A7 Small Business Subcontracting Plan Template.docx

Solicitation N00173-21-R-RJ01 Attachment #07

SMALL BUSINESS SUBCONTRACTING PLAN

(ALL LANGUAGE IN BLUE IS COMPLETION INSTRUCTIONS FOR OFFERORS AND SHOULD BE DELETED BEFORE PROPOSAL SUBMISSION)

[INSERT COMPANY NAME]

I. IDENTIFICATION DATA:

Address: ___________________________________________________________________ Date Prepared: ______________________________________________________________ Description of Supplies/Services: _______________________________________________ Solicitation Number: _________________________________________________________ Insert dates below for the contract duration, if known (or insert N/A if the contract does not include specified option period).

Individual Plan Period: Base: (Date of Award thru?? years) Option 1: (1 year, 5 years, etc.)

Option 2: (1 year, 5 years, etc.) Option 3: (1 year, 5 years, etc.) Option 4: (1 year, 5 years, etc.)

Estimated Contract Value (Provide separate estimate for base contract period and each option) Base Period: $____________ Option Period 1: $____________ Option Period 2: $____________ Option Period 3: $____________ Option Period 4: $____________ Place of Performance: ________________________________________________ DUNS Number: (under the contract awarded or pending award)

The following, together with any attachments, is submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Law 95-507, 103-355, 105-135, Historically Underutilized Business Zone Act of 1997, and the Veterans Entrepreneurship and Small Business Development Act of 1999, P.L. 106-50 as implemented by the Federal Acquisition Regulation, the Defense Supplement thereto, Public Law 100-180 and 103-337. The following goals are required for the basic quantity (base period) and each option quantity (period) of the contract.

II. GOALS:

The FAR clause at 52.219-9(d) states that the subcontracting plan shall include (1) goals, expressed in terms of percentages of total planned subcontracting dollars, for the use of small business concerns as subcontractors; and (2) A statement of total dollars planned to be subcontracted for an individual contract plan; or the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support the sales for a commercial plan. FAR 19.704(a)(1) requires separate percentage goals for using small business (including Alaskan Native Corporations (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 as subcontractors; and (2) A statement of the total dollars planned to be subcontracted and a statement of the total dollars planned to be subcontracted to 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. Commercial plans will always reflect annual companywide goals. Individual plans will reflect contract-specific goals and shall contain separate statements and goals for the basic contract (period) and separately for each option (period). Note that dollars and percentages to large and total small businesses (all inclusive) must equal the total subcontracted to all categories in both dollars and percentages. EACH CONTRACTOR IS EXPECTED TO OFFER THE MAXIMUM PRACTICABLE OPPORTUNITIES TO EACH TYPE OF SMALL BUSINESS CONCERN CONSISTENT WITH THEIR BEST FAITH EFFORTS AND SUPPORTED BY THEIR REPORTS AND RECORDS.

COMPLETE FORMAT BELOW IF SUBMITTING AN INDIVIDUAL PLAN and note that a separate part is required for the base contract period and for each option period, if any.

[Company Name] provides the following separate dollar and percentage goals, which are a percentage of the total subcontracting dollars for each business category

BASE GOALS are expressed in dollars and percentages of the total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted Large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

If applicable:

1ST OPTION GOALS are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted Large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

2ND OPTION GOALS are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted Large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

3RD OPTION GOALS are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted Large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

4TH OPTION GOALS are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted Large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

The principal types of supplies and/or services that [Company Name] anticipates to be subcontracted and the identification of the type of business concern planned are as follows:

Business Category or Size

ATTACH ADDITIONAL SHEETS IF NECESSARY (OR REMOVE LINES IF NOT NEEDED)

FAR 19.704(a)(4) and the clause at 52.219-9(d)(4) require a description of 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.); and provide justification for any low goal(s).

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

FAR 19.704(a)(5) and clause 52.219-9(d)(5) require a description of the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the Central Contractor Registration database (CCR), 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 CCR 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 list. Use of CCR as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

[Company Name] identifies potential subcontractors using the following source lists and organizations:

FAR 19.704(a)(6) and clause 52.219-9(d)(6) require a statement as to whether or not the offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns. NOTE: 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 overhead (e.g. facility/utility & supplies cost), general and administrative (G&A), and fringe benefits (e.g. services or benefits provided to employees such as health insurance, payroll taxes, pension contribution, etc.).

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

If indirect costs HAVE been included, the method used to determine the proportionate share of indirect costs to be incurred with small business concerns was as follows:

III. PROGRAM ADMINISTRATOR:

FAR 19.704(a)(7) and clause 52.219-9(d)(7) require the name of an 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, fax number and/or email address), in case of questions and provide an alternate point of contact if applicable.

Name: ____________________________________________________________________________ Title/Position: ______________________________________________________________________ Address: __________________________________________________________________________ City/State/Zip Code: _________________________________________________________________ Telephone number: __________________________________________________________________ Fax number: _______________________________________________________________________ Email Address: _____________________________________________________________________ Alternate POC with contact information: _________________________________________________

Duties: In accordance with clause 52.219-9(d)(11)(e), in order to effectively implement this plan to the extent consistent with efficient contract performance, the contractor shall perform the following functions:

1. Assist SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns by arranging solicitations, 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 identified as a certified HUBZone small business concern by accessing the Central Contractor Registration (CCR) database or by contacting SBA.

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. Develop and promote company/division policy statements that demonstrate the company’s/division’s support for awarding contracts and subcontracts to SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns.

7. Develop and maintain bidders’ lists of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns from all possible sources.

8. Ensure periodic rotation of potential subcontractors on bidders’ lists.

9. 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.

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

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

12. 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.

13. Oversee the establishment and maintenance of contract and subcontract award records.

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

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

16. Conduct or arrange training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act on purchasing procedures.

17. Develop and maintain an incentive program for buyers that support the subcontracting program.

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

19. Prepare and submit timely reports.

20. Coordinate the company’s activities during compliance reviews by Federal agencies.

IF YOUR PROGRAM ADMINISTRATOR WILL PERFORM ADDITIONAL SUBCONTRACTING DUTIES NOT SHOWN ABOVE, PLEASE IDENTIFY THEM HERE:

21. Additional Duties:

IV. EQUITABLE OPPORTUNITY:

FAR 19.704(a)(8) and clause 52.219-9(d)(8) require 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 list to fit your company’s efforts)

A. Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations ___ Contacting business development organizations ___ Requesting sources from the Central Contractor Registration (CCR), Dynamic Small Business Search, which integrated data from the SBA PRO-Net database ___ Attending small and minority business trade fairs and procurement conferences

B. Internal efforts to guide and encourage purchasing personnel:

___ Presenting 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

C. Other Additional efforts: (Please describe below.)

V. ASSURANCES OF CLAUSE INCLUSION/FLOW DOWNS, REPORTING & RECORDKEEPING

Please complete table below and ensure to indicate the location of each assurance statement within your subcontracting plan.

1. Description of principal types of supplies and services to be subcontracting and an identification of types of supplies or services planned for subcontracting to small business.

FAR 19.704(a)(3) & FAR 52.219-9(d)(3)

2. Description of method used to develop the subcontracting goals.

FAR 19.704(a)(4) & FAR 52.219-9(d)(4)

3. Description of the method used to identify potential sources for solicitation purposes.

FAR 19.704(a)(5) & FAR 52.219-9(d)(5)

4. A statement as to whether or not the offeror included indirect costs in establishing goals and a description of the method used to determine the proportionate share of indirect costs to be incurred with small businesses.

FAR 19.704(a)(6) & FAR 52.219-9(d)(6)

5. 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.

FAR 19.704(a)(7) & FAR 52.219-9(d)(7)

6. A description of the efforts the offeror will make to ensure small businesses have an equitable opportunity to complete for subcontracts.

FAR 19.704(a)(8) & FAR 52.219-9(d)(8)

7. Clause inclusion and flow down: FAR 52.219-8 will be included in all subcontracts which offer further subcontracting opportunities. Subcontractors, except small businesses, who receive subcontracts over the applicable threshold ($700,000 or $1,500,000 for construction) will adopt a similar subcontracting plan.

FAR 19.704(a)(9) & FAR 52.219-9(d)(9)

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

FAR 19.704(a)(10)(i) & FAR 52.219-9(d)(10)(i)

Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan.

FAR 19.704(a)(10)(ii) & FAR 52.219-9(d)(10)(ii)

After November 30, 2017, include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contracts intended for use by multiple agencies.

FAR 19.704(a)(10)(iii) & FAR 52.219-9(d)(10)(iii)

Submit the Individual Subcontract Report (ISR), and the Summary Subcontract Report (SSR) using the Electronic Subcontracting Reporting System (eSRS) (http://www.esrs.gov ), following the instructions in the eSRS.

FAR 19.704(a)(10)(iv) & FAR 52.219-9(d)(10)(iv)

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

FAR 19.704(a)(10)(v) & FAR 52.219-9(d)(10)(v)

Provide its prime contract number and 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 FAR 19.704(a)(10)(vi) & FAR 52.219-9(d)(10)(vi)

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.

FAR 19.704(a)(10)(vii) & FAR 52.219-9(d)(10)(vii)

9. Description of records maintained to show compliance with plan requirements and procedures.

FAR 19.704(a)(11) & FAR 52.219-9(11)

Source lists and vendor data on SB, SDB, WOB, HUBZone, VOSB & SDVOSB concerns.

FAR 19.704(a)(11) & FAR 52.219-9(11)(i)

Lists of organizations contacted for sources.

FAR 19.704(a)(11) & FAR 52.219-9(11)(ii)

For each contract, bidder's lists on subcontract solicitations over $150,000 (explain absence of SB, SDB, WOB, HUBZone, VOSB, or SDVOSB concerns) and reasons if responding SB concerns failed to receive award.

FAR 19.704(a)(11) & FAR 52.219-9(11)(iii)

Description of any outreach efforts for SB, SDB, WOB, HUBZone, VOSB & SDVOSB concerns.

FAR 19.704(a)(11) & FAR 52.219-9(11)(iv)

Description of buyer training and monitoring.

FAR 19.704(a)(11) & FAR 52.219-9(11)(v)

For other than Commercial Plans, on a contract-by-contract basis, records to support subcontract award data including the name, address and business size of each subcontractor.

FAR 19.704(a)(11) & FAR 52.219-9(11)(vi)

10. 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 the offeror 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.

FAR 19.704(a)(12) & FAR 52.219-9(12)

11. 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 FAR 19.704(a)(12).

This written explanation will be submitted to the contracting officer within 30 days of contract completion.

FAR 19.704(a)(13) & FAR 52.219-9(13)

12. Not prohibit a subcontractor from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor.

FAR 19.704(a)(14) & FAR 52.219-9(14)

13. Pay its small business subcontractors on time and in accordance with the terms and conditions of the subcontract, and notify the contracting officer if the offeror pays a reduced or an untimely payment to a small business subcontractor.

FAR 19.704(a)(15) & FAR 52.219-9(15)

14. Small disadvantaged business goal greater than five percent (5%)?

**Requires approval one level higher than contracting officer if below 5%** DFARS 219.705-4(d)

15. Does the contract contain options?

16. If the contract contains options, are there separate goals?

17. The plan has a signature page which includes the name, title and company name for the person submitting the plan; the name, title and department/agency contracting organization for the person approving the plan; and date signed.

SIGNATURE REQUIRED:

This subcontracting plan was SUBMITTED by (Plan must be signed and dated by a company official to be valid):

Signature: ____________________________________________________________________________________ Typed Name: _________________________________________________________________________________ Company Title: _______________________________________________________________________________ Date Signed: _________________________________________________________________________________

Government Contracting Officer APPROVAL:

Signature: ____________________________________________________________________________________ Printed Name: ________________________________________________________________________________ Agency: ______________________________________________________________________________________ Date Signed: __________________________________________________________________________________

Small Business Professional Review CONCURRENCE:

Printed Name: ________________________________________________________________________________ Agency: ______________________________________________________________________________________ Date Signed: __________________________________________________________________________________

Procurement Center Representative CONCURRENCE:

Printed Name: ________________________________________________________________________________ Agency: ______________________________________________________________________________________ Date Signed: __________________________________________________________________________________

SOURCE SELECTION SENSITIVE INFORMATION

DISCLOSURE LIMITATIONS AS OUTLINED IN FAR 2.101 & 3.104 APPLY

SOURCE SELECTION SENSITIVE INFORMATION

DISCLOSURE LIMITATIONS AS OUTLINED IN FAR 2.101 & 3.104 APPLY