12 Small-Business Subcontracting Plan Template_Final.docx

CUI

DCSA BI Fieldwork CUI 12 Small-Business Subcontracting Plan Template Defense Counterintelligence and Security Agency Background Investigation Fieldwork Services Solicitations HS002122R0002 / HS002122R0003

12 SMALL-BUSINESS SUBCONTRACTING PLAN

Any content that is listed in red, italicized font is included as guidance and should be deleted prior to the submission of this document. Similarly, these instructions should also be deleted prior to submission and the Contractor shall include a letterhead at the top of this Subcontracting Plan or include a cover page with the company name, logo, or seal.

DATE:

Contractor:

Address:

Solicitation/Broad Agency Announcement Number:

Proposal Title:

Type of Subcontracting Plan:

Select one of the three below (defined in FAR 52.219-9(b)):

[ ] Individual:

A subcontracting plan that covers the entire contract period (Including option periods), applies to a specific contract, and has goals that are based on the offeror’s planned subcontracting in support of the specific contract except that indirect costs incurred for common or joint purposes may be allocated on a prorated basis to the contract.

[ ] Master:

A subcontracting plan that contains all the required elements of an individual contract plan, except goals, and may be incorporated into individual contract plans, provided the master plan has been approved. A Master Plan is normally approved for a 3-year period by the agency administering the preponderance of the firm’s Government contracts.

[ ] Commercial:

A subcontracting plan (including goals) that covers the offeror’s fiscal year and that applies to the entire production of commercial items sold by either the entire company or a portion thereof (e.g., division, plant, or product line). In accordance with FAR 19.704(d), a commercial plan is the preferred type of subcontracting plan for contractors furnishing commercial items.

The following together with any attachments, is submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Laws 95-507, 99-661, 103-355, 105-135 and 106-50 as implemented by the Federal Acquisition Regulation (FAR) and the Defense Supplement thereto, as well as Public Laws 100-180 and 103-337. The following goals are required for the basic quantity (base period) and each option quantity (period) of the contract. For a contract with options, provide a separate statement for the basic contract and individual statements for each option year.

All information provided should meet with the descriptions within FAR 19.3 “Determination of Small Business Size and Status for Small Business Programs.”

Subcontracts awarded to an Alaskan Native Corporation (ANC) or Indian Tribe shall be counted towards the subcontracting goals for Small Business and Small Disadvantaged Business concerns regardless of the size or Small Business Administration certification status of the ANC or Indian Tribe. Where one or more subcontractors are in the subcontract tier between the prime contractor and the ANC or Indian Tribe, the ANC or Indian Tribe shall designate the appropriate contractor(s) to count the subcontract towards its small business and small disadvantaged business subcontracting goals (FAR 19.703(c)(1)).

1. The total estimated dollar value of all planned subcontracting (to all types of business concerns) under this contract is $ ____________________. Note that if the contract is expected to include options, the goals shall be established separately for the base period and each option year.

2. The following percentage goals (expressed in terms of total planned subcontracting dollars) are applicable to the solicitation (contract) cited above. The offeror shall include all subcontracts and purchases that contribute to contract performance and may include a proportionate share of products and services that are normally allocated as indirect costs. Note that in calculating all goals, the denominator is always the total estimated dollars to be subcontracted. In addition, all goals should be to the tenth of a percent.

a. Other Than Small business concerns: _____%

b. Small Business (SB) concerns: _____% The total percentage of planned subcontracting with small business concerns includes total dollars planned to be subcontracted with Small Business (including ANC and Indian Tribes), Small Disadvantaged Business (including ANCs and Indian Tribes), Women -Owned Small Business, Historically Underutilized Business Zone Small Business, Veteran–Owned Small Business and Service-Disabled Veteran-Owned Small Business. Note that the sum of Large Business plus Small Business is always 100.0%. Also note that the sum of the subsets of Small Business does not equal 100 percent; i.e. a firm may be claimed in more than one category.

c. Small Disadvantaged Business (SDB) concerns (including ANCs and Indian Tribes): ________% Note that this is a subset of Small Business.

d. Women-Owned Small Business (WOSB) concerns: ________% Note that this is a subset of Small Business.

e. Historically Underutilized Business Zone (HUBZone) small business concerns: _______% Note that this is a subset of Small Business.

The following dollar values correspond to the percentage goals shown in 2 above.

a. Large business concerns: $________

b. Small Business (SB) concerns (including ANC and Indian Tribes): $________

c. Small Disadvantaged Business (SDB) concerns (including ANC and Indian Tribes) $________

d. Women-Owned Small Business (WOSB) concerns:$________

e. Historically Underutilized Business Zone (HUBZone) small business concerns: $________ Note that 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 contacting the Small Business Administration (SBA).

f. Veteran-Owned Small Business (VOSB) concerns: $________

g. Service-Disabled Veteran-Owned Small Business (SDVOSB) concerns: $________

h. The following principal products and/or services will be subcontracted under this contract. [Place an “X” beside each category of business that applies to the product or service] Note that the below this is calling for the description from paragraph “g”.

Product/Service

__ Other Than Small -

__ SB -

__ SDB -

__ WOSB -

__ HUBZone -

__ VOSB -

__ SDVOSB -

Additional Comments:

3. The following method was used to develop the above subcontracting goals.

Explain how the product/service areas to be subcontracted were established and how the SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB capabilities were determined.

4. The following method was used to identify potential sources for solicitation purposes:

e.g., existing company source lists, the Small Business Administration Dynamic Search tool, veteran’s service organizations, the National Minority Purchasing Council Vendor Information Service, the Research and Information Division of the Minority Business Development Agency in the Department of Commerce, or small, HUBZone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information provided by the SBA as an accurate representation of a concern’s size and ownership characteristics for the purposes of maintaining a small, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business source list. Use of SBA resources as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

5. Indirect and overhead costs _____ have _____have not been included in the goals specified in the paragraphs above. If indirect and overhead costs are included, explain the method used in determining the proportionate share of such costs to by allocated as subcontracts to SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns and the products and services planned.

6. The following employee will administer the subcontracting program:

Name:

Title:

Address:

Telephone No.: Fax No:

E-mail Address:

This individual's specific duties, as they relate to the firm’s subcontracting program are as follows:

Delete those duties that do not apply.

*General responsibility for this company’s Small Business Program, to include the development, preparation, and execution of individual subcontracting plans, and for monitoring performance relative to contractual subcontracting requirements contained in this plan, and including but not limited to:

*Developing and maintaining bidder’s lists of SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns from all possible sources.

*Ensuring that procurement packages are structured to permit SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns to participate to the maximum extent possible.

*Assuring inclusion of SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns in all solicitations for products or services that they are capable of providing.

*Reviewing solicitations to remove statements, clauses, etc. which may tend to restrict or prohibit SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns’ participation.

*Ensuring periodic rotation of potential subcontractors on bidders lists.

*Ensuring that the proposal review board documents its reason for not selecting lowest priced proposals submitted by SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB concerns.

*Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.

*Attending or arranging the attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

*Conducting or arranging for conduct of motivational training for purchasing personnel pursuant to the intent of P.L. 95-507.

*Monitoring attainment of proposed goals.

*Preparing and submitting periodic subcontracting reports.

*Coordinating the contractor’s activities during the conduct of compliance reviews by Federal agencies.

*Coordinating the conduct of the contractor’s activities involving its small business subcontracting program.

*Additions to the duties specified above are as follows:

7. The following efforts shall be undertaken to assure that SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB shall have an equitable opportunity to compete for subcontracts (see FAR 52.219-9(e)):

a. Arrange solicitations, time for preparation of bids, quantities, specifications, and delivery schedules to facilitate participation by all categories of small business.

b. Provide adequate and timely consideration of the potentialities of all categories of small firms in all “make-or-buy” decisions.

c. Counsel and discuss subcontracting opportunities with representatives of all categories of small firms.

d. Confirm that a subcontractor representing itself as a HUBZone SB is identified as a certified HUBZone SB by contacting the Small Business Administration.

e. Provide notice to subcontractors concerning the penalties and remedies for misrepresentations of business status as small, small disadvantaged, women- owned, HUBZone small, veteran-owned or service-disabled veteran-owned small business 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.

f. For all competitive subcontracts over the simplified acquisition threshold in which a small business concern received a small business preference, upon determination of the successful subcontract offeror, the Contractor must inform each unsuccessful small business subcontract offeror in writing of the name and location of the apparent successful offeror prior to award of the contract.

8. The offeror (contractor) agrees that the FAR clause 52.219-8 entitled “Utilization of Small Business Concerns” will be included in all subcontracts where applicable to adopt and comply with a subcontracting plan similar to the plan required by FAR 52.219-9, entitled “Small Business Subcontracting Plan”. Such plans will be reviewed by comparing them to the provisions of applicable Public Laws 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 SB, SDB (including ANCs and Indian Tribes), WOSB, HUBZone SB, VOSB, and SDVOSB subcontractors and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontracting program participants.

9. The offeror (contractor) agrees to:

a. Cooperate in any studies or surveys as may be required.

b. Submit reports at least twice a year, or at the discretion of the Contracting Officer, so that the Government can determine the extent of compliance by the offeror with the subcontracting plan.

c. Submit the Individual Subcontracting Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with the paragraph (l) of this clause using the Electronic Subcontracting Reporting System (eSRS) at http://www.esrs.gov The reports shall provide information on subcontract awards to small business concerns (including ANCs and Indian tribes that are not small businesses), veteran-owned small business concerns, service-disabled veteran-owned small business concerns, HUBZone small business concerns, small disadvantaged business concerns (including ANCs and Indian tribes that have not been certified by the Small Business Administration as small disadvantaged businesses), women-owned small business concerns, and Historically Black Colleges and Universities and Minority Institutions. Reporting shall be in accordance with this clause, or as provided in agency regulations. In accordance with FAR 52.219-9(l)(2)(i)(D), both ISR and SSR reports are due within 30 days of the end of each reporting period—March 31 and September 30. The first report that includes this contract shall be submitted after the first full reporting period of this contract in addition to any fractional part of the previous period in which this contract became effective.

d. Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS.

e. Provide its prime contract number, its DUNS number, and the e-mail 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.

f. Require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans.

g. Make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns that it used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal. Responding to a request for a quote does not constitute use in preparing a bid or proposal.

h. Provide the Contracting Officer with a written explanation if the Contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in paragraph g of this section. This written explanation must be submitted to the Contracting Officer within 30 days of contract completion.

i. Pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract, and notify the Contracting Officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor.

j. The Contractor will not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor.

10. The offeror (contractor) agrees that it will maintain at least the following types of records to document compliance with this subcontracting plan:

a. Source lists, guides, and other data identifying SB, SDB, WOSB, HUBZone SB, VOSB, and SDVOSB concerns.

b. Organizations contacted to locate SB, SDB, WOSB, HUBZone SB, VOSB, and SDVOSB concerns.

c. Records on all subcontract solicitations of more than $250,000, indicating for each solicitation (1) whether SB concerns were solicited and, if not, why not; (2) whether SDB concerns were solicited and, if not, why not; (3) whether WOSB concerns were solicited and, if not, why not; (4) whether HUBZone SB concerns were solicited and, if not, why not; (5) whether VOSB concerns were solicited and, if not, why not; (6) whether SDVOSB concerns were solicited and, if not, why not; and (7) if applicable the reason the award was not made to a small business concern.

d. Records of any outreach efforts to contact trade associations, business development organizations, conferences and trade fairs to locate small firms, and veteran’s service organizations.

e. Records of internal guidance and encouragement provided to buyers through training and monitoring performance to evaluate compliance with the program’s requirements.

f. On a contract-by-contract basis, records to support award data submitted to the Government including the name, address and business size of each subcontractor. Contractors having commercial plans need not comply with this requirement.

Signed:

Date:

Typed Name:

Title:

CUI // Source Selection Information. See FAR 2.101 and 3.104.CUI // SOURCE SELECTION INFORMATION. SEE FAR 2.101 AND 3.104.

CUI // Source Selection Information. See FAR 2.101 and 3.104.