MIT S MASTER SMALL BUSINESS PROGRAM

Transcription

1 MIT S MASTER SMALL BUSINESS PROGRAM Policy: It is the policy of the United States that small business concerns shall have the maximum practicable opportunity to participate in the performance of contracts awarded by any Federal agency. The Institute policy on affirmative action with respect to procurement from minority business concerns and women-owned business concerns is contained in its current Affirmative Action Plan. This policy requires that minority business concerns and women-owned business concerns shall have the maximum practicable opportunity to participate as sources of supply for all Institute procurement - under Federal and other contracts and grants, and with Institute funds. Additionally, MIT has accepted in many Government contracts and has agreed to the provisions of the FAR clause entitled: Small Business Subcontracting Plan. In furtherance of the above objectives, MIT has instituted the attached Affirmative Action Plan and Procedures: Form 11.1A MIT s: Master Small Business Program Procedure: MIT OSP RST Policies and Procedures Section 11 Subcontracting Plan for Small Business Concerns - Coordination, Preparation and Administration Affirmative Action Plan - MIT Purchasing Policies and Procedures Section 1.9 Affirmative Action in Procurement and Construction. Procedure: MIT Purchasing Policies and Procedures Section 2.7 Utilization of Small Business Concerns These procedures are the nucleus of this Master Subcontracting Plan. In accordance with FAR clause : (a)(4)- A description of the method used to develop the subcontracting goals; MIT will use the following sources to determine the availability of small business and small disadvantaged business concerns: a. Massachusetts State office of Minority and Women Business Assistance, Boston, Massachusetts. b. Greater New England Minority Supplier Development Council c. Commonwealth of Mass Office of Supplier Diversity d. MIT Vendor List - An extensive mailing has been made to all vendors on the Institute s Vendor List, and continues to be made on an on-going basis, to determine the status of each vendor as a small business, a small disadvantaged business, or a women-owned small business concern. From this mailing we have compiled a listing of small disadvantaged and women-owned business concerns. e. The Internet i.e.: SBA s Dynamic Small Business Search (DSBS) Form 11.1A OSP RST Revised 12/2013

2 MIT S MASTER SMALL BUSINESS PROGRAM (a)(6)- A statement as to whether or not the offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with small business. MIT s does not include indirect costs in establishing subcontracting goals. MIT only includes anticipated purchase orders and subcontracts in establishing subcontracting goals (a)(8) A description of the efforts the offeror will make to ensure that small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns have an equitable opportunity to compete for subcontracts MIT will use the following sources to determine the availability of small business concerns: a. Massachusetts State office of Minority and Women Business Assistance, Boston, Massachusetts. b. Greater New England Minority Supplier Development Council c. Commonwealth of Mass Office of Supplier Diversity d. MIT Vendor List - An extensive mailing has been made to all vendors on the Institute s Vendor List, and continues to be made on an on-going basis, to determine the status of each vendor as a small business, a small disadvantaged business, or a women-owned small business concern. From this mailing we have compiled a listing of small disadvantaged and women-owned business concerns. e. The Internet i.e.: SBA s Dynamic Small Business Search (DSBS) (a)(10): (iv) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the esrs; (v) Provide its prime contract number, its DUNS number, and the address of the offeror s official responsible for acknowledging receipt of or rejecting the ISRs to all first-tier subcontractors with subcontracting plans so they can enter this information into the esrs when submitting their ISRs; and (vi) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the address of the subcontractor s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans. MIT agrees to include the FAR clause Utilization of Small Business Concerns, in all purchase orders/subcontracts funded under a Government Contract that offers further purchasing/subcontracting possibilities. Also, for all contracts to which this Plan applies, MIT will require all subcontractors (except small business concerns) who receive subcontracts in excess of $650,000, or in the case of a contract for the construction of any public facility, $1.5 million, to adopt a Subcontracting Plan for Small Business Concerns. Such plans will be reviewed by comparing them with the provisions of the FAR clause Small Business Subcontracting Plan, and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies/services involved, the availability of potential small business concerns/subcontractors, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports. Form 11.1A OSP RST Revised 12/2013

3 MIT S MASTER SMALL BUSINESS PROGRAM In every subcontract in excess of $650,000, MIT will provide its prime contract number, its DUNS number, and the address of the offeror s official responsible for acknowledging receipt of or rejecting the ISRs, so they can enter this information into the esrs Electronic Subcontracting Reporting System when submitting their ISRs Subcontracting Report for Individual Contracts. In every subcontract issued by MIT in excess of $650,000, MIT will lists the subcontractors DUNS number and the address of the subcontractor s official responsible for submitting their ISRs Subcontracting Report for Individual Contracts (a)(11)- A description of the types of records that will be maintained concerning procedures adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of the offeror s efforts to locate small business, MIT will maintain all purchasing records in their systems of record (SAP and COEUS) of each all purchase orders/subcontracts funded under a Government Contract. MIT Vendor List - An extensive mailing has been made to all vendors on the Institute s Vendor List, and continues to be made on an on-going basis, to determine the status of each vendor as a small business, a small disadvantaged business, or a women-owned small business concern. From this mailing we have compiled a listing of small disadvantaged and women-owned business concerns. The MIT Procurement Office Small Business Assistant Liaison Officer is the designated procurement specialist that is responsible for: (1) Direct and take positive and appropriate actions when soliciting quotations and proposals and processing requisitions for placement to ensure that: Small business concerns are give maximum opportunity to become Institute sources of supply and that an affirmative obligation is assumed with respect to placing business with these small business concerns. (2) Assist with the location, investigation and development of small business concerns as future Institute sources of supply. (3) Attend trade fairs and programs recommended for Program improvement and source identification and introduction. In addition, MIT will fully comply with FAR Clause (a)(10) sections (iv)(v)(vi). MIT further agrees to submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance with its Subcontracting Plans. An individual Subcontracting Plan will be submitted as required, in the Subcontracting Plan Format that is attached to MIT OSP RST Policies and Procedures Section 11. This Subcontracting Plan will incorporate this Master Plan by reference, will set forth the Percentage goals for the contract, and will name the individual designated as Plan Administrator for the contract. The individual Subcontracting Plan will indicate any deviations from the Master Plan deemed necessary by the Contracting officer to satisfy the requirements of the contract. NOTE: The Procurement Office and the OSP Research Subawards Team jointly agree to abide by this policy. The OSP Research Subawards Team will be responsible for maintaining the policy. Form 11.1A OSP RST Revised 12/2013

4 MIT OSP RST Policies and Procedures 11.0 SMALL BUSINESS PROGRAM (10/10) 11.1 Subcontracting Plan for Small Business Concerns - Coordination, Preparation and Administration Policy t is the policy of the United States (Public Law ) that small business concerns shall have the maximum practicable opportunity to participate in the performance of contracts awarded by any Federal agency. (Utilization of small business concerns clause included in Federal contracts that exceeds the simplified acquisition threshold.) In connection with each proposal to the Federal Government which exceeds $650,000, the offeror (MIT) shall submit to and negotiate with the Federal agency a subcontracting plan which addresses separately purchasing and subcontracting with small business concerns, which shall be included in and made a material part of the resultant contract. (subcontracting plan clause included in Federal contracts that exceed $650,000.) Failure to submit and negotiate the subcontracting plan shall make the offeror (MIT) ineligible for award of a contract Following contract award, failure of the contractor (MIT) to comply in good faith with (i) the clause (of the contract) entitled Utilization of Small Business Concerns, or (ii) the approved small business concerns subcontracting plan (of the contract) will be treated as a material breach of the contract. This policy requires that: For each Institute proposal to a Federal agency that exceeds $650,000, a Subcontracting Plan shall be prepared, submitted, negotiated, implemented and administered in accordance with Federal contract requirements Prior to the award of a purchase order or subcontract/subaward which exceeds $650,000 by the Institute under a Federal contract which includes the clause Small Business Concerns Subcontracting Plan to other than a small business concern, require that the intended subcontractor/subawardee submit a subcontracting plan for review, negotiation as required, and inclusion, with reporting requirements, in the resulting purchase order or subcontract/subaward. Section 11 1 of 4

5 MIT OSP RST Policies and Procedures 11.2 Subcontracting Plan for Small Business Concerns Coordination, Preparation and Administration Coordination - OSP Research Subawards Team Assistant Director: The OSP Research Subawards Team assistant director is designated as the Assistant Liaison Officer for the Subcontracting/Subawards Program with responsibility to: (1) Maintain liaison with the Government on small business reporting concerns matters. (2) Ensure that the Federal Procurement regulation clauses identified by title below are included in subcontracts/subawards issued under Federal contracts. Subawards issued under a Federal Government Contract Prime Award that exceed the simplified acquisition threshold, to all concerns (large and small): Clause: Utilization of Small Business Concerns Subawards issued under a Federal Government Contract Prime Award that exceed $650,000 to other than small business concerns: Clause: Small Business Subcontracting Plan (3) Prepare procedures that govern Plan preparation, implementation and administration. (4) Coordinate activities between Procurement, Program Manager/Principal Investigator, Department/Laboratory Administrator, and Office of Sponsored Programs (OSP) Contract Representative to ensure timely submission of meaningful and appropriate Plans. (5) Maintain records and reports of compliance with and accomplishments under approved Plans as of March 31 st and September 30 th. (6) Submit reports of compliance and accomplishments under approved subcontracting plans to program managers/principal investigators, subcontracting plan administrators and cognizant Institute personnel. (7) Provide direction and assistance as necessary to elevate accomplishments under approved subcontracting plans. (8) Prepare and submit required reports of accomplishments under approved subcontracting plans to the contracting agencies. Section 11 2 of 4

6 MIT OSP RST Policies and Procedures (9a) Individual Subcontract Reports File ISR (Formerly Standard Form 294). Submitted semi-annually for the periods ended March 31 st and September 30 th. Reports are due 30 days after the close of each reporting period. A separate report is required for each contract at contract completion. Separate report required for each contract that contains a subcontracting plan. Documents accomplishments under a subcontracting plan during the reporting period (6 months) and cumulatively, from contract commencement. (9b) Summary Subcontract Reports File SSR (Formerly Standard Form 295) Submitted semi-annually for the six months ended March 31 st and the twelve months ended September 30 th. Reports are due 30 days after the close of each reporting period. Separate report required for each Federal department or agency (Dept. of Defense, Dept. of Transportation, Dept of Energy, NASA, etc.), which awarded at least one, contract which contains a Subcontracting Plan. Documents cumulatively the distribution of business (procurements) to small business concerns under all active contracts awarded by the same Federal department or agency, whether or not each contract required a subcontracting plan. Documents subcontracting plan accomplishments under all active contracts and contracts completed during the reporting period which were awarded by the same Federal department or agency Preparation - Program Manager/Principal Investigator, Department/Laboratory Administrator, OSP Contract Representative, OSP Research Subawards Team Assistant Director, Procurement Office A. To be approved by the contracting agency, a subcontracting plan must: (1) Provide the maximum practicable opportunity for small business concerns to participate in the performance of the contract. Accordingly, it is important that the details of the cost portion of the proposal be clearly broken out with respect to intended procurement of: subcontracts, subawards, equipment, materials, services, etc. Responsibility for this rests with the following: Section 11 3 of 4

7 MIT OSP RST Policies and Procedures Program Manager/Principal Investigator Department/Laboratory Administrator Procurement Office OSP Contract Representative OSP Subaward Administrator (2) Reflect separate percentage goals in terms of percentage of total dollars planned for each category of procurement for awards to (i) small business concerns, (ii) small disadvantaged business concerns, and (iii) small women-owned business concerns. Procurement personnel will recommend sources of supply for this purpose. B. Administration The following shall be responsible for subcontracting plan administration and shall be referred to as Subcontracting Plan Administrators: (1) Department/Laboratory Administrators - Departments, laboratories and centers that are serviced by the Procurement Office. (2) Purchasing Managers/Purchasing Agents - for departments and laboratories that are serviced by a separate Purchasing Agency or Procurement Office. C. Subcontracting Plan Administrator responsibilities: (1) Maintain listings of small disadvantaged business concerns and their products, provided by the Director of Procurement. (2) Review each request/requisition submitted under the contract to ensure that (i) business previously earmarked for small disadvantaged business concerns is directed to such firms, (ii) business not so previously earmarked which can be purchased from known small disadvantaged business concerns is directed to such firms. (3) For all requests/requisitions submitted to the Procurement Office for processing under a contract with a subcontracting plan, mark each clearly SUBCONTRACTING PLAN to enable review by Procurement for consideration for award to a small disadvantaged business concern. D. Subcontracting Plan Format: (1) Use the Subcontracting Plan for Small Business Concerns Form 11.2C and Form 11.1A Master Small Business Program when executing a subcontracting plan. Section 11 4 of 4

8 MIT Procurement Policies and Procedures 1.9 Affirmative Action in Procurement and Construction (02/01) MIT will continue the following course of action, which has enabled us to achieve a solid and expanding position in the utilization of minority and women-owned business concerns for Institute procurement: Aims and Plan of Action MIT's policy on affirmative action with respect to procurement requires that minority and womenowned business concerns shall have the maximum practicable opportunity to participate as suppliers of Institute requirements for goods and services, including construction, whether purchased with contract, grant, or Institute funds. This policy requires that: a. Institute requisitioners and buying agents assume an affirmative obligation with respect to placing business with minority and women-owned business concerns. b. New procedures be developed to secure maximum participation of minority and women-owned business concerns in Institute purchasing, and, to this end, an Affirmative Action Procurement Program be established, executed, and maintained Affirmative Action Procurement Program a. The Director of Procurement will: 1. Administer, guide, monitor, and update the Program. 2. Train and motivate the managers and buying agents of the Institute's Procurement Offices regarding the affirmative use of minority and women owned business concerns for Institute procurement. 3. Represent a central contact for minority and women-owned business concerns that are seeking Institute business, but are not familiar with the Institute and the location of its Procurement Offices. 4. Disseminate information to Institute Procurement Offices and select departments on the products and services that are available from minority and women-owned business concerns that are new to the Institute. 5. Compile and provide to managers and buying agents listings of minority and women-owned business concerns, which contain potential Institute suppliers. 1 of 1

9 MIT Procurement Policies and Procedures 2.7 Utilization of Small Business Concerns (02/01) Policy It is the policy of the United States that small business concerns shall have the maximum practicable opportunity to participate in the performance of contracts awarded by any Federal agency The Institute policy on affirmative action with respect to procurement from minority business concerns and women-owned business concerns is contained in its current Affirmative Action Plan. This policy requires that minority business concerns and women-owned business concerns shall have the maximum practicable opportunity to participate as sources of supply for all Institute procurement - under Federal and other contracts and grants, and with Institute funds These policies require that: These small business concerns be given maximum opportunity to become Institute sources of supply. Institute requisitioners and buying agents assume an affirmative obligation with respect to placing business with these small business concerns. Procedures are developed by the Procurement Department to secure maximum participation of small business concerns. To this end, a Small Business Concerns Purchasing and Subcontracting Program be established, maintained and executed. The Subcontracting Program will be Administered by the Office of Sponsored Programs Research Subawards Office (RSO) (see RSO Manual Section 11.0) Small Business Concern Definitions (based on Federal procurement regulations) A small business concern generally is one which: (a) is independently owned and operated, (b) is not dominant in the field of its operations, (c) qualifies under the criteria covering annual receipts set forth in Section 3 of the Small Business Act, or (d) does not employ with its affiliates more than 500 employees. There are several specific Small Business Concern categories where the Institute will provide the maximum practicable opportunity to participate in the performance of contracts awarded by any Federal agency Historically Underutilized Business Zone (HUBZone) Concern 1 of 5

10 MIT Procurement Policies and Procedures A "HUBZone" is defined as an area that is located in one or more of the following: a) a qualified census tract (as defined in section 42(d)(5)(C)(i)(I) of the Internal Revenue Code of 1986); b) a qualified "non-metropolitan county" (as defined in section 143(k)(2)(B) of the Internal Revenue Code of 1986) with a median household income of less than 80 percent of the State median household income or with an unemployment rate of not less than 140 percent of the statewide average, based on U.S. Department of Labor recent data; or c) lands within the boundaries of federally recognized Indian reservations. To participate in the HUBZone Empowerment Contracting Program, a concern must be determined to be a "qualified HUBZone small business concern." A firm can be found to be a qualified HUBZone concern, if: a) It is small, b) It is located in a "historically underutilized business zone" (HUBZone) c) It is owned and controlled by one or more U.S. Citizens, and d) At least 35% of its employees reside in a HUBZone. MIT will only report on the small business concerns that have been reviewed and certified by the Small Business Administration as legitimate HUBZones Small Disadvantaged Business Concern A small disadvantaged business concern is a small business concern- (1) which is at least 51 percent owned by one or more socially and economically disadvantaged individuals; or, in the case of any publicly owned business, at least 51 percent of the stock is owned by one or more socially and economically disadvantaged individuals; Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities. Economically disadvantaged individuals are those socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business who are not socially disadvantaged. (2) whose management and daily business operations are controlled by socially or economically disadvantaged individuals including Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent-Asian Americans, and other minorities or any other individuals found to be disadvantaged pursuant to the Small Business Act. Native Americans include American Indians, Eskimos, Aleuts and native Hawaiians. 2 of 5

11 MIT Procurement Policies and Procedures Asian-Pacific Americans include U.S. citizens whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands, the Northern Mariana Islands, Laos, Kampuchea (Cambodia), Taiwan, Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Republic of the Marshall Islands, the Federated States of Micronesia, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu or Nauru. Subcontinent Asian Americans include U.S. citizens whose origins are in India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands or Nepal. Native Hawaiian Organization include any community service organization serving Native Hawaiians in, and chartered as a not-for-profit organization by, the State of Hawaii, which is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. Indian Tribe includes any Indian tribe, band, nation, or other organized group of community of Indians, including any Alaska community of Indians, including any Alaska native Corporation as defined in 13 CFR which is recognized as eligible for the special programs and services provided by the U.S. to Indians because of their status as Indians, or which is recognized as such by the State in which such tribe, band, nation, group or community resides. MIT will only report on the small business concerns that have been reviewed and certified by the Small Business Administration as legitimate Small Disadvantaged Business Concerns Women-Owned Small Business Concern A small business that is at least 51 percent owned, controlled and operated by a woman or women who are U.S. citizens. Controlled is defined as exercising the power to make policy decisions. Operated is defined as actively involved in the day-to-day management Veteran-Owned Small Business Concern A small business that is at least 51 percent owned, controlled and operated by one or more veterans (as defined at 38 U.S.C. 101(2)). Controlled is defined as exercising the power to make policy decisions. Operated is defined as actively involved in the day-to-day management Service-Disabled Veteran-Owned Small Business Concern A small business that is at least 51 percent owned, controlled and operated by one or more service-disabled veterans (Veterans as defined at 38 U.S.C. 101(2) and service-disabled defined at 38 U.S.C. 101(16)). Controlled is defined as exercising the power to make policy decisions. Operated is defined as actively involved in the day-to-day management Purchasing and Subcontracting Program for Small Business Concerns The Institute has designated the Director of Procurement and Director of the Office of Sponsored Programs as Liaison Officer for the Small Business Concerns - Purchasing and Subcontracting Program (hereinafter referred to as the Program) with responsibility to: (1) Establish the Program (2) Administer, guide and monitor the Program (3) Maintain liaison with the Government on small business concerns matters. 3 of 5

12 MIT Procurement Policies and Procedures (4) Supervise compliance with Government and MIT regulations on small business concerns matters. (5) Issue and promulgate Institute-wide policy statements in support of the Program. (6) Train and motivate Institute Buying Agents and requisitioners regarding the affirmative use of small business concerns. (7) Produce reports, as required, of Institute-wide Purchasing and Subcontracting Programs accomplishments The Assistant Director for RSO, the Manager of Purchasing at Lincoln Laboratory, the Purchasing Broker of the Publishing Services Bureau and the Purchasing Agents of the Procurement Offices on-campus are designated Assistant Liaison Officers for the Program The Directors of Procurement, OSP, Facilities, Housing and Food Services, and Lincoln Laboratory have designated one person from each of their departments and laboratory as Program Coordinator Program Coordinator responsibilities: (1) Promote increased business activity with present small business concerns by coordinating with Buying Agents and requisitioners. (2) Gain knowledge of the goods and services purchased at Procurement Offices through discussions with Buying Agents and review of purchase orders issued, or requisitions submitted for processing. (3) Establish and execute an outreach program to identify new small business concerns, meet with these sources, qualify these sources, and coordinate meetings between these sources and Buying Agents and requisitioners. (4) Where the products and services of existing and new sources have broad application throughout the Institute provide the Director of Procurement with information for notifying departments and laboratories of the sources by written communications. (5) Represent with the Director of Procurement a central contact for resources not familiar with the Institute and the location of its Procurement Offices and Agencies. (6) Attend New England Minority Purchasing Council and other Federal, State or privately funded organization meetings, seminars, trade fairs, and other programs dedicated to Program improvement and source identification and introduction. (7) Continue review of all purchase orders issued or requisitions submitted for processing to ensure that present sources continue to be utilized, that new sources introduced and recommended for use are utilized, and to continue to obtain knowledge of the goods and services purchased. 4 of 5

13 MIT Procurement Policies and Procedures (8) Report efforts to introduce new sources of supply to the Director of Procurement The designated Assistant Liaison Officers responsibilities: (1) Direct and take positive and appropriate actions when soliciting quotations and proposals and processing requisitions for placement to ensure that: Small business concerns are give maximum opportunity to become Institute sources of supply and that an affirmative obligation is assumed with respect to placing business with these small business concerns. (2) Assist with the location, investigation and development of small business concerns as future Institute sources of supply. (3) Attend trade fairs and programs recommended for Program improvement and source identification and introduction. (4) Ensure that the Federal Procurement regulation clauses identified in the RSO Manual, Section Small Business Concerns Source Listings, Directories and Investigations The Director of Procurement will provide the designated Assistant Liaison Officers and Program Coordinators with: (1) Listings of small business concerns that are or may be utilized as Institute sources of supply. These listings will be updated as new sources are added. (2) Local, regional and national directories of minority businesses, women-owned businesses, etc., which may be potential Institute sources of supply. (3) Web sites that may be useful in identifying potential sources of supply Reports and Records Director of Procurement, Director OSP, the Purchasing Broker of Publishing Services Bureau and Purchasing Agents must: (1) Maintain records showing: a) Procedures which have been adopted to comply with the policies set forth by the Institute and those contained in Federal contracts, including the establishment of source lists of small business concerns. b) Awards to small business concerns. (2) Cooperate with Government Contracting Officers and the Small Business Administration (SBA) in any studies or surveys of the Institute's small business concerns procedures and practices that the Contracting Officers or the SBA may from time to time conduct. (3) Submit periodic reports of purchasing and subcontracting to small business concerns in such form and manner and at such time as the Contracting officers may prescribe. 5 of 5