47QFWA22R0008 Appendix J - Subcontracting Plan.docx

Appendix J – SUBCONTRACTING PLAN

FREQUENTLY ASKED QUESTIONS

FOR CONTRACTORS

Why are subcontracting reports important?

Negotiated subcontracting plans become a material part of the contract. The reports monitor the progress against the plan. Failure to submit the reports as required under FAR 52.219-9 may negatively affect contractor performance evaluations or may indicate a lack of good faith effort to maximize practicable subcontracting opportunities for SBs, SDBs, WOSBs, VOSB, SDVOSBs and HUBZone small businesses as required by law.

What should I know before submitting a report?

· Understand the small business subcontracting program requirements in FAR subpart 19.7. Pay attention to the reporting requirements listed in FAR 52.219-9(l) and any supplemental instructions the CO may have included in the contract

· Review the subcontracting plan

· Understand the differences in the reports required for the type of subcontracting plan in the contract

· Follow the directions on the eSRS home page such as “Quick Reference Guides” and the Sample-Step-by-Step, such as

· Do not include in the reports purchases from a corporation, company, or subdivision that is an affiliate of the Contractor or subcontractor. Subcontract awards by the affiliates shall be treated as subcontract awards by the Contractor

· Subcontract award data reported by the Contractor and subcontractors shall be limited to awards made to their immediate next-tier subcontractors. Credit cannot be taken for awards made to lower tier subcontractors, unless the Contractor or subcontractor has been designated to receive a small business or small disadvantaged business credit from an ANC or Indian tribe.

· Only include subcontracts involving performance in the United States or its outlying areas in these reports

· Select either the Federal Acquisition Service (FAS) or the Public Building Service (PBS) as the “agency” when completing the reports:

· If awarded a contract by GSA’s PBS, select PBS as the “agency to which the report is being submitted” (code 4740) in eSRS.

· For contracts awarded by GSA’s Federal Acquisition Service, select “FAS” as the “agency to which the report is being submitted (code 4732) in eSRS.

What reports are required for an individual subcontracting plan?

There are two types of reports required for individual subcontracting plans:

1. Individual Subcontracting Report (ISR) is contract specific.

1. Data presented in the ISRs are cumulative over the life of the contract

2. When a subcontracting plan contains separate goals for the basic contract and each option, the dollar goal inserted on the ISR shall be the sum of the base period through the current option. For example, for a report submitted after the second option is exercised, the dollar goal would be the sum of the goals for the basic contract, the first option, and the second option.

3. If a subcontracting plan has been added to the contract pursuant to 19.702(a)(3) or 19.301-2(e), the Contractors achievements must be reported in the ISR on a cumulative basis from the date of incorporation of the subcontracting plan into the contract.

4. Includes indirect costs in the report if the goals of the individual subcontracting plan included indirect costs.

5. Three ISRs are due within 30 days of the end of each reporting period:

e. ISR for the period ending March 31

e. ISR for the period ending September 30

e. Final ISR for the contract within 30 days of contract completion For Task order level reporting for IDIQ contracts used by more than one federal agency, follow the instructions on the eSRS home page, such as the FAQs and the Sample ISR Step-by-Step.

0. Individual Plan Summary Subcontracting Report (SSR) is agency-specific:

a. Encompasses all subcontracting under prime contracts and subcontracts the contractor has with an executive agency (GSA), regardless of the dollar value of the subcontracts.

b. If the Contractor or a subcontractor is performing work for more than one executive agency, a separate report shall be submitted to each executive agency covering only that agency’s contracts, provided at least one of that agency’s contracts is over $750,000 (over $1,500,000 for construction of a public facility) and contains a subcontracting plan.

c. Includes indirect costs appropriately allocated.

I am unable to submit my first ISR in eSRS. What do I do?

Notify the contracting officer. It is probably due to a coding issue in the Federal Procurement Data System (FPDS) when the contract was awarded or when the modification was issued as a result of re-representation (FAR 52.219-28). FPDS must indicate that a subcontracting plan is required. This is an important step as FPDS feeds the eSRS system. Once the FPDS data is corrected, you will be able to submit the ISRs in eSRS.

I am having difficulty in meeting the goals established in the contract’s subcontracting plan. What should I do?

A number of actions can be taken:

1. Read the plan. Did you do what you said you were going to do in the plan to find qualified SBs, SDBs, WOSBs, VOSBs, SDVOSBs and HUBZones?

2. Did a key small business supplier grow into “other than small”? Explain any “0” or shortfalls in the “Remarks” section of the report. Be sure to identify what corrective action you will take to get back on tract. “Tell the story” in the report.

3. Did you post your company’s subcontracting opportunities on the SBA SubNet database?

4. Does your website make it easy for small businesses to find you and your company’s opportunities?

5. How do you keep market research fresh? Check out the following resources recommended in GSA’s Model Subcontracting Plan Instructions:

6. Do current suppliers meet the size status for the NAICS code that best describes the subcontract and the socio-economic definitions in FAR part 2

7. Are you able to break out elements of large acquisitions into smaller contracts suitable for small business participation?

8. Did you follow the required actions listed in FAR 52.219-9(e)?

Note: Please remove these instructional pages and any instructional language (in blue) before submitting to the contracting officer for review and approval.

Updated February, 2021 Individual Subcontracting Plan Template

[INSERT COMPANY NAME]

SMALL BUSINESS SUBCONTRACTING PLAN

I. IDENTIFICATION DATA:

Address: ____________________________________________________________

Date Prepared: _____________________ Description of Types of Supplies/Services: ______________________________________________________________________

Solicitation Number: ______________ Contract Number: _________________ (Mark N/A unless a plan is now required as a result of a contract modification or re-representation (FAR 52.218-28)

List the periods of performance for the base period and each option period[footnoteRef:1]. [1: Note: each period of the contract, such as the base period may be for more than one year. An example is MAS contracts where the base period and each option period are 5 years.

For Multiple Award Schedules (MAS), list only base period and option periods 1 through 3.

Individual Plan Period(s):

Base: Date of Award through (Date) Option 1:

Option 2:

Option 3:

Option 4: (if applicable)

Estimated Contract Value: (Provide separate estimate for basic contract and each option) Base Period: $_______________ Option Period 1: $____________ Option Period 2: $____________ Option Period 3: $____________ Option Period 4: $____________ (if applicable)

Include sum Total value of the contract of all periods for the entire contract term. For MAS list the total sales expected: $_______________

Place of Performance: _________________________ (Identify or list “Multiple”)

Unique Entity Identifier (DUNS) Number: _____________________ (If this is an existing contract, insert the UEI used at time of contract award.)

II. GOALS:

FAR clause 52.219-9(d) requires the subcontracting plan include the following:

“ (1) Separate goals, expressed in terms of total dollars subcontracted, and as a percentage of total planned subcontracting dollars, for the use of 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 WOSB concerns as subcontractors.

For individual subcontracting plans, and if required by the Contracting Officer[footnoteRef:2], goals shall also be expressed in terms of percentage of total contract dollars, in addition to the goals expressed as a percentage of total subcontract dollars. The Offeror shall include all subcontracts that contribute to contract performance, and may include a proportionate share of products and services that are normally allocated as indirect costs. [2: Not required for GSA contracts.]

(2) A statement of total dollars planned to be subcontracted for an individual subcontracting plan;”

Remember:

· Individual plans reflect contract-specific goals, including separate statements and goals for the base contract (period) and for each option.[footnoteRef:3] [3: If the plan is being submitted during contract performance as a result of a modification that causes the value of the contract to exceed the thresholds or re-representation, goals do not apply retroactively but only from the time the subcontracting plan will be incorporated into the contract. Therefore, only list goals for the remaining period(s) of the contract.]

· Dollars and percentages to “other than small business” (OTSB) and total small businesses (including all socioeconomic subsets) must equal the total subcontracted to both categories in dollars and percentages.

COMPLETE THE GOAL FORMAT:

· Complete the table for the base period of the contract and for each option period, if any. Best practice: show growth in goal achievement from base period through each option period.

· Complete the Total Goals (Sum of all periods) table which follows the individual period sections. (see Table 6) [Company Name] provides the following separate dollar and percentage goals, which are a percentage of the total subcontracting dollars for each business category[footnoteRef:4]: [4: Delete “plus a percentage of total contract value” if this is not required by the contracting officer.]

Table 1. Base Period Goals[footnoteRef:5] [5: Note: the base period for MAS contracts is five years.]

Total Dollars to be Subcontracted[footnoteRef:6] [6: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

Table 2. Option Period 1[footnoteRef:7] [7: Note: Option Period I is five years for MAS contracts.]

Total Dollars to be Subcontracted[footnoteRef:8] [8: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

Table 3. Option Period 2[footnoteRef:9] [9: Note: Option Period II for MAS contracts is five years.]

Total Dollars to be Subcontracted[footnoteRef:10] [10: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

Table 4. Option Period 3[footnoteRef:11] [11: Note: Option Period III is five years for MAS contracts.]

Total Dollars to be Subcontracted[footnoteRef:12] [12: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

Table 5. Option Period 4[footnoteRef:13] [13: Not Applicable for MAS contracts.]

Total Dollars to be Subcontracted[footnoteRef:14] [14: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

The Total Goals (sum of all periods, base + option(s)) table below provides a comprehensive look at subcontracting opportunities for the entire contract

· Add the total dollars estimated for each period of the contract and socioeconomic category and place the amounts in the spaces below.

· Compute the percentages for each category for the entire contract

Table 6. Total Goals/Sum

Total Dollars to be Subcontracted[footnoteRef:15] [15: Total dollars subcontracted is the sum of “other than small business” and all small business.]

Service-Disabled Veteran-Owned Small Business (SDVOSB)

III. PRINCIPAL TYPES OF SUPPLIES AND SERVICES TO BE SUBCONTRACTED:

Describe the principal types of supplies and services to be subcontracted and an identification of types of supplies or services planned for subcontracting to SB (including ANCs and Indian tribes),VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns[footnoteRef:16]. [16: FAR 52.219-9(d)(3)]

The principal types of supplies and/or services that [Company Name] anticipates to be subcontracted (outsourced) and the identification of the type of supply or service offered to each business concern are as follows. GSA requests inserting the applicable NAICS[footnoteRef:17] code under the description: [17: NAICS codes are found at: https://www.census.gov/eos/www/naics/&sa=D&ust=1602006164214000&usg=AFQjCNFC3JoeJ97-L26UvPx-IkpYwV-7ug]

Example-Painting

NAICS 238230

ATTACH ADDITIONAL SHEETS IF NECESSARY

Explain in the narrative of this section any low goals[footnoteRef:18] and the actions planned in order to support your plan. Otherwise, the CO, GSA Office of Small and Disadvantaged Business Utilization or the SBA may deem your plan unacceptable preventing contract award. [18: Low goals are those less than the government-wide goals established in the Small Business Act: 23% for SB; 5% for SDB; 5% for WOSB; 3% for SDVOSB; and, 3% for HUBZone]

NOTE: “zero” is not considered a “positive” goal which the FAR requires. Having a goal will provide the incentive for your company to make a “good faith effort” in fostering opportunities for Small business,SDB, WOSB, VOSB, SDVOSB and HUBZone SB. After award, the contracting officer assesses whether you have made a “good faith effort” to implement the subcontracting plan.[footnoteRef:19] [19: See FAR 19.705-6(g). “Good faith effort” is defined in SBA regulations 13 CFR 125.3(d)(3).]

IV. DESCRIPTION OF METHOD USED TO DEVELOP SUBCONTRACTING GOALS: Describe the method used to develop the subcontracting goals. Explain or state the basis for establishing your proposed goals (i.e. based on historical data and experience, market research, etc.)

[Company Name] used the following method to develop the subcontracting goals:

V. DESCRIPTION OF METHOD USED TO IDENTIFY POTENTIAL SOURCES: Describe the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the System for Award Management (SAM), veterans 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 contained in SAM as an accurate representation of a concern’s size and ownership characteristics for the purposes of maintaining SB, VOSB, SDVOSB, HUBZone, SDB, and WOSB source lists.[footnoteRef:20] [20: Use of SAM as a source list does not relieve a firm of its responsibilities to identify potential small business sources by other means (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause. FAR 19.703 adds that the prime contractor may not require the use of SAM for the purposes of representing size or socioeconomic status in connection with a subcontract . . . and a prime contractor acting in good faith is not liable for misrepresentations made by its subcontractors regarding their size or socioeconomic status.]

[Company Name] identifies potential subcontractors using the following source lists and organizations (please list your sources used):

VI. INCLUSION OF INDIRECT COSTS IN ESTABLISHING GOALS[footnoteRef:21]: State whether or not indirect costs were used in establishing subcontracting goals for SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns.[footnoteRef:22] [21: FAR 52.219-9(d)(6)] [22: Indirect costs represent the expenses of doing business that are NOT easily identified with a specific project (i.e. contract or grant) but are generally recognized as ordinary and necessary for the general operation of the Contractor’s organization and the conduct of activities it performs. Types of indirect costs include routine supplies and general and administrative (G&A) expenses. However, fringe benefits (e.g. services or benefits provided to employees such as health insurance, payroll taxes, pension contribution, etc.), are NOT considered subcontracting and shall be excluded.

Indirect costs _____HAVE BEEN (or) _____HAVE NOT BEEN included in the dollar and percentage subcontracting goals stated above.

If indirect costs HAVE been included in the individual subcontracting plan, describe the method used to determine the proportionate share of indirect costs to be incurred with small business concerns under the contract.[footnoteRef:23] [23: Including indirect costs may be beneficial to avoid “0” goals. If indirect costs are included in the goals, these costs must be included in the Individual Subcontract Report submitted into eSRS.]

VII. PROGRAM ADMINISTRATOR: FAR clause 52.219-9(d)(7) requires the name of the individual employed by the Offeror who will administer the Offeror’s subcontracting program, and a description of the duties of the individual. Please add the contact information for this person (telephone number and email address), in case of questions, and provide an alternate point of contact, if applicable.

Name: _____________________________________________________________ Title/Position: _______________________________________________________ Telephone number: __________________________________________________ Email Address: ______________________________________________________

Alternate POC with contact information: ___________________________________________________________________

Duties: FAR clause 52.219-9(e) requires that in order to effectively implement this plan to the extent consistent with efficient contract performance, the Contractor shall perform the following functions. Include these in the subcontracting plan, indicating your compliance with FAR 52.219-9(e):

1. Assist SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns by arranging solicitations, sufficient time for the preparation of bids, quantities, specifications, and delivery schedules so as to facilitate the participation by such concerns. Where the Contractor’s lists of potential SB, VOSB, SDVOSB, HUBZone, SDB and WOSB subcontractors are excessively long, reasonable effort shall be made to give all such small business concerns an opportunity to compete over a period of time.

2. Provide adequate and timely consideration of the potentialities of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns in all “make-or-buy” decisions.

3. Counsel and discuss subcontracting opportunities with representatives of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB firms.

4. Confirm that a subcontractor representing itself as a HUBZone small business concern is certified by SBA as a HUBZone small business concern in accordance with 52-219-8(d)(2).

5. Provide notice to subcontractors concerning penalties and remedies for misrepresentations of business status as SB, VOSB, SDVOSB, HUBZone, SDB and 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.

6. 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, prior to award of the subcontract the contractor must inform each unsuccessful small business subcontract offeror in writing of the name and location of the apparent successful offeror and if the successful subcontract offeror is a SB, VOSB, SDVOSB, HUBzone SB, SDB, or WOSB concern.

7. Assign each subcontract the NAICS code and corresponding size standard that best describes the principle purpose of the subcontract.

Other ways the Plan Administrator will ensure the company meets the goals of the plan demonstrating “good faith effort” [Check those that will be done under this plan]:

____Ensure periodic rotation of potential subcontractors on bidders’ lists.

____Ensure that SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns are included on the bidders’ list for every subcontract solicitation for products and services they are capable of providing.

____Ensure that subcontract procurement “packages” are designed to permit the maximum possible participation of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns.

____Review subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns.

____Ensure that the subcontract bid proposal review board documents its reasons for not selecting any low bids submitted by SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns.

____Oversee the establishment and maintenance of contract and subcontract award records.

____Attend or arrange for the attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

____Directly or indirectly counsel SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns on subcontracting opportunities and how to prepare bids to the company.

____Conduct or arrange training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act on purchasing procedures ____Develop and maintain an incentive program for buyers that support the subcontracting program.

____Monitor the company’s performance and make any adjustments necessary to achieve the subcontract plan goals.

____Coordinate the company’s activities during compliance reviews by Federal agencies ____Promote opportunities for small businesses on the company’s website ____Additional Duties: (If your company or program administrator will perform additional subcontracting duties not shown above, please identify them here):

VIII. EQUITABLE OPPORTUNITY: FAR clause 52.219-9(d)(8) requires a description of the efforts the Offeror will make to assure that SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns have an equitable opportunity to compete for subcontracts.

[Company Name] will make every effort to ensure that all small business concerns have an equitable opportunity to compete for subcontracts. These efforts may include one or more of the following activities: (please indicate which of the following apply or adapt the list to fit your company’s efforts) Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations ___ Contact business development organizations ___ Requesting sources from the SBA’s Dynamic Small Business Search (Link to Dynamic Small Business Search) and/or the SAM.gov database ___ Attend small and minority business trade fairs and procurement conferences Internal efforts to guide and encourage purchasing personnel:

___ Present workshops, seminars and training programs ___ Establishing, maintaining and using small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service-disabled veteran-owned small business source lists, guides, and other data for soliciting subcontracts ___ Monitoring activities to evaluate compliance with the subcontracting plan Other efforts: (Please describe below.)

IX. ASSURANCES OF CLAUSE INCLUSION AND FLOW DOWN: FAR clause 52.219-9(d)(9) requires assurances that the Offeror will include the clause at 52.219-8, Utilization of Small Business Concerns (see 19.708(a)), in all subcontracts that offer further subcontracting opportunities, and that the Offeror will require all subcontractors (except small business concerns) that receive subcontracts in excess of $750,000 ($1,500,000 for construction of any public facility) with further subcontracting possibilities to adopt a subcontracting plan that complies with the requirements of this clause.

[Company Name] agrees to include the FAR Clause 52.219-8, “Utilization of Small Business Concerns” in all subcontracts that offer further subcontracting opportunities, and will require all subcontractors (except small business concerns) that receive subcontracts in excess of $750,000 ($1,500,000 for construction of any public facility) to adopt a subcontracting plan that complies with the requirements of the clause at 52.219-9, Small Business Subcontracting Plan.

X. ASSIGNMENT OF SIZE STANDARDS TO SUBCONTRACTS

[Company Name] agrees to assign North American Industry Classification System (NAICS) codes to subcontracts and further agrees to provide the socio-economic status of the successful subcontractor in the notification to the unsuccessful offerors for the subcontracts in accordance with FAR 52.219-9.

XI. REPORTING AND COOPERATION: FAR clause 52.219-9(d)(10) requires assurances that the offeror will do the following:

[Company Name] agrees to:

· Cooperate in any studies or surveys as may be required

· Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan[footnoteRef:24] [24: See the instructions on how to complete the reports on the Electronic Subcontract Reporting System (esrs.gov) homepage. Pay particular attention to the instructions in the “Quick Reference Guides” for submitting ISRs and SSRs as well as the “Sample Step-by-Step”.]

· Report subcontracting data for each order[footnoteRef:25] when reporting subcontracting achievements under orders placed by federal agencies using multiple agency task/delivery order contracts, such as MAS, GWACs, OASIS [25: See the instructions on the eSRS home page, such as the “Sample ISR Step-by-Step” on how to report subcontracting at the task order level.]

· Submit the Individual Subcontract Report (ISR) and/or the Summary Subcontract Report (SSR),[footnoteRef:26] on time in accordance with paragraph (l) of FAR clause 52.219-9, using the Electronic Subcontracting Reporting System (eSRS) at Link to eSRS following the instructions in eSRS. [26: The reports shall provide information on subcontract awards to small business concerns (including ANCs and Indian tribes that are not small businesses), VOSBs, SDVOSBs, SDBs (including ANCs and Indian tribes that have not been certified by the SBA as small disadvantaged businesses), WOSBs and HUBZones.]

For individual plans there are 2 kinds of subcontracting reports:

· Individual Subcontract Reports (ISRs) – cumulative, contract-specific reports

· Summary Subcontract Reports (SSRs) – annual agency-specific report

Three reports are required each year:

Calendar Period Report Due Due by[footnoteRef:27] with email address for: [27: Failing to submit reports on time may be an indication of a lack of “good faith effort” (13 CFR 125.3(d))]

· Submit a revised report within 30 days of receiving notice of rejection by the contracting officer[footnoteRef:28] [28: FAR 52.219-9(l)(1)(i)]

· Ensure that subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the eSRS:

(A) Provide prime contract number, the prime’s UEI (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.

(B) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own UEI (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.

(C) Reports are to be submitted within 30 days after the close of each calendar period.

The Final ISR is due within 30 days of contract completion.

ASSISTANCE IN REPORT PREPARATION CAN BE FOUND IN THE ATTACHMENT, REPORTING INSTRUCTIONS FOR CONTRACTORS, or in guidance documents on the eSRS home page (https://esrs.gov), and from your local SBA Commercial Marketing Representative.

XIII. RECORDKEEPING: FAR clause 52.219-9(d)(11) requires a description of the types of records that will be maintained concerning procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of the efforts to locate SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns and to award subcontracts to them.

[Company Name] will maintain records concerning procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of efforts to locate SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns and award subcontracts to them. The records shall include at least the following (on a plant-wide or company-wide basis, unless otherwise indicated):

· Source lists (e.g., SAM), guides, and other data that identify SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns.

· Organizations contacted in an attempt to locate sources that are SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), or WOSB concerns.

· Records on each subcontract solicitation resulting in an award of more than the simplified acquisition threshold, as defined in FAR 2.101, as of the date of the subcontract award, indicating whether or not the following business concerns were solicited, and if not, why not:

(A) Small businesses

(B) Veteran-owned small businesses

(C) Service-disabled veteran-owned small businesses

(D) HUBZone small businesses

(E) Small disadvantaged businesses

(F) Women-owned small businesses If applicable, the reason award was not made to a small business concern.

· Records of any outreach efforts to contact:

(A) Trade associations

(B) Business development organizations[footnoteRef:29] [29: Such as Procurement Center Technical Assistance Centers: aptac-us.org]

(C) Conferences and trade fairs to locate small, HUBZone small, small disadvantaged, service-disabled veteran-owned, and women-owned small business sources

(D) Veterans service organizations

· Records of internal guidance and encouragement provided to buyers through

(A) Workshops, seminars, training, etc.

(B) Monitoring performance to evaluate compliance with the program’s requirements

· On a contract-by-contract basis, records to support award data submitted by the Offeror to the Government, including the name, address, and business size of each subcontractor.

· Other records supporting compliance with the subcontracting plan: (Please describe below.)

XIV. ADDITIONAL ASSURANCES:

· [Company Name] will 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.

· [Company Name] will 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 (d)(12) of FAR clause 52.219-9. This written explanation must be submitted to the Contracting Officer within 30 days of contract completion.

· [Company Name] will not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to the payment to or utilization of a subcontractor; and

· [Company Name] assures that the offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the subcontract, and notify the contracting officer if [Company Name] pays a reduced or an untimely payment to a small business subcontractor (see FAR clause 52.242-5).

XV. COMMITMENT TO MAKE A “GOOD FAITH EFFORT”[footnoteRef:30] [30: Defined in SBA regulations at 13 CFR125.3(d)(3)]

[Company Name] shall make a good faith effort to achieve the small business goals described in this subcontracting plan by taking the efforts listed below in addition to the efforts listed under Section IV, Section VIII and Section IX described in this plan: [List additional efforts].

XVI. STATUTORY REQUIREMENTS (FAR 19.702)

The above requirements will be negotiated with the Contracting Officer in the time specified. The plan must be approved prior to contract award, option exercise, or renewal. The Contracting Officer must ensure per FAR 19.705-5(a)(5) that an acceptable plan is incorporated into and made a material part of the contract. Failure to submit and negotiate the subcontracting plan shall make the Offeror ineligible for award of a contract.

As stated in 15 U.S.C. 637(d)(8) as implemented under FAR 52.219-16, Liquidated damages, any contractor or subcontractor failing to comply in good faith with the requirements an approved subcontracting plan required by the clause of the contract “Utilization of Small Business Concerns” shall be a material breach of the contract and may be considered in any past performance evaluation of the Contractor. Further, 15 U.S.C. 637(d)(4)(F) directs that a contractor’s failure to make a good faith effort to comply with the requirements of the subcontracting plan shall result in the imposition of liquidated damages.

XVII. SIGNATURE REQUIRED: Plan must be signed and dated by a company official.

This subcontracting plan was SUBMITTED by:

Signature: ________________________________________________________

Typed Name: ______________________________________________________

Company Title: _____________________________________________________

Date Signed: ______________________________________________________

Government Contracting Officer APPROVAL[footnoteRef:31]: [31: Contracting officer may indicate their approval by signing the plan, although not required. Approval is indicated when the negotiated subcontracting plan becomes a material part of the contract upon award as required by FAR 19.705-5(a)(5) and FAR clause 52.219-9(c)(1).]

Signature: ________________________________________________________ Printed Name: _____________________________________________________ Agency: __________________________________________________________ Date Signed: ______________________________________________________