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SBA Virtual Learning 2017: Small Business Certificate of Competency Program

Join the SBA's Virtual Learning 2017 session on the Small Business Certificate of Competency Program. Learn how small businesses can appeal non-responsibility findings and become eligible for government contracts. Get valuable insights and updates on small business programs.

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SBA Virtual Learning 2017: Small Business Certificate of Competency Program

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  1. SBA 1st First Wednesday Virtual Learning 2017 SBA’s Certificate of Competency Program 2017

  2. Hosts Dwight A. Johnson, Procurement Center Representative SBA Office of Government Contracting, Area IV, Omaha sbalearning@sba.gov (402) 221-7206 Jan Kaiser, Procurement Center Representative SBA Office of Government Contracting, Area IV, Chicago janis.kaiser@sba.gov (312) 353-7442 Deborah Crumity, Procurement Center Representative SBA Office of Government Contracting, Area IV, Rock Island Arsenal deborah.d.crumity.civ@mail.mil (309) 782-5734

  3. Welcome to “SBA Virtual Learning 2017” • Questions answered during the final 10 minutes. • Technical problems: Contact the moderator with a note or call AT&T Connect Support at 1-888-796-6118. • Page numbers stated for those working off hard copies of the program. • We cover the “SBA Quick Reference” as time allows. • For more SBA training visit the SBA Learning Center website https://www.sba.gov/tools/sba-learning-center/search/training

  4. Association of Procurement Technical Assistance Centers posts past “First Wednesday” programing • Check this link for past programs: • http://www.aptac-us.org/for-contracting-officers-sba-webinar-library/ • Contracting officer resources: “How PTACs partner with federal agencies”: • http://www.aptac-us.org/federal-partners/ • Find your nearest Procurement Technical Assistance Center at http://www.aptac-us.org

  5. FIRST WEDNESDAY VIRTUAL LEARNING SERIES - 2017 9:30 to 10:30 Central Time Return to 9:30 – 10:30 am Central for remainder of the 2017 season The program schedule above is for information only and is subject to change.

  6. Looking for Your Feedback Your input is needed and we are requesting that you respond regarding the following issues… • Time Change Trial: We conducted a time change trial in DEC - JAN – FEB and held the First Wednesday training later in the day. Please provide your thoughts about the training and what worked best you and your activity. • Calling for Topics for Next Year: Please tell us what topics you would like covered in next year’s program. • Send your thoughts to sbalearning@sba.gov.

  7. One Continuous Learning Point • Self-service: Fill in your name on the certificate slide and save. Download the certificate and print for your records. You submit your request for training credit IAW your agency policy, i.e. FAITAS. • Phoning in only: If you listen in groups and you want attendees to be included on the future mailing list, send email addresses of participants in an excel document to sbalearning@sba.gov.

  8. Small Business Program Update Wondering how YOU can contribute to what’s in the FAR? Notice of a Propose Rule Change in Federal Register at the following link: https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-28432.pdf. DoD, GSA, and NASA are proposing to amend the Federal Acquisition Regulation (FAR) to implement regulatory changes made by the SBA, which provide Government-wide policy for partial set-asides and reserves, and setting aside orders for small business concerns under multiple-award contracts. INCLUDES CHANGES TO SOME OFTEN USED CLAUSES! DATES: Interested parties should submit written comments as described in the Federal Register on or before February 6, 2017 to be considered in the formation of the final rule.

  9. Presenter DAVID GORDON Size Program Manager U.S. Small Business Administration Office of Government Contracting (312) 353-7674 david.gordon@sba.gov

  10. Small Business ResponsibilitySBA’s Certificate of Competency (COC) Program & ProcessDavid Gordon U.S. Small Business Administration Office of Government Contracting

  11. What is the (COC) Program? • Offers a small business that is an apparent successful offeror to “appeal” a Contracting Officer’s finding that it is “non-responsible” (i.e., that it can’t perform successfully). • If the small business applies, it must overcome all of the CO’s objections; if it does, SBA will certify that it is responsible and the CO must either award the contract or appeal SBA’s decision. • If COC granted, SBA issues letter stating that the small business is responsible for the purposes of performing this contract only. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  12. COCs apply to all procurements……but are only specific to one • The COC Program applies to all Government acquisitions, including unrestricted procurements. • “A Contracting Officer shall, upon determining an apparent successful small business offeror to be non-responsible, refer that small business to the SBA for a possible COC….” FAR §19.601(c) and 13 C.F.R. §125.5(a)(1) and (2) • Only one referral at a time (unless MAC). • The results of a COC are specific to the solicitation. They are never“transferable.” DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  13. What is the COC process? • After a complete referral is received, SBA field specialist(s) survey the business’s responsibility in light of the CO’s objections, contacting anyone (customer, supplier, lender, KO, etc.) who might provide helpful information. • SBA can review any area of responsibility; it is not limited to the area(s) cited by the CO. Each specialist prepares a report and makes a (non-binding) recommendation for the COC Review Committee. • Area Office COC Review Committee reads, reviews, and discusses the case and then votes. Final decision lies with the Area Director. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  14. Program not a “rubber stamp” For FY2016, nationally: • Only 58% of companies referred to SBA actually applied for a COC. • SBA issued COCs to about 45% of applicants (historically, the number has been closer to 50%). In Area IV, FY02 - FY16, 50.1% of companies referred actually applied. Of those, Area IV issued COCs to 54.6% of the applicants. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  15. Basic COC information • Governing regulations are 13 C.F.R. §125.5 and FAR subpart 19.6. • Only Contracting Officer’s determination that a business is “non-responsible” triggers the process. • Responsibility includes capability, competency, capacity, past performance, credit, integrity, and perseverance. • Non-responsive and non-responsible are different. legal concepts. COCs only involve non-responsibility. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  16. Responsibility “To be considered responsible, a prospective contractor must: (a) Have adequate financial resources…or the ability to obtain them…; (b) Be able to comply with the required or proposed delivery or performance schedule, taking into consideration all existing…business commitments; (c) Have a satisfactory performance record … (d) Have a satisfactory record of integrity and business ethics; (e) Have the necessary organization,experience, accounting and operational controls, and technical skills, or the ability to obtain them…; (f) Have the necessary production, construction, and technical equipment and facilities, or the ability to obtain them… ; and (g) Be otherwise qualified and eligible to receive an award….” FAR §9.104-1 DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  17. Responsiveness (unacceptability) • Only bids can be non-responsive. Offers and proposals on RFPs and RFQs can be deemed “unacceptable.” End result the same. • If it fails to conform to material terms and conditions of solicitation: • a BID is considered non-responsive and shall be dismissed (i.e., not considered) (FAR §14.404-2) • an OFFER or PROPOSAL is considered unacceptable and per GAO (next slide) no award can be made to that offeror. • When a procuring activity evaluates a responsibility-related factor on a pass/fail basis (rather than comparatively), a “fail” is considered a determination of non-responsibility and the company must be referred to SBA for a COC. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  18. Responsiveness (unacceptability) Examples of non-responsive bids: it’s late; doesn’t include a required bond; the bid amount is unclear; bidder doesn’t have required licenses or QA system; offers a different delivery schedule, etc. FAR §14.301 A Contracting Officer must give bidders a chance to cure a minor deficiency or mustwaive it. (E.g., wrong number of copies of the bid; failing to sign the bid; forgetting to attach a required item (financial statements, certificates, licenses…) FAR §14.405 Offers/proposals cannot be “non-responsive” but “…a proposal that fails to conform to a material term or condition of the solicitation is unacceptable and may not form the basis for an award.” MT & Associates, LLC, B-410066, Oct. 17, 2014, at page 6. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  19. Speaking of referrals • The Determination of Non-Responsibility is key. It is what the entire case is about. • Do not just cite the FAR or check a box indicating which element of responsibility is an issue. The referral must include specific evidence to support the finding. Always include a recent PAS, if available, or other evidence being relied upon (FAPIIS, PPIRS, etc.) • Consider sharing as much of the DNR as possible; SBA notification cannot include DNR, just a very brief summary. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  20. Where should referrals be sent? The Contracting Officer “must refer the matter in writing to the SBA Government Contracting Area Office serving the area [i.e., state] in which the headquarters of the offeror is located.” 13 C.F.R. §125.5(c)(1) and FAR §19.602-1(a)(2) PLEASE Do not send COC referrals to your local SBA District Office or to SBA Headquarters. Doing so guarantees a delay in processing. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  21. Speaking of NAICS codes… • Contracting Officers maynotassign wholesale or retail NAICS codes to procurements of supplies. • The law is very specific: “Procurements for supplies must be classifiedunder the appropriate manufacturing NAICS code, not under the wholesale trade NAICS code.” • Otherwise, the non-manufacturer rule allowing wholesalers (i.e. non-manufacturers) to bid would not be needed. 13 CFR §121.402(b) DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  22. Application materials Applying for a COC involves substantial time and effort. • SBA Form 1531 (Application for COC); • SBA Form 355 (Application for Size Determination); • “Attachment” questionnaire – at least six pages of questions; • Cash flow projections both with and without the contract plus tax returns and complete financial statements (if relevant); • Other information depending upon referral plus any additional information the applicant believes will demonstrate its ability to perform successfully. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  23. How long does a COC take? • “Contract award must be withheld by the contracting officer for a period of 15 working days (or longer if agreed…) following receipt by the appropriate Area Office of a complete referral which includes all required documentation.” 13 CFR §125.5(c)(2) • We CANNOT expedite referrals; the law a minimum period and other cases are ahead of yours. • Extensions may be requested by company or SBA. • If a business declines to apply, SBA closes the cases and notifies the CO, who can then make award to the next firm in line. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  24. Issuance or Decline • SBA can issue a COC or decline to issue a COC. • If SBA declines to issue a COC, the Contracting Officer is free to move to the next apparent successful offeror—(which couldbe the subject of a separate COC referral). • The small business has no right to appeal a decline. • If SBA declines to issue a COC,a Contracting Officer maystill award to the company referred (i.e., direct award) if the CO makes a formal finding that the company is, in fact, responsible. 13 CFR §125.5(n) and FAR §19.602-4(a) DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  25. What if SBA proposes to issue COC? When SBA notifies a Contracting Officer that it proposes to issue a COC, the CO can either: • accept the COC and award the contract to that small business or • ask the SBA Area Director to suspend the case. The CO must then either: • ask to review a detailed written rationale for SBA’s decision; • ask to meet to review all documentation in the file; • submit information the CO believes SBA did not consider; or • appeal the proposed COC issuance to SBA headquarters. 13 C.F.R. §125.5(h) and (i) and FAR §19.602-3 DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  26. CO’s options depend on value • Contracts valued at less than $100,000: the decision of the SBA Area Office is final. The CO cannot appeal SBA’s decision. • Contracts valued between $100,000 and $25 million: The CO can appeal decision to issue COC to SBA Headquarters. • Contracts exceeding $25 million: An Area Office may decline a COC on its own authority. If it proposes to issue a COC, it must refer the case to SBA HQ which will convene its own review committee to make the final decision. 13 C.F.R. §125.5(g) and FAR §19.602-2(f) DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  27. Appeals to SBA HQ • SBA is legally required to issue the COC immediately unless the CO agrees to withhold award. • The Area Office will forward its file to SBA HQ once the CO agrees to withhold award until the appeal is completed. • SBA HQ notifies the procuring agency’s OSDBU that it may request an appeal. If it appeals, it may submit additional documentation to SBA within 10 working days (or a period acceptable to both agencies.) • The Director of SBA’s Office of Government Contracting make the final decision to issue or decline the COC. 13 C.F.R. §125.5(i) DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  28. COC decisions set no precedent Failure to receive a COC is not and should not be considered a “black mark” against a business on any other solicitation just as issuance is no future guarantee. No past COC action—either positive or negative—has ANY effect on ANY other procure-ment. Every case is considered separately because a COC is valid only for the specific contract at issue; a company (in)capable of performing successfully on one contract may or may not be qualified to perform on another contract. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  29. …other highly relevant stuff This presentation is not complete. We haven’t discussed integrity referrals, the “significant portion” requirement, reconsideration, and other important topics. Those topics are all covered in 13 C.F.R. §125.5 and in SOP 60 04 (4). The SOP is in the process of being completely revised and SBA is also publishing proposed changes to our regulations affecting different aspects of the COC program, including referrals. DO NOT COPY OR DISTRIBUTE UPDATE ALL CITATIONS!

  30. Where to send COC referrals If the HQ of the offeror is located in:the COC should be sent to: Dianne Nolan, Industrial Specialist dianne.nolan@sba.gov U.S. Small Business Administration (617) 565-5570 10 Causeway Street, Room 265 Boston, MA 02222 Randy Johnston, Supervisory PCR randall.johnston@sba.gov U.S. Small Business Administration (202) 205-7341 409 Third Street, S.W. Washington, DC 20416 Joyce Thurmond, COC Coordinator joyce.thurmond@sba.gov U.S. Small Business Administration (404) 331-7587, ext. 205 233 Peachtree Street, Suite 1900 Atlanta, GA 30034 David Gordon, COC Coordinator david.gordon@sba.gov U.S. Small Business Administration (312) 353-7674 500 West Madison Street, Suite 1150 Chicago, IL 60661 Sophia Chou, Commercial Mkt Rep. sophia.chou@sba.gov U.S. Small Business Administration (817) 684-5304 4300 Amon Carter Blvd., Suite 116 Fort Worth, TX 76155 Marina Laverdy, COC Coordinator marina.laverdy@sba.gov U.S. Small Business Administration (818) 552-3306 330 N. Brand Blvd., Suite 1200 Glendale, CA 91203 AREA I CT, ME, MA, NH, NJ, NY, RI, VT AREA II DE, DC, MD, PA, VA, WV AREA III AL, FL, GA, KY, MS, NC, SC, TN AREA IV IL, IN, IA, KS, MI, MN, MO, NE, OH, WI AREA V AR, CO, LA, ND, NM, OK, SD, TX AREA VI AK, AZ, CA, HI, ID, MT, NV, OR, UT, WA, WY

  31. Status/eligibility protest contacts HUBZone8(a) Mariana Pardo, Director Robert Watkins, Deputy Assoc. Administrator U.S. Small Business Administration U.S. Small Business Administration 409 Third Street, S.W., 8th floor 409 Third Street, S.W., 8th floor Washington, D.C. 20416 Washington, D.C. 20416 (202) 205-2985 (202) 619-1732 mariana.pardo@sba.govrobert.watkins@sba.gov SDVOSB (VA solicitations only) SDVOSB (all others) Department of Veterans Affairs Ajoy Sinha, Deputy Director VA Center for Veterans Enterprises U.S. Small Business Administration 810 Vermont Avenue, N.W. 409 Third Street S.W., 8th floor Washington, D.C. 20420 Washington, D.C. 20416 (202) 303-3301 (202) 205-1904 ajoy.sinha@sba.gov

  32. Size protest contacts If HQ of the protested concern is in:Please contact the following: Janette Fasano, Area Director janette.fasano@sba.gov SBA Office of Government Contracting (617) 565-5622 10 Causeway Street, Room  416                Fax: (617) 565-8186  Boston, MA  02222-1093 Vincent J. Mazzotta, Size Program Manager vincent.mazzotta@sba.gov SBA Office of Government Contracting (610) 382-3190 Parkview Towers, 1150 First Ave, Ste 1001 Fax: (202) 481-5996 King of Prussia, PA 19406 Ivette Mesa Bascumbe, Size Coordinator ivette.bascumbe.mesa@sba.gov SBA Office of Government Contracting (305) 536-5521 x182 100 S. Biscayne Boulevard, 7th floor Fax:  (202) 481-2273 Miami, FL 33131 David Gordon, Size Program Manager david.gordon@sba.gov SBA Office of Government Contracting (312) 353-7674 500 West Madison Street, Suite 1150 Fax: (202) 481-1842 Chicago, IL 60661 Robert C. Taylor, Area Director robert.c.taylor@sba.gov SBA Office of Government Contracting (817) 684-5302 4300 Amon Carter Boulevard Fax:  (202) 481-5247 Fort Worth, TX  76115 Esmeralda Sanchez, Size Specialist esmeralda sanchez@sba.gov SBA Office of Government Contracting (415) 744-4242 455 Market Street, Suite 600 Fax:  (202) 481-1607 San Francisco, CA 94105 AREA I CT, ME, MA, NH, NJ, NY, RI, VT AREA II DE, DC, MD, PA, VA, WV AREA III AL, FL, GA, KY, MS, NC, SC, TN AREA IV IL, IN, IA, KS, MI, MN, MO, NE, OH WI AREA V AR, CO, LA, ND, NM, OK, SD, TX AREA VI AK, AZ, CA, HI, ID, MT, NV, OR, UT, WA, WY

  33. Questions

  34. ”SBA Quick Reference”

  35. Dynamic Small Business Search

  36. Summary of CFR Regulations SBA size regulations 13 CFR Part 121 HUBZone regulations 13 CFR 126.616 SBA Certificate of Competency 13 CFR 125.5 Service-disabled veteran 13 CFR 125.15(b) 8(a) and SDB regulations 13 CFR 124.513 Small disadvantaged business 13 CFR 124.1002(f) WOSB Program 13 CFR 127 SBA Prime Contracting 13 CFR 125.2 SBA Subcontracting 13 CFR 125.3

  37. A. SBA Government Contracting Area Offices 1. SBA Procurement Center Representatives (PCRs) 2. SBA Commercial Market Representatives (CMRs) B. SBA District Offices 1. Business Opportunity Specialists (BOS) C. SBA Regional Offices D. SBA Headquarters Types of SBA Contacts and Offices

  38. Six SBA Government Contracting Areas at hyperlink: https://www.sba.gov/content/pcr-directory

  39. A. SBA Quick Reference - SBA Area Offices 1. Size protests (with recertification) FAR 19.302 13 CFR 121.1001 13 CFR 121.1010 2. Locating nearest SBA staffer FAR 19.4 3. Certificate of Competency FAR 19.6 13 CFR 125.5 4. COC Limitations on Subcontracting Compliance FAR 19.601 13 CFR 125.6(f) 5. Receiving copies subcontracting plans FAR 19.705-6

  40. B. SBA Quick Reference -SBA Procurement Center Representatives (PCRs) FAR 19.402  Small Business Administration procurement center representatives. (a)(1) The SBA may assign one or more procurement center representatives to any contracting activity or contract administration office to carry out SBA policies and programs… (2) If a SBA procurement center representative is not assigned to the procuring activity or contract administration office, contact the SBA Office of Government Contracting Area Office….. (b) Upon their request and subject to applicable acquisition and security regulations, contracting officers shall give SBA procurement center representatives….access to all reasonably obtainable contract….

  41. 1. SBA PCR coordination records FAR 19..501(b)    13 CFR 125.2 2. Small business set-aside appeals FAR 19.505 13 CFR 125.2(b)(7) 3. HUBZone set-aside appeals FAR 19.1305 FAR 19.1306 13 CFR 126.61 4. SDVOSB set-aside appeal FAR 19.1405 FAR 19.1406 13 CFR 125.22 5. Reporting bundling to SBA (MATOCs) FAR 19.202-1(e)(1) 13 CFR 125.2 6. SBA subcontracting plan reviews-copies FAR 19.705-5(3) 13 CFR 125.2(b)(6)(iii) FAR 19.705-6(c) 13 CFR 125.2(b)(6)(iii)(C) 7. SBA subcontracting program review FAR 19.707(4) 13 CFR 125.2(b)(6)(iii)(C) 8. Small business TFD FAR 49.402-3 (e)(4)) (Termination for default) 9. Surveillance review of agency contracting B. SBA Quick Reference SBA PCRs, cont.

  42. Small Business Coordination Forms Sent To SBA PCRs

  43. Document that you have provided SBA Area Directors with copies of subcontracting plans • 19.705-6 Postaward responsibilities of the contracting officer. …: • Notifying the SBA of the award by sending a copy of the award document to the Area Director, Office of Government Contracting, in the SBA area office where the contract will be performed. • (c) Giving to the SBA procurement center representative….a copy of— • (1) Any subcontracting plan submitted in response to a sealed bid solicitation; and • (2) The final negotiated subcontracting plan that was incorporated into a negotiated contract or contract modification. • (d) Notifying the SBA procurement center representative…. of the opportunity to review subcontracting plans in connection with contract modifications.

  44. C. SBA Quick Reference - SBA Commercial Market Representatives (CMRs) link at: https://www.sba.gov/content/cmr-directory • Prime contractor portfolio management 13 CFR 125.3 • Reviews of subcontracting plan holders 13 CFR 125.3 • Matchmaking 13 CFR 125.3 • SBA SUB-Net link at: http://www.sba.gov/content/sub-net • SBA Subcontracting Opportunities Directory link at: http://www.sba.gov/subcontracting-directory • “SBLO Handbook” link at: http://www.sba.gov/content/small-business-liaison-officer-handbook

  45. D. SBA Quick Reference – SBA Regional and District Offices Link to district offices at: http://www.sba.gov/about-offices-list/3

  46. D. SBA Quick Reference - SBA District Offices, cont. To locate SBA 8(a) business development servicing office, check Dynamic Small Business Search at the link: http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm and then local resources at the link http://www.sba.gov/tools/local-assistance/districtoffices

  47. 1. HUBZone status protests FAR 19.306  13 CFR 126.801 2. NAICS code appeal FAR 19.30 3 13 CFR 121.1103 3. Non-manufacturer rule waivers FAR 19.102(f)(1)-(7) 13 CFR 121.1204 4. SDVOSB status protest FAR 19.307 13 CFR 125.23 5. WOSB Program status protest FAR 19.308/13 CFR 1275.600 E. SBA Quick Reference - SBA Headquarters 47

  48. FAR 19.102 (f ): No class waiver to NMR? Check out an individual waiver*

  49. A. If you find no class waivers, an SBA individual waiver to the Nonmanufacturer Rule (NMR) may help you to achieve small business goals if*: B. A waiver for a set-aside is not needed when:1. One small business manufacturer:* Small business set-aside2. Small business manufacturer, brand specific of any dollar size with FAR 6 justification:* Small business set-aside3. Large business, brand specific (or brand equivalent) requirement $25,000 or less with FAR 6:* Small business set-asideC. GSA schedule: Use the closest code listed on the schedule. Then same as above if no class waiver. D. Exception to “NMR” if procurement $25,000 or less. (FAR 19.102 (f)(7)(B))

  50. NMR Program Office The preferred and most expeditious method for asking questions and submitting waiver requests is by e-mail to nmrwaivers@sba.gov.

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