Attachment 10 - Subcontrating Plan.pdf

RFP No. 72052221R00002

ATTACHMENT 10

SMALL BUSINEES SUBCONTRACTING PLAN

Templates can be accessed at https://www.usaid.gov/business/small_business/subcontracting-program

A. Small Business Subcontracting Plan Template

B. Small Business Participation Plan Template

Template updated by OSDBU January 27, 2021

USAID SMALL BUSINESS SUBCONTRACTING PLAN TEMPLATE

(Also see Federal Acquisition Regulation 19.704 and 52.219-9)

The U.S. Agency for International Development (USAID) Office of Small and Disadvantaged Business Utilization (OSDBU) recommends that offerors use the following format to submit “proposed” Individual Subcontracting Plans, including modifications. While this template has been designed to be consistent with Federal Acquisition Regulation (FAR) 19.704, the use of this template DOES NOT waive other requirements that are applicable under FAR 52.219-9 and specified in the Government’s solicitation. This template is not intended to replace any existing Corporate / Commercial Plan that may be more extensive.

A Subcontracting Plan is required if the estimated cost of the contract is equal to or greater than $750,000 ($1,500,000 for construction), and the contract has subcontracting possibilities, and the award is made to an “Other Than Small Business”. See FAR 19.702 for exemptions.

SOLICITATION NUMBER: ___________________________________________

CONTRACT VEHICLE (CHECK ONE):

• STAND-ALONE CONTRACT ___

• INDEFINITE DELIVERY INDEFINITE QUANTITY CONTRACT (IDIQ) ___

• FEDERAL SUPPLY SCHEDULE ORDER ___

• CONTRACT MODIFICATION ___

Note: FAR 19.702(e): A contract may not have more than one subcontracting plan. However, a contracting officer may establish separate subcontracting goals for each order under an indefinite-delivery, indefinite-quantity contract (19.705-1(b)(2)). When a contract modification exceeds the subcontracting plan threshold (see 19.702(a)) or an option is exercised. The goals of an existing subcontracting plan shall be amended to reflect any new subcontracting opportunities not envisioned at the time of contract award. The goal changes do not apply retroactively.

DATE OF PLAN SUBMISSION: ________________________________________

CONTRACTOR: ____________________________________________________

ADDRESS: ________________________________________________________

STATE/ZIP CODE___________________________________________________

DUNN & BRADSTREET (DUNS) NUMBER: _____________________________

ITEM/SERVICE (Description): ________________________________________

NEW / INITIAL CONTRACT

PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY – MM/DD/YYYY):_______ - _________

Base (if options apply) $___________________ Performance Period/Quantity ___________

Option 1: $___________________ Performance Period/Quantity ____________

Option 2: $___________________ Performance Period/Quantity ____________

Option 3: $___________________ Performance Period/Quantity ____________

Option 4: $___________________ Performance Period/Quantity ____________

$___________________ Total Contract Cost

CONTRACT MODIFICATION (if applicable)

NEW PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY – MM/DD/YYYY):__________________

Original/Base $___________________ Performance Period/Quantity _________

Modification $___________________ Performance Period/Quantity _________

Task Order $___________________ Performance Period/Quantity _________

$___________________ Modified Total Contract Cost

Important: Failure to include information covered by FAR 52.219-9 may be cause for either a delay in acceptance or rejection of a bid or offer when a subcontracting plan is required. The term “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 involving supplies or services required for performance of a contract or subcontract.

If assistance is needed to help locate small business sources, please contact the small business administration.

USAID’s FY 2021 Subcontracting Goals are:

Small Business (SB) 16.00%

Small Disadvantaged Businesses (SDB, includes Section 8(a) firms) 5.00%

Historically Underutilized Business Zone Small Business (HUBZone) 3.00%

Service-Disabled Veteran Owned Small Business (SDVOSB) 3.00%

Woman-Owned Small Business (WOSB) 5.00%

Note: The Small Business Administration defines a small business concern as one that is independently owned and operated, organized for profit, and is not dominant in its field. The small business designation is also governed by industry size standards, the average number of employees for the preceding twelve months to include sales volume averaged over a three-year period. See www.sba.gov for additional information regarding size standards.

http://www.sba.gov/

1. Type of Plan (check one)

[Note: Almost all plans submitted to USAID should be Individual Plans.]

_____ Individual plan means a subcontracting plan that covers the entire contract period of performance (including options, if applicable), applies to a specific contract, and contains goals that are based on the offeror’s planned subcontracting in support of the specific contract, except that indirect costs incurred for common or joint purposes may be allocated on a prorated basis to the contract.

_____ Master plan means a subcontracting plan that includes all the required elements of an individual contract plan, except goals, and may be incorporated into individual contract plans, provided the master plan has been approved.

_____ Commercial products/service plan means a subcontracting plan (including goals) that covers the offeror’s fiscal year and the plan applies to the entire production of commercial items sold by either the entire company or a portion thereof ( e.g., division, plant, or product line).

2. Goals

Below report the dollar and percentage goals for Small Business (SB), Small Disadvantaged (SDB) including Alaska Native Corporations and Indian Tribes, Women-owned and Economically Disadvantaged Women-Owned (WOSB), Historically Underutilized Business Zone (HUBZone), Veteran Owned Small Business (VOSB), Service-Disabled Veteran-Owned (SDVOSB) Small Businesses and “Other than Small Business” (Other) as subcontractors. Indicate the base year and each option year, as specified in FAR 19.704 or project annual subcontracting base and goals under commercial plans. If any contract contains more than four options, please attach additional sheets which illustrate dollar amounts and percentages. PLEASE NOTE: Zero dollars is not an acceptable goal for SB, SDB, WOSB, HUBZone, VOSB or SDVOSB categories because FAR 19.702 requires contractors to demonstrate a good faith effort throughout the period of performance of the contract. Formula provided below:

a. Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is _____ ____ (Base Period + All Option Periods).

b. Total estimated dollar value and percent of planned subcontracting with SMALL

BUSINESSES (including SDB, WOSB, HUBZone, VOSB and SDVOSB, ANC and Indian Tribes):

(% of “a”) $ ________________ (Base Period + All Options Periods)

c. Total estimated dollar value and percentage of planned subcontracting with SMALL

DISADVANTAGED BUSINESSES: (% of “a”) $ ________________ (Base Period + All Option Periods)

d. Total estimated dollar value and percentage of planned subcontracting with WOMEN-OWNED

SMALL BUSINESSES: (% of “a”) $ ________________ (Base Period + All Option Periods)

e. Total estimated dollar and percentage of planned subcontracting with HUBZone SMALL BUSINESSES: (% of “a”) $ ________________ and (Base Period + All Option Periods)

f. Total estimated dollar and percentage of planned subcontracting with VETERAN-OWNED

SMALL BUSINESSES: (% of “a”) $ ____________ (Base Period + All Option Periods)

g. Total estimated dollar and percentage of planned subcontracting with SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSES: (% of “a”) $ ________________ (Base Period + All Option Periods)

h. Total estimated dollar and percentage of planned subcontracting with “OTHER THAN SMALL BUSINESSES” (As defined by the Small Business Administration as “any entity that is not classified as a U.S. small business. This includes large businesses, state and local governments, non-profit organizations, public utilities, educational institutions and foreign-owned firms.)

i. (% of “a”) $ ________________ (Base Period + All Option Periods)

j. Use the “Small Business Utilization Plan Template,” Attachment A, to provide a description of ALL products and/or services to be subcontracted under this contract and percentage (%) of work. It is important to identify and report the name and socio-economic status of the entities to be utilized as subcontractors, and indicate what (if any) written commitments have been entered into with the subcontractors.

k. Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB, HUBZone, VOSB, 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 provided in Attachment A. Also, explain how the areas to be subcontracted to SB, WOSB, HUBZone, VOSB and SDVOSB concerns were determined, how the capabilities of these concerns were considered contract opportunities and how such data comports with the cost proposal. Identify any source lists or other resources used in the determination process. (Attach additional sheets, if necessary).

l. Indirect costs have ____ or have not ____ been included in the dollar and percentage subcontracting goals above (check one).

m. 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:

3. Subcontracting Program Administrator:

NAME: ______________________________________________

TITLE: ______________________________________________

ADDRESS: ______________________________________________

TELEPHONE: ______________________________________________

E-MAIL: ______________________________________________

Duties: Does the individual named above retain general overall responsibility for the company’s subcontracting program, i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of the subcontracting plan(s) and perform the following duties?

___yes ___no (If NO is checked), it is important to identify who in the company performs those duties, or indicate why the duties are not performed on a separate sheet of paper and submit with the proposed subcontracting plan.)

a. Developing and promoting company-wide policy initiatives that demonstrate the company supports the award of contracts and subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns; and for assuring that these concerns are included on the source lists regarding solicitations for products and services they are capable of providing: __Yes __ No

b. Developing and maintaining a bidder/offeror source lists of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns from all possible source categories: __Yes __ No

c. Ensuring periodic rotation of potential subcontractors on bidder/offeror lists; __ Yes __ No

d. Assuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB businesses are included on the bidder/offeror lists for every subcontract solicitation for products and services that they are capable of providing: __ Yes __ No

e. Ensuring that Requests for Proposals (RFPs) are designed to permit the maximum practicable participation of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns: __ Yes __ No

f. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, 8(a), SDB, WOSB, HUBZone, VOSB and SDVOSB small business participation: __ Yes __ No

g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB and

SDVOSB concerns to include SBA’s Dynamic Small Business Search web page (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm) and/or the System for Awards Management (www.sam.gov), ( https://www.vip.vetbiz.va.gov/) , local small business and minority associations, local chambers of commerce and Federal Agency Small Business Offices: ___ Yes ___ No

h. Establishing and maintaining contract and subcontract award records: __ Yes __ No

i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade

Fairs, Procurement Conferences, etc.: __ Yes __ No

j. Ensuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns are made aware of subcontracting opportunities and assisting concerns in preparing responsive bids/Offers to the company: __ Yes __ No

k. Conducting or arranging for training for purchasing personnel regarding the intent and impact of

Section 8(d) of the Small Business Act, as amended: __ Yes __ No

l. Monitoring the company’s subcontracting program performance and making adjustments as necessary to achieve the subcontract plan goals: ___ Yes ___ No

m. Preparing and submitting timely, required subcontract reports: ___ Yes ___ No

n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(a) of the Small Business Act on purchasing procedures: __ Yes __ No http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm http://www.sam.gov/ https://www.vip.vetbiz.va.gov/

o. Coordinating the company’s activities during the administration of compliance reviews by Federal Agencies: __ Yes __ No

p. Other duties: ________________________________________________________

4. Equitable Opportunity

Describe efforts the offeror will undertake to ensure that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB 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. Contact minority and small business trade associations

2. Contact business development organizations and local chambers of commerce

3. Attend SB, SDB, WOSB, HUBZone, VOSB and SDVOSB procurement conferences and trade fairs

4. Review sources from the Dynamic Small Business Search web page

(http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm)

5. Review sources from the System for Award Management web page (www.sam.gov)

6. Review sources from the U.S. Department of Veterans Affairs, Vendor Information

Pages VIP at: https://www.vip.vetbiz.va.gov/

Additional efforts: _________________________________________________

b. Internal efforts to guide and encourage purchasing personnel:

1. Conduct workshops, seminars and training programs;

2. Establish, maintain, and utilize SB, SDB, WOSB, HUBZone, VOSB and SDVOSB source lists, guides, and other data for soliciting subcontractors; and

3. Monitor activities to evaluate compliance with the subcontracting plan.

Additional efforts: ______________________________________________________________

5. Flow-Down Clause

The contractor agrees to include the provisions under FAR 52.219-8, “Utilization of Small Business Concerns,” in all acquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. All subcontractors (except small business concerns) that receive subcontracts in excess of $750,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, “Small Business Subcontracting Plan.” [Note]: In accordance with FAR 52.212-5(e), the contractor is not required to include the flow-down clause if it is subcontracting commercial items.

http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm http://www.sam.gov/ https://www.vip.vetbiz.va.gov/

6. Reporting and Cooperation

The contractor gives assurance that it will,

i. Cooperate in any studies or surveys that may be required;

ii. Submit periodic reports which illustrate compliance with the subcontracting plan

iii. Submit its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR);

via the Electronic Subcontracting Reporting System (eSRS) website (www.esrs.gov)

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

Reporting Period Report Due Due Date

Oct 1 - Mar 31 ISR 30-Apr

Apr 1 - Sept 30 ISR 30-Oct Oct 1 - Sept 30 SSR 30-Oct

Oct 1 – Sep 30 Year End SDB Report 90 days of SSR submission

Contract Completion Final ISR 30 days after completion

Please refer to FAR Part 19.7 for instructions regarding the submission of a Commercial Plan: SSR are due on 10/30 each year for the previous fiscal year ending 9/30. 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.

Note: The eSRS system does not allow firms to submit a separate report for each Task Order issued.

Therefore, eSRS reporting for USAID IDIQ contracts must include information pertaining to Task Order issued under the IDIQ contract. Contractors MUST include a statement in the remarks section of eSRS that references the Task Order number, dollars awarded, and subcontracting plan percentage that is applicable to each Task Order contract.

7. Description of Record Types (Ref: FAR 52.219-9(d) (11)) In order to demonstrate the company’s adherence to the obligation to maintain records that reflect compliance with the requirements and goals covered in the plan, describe the records maintenance procedures for locating each category of small businesses for use as a subcontractor(s):

8. Description of Good Faith Effort

Maximum practicable utilization of SB, SDB, WOSB, HUBZone, VOSB 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 http://www.esrs.gov/ by the contractor. Describe the company’s commitment to make a good faith effort to ensure that the subcontracting goals are met.

If this is a direct award, the contractor is required to provide the names, contact information, and socio-economic status of the firms slated to receive a contract. Identifying firms after award is not conducive to meeting the goals required by the plan. If this is an Indefinite Delivery-Indefinite Quantity (IDIQ) contract, the contractor is required to provide the names, contact information, and socio-economic status of the firms slated to receive a contract at the time a task order is issued FAR 19.705-1(b).

Required Signatures:

This subcontracting plan was submitted by:

Signature: __________________________________________________

Typed/Print Name: __________________________________________________

Title: __________________________________________________

Date: __________________________________________________

As covered by FAR 19.702(c) and referenced by 15 U.S.C. 637(d)(8), any contractor or subcontractor failing to comply in good faith with the requirements of the subcontracting plan is in material breach of its contract. 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.

This plan was reviewed and approved by:

Signature: __________________________________________________

Typed/Print Name: __________________________________________________

Title: Contracting Officer

Date: __________________________________________________

Bureau, Office, Mission Name: ___________________________________________

Contract Number Associated with the Plan: _________________________________ http://uscode.house.gov/browse.xhtml%3Bjsessionid%3D114A3287C7B3359E597506A31FC855B3 http://uscode.house.gov/browse.xhtml%3Bjsessionid%3D114A3287C7B3359E597506A31FC855B3

40.00% 16.00% 5.00% 5.00% 3.00% 0.00% 3.00% 0.00%

Small Business SDB WOSB HUBZone VOSB SDVOSB

Other than Small

Business

1 Sample Sample Service Sample firm #1 10.0% 0.0% 10.0% 10.0% 0.0% 0.0% 0.0% 2 Sample Service Sample firm # 2 5.0% 5.0% 0.0% 0.0% 5.0% 5.0% 0.0% 3 Sample Service Sample firm # 3 2.0% 0.0% 0.0% 0.0% 2.0% 0.0% 0.0%

* Total Percentage = 17.00% 5.00% 10.00% 10.00% 7.00% 5.00% 0.00%

Attachment "A" to USAID's Subcontracting Plan Template

Attachment A ‐ Small Business Participation Plan Large Firm Inc.

Sol‐OAA‐_________ Name of Your Firm:

Enter total % of contract to be subcontracted (regardless of firm/entity):

Per the samples above, count all applicable categories for each firm you list. Note that all SDVOSB firms are also VOSB firms. However, not all VOSB firms are also SDVOSB firms.

*Note: The total percentage for the socio‐economic category must match the total percentage provided on the Subcontracting Plan. For example, if you reflected 16.0% for Small Business on the Subcontracting Plan, your total for Small Business on this sheet must also total 16.0% for Small Business.

Solicitation Number:

Enter the applicable % (to include "0" when applicable) for each subcontractor.

Name of Subcontractor

Services and/or Products to be Subcontracted

USAID's FY 2020 Goals =