GENERAL INSTRUCTIONS |
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1. |
This report is not required f rom small businesses. |
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2 . |
This f orm collect s subcont ract aw ard |
dat a |
f rom prime |
cont ract ors/subcont ract ors t hat : (a) hold one or more cont ract s over $500,000 (over $1,000,000 f or const ruct ion of a public f acilit y); and (b) are required t o report subcont ract s aw arded t o Small Business (SB), Small Disadvant aged Business (SDB), Women-Ow ned Small Business (WOSB), Vet eran-Ow ned Small Business (VOSB), Service-Disabled Vet eran-Ow ned Small Business, and HUBZone Small Business (HUBZone SB) concerns under a subcont ract ing plan. For t he Depart ment of Def ense (DOD), t he Nat ional Aeronaut ics and Space Administ rat ion (NASA), and t he Coast Guard, t his f orm also collect s subcont ract aw ard dat a f or Hist orically Black Colleges and Universit ies (HBCUs) and Minorit y Inst it ut ions (MIs).
3. This report must be submit t ed semi-annually (f or t he six mont hs ended March 31st and t he t w elve mont hs ended Sept ember 30t h) f or cont ract s w it h t he Depart ment of Def ense (DOD) and annually (f or t he t w elve mont hs ended Sept ember 30t h) f or cont ract s w it h civilian agencies, except f or cont ract s covered by an approved Commercial Plan (see special inst ruct ions in right -hand column).
Report s are due 30 days af t er t he close of each report ing period.
4 . This report may be submit t ed on a corporat e, company, or subdivision (e.g., plant or division operat ing on a separat e prof it cent er) basis, unless ot herw ise direct ed by t he agency aw arding t he cont ract .
5. If a prime cont ract or/subcont ract or is perf orming w ork f or more t han one Federal agency, a separate report shall be submitted to each agency covering only that agency' s contracts, provided at least one of t hat agency' s cont ract s is over $500,000 (over $1,000,000 f or const ruct ion of a public f acilit y) and cont ains a subcont ract ing plan. (Not e t hat DOD is considered t o be a single agency; see next inst ruct ion.)
6. For DOD, a consolidated report should be submitted for all contracts aw arded by military departments/agencies and/or subcontracts aw arded by DOD prime
contractors. How ever, DOD cont ract ors involved in const ruct ion and relat ed maint enance and repair must submit a separat e report f or each DOD component .
7 . Only subcont ract s involving perf ormance in t he U.S. or it s out lying areas should be included in t his report .
8 . Purchases from a corporation, company, or subdivision that is an affiliate of the prime/subcontractor are not included in this report.
9 . Subcont ract aw ard dat a report ed on t his f orm by prime cont ract ors/subcon-
t ract ors shall be limit ed t o aw ards made t o t heir immediat e subcont ract ors. Credit cannot be taken for aw ards made to low er tier subcontractors.
10. See special inst ruct ions in right -hand column f or Commercial Plans.
SPECIFIC INSTRUCTIONS
BLOCK 2 : For t he Cont ract or Ident if icat ion Number, ent er t he nine-digit Dat a Universal Numbering Syst em (DUNS) number t hat ident if ies t he specif ic cont ract or est ablishment . If t here is no DUNS number available t hat ident if ies t he exact name and address ent ered in Block 1, cont act Dun and Bradst reet Inf ormat ion Services at 1-800-333-0505 t o get one f ree of charge over t he t elephone. Be prepared t o provide t he f ollow ing inf ormat ion: (1) Company name; (2) Company address; (3) Company t elephone number; (4) Line of business; (5) Chief execut ive of f icer/key manager; (6) Dat e t he company w as st art ed; (7) Number of people employed by t he company; and (8) Company af f iliat ion.
BLOCK 4 : Check only one. Not e t hat March 31 represent s t he six mont hs f rom Oct ober 1st and t hat Sept ember 30t h represent s t he t w elve mont hs f rom Oct ober 1st . Ent er t he year of t he report ing period.
BLOCK 5 : Check w het her t his report is a " Regular," " Final," and/or " Revised" report . A "Final" report should be checked only if the contractor has completed all the contracts containing subcontracting plans aw arded by the agency to w hich it is reporting. A " Revised" report is a change t o a report previously submit t ed f or t he same period.
BLOCK 6 : Ident if y t he depart ment or agency administ ering t he majorit y of subcont ract ing plans.
BLOCK 7 : This report encompasses all cont ract s w it h t he Federal Government f or t he agency t o w hich it is submit t ed, including subcont ract s received f rom ot her
large businesses t hat have cont ract s w it h t he same agency. |
Indicat e in t his block |
w het her t he cont ract or is a prime cont ract or, subcont ract or, |
or bot h (check only |
one). |
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BLOCK 8 : Check only one. Check " Commercial Plan" only if t his report is under an approved Commercial Plan. For a Commercial Plan, t he cont ract or must specif y t he percent age of dollars in Blocks 10a t hrough 15b at t ribut able t o t he agency t o w hich t his report is being submit t ed.
BLOCK 9 : Ident if y t he major product or service lines of t he report ing organizat ion.
BLOCKS 1 0 a through 1 6 : These ent ries must include all subcont ract aw ards result ing f rom cont ract s or subcont ract s, regardless of dollar amount , received f rom t he agency t o w hich t his report is submit t ed. If report ing as a subcont ract or,
report all subcont ract s aw arded under prime cont ract s. |
Amount s |
must include |
bot h direct aw ards and an appropriat e prorat ed port ion of |
indirect |
aw ards. (The |
indirect port ion is based on t he percent age of w ork being perf ormed |
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f or t he organizat ion t o w hich t hereport is being submit t ed in relat ion t o ot her w ork being perf ormed by t he prime cont ract or/subcont ract or.) Do not include aw ards made in support of commercial business unless " Commerical" is checked in Block 8 (see Special Inst ruct ions f or Commercial Plans in right hand column). Report only t hose dollars subcont ract ed t his f iscal year f or t he period indicat ed in Block 4.
BLOCK 1 0 a: Report all subcont ract s aw arded t o SBs including subcont ract s t o SDBs, WOSBs, VOSBs, Service-Disabled VOSBs, and HUBZone SBs. For DOD, NASA, and Coast Guard cont ract s, include subcont ract ing aw ards t o HBCUs and MIs.
BLOCK 1 0 b: Report all subcont ract s aw arded t o large businesses (LBs).
BLOCK 1 0 c: Report on t his line t he grand t ot al of all subcont ract s (t he sum of lines 10a and 10b).
BLOCKS 1 1 through 1 6 : Each of t hese it ems is a subcat egory of Block 10a. Not e t hat in some cases t he same dollars may be report ed in more t han one block (e.g., SDBs ow ned by w omen); likew ise subcont ract s t o HBCUs or MIs should be report ed on bot h Block 11 and 13.
BLOCK 1 1 : Report all subcont ract s aw arded t o SDBs (including w omen-ow ned,
vet eran-ow ned, service-disabled VOSBs, and HUBZone SB SDBs). For DOD, NASA, and Coast Guard cont ract s, include subcont ract aw ards t o HBCUs and MIs.
BLOCK 1 2 : Report all subcont ract s aw arded t o WOSB f irms (including SDBs, VOSBs, service-disabled VOSBs, and HUBZone SBs ow ned by w omen).
BLOCK 1 3 : (For cont ract s w it h DOD, NASA, and Coast Guard): Ent er t he dollar value of all subcont ract s w it h HBCUs/MIs.
BLOCK 1 4 : Report all subcont ract s aw arded t o HUBZone SBs (including w omen-ow ned, vet eran-ow ned, service-disabled VOSBs, and SDB HUBZone SBs).
BLOCK1 5 : Report all subcont ract s aw arded t o VOSBs (including w omen-ow ned, SDB, and HUBZone SB VOSBs).
BLOCK 1 6 : Report all subcont ract s aw arded t o service disabled VOSBs (including Service-Disabled Vet eran Ow ned Small Business Concerns t hat are SDBs, WOSBs, and HUBZone SBs). These subcont ract s should also be report ed in Block 15.
SPECIAL INSTRUCTIONS FOR COM M ERCIAL PLANS
1 . This report is due on Oct ober 30t h each year f or t he previous f iscal year ended Sept ember 30t h.
2 . The annual report submit t ed by report ing organizat ions t hat have an approved company-w ide annual subcont ract ing plan f or commercial it ems shall include all subcont ract ing act ivit y under commercial plans in ef f ect during t he year and shall be submitted in addition to the required reports for other-than-commercial items, if any.
3. Ent er in Blocks 10a t hrough 15b t he t ot al of all subcont ract aw ards under t he cont ract or' s Commercial Plan. Show in Block 8 the percentage of this total that is attributable to the agency to w hich this report is being submitted. This report must be submit t ed t o each agency f rom w hich cont ract s f or commercial it ems covered by an approved Commercial Plan w ere received.
DEFINITIONS
1 . Direct Subcont ract Aw ards are t hose t hat are ident if ied w it h t he perf ormance of one or more specif ic Government cont ract (s).
2 . Indirect Subcont ract Aw ards are t hose w hich, because of incurrence f or common or joint purposes, are not ident if ied w it h specif ic Government cont ract s; t hese aw ards are relat ed t o Government cont ract perf ormance but remain f or allocat ion af t er direct aw ards have been det ermined and ident if ied t o specif ic Government cont ract s.
SUBM ITTAL ADDRESSES FOR ORIGINAL REPORT
For DOD Cont ract ors, send report s t o t he cognizant cont ract administ rat ion of f ice as st at ed in t he cont ract .
For Civilian Agency Cont ract ors, send report s t o aw arding agency:
1. NASA: Forw ard report s t o NASA, Of f ice of Procurement (HS), Washingt on, DC 20546
2. OTHER FEDERAL DEPARTMENTS OR AGENCIES: Forw ard report t o t he OSDBU Direct or unless ot herw ise provided f or in inst ruct ions by t he Depart ment or Agency.
FOR ALL CONTRACTORS:
SMALL BUSINESS ADMINISTRATION (SBA): Send " inf o copy" t o t he cognizant Commercial Market Represent at ive (CMR) at t he address provided by SBA . Call SBA Headquart ers in Washingt on, DC at (202) 205-6475 f or correct address if unknow n.
