SMALL BUSINESS SUBCONTRACTING PLAN PROCESS Federal Contracts: Pre and Post Award Process Steps March 28, 2017 Part 1 Pre-Award Process Request for Quotation Form 1. Based on the PI s approved budget, this form is the tool to use to request a quotation to support the PI s Subcontracting Dollars. The Small Business Subcontracting Plan Program Administrator forwards an RFQ e-template to the PI s representative to fill in ALL products and /or services subcontracted under the Small Business Subcontracting Plan i.e. material, supplies, consultants, equipment etc. Steps in completing the Request for Quotation form are as follows: A. The first column, the manufacturer product number B. The second column, the manufacturer name C. The third column, item description D. The fourth column, the quantity for one year ( not for the life of the contract) a. If the quantity is less than twelve months, list that quantity as one year E. The fifth column, the unit of measurement Note: Complete all columns and submit the RFQ form to the SBSP Program Administrator within five business days after the kick-off meeting. 2. The completed RFQ e-template is forward to Procurement s Sourcing Manager (s) by the SBSP Administrator to submit a Request for Quotation. The selected participants to bid will be Small, Minority and Woman-Owned Business Enterprise (Small, MWBEs). The estimated time to submit the RFQ and receive responses is two to three weeks. If the PI s representative confirms that certain items or services are Sole Source or Single Source, the SBSP Administrator will submit to the PI s representative a Sole Source Exemption Form to complete and return to the attention of the SBSP Administrator. The Sole Source Exemption Form will be file with the PI s SBSP. 3. Upon receipt of bid responses, the Small Business Subcontracting Plan Administrator or Procurement s Sourcing Manager verifies the classification of each Small, MWBE in the System for Award Management (SAM). 1
a. The Small Business Subcontracting Plan administrator meets with the OSP to compose the SBSP based on the responsive bidders. b. If there are no responsive bidders, SBSP Administrator and OSP compose the SBSP from Procurement s Diverse Supplier Listing located at: https://www.finance.emory.edu/home/procure%20and%20pay/supplier_diversity/i ndex.html, historical data and existing Small, Minority and Women-Owned suppliers. c. If Small, MWBEs listed on Procurement s Diverse Supplier Listing do not meet the material requirements, the Procurement team will attempt to source Small, MWBEs by product description. The status of this effort will be provided to the PI s representative. Note: Reference the Federal Contract Tool Box to down load the RFQ form. Part 2 1. Post-Award / Small Business Subcontracting Reporting: A. After the enoa and kick-off meeting scheduled by OSP, the PI s representative will be contacted and a conference call or meeting is scheduled with the appropriate individuals whereby the reporting procedures are revisited based on the approved Small Business Subcontracting Plan. B. The PI s representative (the person that is actually placing the orders) must provide the Maximum Procurement Opportunity to the selected bidder during order placement. Supporting this opportunity will allow the goals to be met or exceeded that are outlined in the PI s Small Business Subcontracting Plan (SBSP). C. The reporting periods are as follows based on the federal government timeline: Due Date Reports: to Admin. 1 st reporting period Oct 1 st via Dec 31 st January 15 th 2 nd reporting period Jan 1 st via March 31 st April 15 th 3 rd reporting period April 1 via June 30 th July 15 th 4 th reporting period July 1 ST via September 30 th October 15 th D. Federal SBSP Worksheet and Federal SBSP Coversheet e-templates are submitted to the PI s representative for quarterly reporting purposes. 2
1. Steps in completing and filling out the SBSP Worksheet are as follows: A. The first column- the vendor name B. The second column- the project ID # C. The 3 rd column- the vendor s dun # D. The 4 th column- Small Business (SB) spend E. The 5 th column-small Disadvantaged Business (SDB) spend F. The 6 th column -Women-Owned Small Business (WOSB) spend G. The 7 th column- HUBZone (HUBZ) spend H. The 8 th column- Veteran-Owned Small Business (VOSB) spend I. The 9 th column-service Disabled Veteran Owned Small Business (SDVOSB) spend J. The 10 th column-large or Other than spend Note: If a supplier fails under several categories, each category must reference that spend. Example I: Receipt of an order from RAS Enterprise valued at $500.00, since RAS Enterprise fails under the following categories, the SBSP worksheet would reflect the following: Small Business - $500.00 Small Disadvantaged Business - $500.00 HUBZone - $500.00 Veteran-Owned Small Business -$500.00, and Service Disabled Veteran-Owned Small Business $500 Note: Columns are not to be totaled to equal $2,500.00 Example II: Receipt of an order from Freeman Forms & Supplies Inc. (DBA: MySupplies) for $150.00, MySupplies fails under Small and Woman-Owned Small Business (WOSB), the SBSP worksheet should reflect the following: Small Business - $150.00 Woman-Owned Small Business - $150.00 Note: Columns are not to be totaled to equal $300.00 Example III: Receipt of an order from VWR for $2,500.00, VWR fails under a Large Business; therefore, the SBSP worksheet should reflect the following: Large - $2,500.00. 3
Note: The SBSP worksheet must display what was received from the supplier and what was paid to the supplier, not what was initially ordered from the supplier. E. The PI s representatives must submit their quarterly report on the above due dates or before to the Small Business Plan Administrator. F. If the PI s representatives are having difficulties working towards their Small, MWBE goals, which are outlined in their SBSP, they are to submit a detail statement of the problem (s) for each category. G. The PI s representative is required to submit a quarterly report even if there is no spend, a written justification is also required to support the current status of no spend. H. The PI s representative (the person that is placing the orders against the SBSP) must be aware of Procurement s Emory Express Supplier Directory, and will be also be provided with instructions on how to retrieve Small, Minority, and Woman-Owned Businesses information from the System for Award Management (SAM) website. 2. Steps in completing and filling out the SBSP Cover sheet are as follows: Section I: Instructions: Complete all sections of the Individual Subcontracting Quarterly Coversheet Summary Form A. Reporting year:----------this is the current year you are reporting SBSP activities, example 2017 B. Reporting Period:-------This information consists of the current quarter and year of your report, example (2 nd Quarter January 1 March 31) C. Department Name:-----Fill in the department name D. Period of Contract Performance: Fill in the length of the contract, example (08/1/2013 to 06/30/2020) E. Total Amount Of All Planned Subcontracting Dollars: Reference the SBSP contract to retrieve this information. This dollar amount will be less than the item I, the 4
contract value. The subcontracting dollars include the following planned expenditures: Travel Supplies & Material If applicable, consultants fees Equipment If applicable, subcontractors dollar amounts, and etc. F. Title of the Study: Example, Sleep Disorder G. Principal Investigator s Name: Fill in the lead PI s name H. Contract Number: Example, HHSNXXXXXXXXXXXX I. Total amount of the Contract, reference the SBSP contract to retrieve this information, example $ 75,000,000 J. Project ID Number (s) that support this contract must be included K. Speed Key/Smart Key that support this contract must be included Section II: Approved Small Business Goals listed on the Small Business Subcontracting Plan A. Diversity Classifications: Reference the SBSP contract to retrieve this information. The goals and percentages of all categories are calculated based on the subcontracting dollar amount, bid responses, historical data, consultant fees, existing Small, Minority and Women-Owned Business Enterprises (Small, MWBEs) and etc. All, unless special circumstances exist, travel will be calculated at 100 percent with Maupin Travel Agency (Small, and Woman-Owned Business) to support the subcontracting dollar amount percentage of spend against the contract. Section III: Quarterly Spend Report Diversity Classifications All category percentages will be calculated based on the sum of the small and large spend total, not the subcontracting dollar amount. 5
Example: Percentages Small Spend $2500.00 Large spend $8050.00 Total spend $10,550.00 Small Spend $2,500 2.37% WOSB spend $2000.00 1.89% Section IV: Cumulative Totals (from the beginning of the contract to the present day) This section displays the cumulative or rolling totals from the beginning of the contract to the end of the contract. The totals roll for all categories from quarter to quarter and from year to year throughout the life of the contract. Section V: Contact Information This final section contains the name of the person that prepared the report, their telephone number and e-mail address. 4. The Federal Government s Electronic Subcontracting Reporting System (esrs). A. There are two reporting deadlines: Semi-annual April 30 th (All individual PI s reports) Annual October 30 th (All individual PI s reports, plus, a summary report which consist of all the individual PI s reports under entity of Emory University) B. All new contracts are manually added to the federal government s Add Contract to Worklist by the Plan Administrator. C. Emory s internal reports cannot be imported into esrs. They must be entered manually per the federal government stipulations. 6
D. Small Business Subcontracting Plan spend are analyzed, tracked and monitored throughout the life of the contract. Note: The SBSP Administrator submits the final report in esrs. Reference the Federal Contract Tool Box to down load the Individual Subcontracting Quarterly Reporting form. 7