000 of the work, and that prime is a SB that is both WOSB and SDVOSB, the $10,000 amount would be inserted into four different lines: $10,000 for SB, $10,000 for WOSB, $10,000 for VOSB, and $10,000 for SDVOSB (note that $10,000 is the appropriate sum for the SB line and not $40,000 because a simple roll-up of all subcategory totals would translate to counting the $10,000 action four separate times).

f. Performance Outside of U.S.: Include dollars for all prime contract work to be performed entirely outside the US or its Outlying Areas.

3. Specific Instructions for Dollars:

OTSB: Include Large Business, Educational Institutions, Non-Profits, Government Entities, Foreign Firms, etc., anything other than a U.S. Small Business.

SB: Include SB, SDB, WOSB, HUBZone SB, VOSB, SDVOSB.

SDB: Include SDB, 8(a)SB, and HBCU/MIs.

WOSB: Include WOSB only.

HUBZone SB: Include only SBA-certified HUBZone SBs. HUBZone certifications at the state or local level are not applicable, and the fact that a small business is situated in a HUBZone or empowerment zone does not by itself constitute HUBZone SB status.

VOSB: Include VOSB and SDVOSB.

SDVOSB: Include SDVOSB only.

Sub $ Subcontractor Participation Dollars

1. Who shall fill out this Tab: All offerors who propose to subcontract to Small Business and/or to Other Than Small Business.

2. General Instructions for Dollars: Offerors who are "Other Than Small Business" shall note that these are the same rules you are required to follow in developing a Small Business Subcontracting Plan in accordance with FAR 52.219-9 and DFARS 252.219-7003 in Section I of the solicitation and TACOM Clause 52.219-4004 in Section L of the solicitation.

a. Prime’s Subcontractors: Fill in Dollar Amounts for the portion of work to be performed by first tier subcontractors.

b. Affiliates’ Subcontractors: Include dollars for first tier subcontracts of first tier affiliates. First tier affiliates are considered part of the prime, so supplies and services purchased from them for the contract are considered part of the work of the prime and shall be included in the “Prime $” tab. First tier subcontracts of those first tier affiliates, for work related to the contract, are considered first tier subcontracts of the prime (see 13 CFR 125.3(a)(1)(i)(B)) and shall be included in this “Sub $” tab.

c. Joint Venture Members’ Subcontractors: If the prime offeror is a joint venture, include dollars for first tier subcontracts of joint venture members. Joint venture members are considered affiliates of the prime and therefore part of the prime, even if they are designated as subcontractors in the joint venture legal agreement.

Therefore, joint venture members’ subcontracts are considered first tier subcontracts of the prime.

d. Alaskan Native Corporation (ANC) or Indian Tribe (IT) Credit: If an OTSB offeror is designated to receive SB and SDB credit from ANC or IT first tier or lower tier subcontracts for its Small Business Subcontracting Plan (see 13 CFR 125.3(a)(1)(i)(A)), include the credited dollars in this Tab of the Small Business Participation Factor.

e. Cost Sharing: Include dollars for both the Government and Contractor portions if a Cost Share Contract is allowed and proposed. Cost Share is not allowed in all RFPs. Check the RFP.

f. Applying Multiple Small Business Categories: If the subcontractor falls into more than one category of SB, include the dollars in each of those categories. Note about the SB line: SDB, WOSB, HUBZone SB, VOSB, and SDVOSB are subcategories of SB, but the offeror shall not simply add-up all the subcategory totals for entry in the SB line. If, for example, a subcontractor will do $10,000 of the work, and that subcontractor is a SB that is both WOSB and SDVOSB, the $10,000 amount would be inserted into four different lines: $10,000 for SB, $10,000 for WOSB, $10,000 for VOSB, and $10,000 for SDVOSB (note that $10,000 is the appropriate sum for the SB line and not $40,000 because a simple roll-up of all subcategory totals would translate to counting the $10,000 action four separate times).

g. Exclusions: Exclude the following from OTSB and all SB categories:

(1) Performance Outside the U.S.: Exclude the dollars for subcontracts to be performed entirely outside the US or its outlying areas (see 13 CFR 125.3(a)(1)(ii)).

(2) Other: Exclude Internally generated costs such as salaries and wages; Employee insurance; Other employee benefits; Payments for petty cash; Depreciation; Interest; Income taxes; Property taxes; Lease payments; Bank fees; Fines, claims, and dues; Original Equipment Manufacturer relationships during warranty periods (negotiated up front with product); Utilities such as electricity, water, sewer, and other services purchased from a municipality or solely authorized by the municipality to provide those services in a particular geographical region; Philanthropic contributions (see 13 CFR 125.3(a)(1)(iii)).

3. Specific Instructions for Dollars:

OTSB: Include Large Businesses, Educational Institutions, Non-Profits, Government Entities, Foreign Firms, etc., anything other than a U.S. Small Business.

SB: Include SB, SDB, WOSB, HUBZone SB, VOSB, SDVOSB, qualified nonprofit agencies participating in the

Ability One program, and designated credits from ANC or IT subcontracts at both first and lower tiers, regardless of the size or Small Business Administration (SBA) certification status of the ANC or IT.

SDB: Include SDB, 8(a)SB, and HBCU/MI, and designated credits from ANC or IT subcontracts at both first and lower tiers, regardless of the size or SBA certification status of the ANC or IT.

WOSB: Include WOSB only.

HUBZone SB: Include only SBA-certified HUBZone SBs. HUBZone certifications at the state or local level are not applicable, and the fact that a small business is situated in a HUBZone or empowerment zone does not by itself constitute HUBZone SB status.

ANC or IT Subcontracts at Lower than First Tier: Include the dollars credited from ANC or IT subcontracts at lower than first tier only.

Excluded Subcontracts: Include all subcontracts that were excluded from OTSB, SB, SDB, WOSB, HUBZone SB, VOSB, and SDVOSB above according to 2.g.

SB Prime List Small Business Prime List

1. Who shall fill out this Tab: Small Business offerors.

2. Instructions for each field:

a. Supplier:

(1) Prime: List the small business prime.

(2) Affiliates: If purchases are being made from first tier affiliates, list the first tier affiliates on separate lines. First tier affiliates are considered part of the prime (see 13 CFR 121.103) and are not considered subcontractors.

(3) Joint Venture Members: If the prime is a small business joint venture, list the joint venture on Line 1.

List on separate lines any joint venture members. Joint venture members are considered affiliates of the prime and therefore part of the prime, even if they are designated as first tier subcontractors in the joint venture legal agreement.

b. City, State: Fill out location.

c. CAGE Code: Fill out the Contractor and Government Entity (CAGE) Code from the supplier’s record in the

System for Award Management (SAM).

d. Commitment: List the type of commitment IF ANY. Examples: Joint Venture, Mentor-Protégé Joint Venture, Written Contract, Enforceable.

e. Dollars:

(1) Prime’s Portion: Fill in Dollar Amounts for the portion (not Total Contract Amount) of work to be performed by the prime contractor (not subcontracting).

(2) Affiliates’ Portion: If purchases are being made from first tier affiliates (corporation, company, or subdivision of the prime), include those dollars in the prime offeror dollars. First tier affiliates are considered part of the prime (see 13 CFR 121.103) and are not considered subcontractors.

(4) Joint Venture Members’ Portion: If the prime offeror is a small business joint venture, list the dollars in the categories that apply to the joint venture rather than in the categories that apply to each of the members.

Joint venture members are considered affiliates of the prime and therefore part of the prime, even if they are designated as first tier subcontractors in the joint venture legal agreement.

(3) Cost Sharing: Include dollars for both Government and Contractor portions if a Cost Share contract is allowed and proposed. Cost share is not allowed in all RFPs. Check the RFP.

(4) Applying Multiple Small Business Categories: If a prime contractor falls into more than one category of SB, include the same dollars in each of those categories as well as the SB category. Note about the SB column:

SDB, WOSB, HUBZone SB, VOSB, and SDVOSB are subcategories of SB, but the offeror shall not simply add-up all the subcategory totals for entry in the SB column. If, for example, a prime contractor will do $10,000 of the work, and that prime is a SB that is both WOSB and SDVOSB, the $10,000 amount would be inserted into four different columns: $10,000 for SB, $10,000 for WOSB, $10,000 for VOSB, and $10,000 for SDVOSB (note that $10,000 is the appropriate sum for the SB column and not $40,000 because a simple roll-up of all subcategory totals would translate to counting the $10,000 action four separate times).

(5) Performance Outside U.S.: Include dollars for work to be performed entirely outside the US or its Outlying Areas by each small business listed.

(6) Small Business Categories:

SB: Include SB, SDB, WOSB, HUBZone SB, VOSB, SDVOSB.

SDB: Include SDB, 8(a)SB, and HBCU/MIs.

WOSB: Include WOSB only.

HUBZone SB: Include only SBA-certified HUBZone SBs. HUBZone certifications at the state or local level are not applicable, and the fact that a small business is situated in a HUBZone or empowerment zone does not by itself constitute HUBZone SB status.

SB Sub List Small Business Subcontractor List

1. Who shall fill out this Tab: ALL offerors who propose to subcontract to Small Business.

2. Instructions for each field:

a. Supplier:

(1) Prime’s Subcontractors: List first tier small business subcontractors.

(2) Affiliates’ Subcontractors: List first tier small business subcontractors of first tier affiliates. First tier affiliates are considered part of the prime, so supplies and services purchased from them for the contract are considered part of the work of the prime. If the prime is a SB, the affiliate shall be listed on the “SB Prime List” tab.

First tier SB subcontracts of those first tier affiliates, for work related to the contract, are considered first tier subcontracts of the prime (see 13 CFR 125.3(a)(1)(i)(B)) and shall be listed on this “SB Sub List” tab.

(3) Joint Venture Members’ Subcontractors: List first tier small business subcontractors of joint venture members. Joint venture members are considered affiliates of the prime and therefore part of the prime, even if they are designated as first tier subcontractors in the joint venture legal agreement. Therefore, joint venture members’ subcontracts are considered first tier subcontracts of the prime.

(4) Alaskan Native Corporation (ANC) or Indian Tribe (IT) Credit: If an OTSB offeror is designated to receive SB and SDB credit from ANC or IT first tier or lower tier subcontracts for its Small Business Subcontracting Plan (see 13 CFR 125.3(a)(1)(i)(A)), list the subcontracts in this Tab of the Small Business Participation Factor with the following after the name in the supplier field: “(1st Tier)” or “(Lower Tier)”.

b. City, State: Fill out location.

c. Scope of Work: Fill out brief description of work the subcontractor will perform.

d. NAICS Code: Fill out the North American Industrial Classification System (NAICS) Code that best fits the work the subcontractor will perform.

e. CAGE Code: For HUBZone SB at a minimum, fill out the Contractor and Government Entity (CAGE) Code from the supplier’s record in the System for Award Management (SAM).

f. Commitment: List the type of commitment IF ANY. Examples: Joint Venture, Mentor Protégé, Written Contract, Enforceable, ANC or IT Credit.

g. Dollars:

(1) Subcontractors: Fill in Dollar Amounts for work to be performed by each subcontractor.

(2) Cost Sharing: Include dollars for both the Government and Contractor portions if a Cost Share

Contract is allowed and proposed. Cost Share is not allowed in all RFPs. Check the RFP.

(3) Applying Multiple Small Business Categories: If a subcontractor falls into more than one category of SB, include the dollars in each of those categories. Note about the SB column: SDB, WOSB, HUBZone SB, VOSB, and SDVOSB are subcategories of SB, but the offeror shall not simply add-up all the subcategory totals for entry in the SB column. If, for example, a subcontractor will do $10,000 of the work, and that subcontractor is a SB that is both WOSB and SDVOSB, the $10,000 amount would be inserted into four different columns: $10,000 for SB, $10,000 for WOSB, $10,000 for VOSB, and $10,000 for SDVOSB (note that $10,000 is the appropriate sum for the SB column and not $40,000 because a simple roll-up of all subcategory totals would translate to counting the $10,000 action four separate times).

(4) Exclusions: Exclude the following subcontracts:

(a) Performance Outside the U.S.: Exclude dollars for subcontracts to be performed entirely outside the US or its outlying areas (13 CFR 125.3(a)(1)(ii)).

(b) Other Exclude Internally generated costs such as salaries and wages; Employee insurance; Other employee benefits; Payments for petty cash; Depreciation; Interest; Income taxes; Property taxes; Lease payments; Bank fees; Fines, claims, and dues; Original Equipment Manufacturer relationships during warranty periods (negotiated up front with product); Utilities such as electricity, water, sewer, and other services purchased from a municipality or solely authorized by the municipality to provide those services in a particular geographical region; Philanthropic contributions (13 CFR 125.3(a)(1)(iii)).

(5) Small Business Categories:

SB: Include SB, SDB, WOSB, HUBZone SB, VOSB, SDVOSB, qualified nonprofit agencies participating in the Ability One program, and designated credits from ANC or IT subcontracts at both first and lower tiers, regardless of the size or Small Business Administration (SBA) certification status of the ANC or IT.

SDB: Include SDB, 8(a)SB, and HBCU/MI, and designated credits from ANC or IT subcontracts at both first and lower tiers, regardless of the size or SBA certification status of the ANC or IT.

WOSB: Include WOSB only.

HUBZone SB: Include only SBA-certified HUBZone SBs. HUBZone certifications at the state or local level are not applicable, and the fact that a small business is situated in a HUBZone or empowerment zone does not by itself constitute HUBZone SB status.

Con Consistency between the Small Business Participation Factor Submittal and Small Business Subcontracting Plan

1. Who shall review this Tab: Other than Small Business offerors shall review this Tab to ensure proposal accuracy and consistency.

2. There are NO fill-ins. All information is calculated automatically based on information filled out in the "Sub $" tab.

3. Inclusion / Exclusion Rules: The rules used to fill out the "Sub $" Tab are the same rules required for Subcontracting Plans. However, the goals in the Subcontracting Plan must be expressed as a percentage of total subcontracting dollars rather than total contract amount as defined in Section L and M of the solicitation.

4. CUM Dollar and Percentage Goals: If your Subcontracting Plan submitted in accordance with Section I is an Individual Plan, including goals associated with a Master Plan, the goals must be broken out differently than in the Small Business Participation Factor. Usually, in the Subcontracting Plan, the goals are broken out for the basic and each option separately. Your solicitation may have other requirements describing how to break out the Subcontracting Plan goals. Regardless of the breakout, if you were to total all of the goals, the CUM Dollar and Percentage Goals would be as shown in this “Con” tab, based on the information filled out in the "Sub $" Tab.

5. Applicability: The CUM Dollar and Percentage Goals on this “Con” tab would not be correct and would not apply to:

a. Individual Plans, including goals associated with a Master Plan, if a Cost Share contract is allowed and proposed. Cost Share is not allowed in all RFPs. Check the RFP.

b. Commercial Plans

c. Comprehensive Plans

Roll-up Participation Roll-Up

1. Who shall review this Tab: All offerors shall use this tab to review for accuracy and consistency between tabs and with other proposal volumes.

2. There are NO fill-ins. Information is pulled from other tabs.

3. Line 2 - Special Note: If the OTSB offeror has included dollars credited from an Alaskan Native Corporation

(ANC) or Indian Tribe (IT) subcontract at lower than first tier, depending on (a) the amount of the credit and

(b) the rounding to one decimal place, the percentage in Line 2 may be greater than 100%.