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Representations & Certification Requirements February 9 , 2012 Midwest SBLO Meeting

Representations & Certification Requirements February 9 , 2012 Midwest SBLO Meeting. Introduction. Presented by Ray Suennen Governmental Contracts Compliance Coordinator Integrys Energy Services, Inc RFSuennen@integrysenergy.com. Introduction. Small Business Subcontracting Plan

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Representations & Certification Requirements February 9 , 2012 Midwest SBLO Meeting

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  1. Representations& CertificationRequirementsFebruary 9, 2012Midwest SBLO Meeting

  2. Introduction Presented by Ray Suennen Governmental Contracts Compliance Coordinator Integrys Energy Services, Inc RFSuennen@integrysenergy.com

  3. Introduction Small Business Subcontracting Plan The achievement of the goals of a small business subcontracting plan are measured by the percent of a Contractor’s subcontracting Spend with socioeconomic business concerns The validity of the Spend percents, is based upon the supporting representations and certifications, which are primarily received directly from the subcontractors

  4. Self-Certifications eSRS Instructions Quick reference # 3 you must have a supporting written size self-certification for every small business you are counting in the small business and socioeconomic section of this report at the time you submit your proposal Per 13 (CFR) 121.404 (e) & 121.410

  5. Self-Certifications eSRS Instructions Quick reference # 3 a subcontractor must qualify and self-certify as a small business at the time it submits its offer as a small business subcontractor. Per 13 CFR 121.411(a)

  6. ORCA Representations ORCA Registration Prospective contractors shall update the representations and certifications submitted to ORCA as necessary, but at least annually, to ensure they are kept current, accurate, and complete. The representations and certifications are effective until one year from date of submission or update to ORCA. 4.1201 (b)(1)

  7. Contract Representations Registration & Certifications Clause in Contracts After reviewing the ORCA database information, the offeror verifies by submission of the offer that the representations and certifications currently posted electronically that apply to this solicitation as indicated in paragraph (c) of this provision have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation ….. 52.204-8(d)

  8. Data Representations Data Collection and Reporting Requirements • Require each prospective contractor to represent whether it is a small business, SDVOSB, VOSB, WOSB, EDWOSB, ….. • Accurately measure the extent of participation by SB, SDB, HUBZone, ….. • (1) Require a contractor that represented itself as a small business concern prior to award to rerepresent its size status. 19.202-5

  9. Good Faith Representations Small Business Representations To be eligible for award as a small business, an offeror must represent in good faith that it is a small business at the time of its written representation. … and has not been determined by the SBA to be other than a small business. FAR 19.301-1(a)

  10. Good Faith Representations Small Business Representations A Contracting Officer can challenge a representation if the CO has a reason FAR 19.301-1(b)(2) It can be presumed that a Contractor is not acting in good faith, if the Contractor has reason to believe that a representation is not made in good faith or it appears inappropriate (knowledgeable, signed by the janitor)

  11. Good Faith Representations Small Business Representations A contractor acting in good faithmay rely on the written representation of its subcontractor regarding the subcontractor’s status as a Small Business, Small Disadvantaged Business, Veteran Owned Small Business, Service-Disabled Veteran Owned Small Business, Women Owned Small Business concern. 19.703(b)

  12. HUBZone Representations Small Business Representations - HUBZone The contractor shall confirm that a subcontractor representing itself as a HUBZone small business concern is certified by SBA as a HUBZone small business concern by accessing the CCR database or by contacting the SBA. 19.703(d)(1)

  13. SDB Representations Small Business Representations - SDB Small Disadvantaged Business concern means a small business concern that represents, as part of its offer that – (1) certificate as a SDB concern consistent with 13 CFR part 124, subpart B by SBA….. - no material change in ownership & control - meets net worth limitations - is identified in CCR as a certified SDB

  14. SDB Representations Small Business Representations - SDB (2) It represents in writing that it qualifies as a small disadvantaged business for any Federal subcontracting program, and believes in good faith that it is owned and controlled by one or more socially and economically disadvantaged individuals and meets the SDB eligibility criteria of 13 CFR 124.1002. eff. Oct 3, 2008 52.219-8(c) (pub1-1-11)

  15. SBA’s Responsibilities Small Business Size Standards The SBA establishes small business size standards 19.102 Small business size standards are applied by ….. industry 19.102 A product or services shall only be classified in one industry 19.102 The SBA makes determinations on size status issues and it is binding on the Contracting Officer 19.301

  16. Long-Term Contracts Long-Term Contracts Re-certification 19.301-2 L-T contract means a contract of more than five years in duration, including options. A contractor that represents itself as a small business must rerepresent its size status … I) Within 60 to 120 days prior to the end of the fifth year of the contract; and II) Within 60 to 120 days prior to the date specified in the contract for exercising any options thereafter.

  17. Long-Term Contracts Long-Term Contracts Re-certification 19.301-2 Rerepresent of size status is also required I) Within 30 days after the execution of a novation agreement ….. II) Within 30 days after a merger or acquisition of the contractor that does not require novation …..

  18. Penalties & Notices for Misrepresentations ORCA Registration Statement By submitting this certification, I, (your name) am attesting to the accuracy of the representations and certifications contained herein. I understand that I may be subject to penalties if I misrepresent (my company) in any of the above representations or certifications to the Government.

  19. Penalties & Notices for Misrepresentations Self-Certifications – Notice of Penalties & Remedies Provide notice to subcontractors concerning penalties and remedies for misrepresentations of business status as SB, VOSB, HUBZone, SDB, or WOSB for the purpose of obtaining a subcontract that is to be included as part or all of a goal contained in the Contractor’s subcontracting plan. 52.219-9 (e)(5)

  20. Penalties & Notices for Misrepresentations Self-Certification - Misrepresentation Representations/Penalties & Remedies …..any person who misrepresents a firm’s status ….. in order to obtain a contract to be awarded under the preference programs….. or any other provisions of Federal law that specifically references section 8(d) for a definition of program eligibility, shall 52.219-1 (d)(2)

  21. Penalties & Notices for Misrepresentations Self-Certification – Penalties & Remedies • Be punished by imposition of a fine, imprisonment, or both • Be subject to administrative remedies, including suspension and debarment: and • Be ineligible for participation in programs conducted under the authority of the Act 52.219-1 (d)(2) This should be on your self-certification form above the signature

  22. Self-Certification Form Self-Certification Form Contents I hereby certify that • The information herein is accurate, current, and complete to the best of my knowledge • I am knowledgeable of business size and status regulations • I am an authorized official to sign on behalf of the company This should be on your self-certification form above the signature

  23. Self-Certification Form Self-Certification Form Contents Small Business Jobs Act of 2010 Section 1341 Detailed certification requirement - the certification shall contain the signature of an “authorized official on the same page.”

  24. Jobs Act of 2010 Self-Certification Representations Small Business Jobs Act of 2010 Section 1341 Deemed certifications - Submitting a bid or proposal on a Federal contract or subcontract or registering in a federal contractor database such as the CCR is deemed to be “affirmative, willful, and intentional.”

  25. Jobs Act of 2010 Self-Certification Representations Small Business Jobs Act of 2010 Section 1341 Presumed loss to the United States The United States is presumed to lose “the amount expended on the contract” whenever a contractor willfully seeks and obtains a small business contract by misrepresentation

  26. Jobs Act of 2010 Self-Certification Form Contents Small Business Jobs Act of 2010 Section 1343 Training for Contracting and Enforcement Personnel DOJ is to coordinate government-wide policies on prosecuting small business size and status fraud (misrepresentations) (for both contractors and subcontractors)

  27. Responsibility Matters Responsibility Matters Clauses The Contracting Officer shall insert the provision at 52.209-7, Information Regarding Responsibility Matters, in solicitations where the resultant contract value is expected to exceed $500,000 9.104-7

  28. Responsibility Matters Responsibility Matters Clauses Information Regarding Responsible Matters (b) The offer [ ] has [ ] does not have current active Federal contracts and grants with total value greater than $10,000,000 52.209-7

  29. Responsibility Matters Responsibility Matters Clauses The CO shall insert the clause at 52.209-9 ….. In contracts in which the offeror checked “has” in paragraph (b) of the provision 52.209-7 9.104-7(c)(1)(ii)

  30. Responsibility Matters Responsibility Matters Clauses Updates of Publicly Available Information Regarding Responsibility Matters • The Contractor shall update the information in the FAPIIS on a semi-annual basis, throughout the life of the contract, by posting the required information in the CCR database 52.209-9 (a)

  31. Summary Requirements Summary – Self-certifications - Are required - Must be in writing - Must provide Notice of Penalties & Remedies for misrepresentations - Be signed by an authorized official - Be signed on the same page as the certification

  32. Summary Requirements Summary – Self-certifications - You are required “to have” - Rerepresentations may be required at specific times and for specific events

  33. Summary Requirements Summary – Misrepresentations - are affirmative, willful and intentional - risk significant penalties and remedies can include the amount expended on the contract - are the focus of additional Government enforcement efforts

  34. Summary Requirements Summary – Representations & Certifications - are to be made in good faith - can be relied on - in ORCA, are valid for only 12 months

  35. Summary Requirements Summary – Representations must be - accurate - current - complete - timely There is a strong case to indicate that current is annually except when required more frequently (an event occurs to change the status or there is a new agreement)

  36. Summary Requirements Summary – Contractors that 52.209-9 applies to must update CCR semi-annually

  37. Penalties & Notice Verbiage Certification The verbiage for inclusion on self- certification form is located at FAR 52.219-1 (d) – “Notice” Subpart (2)

  38. Wrap Up Comments?

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