Attachment_J-4_Subcontracting_Plan.pdf

DEPARTMENT OF TRANSPORTATION / FEDERAL TRANSIT ADMINISTRATION

U.S. Department of Transportation

SUBCONTRACTING PLAN

The Federal Acquisition Regulation (FAR) Subpart 19.7 requires any contractor who receives a contract for more than the simplified acquisition threshold to agree in the contract that small businesses, veteran-owned small businesses, HUB-Zone small businesses, small disadvantaged businesses, and women-owned small business concerns will have the maximum practicable opportunity to participate in contract performance consistent with its efficient performance. It is further the policy of the US Government to require large business concerns (also known as other-than-small business concerns) to submit an acceptable subcontracting plan that identifies the total planned dollars and percentage of the acquisition to be subcontracted to small business, veteran-owned small business, service-disabled veteran- owned small business, HUB-Zone small business, small disadvantaged business, and women-owned small business concerns. This subcontracting plan outline is offered for developing a subcontracting plan that complies with

Public Law 95-507 and FAR Subpart 19.704

The following outline meets the minimum requirements of section 8(d) of the Small Business Act, as amended, and implemented by the Federal Acquisition Regulations (FAR) Subpart 19.7. The U.S. Department of Transportation

(DOT), Office of Small and Disadvantaged Business Utilization (OSDBU) recommend offerors use the following format to submit proposed Individual Subcontracting Plans. A subcontracting Plan is required if the estimated cost of the contract may exceed $700,000 ($1,500,000 for construction) Small businesses are excluded. Questions should be forwarded to the Contracting Officer or FTA Small Business Specialist.

Offerors shall use a plug in for estimating contract value: $30,000,000

OFFEROR/CONTRACTOR IDENTIFICATION DATA

SOLICITATION OR CONTRACT NUMBER:

DATE OF PLAN:

CONTRACTOR:

ADDRESS:

STATE/ZIP CODE

CAGE #

DUNN & BRADSTREET NUMBER:

ITEM/SERVICE (Description):

Failure to include the essential information of FAR Subpart 19.7 shall be cause for either a delay in acceptance or the rejection of an offer when a subcontracting plan is required. “SUBCONTRACT,” as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a Federal Government prime contractor or subcontractor requesting supplies or services required for performance of the contract or subcontract.

US DEPARTMENT OF TRANSPORTATION SMALL BUSINESS PROGRAM

FY 2018 TARGET GOALS

Subcontract Awards % of Dollars Subcontracted by

Large Prime

Small Business (SB) 41.40%

Small Disadvantaged Businesses (SDB) 5%

Women-Owned Small Businesses (WOSB) 5%

Service-Disabled Veteran Owned Small Business

(SDVOSB)

3%

HUB-Zone 3%

These target goals are to be applied to the overall value of the acquisition/contract. If assistance is needed to locate small business sources, contact the DOT Office of Small and Disadvantaged Business Utilization (OSDBU) at

(202) 366-1930.

1. TYPE OF PLAN (Check only one)

__ INDIVIDUAL PLAN: In this type of plan, all elements are developed specifically for this contract and are applicable for the full term of this contract.

MASTER PLAN: In this type of plan, goals are developed for this contract; all other elements are standard.

The master plan shall be effective for a 3-year period after approval by the contracting officer. A master plan, when incorporated in an individual plan, shall apply to that contract throughout the life of the contract.

COMMERCIAL PLAN: This type of plan is used when the contractor sells large quantities of off-the-shelf commodities to many Government agencies. Plans/goals are negotiated with the initial agency on a company- wide basis rather than for individual contracts. The plan is effective only during the year approved. The contractor must provide a copy of the initial agency approval, AND MUST SUBMIT THEIR ANNUAL SUBCONTRACTING REPORT DATA

(via the federal government’s web-based Electronic Subcontracting Reporting System…http://www.esrs.gov) TO

COMMERCE WITH A BREAKOUT OF SUBCONTRACTING PRORATED FOR COMMERCE.

2. GOALS: State the percentage of total planned subcontracting dollars that will go to all Small

Business (SB) concerns, HUB Zone Small Business (HZ) concerns, Small Disadvantaged

Business (SDB) concerns, Women-owned Small Business (WOSB) concerns, Veteran-owned

Small Business (SDVOSB) concerns and Service-Disabled Veteran-Owned Small Business concerns. PLEASE NOTE: Zero dollars is not an acceptable goal for the SB, SDB, WOSB, HUB-Zone, or

SDVOSB categories since this does not demonstrate a good faith effort throughout the period of performance of the contract.

Contract Year 1:

SB:

(Includes HSB, SDB, WOSB, VOSB, and SDVOSB

When applicable)

SDB: %

WOSB: %

HZ: %

SDVOSB: %

Contract Year 2:

SDB:

WOSB: %

HZ: %

SDVOSB: %

Contract Year 3:

SB: % (Includes HSB, SDB, WOSB, VOSB, and SDVOSB

When applicable)

SDB: %

WOSB: %

HZ: %

SDVOSB: %

http://www.esrs.gov/

Contract Year 4:

SDB:

WOSB: %

HZ: %

SDVOSB: %

Contract Year 5:

SDB: %

WOSB: %

HZ: %

SDVOSB: %

3. STATEMENT OF DOLLARS

FAR 19.704 (a) (1) and (2) requires separate dollar and percentage goals for using small business concerns, small disadvantaged, women-owned small, HUB-Zone small business concerns, veteran-owned, and service disabled veteran-owned small business concerns, as subcontractors.

**Total estimated value of all planned subcontracting, including small and other than small business concerns, based on the overall value of the acquisition:

Year 1 $ %

Year 2 $ %

Year 3 $ % Year 4 $ % Year 5 $ %

Contract Year 1: Estimated value* of planned subcontracting to small business concerns is:

(a) Total planned subcontracting dollars: $

(b) Dollars planned to be subcontracted to SB (includes HSB, SDB, WOSB, VOSB, and SDVOSB): $

(c) Dollars planned to be subcontracted to SDB: $

(d) Dollars planned to be subcontracted to WOSB: $

(e) Dollars planned to be subcontracted to HZ: $

(f) Dollars planned to be subcontracted to SDVOSB: $

Contract Year 2: Estimated value* of planned subcontracting to small business concerns is:

a) Total planned subcontracting dollars: $ and SDVOSB): $

(c) Dollars planned to be subcontracted to SDB: $

(d) Dollars planned to be subcontracted to WOSB: $

Contract Year 3: Estimated value* of planned subcontracting to small business concerns is:

and SDVOSB): $

(c) Dollars planned to be subcontracted to SDB: $

(d) Dollars planned to be subcontracted to WOSB: $

Contract Year 4: Estimated value* of planned subcontracting to small business concerns is:

and SDVOSB): $

(c) Dollars planned to be subcontracted to SDB: $

(d) Dollars planned to be subcontracted to WOSB: $

Contract Year 5: Estimated value* of planned subcontracting to small business concerns is:

and SDVOSB): $

(c) Dollars planned to be subcontracted to SDB: $

(d) Dollars planned to be subcontracted to WOSB: $

4. DESCRIPTION OF ALL THE SUPPLIES AND/OR SERVICES TO BE SUBCONTRACTED UNDER

THIS CONTRACT, AND THE TYPES OF BUSINESSES SUPPLYING THEM ARE: (Check all that apply and attach additional sheets as necessary).

Products and/or Services Other Small

Business SDB WOSB Hub-zone SDVOSB

5. DESCRIPTION OF METHODS USED TO DEVELOP THE SUBCONTRACTING GOALS:

Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB, HUB-Zone, and SDVOSB concerns. Address efforts made to ensure that maximum practicable subcontracting opportunities have been made available for those concerns and explain the method used to identify potential sources for solicitation purposes. Explain the method and state the quantitative basis

(in dollars) used to establish the percentage goals. Also, explain how the areas to be subcontracted to SB, SDB, WOSB, HUB-Zone, and SDVOSB concerns were determined, how the capabilities of these concerns were considered for contract opportunities and how such data comports with the cost proposal.

Identify an y source.

6. INDIRECT COSTS HAVE HAVE NOT BEEN INCLUDED IN THE DOLLAR

AND PERCENTAGE SUBCONTRACTING GOALS ABOVE (CHECK ONE).

7. IF INDIRECT COSTS HAVE BEEN INCLUDED, EXPLAIN THE METHOD USED TO DETERMINE

THE PROPORTIONATE SHARE OF SUCH COSTS TO BE ALLOCATED AS SUBCONTRACTS TO SB,

SDB, WOSB, HUBZONE, VOSB AND SDVOSB CONCERNS:

DEPARTMENT OF TRANSPORTATION / FEDERAL TRANSIT

ADMINISTRATION

8. ADMINISTRATION OF SUBCONTRACTING PROGRAM: FAR 19.704(a)(7) requires information about the company employee who will administer the subcontracting program.

Please provide the name, title, address, telephone number, position within the corporate structure and the duties of that employee.

Name:

Title:

Address:

Telephone:

Description of Duties: Does the individual named above perform the following?

A. Developing and promoting company/division policy statements that demonstrate the company’s/division’s support for awarding contracts and subcontracts to small, small disadvantaged, women-owned small, HUB-Zone small, and service-disabled veteran- owned small business concerns.

YES NO

B. Developing and maintaining bidders’ list of small, small disadvantaged, women-owned small, HUB-Zone, and service-disabled veteran-owned small business concerns from all possible sources.

_ YES NO

C. Ensuring periodic rotation of potential subcontractors on bidders’ lists.

D. Assuring that small, small disadvantaged, women-owned small, HUB-Zone l, and service-disabled veteran-owned small businesses are included on the b i d d e r s ’ list for every subcontract solicitation for products and services they are capable of providing.

E. Ensuring that subcontract procurement “packages” are designed to permit the maximum possible participation of small, small disadvantaged, women-owned small, HUB-Zone small, and service-disabled veteran-owned small business.

F. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, small disadvantaged, women-owned small, HUB-Zone, and service-disabled veteran-owned small business participation.

G. Ensuring that the subcontract bid proposal review board documents its reasons for not selecting any low bids submitted by small, small disadvantaged, women-owned small, HUB-Zone, and service-disabled veteran-owned small business concerns.

H. Overseeing the establishment and maintenance of contract and subcontract award records.

I. Attending or arranging for the attendance of company counselors at Business Opportunity

Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

J. Directly or indirectly counseling small, small disadvantaged, women-owned small, HUB-

Zone , and service-disabled veteran-owned small business concerns on subcontracting opportunities and how to prepare responsive bids to the company.

K. Providing notice to subcontractors concerning penalties for misrepresentations of business status as small, small disadvantaged, women-owned small, HUB-Zone small, and service-disabled veteran-owned small businesses 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

L. Conducting or arranging training for purchasing personnel regarding the intent and impact of Public Law 95-907 on purchasing procedures.

M. Developing and maintaining an incentive program for buyers which supports the subcontracting program.

N. Monitoring the company’s performance and making any adjustments necessary to achieve the subcontract plan goals

O. Preparing and submitting timely reports.

P. Coordinating the company’s activities during compliance reviews by Federal agencies.

9. EQUITABLE OPPORTUNITY: FAR 19.704 (a) (8) requires a description of the efforts your company will make to ensure that small, small disadvantaged, women-owned small, HUB-Zone small, and service-disabled veteran-owned small business 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

Requesting sources from the Small Business Administration’s Dynamic Small

Business Search (formerly known as PRO-Net)

B. Internal efforts to guide and encourage purchasing personnel:

Presenting workshops, seminars and training programs

Establishing, maintaining and using small, small disadvantaged, women-owned small, HUB-Zone 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

C. Additional efforts: (Please describe)

10. INCLUSION AND FLOW DOWN OF FAR CLAUSE 52.219.8, UTILIZATION OF

SMALL BUSINESS CONCERNS IN SUBCONTRACTS. (Place a check by each statement as assurance that the following will be done:

I agree to include FAR Clause 52.219-8, “Utilization of Small Business Concerns”, in all subcontracts that offer further subcontracting opportunities.

I will require all subcontractors, except small business concerns, that receive subcontracts in excess of $700,000 to adopt and comply with a plan similar to the plan required by FAR 52.219-9, “Small Business Subcontracting Plan.”

11. REQUIREMENT TO COOPERATE IN STUDIES AND SUBMISSION OF REPORTS.

(Place a check by each statement as assurance that the following will be done:

I agree to cooperate in any studies or surveys as may be required.

I agree to submit periodic reports so that the Government can determine the extent of compliance with the subcontracting plan.

I agree to submit, Subcontracting Report for Individual Contracts, and/or Summary

Subcontract Report in accordance with the instructions on the forms or as provided in agency regulations and in paragraph of this clause.

I agree to ensure that my subcontractors will submit all required reports.

These reports must be received within 30 days after the close of each calendar period. That is:

The contractor gives assurance of ( 1) cooperation in any studies or surveys that may be required;

(2) submission of periodic reports which show compliance with the subcontracting plan; (3) submission of its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR);

and (4) ensuring that subcontractors agree to submit ISRs and SSRs. The ISR and SSR shall be submitted via the Electronic Subcontracting Reporting System (eSRS) website www.esrs.gov 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.

Reporting Period Report Due Due Date

Oct 1 - Mar 31 ISR 4/30

Apr 1 - Sept 30 ISR 10/30

Oct 1 - Sept 30 SSR 10/30

Contract

Completion

Year End SDB

Report

30 days after completion

a. Submit ISR (bi-annually) for the cognizant awarding Contracting Officer’s review and acceptance via the eSRS website - www.eSRS.gov

b. Currently, SSR (annually) must be submitted for the DOT eSRS Agency Coordinator review and acceptance via the eSRS website – www.eSRS.gov

DOT OSDBU address is:

U.S. Department of Transportation (DOT)

Office of Small and Disadvantaged Business Utilization (OSDBU)

1200 New Jersey Avenue, SE, W56-485

Washington, DC 20590 Phone: (202) 366-1930

Fax: (202) 366-7228

Web: www.osdbu.dot.gov http://www.esrs.gov/ http://www.esrs.gov/ http://www.esrs.gov/ http://osdbu.dot.gov/index.cfm

12. DESCRIPTON OF TYPES OF RECORDS TO BE MAINTAINED. (Check if in agreement):

I agree to maintain the following records to show compliance with this subcontracting plan:

Source lists, guides, and other data that identifies SB, HSB, SDB, WOSB, VOSB, and SDVOSB concerns; records on organizations contacted to locate SB, HSB, SDB, WOSB, VOSB, and

SDVOSB sources; and records on each subcontract solicitation resulting in an award of more than

$100,000, indicating:

(1) Whether SB concerns were solicited and, if not, why not;

(2) Whether HSB concerns were solicited and, if not, why not;

(3) Whether SDB concerns were solicited and, if not, why not;

(4) Whether WOSB 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;

(7) If applicable, the reason award was not made to a SB, HSB, SDB, WOSB, VOSB or

SDVOSB concern.

13. RECORD KEEPING

FAR 19.704 (a) (11) requires a description of the types of records your company will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. (Check all that apply)

A. Small, small disadvantaged, women-owned small, HUB-Zone small, veteran-owned, and service-disabled veteran-owned small business concerns source lists, guides, and other data identifying such vendors

YES NO

B. Organizations contacted for small, small disadvantaged, women-owned small, HUB-

Zone small, veteran-owned, and service-disabled veteran-owned small business sources.

C. On a contract-by-contract basis, records on all subcontract solicitations over $100,000 which indicate for each solicitation (1) whether small business concerns were solicited, and if not, why not; (2) whether small disadvantaged business concerns were solicited, and if not, why not; (3) whether women-owned small businesses were solicited, and if not, why not; (4) whether HUB-Zone small businesses were solicited, and if not, why not; (5) whether veteran-owned (including service disabled veteran-owned) small businesses were solicited, and if not, why not, and (6) reasons for the failure of solicited small, small disadvantaged, women-owned small, HUB-Zone small, and veteran-owned (including service-disabled veteran-owned) small business concerns to receive the subcontract award

D. Records to support other outreach efforts, e.g., contacts with minority and small business trade associations, attendance at small and minority business procurement conference and trade fairs

E. Records to support internal activities to (1) guide and encourage purchasing personnel, e.g., workshops, seminars, training programs, incentive awards, and (2) monitor activities to evaluate compliance

F. On a contract-by-contract basis, records to support subcontract award data including the name, address and business size and ownership status of each subcontractor. (This item is not required for commercial subcontracting plans).

G. Other records to support your compliance with the subcontracting plan: (Please describe)

14. TIMELY PAYMENTS TO SUBCONTRACTORS

FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of amounts due pursuant to the terms of your subcontracts with SB concerns, SDB, WOSB, HUB-Zone, and SDVOSB concerns.

Your company has established and used such procedures: yes no

15. DESCRIPTION OF GOOD FAITH EFFORT

Maximum practicable utilization of SB, SDB, WOSB, HUB-Zone, 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. In order to demonstrate your compliance with a good faith effort to achieve the SB, SDB, WOSB, HUB-Zone, and SDVOSB small business subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with the contracting official prior to approval of the plan.

SIGNATURE PAGE

Signatures Required:

This subcontracting plan was submitted by:

Signature:

Typed/Print Name:

Title:

Date:

This plan was reviewed by:

Title: Contracting Officer Date:

Title: FTA Small Business Specialist Date:

Title: DOT Small Business Administration Procurement Center Representative

Date:

This plan was approved by:

Title: Contracting Officer Date: