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

2. Hosts Dwight A. Johnson, Procurement Center Representative
SBA Office of Government Contracting, Area IV, Omaha
(402)
Jan Kaiser, Procurement Center Representative
SBA Office of Government Contracting, Area IV, Chicago
(312)
Deborah Crumity, Procurement Center Representative
SBA Office of Government Contracting, Area IV, Rock Island Arsenal
(309)

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
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

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

5. Return to 9:30 – 10:30 am Central for remainder of the 2017 season
FIRST WEDNESDAY VIRTUAL LEARNING SERIES :30 to 10:30 Central Time
Return to 9:30 – 10:30 am Central
for remainder of the 2017 season
FY 2017
 Date
 Topic 1
October 5, 2016
Non-Manufacturer Rule 2
November 2, 2016
Market Research: Using FPDS & DSBS 3
December 7, 2016
New All SB Mentor-Protégé Program 4
January 11, 2017
SBA Surveillance Reviews 2017 5
February 1, 2017
Certificate of Competency Program 6
March 1, 2017
Historically Underutilized Business Zones 7
April 12, 2017
Gov’t Subcontracting Compliance 8
May 3, 2017
Woman Owned Small Business 9
June 7, 2017
SBA’s Size Program 10
July 12, 2017
Small Business Legislative Updates 11
August 2, 2017
8(a) Business Development
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

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 addresses of participants in an excel document to

8. Small Business Program Update
10/3/2017
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:
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.
Questions regarding this slide can be addressed with your PCR as PCRs review subcontracting plans. SBA Government Contracting Area Directors, Office of Government Contracting (

9. Presenter DAVID GORDON Size Program Manager
U.S. Small Business Administration Office of Government Contracting
(312)

10. Small Business Responsibility SBA’s Certificate of Competency (COC) Program & Process David 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.
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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.”
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13. DO NOT COPY OR DISTRIBUTE
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.
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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.
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15. DO NOT COPY OR DISTRIBUTE
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.
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16. DO NOT COPY OR DISTRIBUTE
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 §
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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 § )
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.
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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 § A Contracting Officer must give bidders a chance to cure a minor deficiency or must waive 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 § 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 , Oct. 17, 2014, at page 6.
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19. DO NOT COPY OR DISTRIBUTE
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.
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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 § (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.
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21. Speaking of NAICS codes…
Contracting Officers may not assign wholesale or retail NAICS codes to procurements of supplies.
The law is very specific: “Procurements for supplies must be classified under 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 § (b)
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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.
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23. DO NOT COPY OR DISTRIBUTE
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.
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24. DO NOT COPY OR DISTRIBUTE
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 could be 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 may still 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 § (a)
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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 §
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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 § (f)
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27. DO NOT COPY OR DISTRIBUTE
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)
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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.
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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 (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.
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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 U.S. Small Business Administration (617) Causeway Street, Room 265 Boston, MA Randy Johnston, Supervisory PCR U.S. Small Business Administration (202) Third Street, S.W. Washington, DC Joyce Thurmond, COC Coordinator U.S. Small Business Administration (404) , ext Peachtree Street, Suite 1900 Atlanta, GA David Gordon, COC Coordinator U.S. Small Business Administration (312) West Madison Street, Suite 1150 Chicago, IL Sophia Chou, Commercial Mkt Rep. U.S. Small Business Administration (817) Amon Carter Blvd., Suite 116 Fort Worth, TX Marina Laverdy, COC Coordinator U.S. Small Business Administration (818) 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
HUBZone 8(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 Washington, D.C (202) (202) 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 Washington, D.C (202) (202)

32. Size protest contacts
If HQ of the protested concern is in: Please contact the following:
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
Janette Fasano, Area Director SBA Office of Government Contracting (617) Causeway Street, Room 416 Fax: (617) Boston, MA Vincent J. Mazzotta, Size Program Manager SBA Office of Government Contracting (610) Parkview Towers, 1150 First Ave, Ste 1001 Fax: (202) King of Prussia, PA Ivette Mesa Bascumbe, Size Coordinator SBA Office of Government Contracting (305) x S. Biscayne Boulevard, 7th floor Fax: (202) Miami, FL David Gordon, Size Program Manager SBA Office of Government Contracting (312) West Madison Street, Suite 1150 Fax: (202) Chicago, IL Robert C. Taylor, Area Director SBA Office of Government Contracting (817) Amon Carter Boulevard Fax: (202) Fort Worth, TX Esmeralda Sanchez, Size Specialist esmeralda SBA Office of Government Contracting (415) Market Street, Suite 600 Fax: (202) San Francisco, CA 94105

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
SBA Certificate of Competency 13 CFR 125.5
Service-disabled veteran 13 CFR (b)
8(a) and SDB regulations 13 CFR
Small disadvantaged business 13 CFR (f)
WOSB Program 13 CFR 127
SBA Prime Contracting 13 CFR 125.2
SBA Subcontracting 13 CFR 125.3 36 36

37. Types of SBA Contacts and Offices
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 37 37

38. Six SBA Government Contracting Areas at hyperlink: https://www. sba

39. A. SBA Quick Reference - SBA Area Offices
1. Size protests (with recertification) FAR
13 CFR
13 CFR
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
13 CFR 125.6(f)
5. Receiving copies subcontracting plans
FAR

40. B. SBA Quick Reference - SBA Procurement Center Representatives (PCRs)
FAR   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. B. SBA Quick Reference SBA PCRs, cont.
1. SBA PCR coordination records FAR (b)   
13 CFR 125.2
2. Small business set-aside appeals FAR
13 CFR 125.2(b)(7)
3. HUBZone set-aside appeals FAR
FAR
13 CFR
4. SDVOSB set-aside appeal FAR
FAR
13 CFR
5. Reporting bundling to SBA (MATOCs) FAR (e)(1)
6. SBA subcontracting plan reviews-copies FAR (3)
13 CFR 125.2(b)(6)(iii)
FAR (c)
13 CFR 125.2(b)(6)(iii)(C)
7. SBA subcontracting program review FAR (4)
8. Small business TFD FAR (e)(4))
(Termination for default)
9. Surveillance review of agency contracting

42. Small Business Coordination Forms Sent To SBA PCRs
Agency
Form
Title 1
Commerce
CD 570
Small Business Set-aside Review 2
Defense
2579
Small Business Coordination Record 3
Energy
4220.2
Small Business Review Form 4
GSA
2689
Small Business Analysis Record 5
HHS
653 6
Homeland Security
700-22 7
Interior
1886
Acquisition Screening and Review Form 8
Labor
DL1-2004
Small Business Procurement Determination 9
NASA
NF 1787
Small Business Review Sheet 10
State
DS-1910
Small Business Clearance Form 11
Transportation
4250
Small Business Program Review Form 12
USDA
AD-1205
Small Business Program – Procurement Review 13 VA
2268
Procurement Request Review For Small Business…

43. Document that you have provided SBA Area Directors with copies of subcontracting plans
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:
Prime contractor portfolio management 13 CFR 125.3
Reviews of subcontracting plan holders 13 CFR 125.3
Matchmaking CFR 125.3
SBA SUB-Net link at:
SBA Subcontracting Opportunities Directory link at:
“SBLO Handbook” link at:

45. D. SBA Quick Reference – SBA Regional and District Offices
Link to district offices at:

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: and then local resources at the link

47. E. SBA Quick Reference - SBA Headquarters
1. HUBZone status protests FAR  
13 CFR
2. NAICS code appeal FAR
13 CFR
3. Non-manufacturer rule waivers FAR (f)(1)-(7)
13 CFR
4. SDVOSB status protest FAR
13 CFR
5. WOSB Program status protest FAR /13 CFR 47

48. FAR 19. 102 (f ): No class waiver to NMR
FAR (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-aside 2. Small business manufacturer, brand specific of any dollar size with FAR 6 justification: * Small business set-aside 3. Large business, brand specific (or brand equivalent) requirement $25,000 or less with FAR 6: * Small business set-aside C. 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 (f)(7)(B))

50. NMR Program Office
The preferred and most expeditious method for asking questions and submitting waiver requests is by to

51. SBA 1st First Wednesday Virtual Learning 2017
Find your PCR at
SBA 1st First Wednesday Virtual Learning 2017