SUBCONTRACTING PLAN TEMPLATE (FINAL).pdf

0SDBU

U.S. Department of Commerce Template for Individual Subcontracting Plan

Effective 10/17/2018

The U.S. Department of Commerce, Office of Small and Disadvantaged Business Utilization (OSDBU) recommends offerors use this template to submit proposed subcontracting plans. This template is designed to be consistent with the Federal Acquisition Regulation (FAR), 19.704, Subcontracting plan requirements and clause 52.219-9, Small Business Subcontracting Plan. This template is not intended to replace any existing Corporate/Commercial Plan that is more extensive.

To be completed by the contracting officer

The contracting officer may use discretion to set target subcontracting goals for any of the socio-economic and small business categories that represent the minimum goal(s) government will accept. The target goals shall be used by offeror to develop its subcontracting goals.

If left blank continue to Section B.

CATEGORY TARGET GOAL

SMALL BUSINESS (SB) %

SMALL DISADVANTAGED BUSINESS (SDB) %

WOMEN-OWNED SMALL BUSINESS (WOSB) %

HISTORICALLY UNDERUTILIZED BUSINESS ZONE (HUBZ) %

VETERAN-OWNED SMALL BUSINESS (VOSB) %

SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESS (SDVOSB) %

The following sections to be completed by the offeror

DATE OF SUBCONTRACTING PLAN SUBMISSION

SOLICITATION/CONTRACT NUMBER

COMPANY NAME AND ADDRESS

DUNS NUMBER

COST PROPOSAL

TOTAL DOLLAR VALUE, INCLUDING ALL OPTIONS: $

BREAKDOWN BY BASE AND OPTION PERIODS:

BASE PERIOD: $

OPTION 1 $

OPTION 2 $

OPTION 3 $

OPTION4 $

OPTIONAL SERVICES AND/OR PRODUCTS $

Elements of Subcontracting Plan

1. Total dollars planned to be subcontracted

The offeror shall propose separate goals based on total contract value.

BASED ON TOTAL

TOTAL CONTRACT VALUE,

INCLUDING OPTIONS

DOLLAR PERCENTAGE

TOTAL SUBCONTRACT DOLLARS: $

SMALL BUSINESS $ %

(INCLUDES ALL SOCIOECONOMIC

DOLLARS)

OTHER THAN SMALL BUSINESS (OTS) $ %

2. Separate percentage goals for socioeconomic categories

CATEGORY BASED ON TOTAL CONTRACT VALUE,

INCLUDING OPTIONS

DOLLAR PERCENTAGE

SOB $

HUBZone $

WOSB $

VOSB $

SDVOSB $

3. Description of principal types of supplies and services to be subcontracted

Identify the types of business concerns that will provide principal or core work and/or products as subcontractors under this contract, identified by CUN or other identification method used by the contracting officer.

PRODUCT OR OTS SB SDB WOSB HUBZ VOSB SDVOSB

SERVICE (✓) (✓) (✓) (✓) (✓) (✓) (✓)

Insert CLIN# and description

TOTALS $ % $

I

I

I

I

3a. Small Business Participation

The contracting officer may examine the extent of small business participation by evaluating the offeror's commitment to utilizing socioeconomic and small business concerns in performance of the contract. If the offeror is claiming small business participation credit, then the offeror must identify the name of the concern and principal work (i.e., CUN).

NAME OF SMALL BUSINESS

DUNS

DESCRIPTION OF PRINCIPAL OR CORE WORK AND/OR PRODUCT

DOLLAR VALUE AND PERCENTAGE OF WORK AND/OR PRODUCT TO BE

SUBCONTRACTED. (STATE THE PERCENTAGE BASED ON TOTAL

SUBCONTRACT DOLLARS AND BASED ON TOTAL CONTRACT VALUE).

SUPPORTING DOCUMENTATION (I.E., COPY OF CONTRACT WITH

SMALL BUSINESS OR NOTIFICATION TO SMALL BUSINESS OF THEIR

INCLUSION IN OFFEROR'S PROPOSAL)

Offeror to create additional tables as needed.

4. Method used to develop subcontracting goals

Describe method used to develop the subcontracting goals and how the utilization of small business concerns correlates to the technical and cost proposals. If the offeror proposes goals that appear to be unusually high, the offeror may be required to provide supporting evidence of realism to demonstrate that the goals are achievable.

5. Method used to identify potential sources

Describe method used to identify potential sources for solicitation purposes. If the offeror identified or indicated a commitment to using specific small business concerns, the offeror shall identify the small businesses by name and include a copy of an enforceable signed agreement, contract, or evidence that the small businesses were notified of their inclusion in the offeror's proposal.

6. Indirect Cost

Include a statement as to whether or not indirect costs were included in establishing subcontracting goals, and include a description of the method used to determine the proportionate share of indirect costs to be incurred with small business (including ANCs and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business (including ANCs and Indian tribes), and women-owned small business concerns.

7. Program Administrator

Provide required information about the employee who has general overall responsibility for the company's subcontracting program (i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of those subcontracting plans).

Provide the name, title, address, telephone number, email, position title, position description or duties, and organizational placement.

Does the individual named above perform the duties identified in the survey below? if not, then provide the name, title, and contact information of the individual that does perform the duties.

Complete the following survey to describe the duties performed by the program administrator. If answered "no" to any of the questions, please provide explanation on a page(s).

QUESTION ANSWER

A. DEVELOP AND PROMOTE COMPANY-WIDE INITIATIVES THAT

DEMONSTRATE THE COMPANY'S SUPPORT FOR AWARDING CONTRACTS 0 YES

AND SUBCONTRACTS TO SB, SOB, WOSB, HUBZONE, VOSB, AND SDVOSB

CONCERNS; AND FOR ASSURING THAT THESE CONCERNS ARE INCLUDED 0 NO

ON THE SOURCE LISTS FOR SOLICITATIONS FOR PRODUCTS AND

SERVICES THEY ARE CAPABLE OF PROVIDING.

B. DEVELOP AND MAINTAIN BIDDER SOURCE LIST OF SB, SDB,WOSB,

HUBZONE, VOSB, AND SDVOSB CONCERNS FROM ALL POSSIBLE SOURCES. 0 YES

0 NO

C. ENSURE PERIODIC ROTATION OF POTENTIAL SUBCONTRACTORS ON

BIDDERS' LISTS. 0 YES

0 NO

D. ASSURE THAT SB, SOB, WOSB, HUBZONE, VOSB, AND SDVOSB CONCERNS

ARE INCLUDED ON THE BIDDERS' LIST FOR EVERY SUBCONTRACT

YES

SOLICITATION FOR PRODUCTS AND SERVICES THEY ARE CAPABLE OF

PROVIDING. 0 NO

E. ENSURE THE REQUEST FOR PROPOSALS (RFP) ARE DESIGNED TO PERMIT

THE MAXIMUM PRACTICABLE PARTICIPATION OF SB, SOB, WOSB,

YES

HUBZONE, VOSB, AND SDVOSB.

0 NO

F. REVIEW SUBCONTRACT SOLICITATIONS TO REMOVE STATEMENTS,

CLAUSES, ETC., WHICH MIGHT TEND TO RESTRICT OR PROHIBIT SB, SOB, 0 YES

WOSB, HUBZONE, VOSB, AND SDVOSB PARTICIPATION.

0 NO

G. ACCESS VARIOUS SOURCES FOR THE IDENTIFICATION OF SB, SOB, WOSB,

HUBZONE, VOSB, AND SDVOSB CONCERNS TO INCLUDE SSA'S DYNAMIC

SMALL BUSINESS SEARCH AT HTTP://DSBS.SBA.GOV, AND THE SYSTEM

YES

FOR AWARDS MANAGEMENT AT WWW.SAM.GOV, LOCAL SMALL BUSINESS 0 NO

AND MINORITY ASSOCIATIONS, LOCAL CHAMBERS OF COMMERCE AND

FEDERAL AGENCIES' SMALL BUSINESS OFFICES.

H. ESTABLISH AND MAINTAIN CONTRACT AND SUBCONTRACT AWARD

RECORDS. 0 YES

0 NO

I. PARTICIPATE IN BUSINESS OPPORTUNITY WORKSHOPS, MINORITY

BUSINESS ENTERPRISE SEMINARS, TRADE FAIRS, PROCUREMENT 0

YES

CONFERENCES, ETC.

NO

QUESTION ANSWER

J. ENSURE SB, SOB, WOSB, HUBZONE, VOSB, AND SDVOSB CONCERNS ARE

MADE AWARE OF SUBCONTRACTING OPPORTUNITIES AND ASSIST 0 YES

CONCERNS IN PREPARING RESPONSIVE BIDS TO THE COMPANY.

0 NO

K. CONDUCT OR ARRANGE TRAINING FOR PURCHASING PERSONNEL

0 YES

REGARDING THE INTENT AND IMPACT OF SECTION 8(S) OF THE SMALL

BUSINESS ACT, AS AMENDED. 0 NO

L. MONITORING THE COMPANY'S SUBCONTRACTING PROGRAM

0 YES

PERFORMANCE AND MAKING ANY ADJUSTMENTS NECESSARY TO ACHIEVE

THE SUBCONTRACT PLAN GOALS. 0 NO

M. PREPARE AND SUBMIT TIMELY REQUIRED SUBCONTRACT REPORTS.

YES

0 NO

N. COORDINATE THE COMPANY'S ACTIVITIES DURING COMPLIANCE REVIEWS

YES

BY FEDERAL AGENCIES.

0 NO

8. Equitable Opportunity

FAR 19.704 requires a description of the efforts your company will make to ensure that SB, SDB, WOSB, HUBZone, VOSB, and SBVOSB concerns will have an equitable opportunity to compete for subcontracts. (Check all that apply):

A. Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations ___ Contacting business development organizations ___ Attending small and minority business procurement conferences and trade fairs ___ Reviewing sources from the Dynamic Small Business Search at https://dsbs.sba.gov Reviewing sources from the System for Awards Management at www.sam.gov

___ Additional efforts: (Please describe): ______________ _

B. Internal efforts to guide and encourage purchasing personnel:

___ Conducting workshops, seminars and training programs Establishing, maintaining and using SB, SOB, WOSB, HUBZone, VOSB, and SBVOSB source lists, guides and other data for soliciting subcontractors Monitoring activities to evaluate compliance with the subcontracting plan.

C. Additional efforts: (Please describe) _____________ _

9. Clause Inclusion and Flow Down

FAR 19.704 requires that your company include the provisions under FAR 52.219-8, Utilization of Small Business Concerns (see 19.708(a)) in all acquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. Your company must require all subcontractors, except small business concerns, that receive subcontracts in excess of $700,000 ($1.5 million for construction) to adopt and comply with a plan similar to the plan required by FAR 52.219-9, Small Business Subcontracting Plan.

Your company agrees that the clause will be included and that the plans will be reviewed against the minimum requirements for such plans. The acceptability of percentage goals for SB, SOB, WOSB, HUBZone, VOSB, and SBVOSB concerns must be determined on a case-by-case basis depending on the supplies and services involved, the availability of potential SB, SOB, WOSB, HUBZone, VOSB, and SBVOSB concerns as subcontractors and prior experience.

Once the plans are negotiated, approved, and implemented, the plans must be monitored through the submission of individual and summary subcontracting reports via the federal government's web-based Electronic Subcontracting Reporting System (eSRS) at https://www.esrs.gov.

10. Reporting and Cooperation

Your company agrees that it will-

i. Cooperate in any studies or surveys that may be required;

ii. Submit periodic reports which illustrate compliance with the subcontracting plan;

iii. Submit its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR); via the Electronic Subcontracting Reporting System (eSRS) website (www .esrs.gov);

iv. Submit ISR and SSR when due:

Report Type

Individual

Individual - Corrected

Individual - Final Summary

Summary - Corrected

Commercial

Contractor Deliverable Semi-Annual Re :>orting

Period Ending

March 30th

September 30th

September 30th

September 30th

April 30th

October 30th

Report Due

Within 30 days of receiving notice of contracting officer's rejection

Within 30 days of contract completion October 30th

Within 30 days of receiving notice of contractino officer's rejection October 30th

i. Ensure that your company's subcontractors with subcontracting plans agree to-

( 1) Submit the ISR and/or the SSR using eSRS;

(2) Provide its prime contract number, its unique entity identifier 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.

(3) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own unique entity identifier, 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;

Reports are required when due, regardless of whether there has been any subcontracting activity since the inception of the contract or the previous reporting period.

The eSRS system does not allow companies to submit a separate report for each task order issued. Therefore, eSRS reporting for DOC IDIQ contracts will include the applicable information for each task order issued under the IDIQ contract. Contractors shall include a statement in the remarks section of eSRS to indicate the task order number and dollars awarded via the task order.

11. Record Keeping

In order to demonstrate your company's adherence to the requirement to maintain records that reflect your compliance with requirements and goals in the subcontracting plan, describe your company's records maintenance procedures for locating each category of small business for use as a subcontractor.

The records shall include at a minimum the following:

A. Source lists, guides, and other data identifying small business concerns;

B. Organizations contacted in an attempt to locate SB, SOB, WOSB, HUBZone, VOSB and SDVOSB sources;

C. Records on each subcontract solicitation resulting in award over the simplified acquisition threshold, indicating whether SB, SOB, WOSB, HUBZone, VOSB and SDVOSB concerns were solicited, and if not, why not; and reasons for the failure of solicited SB, SOB, WOSB, HUBZone, VOSB and SDVOSB concerns to receive the subcontract award;

D. Records to support any outreach efforts (e.g., contacts with minority and small business trade associates, attendance at small and minority business procurement conference and trade fairs, etc.);

E. Records to support internal activities and encouragement provided to buyers through (1) workshops, seminars, training programs, and (2) monitor activities to evaluate compliance with the program's requirements;

F. Records to support subcontract award data including the name, address and business size of each subcontractor; and

G. Other records to support your compliance with the subcontracting plan.

12. Description of Good Faith Effort

Maximum practicable utilization of SB, SOB, WOSB, HUBZone, VOSB and SDVOSB concerns as subcontractors in Government contracts is a matter of national interest with both social and economic benefits. When a contractor fails to make a good faith effort to comply with a subcontracting plan, these objectives are not achieved and 15 U.S.C. 637(d) (4) (F) directs that liquidated damages shall be paid by the contractor.

Describe the steps your company will take to utilize socioeconomic small business and small business concerns to the maximum extent practicable to demonstrate your compliance with good faith effort to achieve the SB, SOB, WOSB, HUBZone, VOSB and SDVOSB subcontracting goals. These steps will be reviewed by the contracting officer and negotiated. If warranted, prior to approval of the plan.

13. Failure of Good Faith Effort

Your company agrees that it will provide a written explanation to the contracting officer if it fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as you described in your answer to item no. 12 above. Your written explanation will be submitted to the contracting officer within 30 days of contract completion.

14. Subcontractors Not Prohibited from Contacting the Contracting Officer

Describe procedures to ensure subcontractors will not be prohibited from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor

15. Timely Payments to Subcontractors

Your company agrees to notify the contracting officer if you pay a reduced or an untimely payment to a small business subcontractor. Describe procedures to ensure the timely payment of amounts due pursuant to the terms of your subcontracts with SB, SOB, WOSB, HUBZone, VOSB and SDVOSB concerns.

Describe procedures to notify SB, SOB, WOSB, HUBZone, VOSB, and SDVOSB that additional assistance related to payment issues is available from the bureau small business specialist or representative from the OSDBU.

16. Required Signatures

This subcontracting plan was submitted by:

Signature:

Typed Name:

Title:

Company:

Date:

This subcontracting plan was reviewed and accepted by:

Signature:

Typed Name:

Title: Contracting Officer Bureau/Office:

Date:

This subcontracting plan was reviewed and concurred with by:

Signature:

Typed Name:

Title: Small Business Specialist Bureau/Office:

Date:

This subcontracting plan was reviewed and concurred with by:

Signature:

Typed Name:

Title: U.S. Small Business Administration Representative Date:

This subcontracting plan was reviewed and concurred with by:

Signature:

Typed Name: LaJuene Desmukes Title: Director Bureau/Office: Office of Small and Disadvantaged Business Utilization Date: