Attachment 3 - Small Business Subcontracting Plan Checklist_10Jun21.docx

SMALL BUSINESS SUBCONTRACTING PLAN CHECKLIST

Brief Requirement Description:

Offeror:

Name:

Address:

Type of Subcontracting Plan: Individual

Commercial

If Master: Company-Wide Division wide

Plant-wide

THE OFFERORS SUBCONTRACTING PLAN SHALL CONTAIN THE FOLLOWING:

1. Goals, expressed in terms of percentage of the total planned subcontracting dollars for each small business category (FAR 52.219-9(d)(1))

2. Goals, expressed in terms of the total dollars subcontracted (FAR 52.219-9(d)(1))

4. A statement of the offerors total dollars planned to be subcontracted (FAR 52.219-9(d)(2)(i))

5. Statement of total dollars planned to be subcontracted for each small business category(FAR 52.219-9(d)(2)(ii-vii))

IDIQ Period of Performance based upon Estimated NTE Amount

SB

SDB

WOSB

HUBZone

VOSB

SDVOSB

Other SB

Other than SB

Total

100%

(SB = Small Business, SDB = Small Disadvantaged Business, WOSB = Women-Owned Small Business, HUBZone = Historically Underutilized Small Business, VOSB = Veteran-Owned Small Business, SDVOSB = Service-Disabled Veteran-Owned Small Business

6. Subcontracting is separately addressed for the basic contract and for each option (FAR 52.219-9(c))(Complete the table above for each option period if options are applicable.)

7. A statement of 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 52.219-9(d)(2)(i) ________ __________

8. A description of the principal types of supplies and services to be subcontracted for each small business category. (FAR 52.219-9 (d)(3)(i-vi)

9. A description of the method used to develop the subcontracting goals in 1 above (FAR 52.219-9 (d)(4))

10. A description of the method used to identify potential sources for solicitation purposes (FAR 52.219 (d)(5))

11. A statement as to whether or not the offeror included indirect costs in establishing the subcontracting goals. If the indirect costs are included, a description of the method is needed to determine the proportion to be allocated to SB, VOSB, SDVOSB, HUBZone, SDB, WOSB concerns. (FAR 52.219-9(d)(6))

12. The name of the person employed by the offeror who will administer the offeror’s subcontracting program and a description of the duties of the individual (FAR 52.219-9(d)(7))

13. A description of the efforts the offeror will make to ensure that SB, VOSB, SDVOSB, HUBZone, SDB, WOSB concerns have an equitable opportunity to compete for subcontracts (FAR 52.219-9(d)(8))

14. Assurances that the offeror will include the clause of this contract entitled “Utilization of Small Business Concerns” [52.219-8] in all subcontracts that offer further subcontracting opportunities, and that the offeror will require all subcontractors (except small business concerns) that receive subcontracts in excess of $700,000 ($1.5 million for construction of any public facility) with further subcontracting possibilities to adopt a subcontracting plan that complies with the requirements of this clause. (FAR 52.219-9(d)(9))

15. Assurances that the offeror will—

(i) Cooperate in any studies or surveys as may be required (FAR 52.219-9(d)(10)(i))

(ii) Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan (FAR 52.219-9(d)(10)(ii))

(iii) include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contracts intended for use by multiple agencies (FAR 52.219-9(d)(10)(iii))

(iv) Submit the Individual Subcontract Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with paragraph (l) of this clause using the Electronic Subcontracting Reporting System (eSRS) at http://www.esrs.gov. The reports shall provide information on subcontract awards to small business concerns (including ANCs and Indian tribes that are not small businesses), veteran-owned small business concerns, service-disabled veteran-owned small business concerns, HUBZone small business concerns, small disadvantaged business concerns (including ANCs and Indian tribes that have not been certified by the Small Business Administration as small disadvantaged businesses), women-owned small business concerns, and for NASA only, Historically Black Colleges and Universities and Minority Institutions. Reporting shall be in accordance with this clause or as provided in agency regulations. (FAR 52.219-9(d)(10)(iv)) [See DoD Class Deviation 2018-O0007 for BOA & BPA orders]

(v) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS. (FAR 52.219-9(d)(10)(v)) [See DoD Class Deviation 2018-O0007 for BOA & BPA orders]

(vi) Provide its prime contract number, its DUNS number, 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 52.219-9(d)(10)(vi))

(vii) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, 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 52.219-9(d)(10)(vii))

16. A description of the types of records the offeror will maintain to demonstrate procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists and a description of its efforts to locate small businesses (including businesses in the socioeconomic categories) and award contracts to them. The records shall include as a minimum:

i. Source lists (e.g., SAM), guides, and other data that identify SB, VOSB, SDVOSB, HUBZone, SDB, WOSB concerns. (FAR 52.219-9(d)(11)(i))

ii. Organizations contacted in an attempt to locate sources that are SB, VOSB, SDVOSB, HUBZone, SDB, WOSB concerns. (FAR 52.219-9(d)(11)(ii))

iii. Records on each subcontract solicitation resulting in an award of more than $150,000 indicating- (FAR 52.219-9(d)(11)(iii)(A-G))

(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.

iv. Records of any outreach efforts to contact— (FAR 52.219-9(d)(11)(iv)(A-D))

(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.

v. Records of internal guidance and encouragement provided to buyers through workshops, seminars, training, etc., and monitoring performance to evaluate compliance with the program’s requirements. (FAR 52.219-9(d)(11)(v)(A-B))

vi. 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. (FAR 52.219-9(d)(11))

17. Assurances that the offeror will make a good faith effort to acquire articles, equipment, supplies, services, or material, or obtain the performance of construction work from the small business concerns that it used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing the bid or proposal. (FAR 52.219-9(d)(12))

18. Assurances that the contractor will provide to the contracting officer, within 30 days of contract completion, 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 the bid or proposal. (FAR 52.219-9(d)(13))

19. Assurances that the contractor will not prohibit a subcontractor from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor. (FAR 52.219-9(d)(14))

20. Assurances that the offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract, and notify the contracting officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor. (FAR 52.219-9(d)(15))

21. Master Plans: Is the master plan up to date? FAR 52.219-9(f)(2) and DFARS 219.706

22. Commercial Plans Only: Does the commercial plan relate to the contractor’s planned subcontracting for both commercial and Government business, rather than solely to the Government contract? FAR 52.219-9(g)

23. Commercial Plans Only: Does the commercial plan have a signature page which includes:

a.name, title, email and company name for the person submitting the plan;

b.name, title and department/agency contracting organization, date, signature and email of the person approving the plan;

c.name, title and email of the person within the company who is submitting the report

24. Commercial Plans Only: Does the commercial plan list the contracts covered under the plan to include CAGE Codes and DUNS #s?

Does the commercial plan identify the one awarded contract subject to the plan (contract with the latest completion date)?

DFARS

1a. For the basic contract, is SDB goal less than 5%?

1b. If less than 5%, approval one level above the Contracting Officer must been obtained? (DFARS 219.705.4(d))

2. Are the goals in all of the small business categories (small business [including ANC and Indian tribe], veteran- owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business [including ANC and Indian tribe], women-owned small business) positive (greater than zero) and if not, is there a justification for zero goals? (DFARS 219.705-4(d))

3. When an evaluation assesses the extent that small businesses are specifically identified in proposals, are the small businesses considered in the evaluation listed in the subcontracting plan (DFARS 215.304(c)(i)(C))?

l Checks:

1. Does the subcontracting plan contain the below math errors:

· Percent of subcontracting to other than small businesses and small businesses does not add up to 100%

· Percent subcontracting to SDVOSB is greater than VOSB percent

· Subcontracting dollars listed in different parts of the subcontracting plan do not match

· The total amount subcontracted to small business is less than amounts listed for socioeconomic categories

H92240-21-R-0003