Attachment 42 - Small Business Subcontracting Plan Template.docx

USPTO

Patent Data and Document Management

RFP # 1333BJ20R00151004

SUBCONTRACTING PLAN TEMPLATE

(Also see Federal Acquisition Regulation 19.704 and 52.219-9 Alternate II (Nov 2016))

The USPTO recommends that offerors use the following format to submit a “proposed” Individual Subcontracting Plan, including for any 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 any FAR 19.704 requirements and other requirements that are applicable under FAR 52.219-9 Alternate II 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 $700,000 ($1,500,000 for construction), the contract has subcontracting possibilities, and the award is made to an “Other Than Small Business”. See FAR 19.702 for exemptions.

SOLICITATION NUMBER: 1333BJ20R00151004

CONTRACT VEHICLE: STAND-ALONE CONTRACT

Note: FAR 19.705-2(e): A contract may not have more than one subcontracting plan. 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): _________________________________________

CONTRACT

TOTAL PERIOD OF CONTRACT PERFORMANCE: 02/01/2021 – 01/31/2031

Base Year: 2/1/2021 – 1/31/2022 Base Year Total: $___________________

Option Year 1: 2/1/2022 – 1/31/2023 Option Year 1 Total: $___________________

Option Year 2: 2/1/2023 – 1/31/2024 Option Year 2 Total: $___________________

Option Year 3: 2/1/2024 – 1/31/2025 Option Year 3 Total: $___________________

Option Year 4: 2/1/2025 – 1/31/2026 Option Year 4 Total: $___________________

Option Year 5: 2/1/2026 – 1/31/2027 Option Year 5 Total: $___________________

Option Year 6: 2/1/2027 – 1/31/2028 Option Year 6 Total: $___________________

Option Year 7: 2/1/2028 – 1/31/2029 Option Year 7 Total: $___________________

Option Year 8: 2/1/2029 – 1/31/2030 Option Year 8 Total: $___________________

Option Year 9: 2/1/2030 – 1/31/2031 Option Year 9 Total: $___________________

TOTAL CONTRACT PRICE $___________________________

Important: Failure to include information covered by FAR 52.2199 Alternate II may be cause for either a delay in acceptance or rejection of an offer when a subcontracting plan is required. The term “SUBCONTRACT,” as used in this clause, means any agreement (other than one involving an employeremployee relationship) entered into by a Federal Government prime contractor or subcontractor involving supplies or services required for performance of a contract or subcontract.

FY 2020 Subcontracting Goals[footnoteRef:1] are: [1: The RFP requires 20% of the total contract value to be subcontracted out to small businesses. These additional goals represent small business types that are encouraged as a percentage of the total subcontracted value. ]

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.

1. Type of Plan

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.

2. Requirements/Goals

Below report the dollar and percentage goals for Small Business (SB), Small Disadvantaged (SDB) including Alaska Native Corporations and Indian Tribes, Womenowned 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, as specified in FAR 19.704. Indicate the base period and the option period. PLEASE NOTE: Zero dollars is not an acceptable goal for 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 and percent of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is $ _____________ % _________ (Base Year + Option Years).

b. Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, VOSB and SDVOSB, ANC and Indian Tribes): $__________ % ________________ (Base Year + Option Years)(MUST BE AT LEAST 20% OF TOTAL CONTRACT PRICE)

c. Total estimated dollar value and percentage of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $__________ % ________________ (Base Year + Option Years)

d. Total estimated dollar value and percentage of planned subcontracting with WOMENOWNED SMALL BUSINESSES: (% of “a”) $__________ % ________________ (Base Year + Option Years)

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

f. Total estimated dollar and percentage of planned subcontracting with VETERAN-OWNED SMALL BUSINESSES: (% of “a”) $__________ % ________________ (Base Year + Option Years)

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

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.)

(% of “a”) $__________ % ________________ (Base Year + Option Years)

i. 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.

j. 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).

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

l. 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: ______________________________________________

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 companywide 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

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 (https://www.sam.gov/SAM/)

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 FAR Clause 52.2198, “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 $700,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.2199, “Small Business Subcontracting Plan.”

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

4/30

Apr 1 - Sept 30

ISR

10/30

Oct 1 - Sept 30

SSR

10/30

Contract Completion

Final ISR

30 days after completion

v. Provide its prime contract number, 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; and

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.

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 by the contractor. Describe the company’s commitment to make a good faith effort to ensure that the subcontracting goals are met.

9. Assurances on Written Explanation Assurances that the contractor will 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 (a)(12) of this section. This written explanation will be submitted to the contracting officer within 30 days of contract completion.

10. Assurances on Subcontractor Discussions 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.

11. Assurances on Small Business Subcontractor Payment Assurances that the offeror will 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 (see 52.242-5).

Required Signatures:

This subcontracting plan is submitted by:

Signature: __________________________________________________

Typed/Print Name: __________________________________________________

Title: __________________________________________________

Date: __________________________________________________

As covered by FAR 19.702(c) and referenced by 15 U.S.C. 637(d)(9), 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: __________________________________________________