Attachment 3_Subcontracting Plan Checklist.doc

DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

MIKE MONRONEY AERONAUTICAL CENTER

OFFICE OF ACQUISITION SERVICES (AMQ)

SMALL BUSINESS DEVELOPMENT OFFICE (ACQ-21)

REVIEW OF SMALL BUSINESS SUBCONTRACTING PLAN

(Pursuant to AMS Guidance T3.6.1.A2.K and T3.6.1.A4.C)

CONTRACTOR NAME:

ADDRESS:

Solicitation or Contract Number:

Item/Service:

Total Amount or Contract (Including options) $

Period of Contract Performance (DAY, MO. & YR.)

The subcontracting plan has been reviewed by AMQ-100A for compliance with AMS guidance, comments and recommendation are submitted as follows:

1.

TYPE OF PLAN (check one)

1. Individual Plan (All elements developed specifically for this contract and applicable for the full term of this contract, including any option periods.)

2. Master Plan (Goals developed for this contract; all other elements standard must be renewed every three years.)

3. Commercial Plan (Contractor sells large quantities of off-the shelf commodities to many Government agencies. Plans/goals negotiated by lead agency on a company-wide basis rather than for individual contracts. Plan effective only during the year for which it is approved. The contractor must provide a copy of the lead agency approval.)

2.

GOALS

State separate dollar and percentage goals, expressed in terms of percentages of total subcontracting dollars, for the use of small business, socially and economically disadvantaged businesses veteran-owned, and women-owned small business concerns as subcontractors. 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 in the following format. (For a contract with options, provide a separate statement for the basic contract and individual statements for each option year.)

A.

Total estimated dollar value and percent of planned subcontracting with small businesses (include socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small business concerns):

(% of “c”) $_________________________ and ____________________________%

B.

Total estimated dollar value and percent of planned subcontracting with large businesses (all business concerns classified as “other than small”)

(% of “c”) $_________________________ and ____________________________%

C.

Total estimated dollar value of all planned subcontracting for an individual contract plan; or the offerors total projected sales, expressed in dollars, and the total value of projected subcontracts to support the sales for a commercial plan; i.e., the sum of A. and B. above: $ (100 Percent)

D.

Total estimated dollar value and percent of planned subcontracting with socially and economically disadvantaged small businesses:

(% of “c”) $_________________________ and ____________________________%

E.

Total estimated dollar value and percent of planned subcontracting with service-disabled veteran-owned small businesses:

(% of “c”) $_________________________ and ____________________________%

F.

Total estimated dollar value and percent of planned subcontracting with women-owned small businesses:

(% of “c”) $_________________________ and ____________________________%

( ) Included

( ) Not Included

( ) Incomplete

3. DESCRIPTION OF PRODUCTS AND/OR SERVICES TO BE SUBCONTRACTED

Provide a description of all the products and/or services to be subcontracted under this contract, and indicated the types of businesses supplying them:

SDB

(Attach additional sheets if necessary)

( ) Included ( ) Not Included ( ) Incomplete

4.

A description of the method used to develop the subcontracting GOALS:

( ) Included ( ) Not Included ( ) Incomplete

5.

A description of the method used to identify potential SOURCES for solicitation purposes (e.g., whether you used existing company source lists, the Central Contractor Registry ((CCR)) of the Small Business Administration (SBA), 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, disadvantaged, and women-owned small business trade associations. A firm may rely on the information contained in CCR at http://www.ccr.gov and source net http://www.sbo.faa.gov as an accurate representation of a concern size and ownership characteristics for the purposes of maintaining a small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small business source list. Use of CCR and source net as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, and publicizing subcontracting opportunities) in this clause.

(Attach additional sheets if necessary)

( ) Included ( ) Not Included ( ) Incomplete

6.

Indirect costs have ____________ have not _____________ been included in the dollar and percentage subcontracting goals stated above. (Check one.)

If indirect costs have been included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small business concerns.

(Attach additional sheets if necessary)

( ) Included ( ) Not Included ( ) Incomplete

7.

PROGRAM ADMINSTRATOR

Name, title, position within the corporate structure, and duties and responsibilities of the employee who will administer the contractor’s subcontracting program.

Name: ____________________________________________________________________

Title: _____________________________________________________________________

Address: __________________________________________________________________

Telephone: _________________________________________________________________

Facsimile: __________________________________________________________________

Duties: Has general overall responsibility for the contractor’s subcontracting program, i.e., developing, preparing, and executing individual subcontracting plans and monitoring performance relative to the requirements of this particular plan. These duties include, but are not limited to, the following activities:

A.

Developing and promoting company-wide policy initiatives that demonstrate the company’s support for awarding contracts and subcontracts to small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned businesses; and assure that these small businesses are included on the source lists for solicitations for products and services they are capable of providing;

B.

Developing and maintaining bidder’s lists of small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small businesses concerns from all possible sources;

C.

Ensuring periodic rotation of potential subcontractors on bidders lists;

D.

Ensuring that procurement “packages” are designed to permit the maximum possible participation of small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small business;

E.

Make arrangements for the utilization of various sources for the identification of small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small businesses such as the Central Contractor Registration (CCR), FAA source-net, and the National Minority Purchasing Council Vendor Information Service, the Office of Minority Business Data Center in the Department of Commerce, the facilities of local small business, minority associations, and contact with federal agencies’ Small Business Specialists; and posting notices of sources sought on SBA’s SUB-Net.

F.

Overseeing the establishment and maintenance of contract and subcontract award records;

G.

Attending or arranging for the attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc;

H.

Ensure that small, socially and economically disadvantage, service-disabled veteran-owned, and women-owned small businesses concerns are made aware of subcontracting opportunities and how to prepare responsive bids to the company;

I.

Conducting or arranging for the conduct of training for purchasing personnel regarding the intent and impact of those on purchasing procedures;

J.

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

K.

Preparing, and submitting timely, required subcontract reports;

L.

Coordinating the company’s activities during the conduct of compliance reviews by federal agencies;

M.

Providing technical assistance; e.g., engineering, quality control, and managerial assistance to small, socially and economically disadvantaged, service-disabled veteran-owned small, and women-owned small businesses.

N.

Other duties:

( ) Included ( ) Not Included ( ) Incomplete

8.

EQUITABLE OPPORTUNITY

Describe efforts the offeror will make to ensure that small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small businesses concerns will have an equitable opportunity to compete for subcontracts. These efforts include, but are not limited to, the following activities:

A.

Outreach efforts to obtain sources:

(1) Contacting minority, women’s and small business trade associations;

(2) Contacting business development organizations;

(3) Attending small, veteran’s, minority, and women’s business procurement conferences and trade fairs;

(4) Requesting sources from the Small Business Administration (SBA), CCR, and source-net.

(5) Utilizing newspaper and magazine ads to encourage new sources.

B.

Internal efforts to guide and encourage purchasing personnel:

(1) Presenting workshops, seminars, and training programs;

(2) Establishing, maintaining, and using small, socially and economically, service-disabled veteran-owned, and women-owned business source lists, guides, and other data for soliciting subcontracts; and

(3) Monitoring activities to evaluate compliance with the subcontracting plan.

C.

Additional efforts:

(Attach additional sheets if necessary)

( ) Included ( ) Not Included ( ) Incomplete 9.

FLOW-DOWN CLAUSE

The contractor agrees to include the provisions under AMS, “Utilization of Small Business Concerns,” in all subcontracts that offer further subcontracting opportunities. All subcontractors, except small business concerns, that receive subcontracts in excess of $550,000 ($1,000,000 for construction) must adopt and comply with a plan similar to the plan required by AMS guidance and contract clause3.6.1-4 “Small, Small Disadvantaged and women-owned and service-disabled veteran-owned Small Business Concerns.”

( ) Included ( ) Not Included ( ) Incomplete

10.

REPORTING AND COOPERATION

A.

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 Subcontracting Report for Individual Contract and Summary Subcontract Reports in accordance with the instructions on the forms; and

(4) Ensuring that large business subcontractors with subcontracting plans agree to submit Subcontracting Report for Individual Contracts and Summary Subcontract Reports.

B.

Reporting Period Report Due Dates:

Period ending March 31st (cumulative from the inception of the contract), Subcontracting Report (SF-294) for Individual Contracts: April 30th Period ending September 31st (cumulative from the inception of the contract), Subcontracting Report, SF-294, for Individual Contracts: October 30th October 1st – September 30th, Summary Subcontract Reports (SF-295): October 30th (for contracts with all agencies, except for contractors with commercial plans whose fiscal year is different from the government’s fiscal year (see Appendix 9.)

C:

Addresses

Contractors using the Electronic Subcontract Reporting System (eSRS) do not normally need to mail paper reports to the Government. However, contractors with subcontracting plans for task and deliver orders may need to submit paper SF-294s (Subcontracting Report for Individual Contract) until the eSRS is upgraded to provide this functionality.

(1) Subcontracting Report, SF-294, for Individual Contracts to be submitted to the appropriate contracting officer or as otherwise specified in the contract; and

(2) Summary Subcontract Reports, SF-295, to be submitted to the FAA Small Business Development Office (AJA-8) of the procuring agency, or as otherwise specified in the contract.

( ) Included ( ) Not Included ( ) Incomplete

11.

RECORDKEEPING

The following is a recitation of the type of records the contractor will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. These records will include, but not be limited to, the following:

A.

If the prime contractor is not using CCR as its source for small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small businesses concerns, list the names of guides and other data identifying such vendors;

B.

Organizations contacted in an attempt to locate small, socially and economically disadvantaged, service-disabled veteran-owned, and women-owned small businesses sources;

C.

On a contract-by-contract basis, records on each subcontract solicitation resulting in an award of more than $100,00 indicating:

(1) whether small business concerns were solicited, and if not, why not;

(2) whether socially and economically disadvantage small business concerns were solicited, and if not, why not;

(3) whether service-disabled veteran-owned small business concerns were solicited, and if not, why not;

(4) whether women-owned small business concerns were solicited, and if not, why not; and

(5) if applicable, the reason that the award was not made to a small business concern;

D.

Records to support other outreach efforts, e.g., trade associations, business development organizations; conferences and trade fairs to locate small, socially and economically disadvantaged, women-owned small businesses sources; and veteran service organizations;

E.

Records to support internal guidance and encouragement provided to buyers through

(1) Workshops, seminars, training programs, incentive awards, and

(2) Monitoring of activities to evaluate compliance; and

F.

On a contract-by-contract basis, records to support subcontract award data including the name, address, and business size of each subcontractor. (This item is not required on a contract-by-contract basis for company or division-wide commercial plans.)

G.

Additional records:

( ) Included ( ) Not Included ( ) Incomplete

This subcontracting plan was submitted for review by:

Signature: ______________________________________________________________

Typed Name: ___________________________________________________________

Title: __________________________________________________________________

Date Submitted: _________________________________________________________

Phone Number: __________________________________________________________

Facsimile Number: _______________________________________________________

FAA Small Business Development Liaison (ACQ-021)

Recommendation: _______________________________ Date: ___________________

Additional Comments and Observations: