Atch 5 - 20QR003 SB Subcontracting Plan (Vendor Name).doc

RFP Attachment 5

HTC711-20-R-R003

Source Selection Information – See FAR 2.101 and 3.104

ATTACHMENT 5

FAR 19.704 SUBCONTRACTING PLAN REQUIREMENTS

[INSERT COMPANY NAME]

SMALL BUSINESS SUBCONTRACTING PLAN

I.

IDENTIFICATION DATA:

Address: _________________________________________________________________________ Date Prepared: ____________________________________________________________________ Description of Supplies/Services: _____________________________________________________ Solicitation Number: (Completed for Individual Plans; N/A for commercial plans)_______________ Contract Number: (Completed for Individual Plans during option period; N/A for commercial plans) COMPLETE if submitting an Individual Contract Plan, insert dates below for the contract duration, if known (or insert N/A if the contract does not include specified option periods).

Individual Plan Period: 5-Year Ordering Period: (Date of Award thru ordering period) Six-Month Option Period: (1 year, 5 years, etc.)

Estimated Contract Value (Provide separate estimate for the 5-year ordering period and six-month option period) 5-Year Ordering Period: $_______________ Six-Month Option Period: $____________ (if applicable/Not used for MAS) Place of Performance: ________________________________________________

DUNS Number: (under the contract awarded or pending award) COMPLETE if submitting a Commercial Plan Commercial Plan Period: (insert fiscal year for contractor/offeror) Projected annual sales (Company-wide): $__________________

II.

TYPE OF PLAN – FAR 19.701 (For definitions, see Cover Page and FAR clause 52.219-9):

_____Commercial Plan

_____Individual Plan

_____Master Plan (incorporated into Individual Plan)

III.

SUBCONTRACTING PLAN:

A. Goals:

COMPLETE FORMAT BELOW IF SUBMITTING A COMMERCIAL PLAN.

1. Estimated TOTAL dollars planned to be subcontracted to all types of concerns (generally for both commercial and government business, in support of commercial items sold during company fiscal year):

Annual Commercial Purchases/Spend: $_________________ = 100% subcontracted

2. Total dollars planned to be subcontracted to large business concerns (or classified as other than small):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

3. Total dollars planned to be subcontracted to all small business concerns (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB small business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

4. Total dollars planned to be subcontracted to Veteran-owned Small Business concerns (including service-disabled veteran-owned small businesses):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

5. Total dollars planned to be subcontracted to Service-disabled Veteran-owned Small Business concerns (subset of VOSB above and cannot be higher than #4 above):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

6. Total dollars planned to be subcontracted to HUBZone Small Business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

7. Total dollars planned to be subcontracted to Small Disadvantaged Business concerns (including ANCs and Indian tribes):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

8. Total dollars planned to be subcontracted to Women-owned small business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

B. Supplies/Services to be Subcontracted:

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

C. Method Used to Develop Subcontracting Goals:

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

D. Method Used to Identify Potential Sources:

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

E. Indirect Costs Inclusion:

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:

F. Subcontract Plan Administrator:

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 System for Award Management (SAM) representations and certifications 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:

G. Description of Efforts for Equitable Opportunity for SB 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:

A. Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations

___ Contacting business development organizations

___ Requesting sources from the SAM SB general info ___ 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:

H. Assurances of Clause Inclusion and Flow Down:

[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 $650,000 ($1,500,000 for construction) to adopt a plan that complies with the requirements of the clause at 52.219-9, Small Business Subcontracting Plan.

I. Reporting and Cooperation:

[Company Name] agrees to:

(10)(i) Cooperate in any studies or surveys as may be required;

(ii) Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan;

(iii) Submit the Individual Subcontract Report (ISR), and the Summary Subcontract Report (SSR) using the Electronic Subcontracting Reporting System (eSRS), following the instructions in the eSRS;

(iv) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the eSRS;

(v) Provide its prime contract number and its DUNS number and the e-mail address of the Government or Contractor official responsible for acknowledging or rejecting the reports, to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their reports; and

(vi) Require that each subcontractor with a subcontracting plan provide the prime contract number and its own DUNS number, and the e-mail address of the Government or Contractor official responsible for acknowledging or rejecting the reports, to its subcontractors with subcontracting plans.

Reports are to be submitted within 30 days after the close of each calendar period as indicated in the following chart:

Submit Reports to eSRS Calendar Period Report Due

Date Due with email address for:

10/01--03/31

ISR

04/30

Contracting Officer/SBTA 10/01--03/31

SSR

04/30

04/01--09/30

ISR

10/30

10/01--09/30

SSR

10/30

THE eSRS WEB-BASED REPORTING REQUIREMENT INSTRUCTIONS ARE PROVIDED IN ATTACHMENT 1 “SUBCONTRACTING PLAN REPORTING”.

J. Record Keeping:

[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):

1. 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.

2. 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), and WOSB concerns.

3. Records on each subcontract solicitation resulting in an award of more than $150,000, indicating:

(A) Whether small business concerns were solicited and, if not, why not;

(B) Whether veteran-owned small business concerns were solicited and, if not, why not;

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

(D) Whether HUBZone small business concerns were solicited and, if not, why not;

(E) Whether small disadvantaged business concerns were solicited and, if not, why not;

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

(G) If applicable, the reason award was not made to a small business concern.

4. Records of any outreach efforts to contact

(A) Trade associations;

(B) Business development organizations;

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

(D) Veterans service organizations.

5. Records of internal guidance and encouragement provided to buyers through

(A) Workshops, seminars, training, etc.; and

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

6. 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. Contractors having commercial plans need not comply with this requirement.

7. Other records to support your compliance with the subcontracting plan:

SIGNATURE REQUIRED:

This subcontracting plan was SUBMITTED by:

Signature: ____________________________________________________________________ Typed Name: __________________________________________________________________

Company Title: ________________________________________________________________ Date Signed: __________________________________________________________________

Government Contracting Officer APPROVAL:

Signature: ____________________________________________________________________

Printed Name: _________________________________________________________________

Agency: ______________________________________________________________________ Attachment 1

SUBCONTRACTING PLAN REPORTING

eSRS

Electronic Subcontracting Reporting System web-based reporting requirements found at FAR clause 52.219-9(l):

The Contractor shall submit ISRs and SSRs using the web-based eSRS at http://www.esrs.gov. Purchases from a corporation, company, or subdivision that is an affiliate of the prime Contractor or subcontractor are not included in these reports. Subcontract award data reported by prime Contractors 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.

(1) ISR. This report is not required for commercial plans. The report is required for each contract containing an individual subcontract plan and shall be submitted to the Administrative Contracting Officer (ACO) or Contracting Officer, if no ACO is assigned.

(i) The report shall be submitted semi-annually during contract performance for the periods ending March 31 and September 30. A report is also required for each contract within 30 days of contract completion. Reports are due 30 days after the close of each reporting period, unless otherwise directed by the Contracting Officer. 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.

(ii) When a subcontracting plan contains separate goals for the basic contract and each option, as prescribed by FAR 19.704(c), the dollar goal inserted on this report 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.

(iii) The authority to acknowledge receipt or reject the ISR resides—

(A) In the case of the prime Contractor, with the Contracting Officer; and

(B) In the case of a subcontract with a subcontracting plan, with the entity that awarded the subcontract.

(2) SSR.

(i) Reports submitted under INDIVIDUAL contract plans—

(A) This report encompasses all subcontracting under prime contracts and subcontracts with the awarding agency, regardless of the dollar value of the subcontracts.

(B) The report may be submitted on a corporate, company or subdivision (e.g. plant or division operating as a separate profit center) basis, unless otherwise directed by the agency.

(C) If a prime Contractor and/or 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 $650,000 (over $1,500,000 for construction of a public facility) and contains a subcontracting plan. For DoD, a consolidated report shall be submitted for all contracts awarded by military departments/agencies and/or subcontracts awarded by DoD prime Contractors. However, for construction and related maintenance and repair, a separate report shall be submitted for each DoD component.

(D) For DoD (USTRANSCOM) and NASA, the report shall be submitted semi-annually for the six months ending March 31 and the twelve months ending September 30. Reports are due 30 days after the close of each reporting period.

(E) Subcontract awards that are related to work for more than one executive agency shall be appropriately allocated.

(F) The authority to acknowledge or reject SSRs in eSRS, including SSRs submitted by subcontractors with subcontracting plans, resides with the Government agency awarding the prime contracts.

(ii) Reports submitted under a COMMERCIAL plan—

(A) The report shall include all subcontract awards under the commercial plan in effect during the Government’s fiscal year.

(B) A SSR report shall be submitted semi-annually for the six months ending March 31 and the twelve months ending September 30. Reports are due 30 days after the close of each reporting period.

(C) If a Contractor has a commercial plan and is performing work for more than one executive agency, the Contractor shall specify the percentage of dollars attributable to each agency from which contracts for commercial items were received.

(D) The authority to acknowledge or reject SSRs for commercial plans resides with the Contracting Officer who approved the commercial plan.

(iii) All reports submitted at the close of each fiscal year (both individual and commercial plans) shall include a Year-End Supplementary Report for Small Disadvantaged Businesses. The report shall include subcontract awards, in whole dollars, to small disadvantaged business concerns by North American Industry Classification System (NAICS) Industry Subsector. If the data are not available when the year-end SSR is submitted, the prime Contractor and/or subcontractor shall submit the Year-End Supplementary Report for Small Disadvantaged Businesses within 90 days of submitting the year-end SSR. For a commercial plan, the Contractor may obtain from each of its subcontractors a predominant NAICS Industry Subsector and report all awards to that subcontractor under its predominant NAICS Industry Subsector.