Attachment 6- Subcontracting Plan Template_12SAD2.docx

SMALL BUSINESS SUBCONTRACTING PLAN

This template is a suggested model for use when formulating a subcontracting plan pursuant to the requirements at FAR 52.219-9(d). While this model plan has been designed to be consistent with FAR 52.219-9, other formats may be acceptable. However, failure to include the essential information as set forth in this model may be cause for either a delay in acceptance or the rejection of an offer where the clause is applicable. Further, the use of this model is not intended to waive other requirements that may be applicable under FAR 52.219-9 or that may appear in the Government’s solicitation.

SUBCONTRACTING PLAN PERIOD: [Enter start of planholder FY] - [Enter end of planholder FY] Individual plans should cover the entire period of performance, and commercial plans should coincide with the company’s fiscal year. In the event your company's fiscal year is for a period that will end before the contract periods of any federal contracts you hold which include the requirement to have a small business subcontracting plan, you will be required to submit a new subcontracting plan for approval thirty (30) days prior to expiration of the existing subcontracting plan. In the event an acceptable plan cannot be negotiated prior to expiration of the existing subcontracting plan, your contract(s) may be terminated.

DATE SUBMITTED: [Enter date submitted. If plan has been revised, enter revision date] PLANHOLDER NAME: [Planholder must be a single company] PLANHOLDER UEI: [Must be UEI of Planholder, not a Subsidiary] PLANHOLDER ADDRESS: [Address of Planholder and UEI listed] SUBSIDIARIES INCLUDED: [Enter "None" or specific names of included subsidiaries; in the company structure, the planholder must be a level above all listed subsidiaries] ITEM/SERVICE TYPE: [Enter general description, not specific brand names, contract number, etc.]

1. TYPE OF PLAN

Subcontracting/Spend: "SUBCONTRACT," as used in 52.219-9, refers to your external company spend, meaning any agreement (other than one involving an employer-employee relationship) entered into by a federal government prime contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract.

Excluded Categories of Spend: Per 52.219-9(g), the following categories should not be included in the total subcontracting spend base in #1, the proposed goals in #2, nor in the categories of spend listed in #3: Employee salaries and benefits; payments for petty cash; depreciation; interest; income taxes; property taxes; lease payments; bank fees; fines, claims, and dues; original equipment manufacturer relationships during warranty periods (negotiated up front with the product); utilities and other services purchased from a municipality or an entity solely authorized by the municipality to provide those services in a particular geographical region; and philanthropic contributions.

Select only one of the following plan types (a or b), listing the total estimated dollar value of all planned subcontracting (to all types of business concerns, both large and small).

a) Individual Plan (This Contract Only) Contract #/Solicitation # Total value of projected subcontracts (both large and small businesses) Base Period $ 5-Year Option $ Total Contract Value (including options) $ *Separate goals must be included for each option period (see #2 and chart on last page)

b) Commercial Plan (select one of the following plan types):

|_| Company-wide or |_| Division-wide

State separate dollar and percentage goals, expressed in terms of percentages of the total available subcontracting dollars listed in the previous section in #1. Commercial plans must complete 2a below with 1-year goals, and individual plans must complete 2b below with two separate 5-year goals. Complete only 2a OR 2b, as applicable. Round percentage goals to one decimal place (X.x%).

2a. GOALS FOR INDIVIDUAL PLANS

a) Total estimated dollar value and percent of planned subcontract to large businesses plus all small business (SB) concerns:

Base Period: $ & % & Option Periods: $ & %

b) Total estimated dollar value and percent of planned subcontracting with small businesses (SB) (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns:

Base Period: $ & % & Option Periods: $ & %

b) Total estimated dollar value and percent of planned subcontracting with veteran-owned small businesses (VOSB):

Base Period: $ & % & Option Periods: $ & %

c) Total estimated dollar value and percent of planned subcontracting with service-disabled veteran-owned small businesses (SDVOSB) (Note: This is a subset of veteran-owned):

Base Period: $ & % & Option Periods: $ & %

d) Total estimated dollar value and percent of planned subcontracting with small, disadvantaged businesses (SDB) (including ANCs and Indian tribes):

Base Period: $ & % & Option Periods: $ & %

e) Total estimated dollar value and percent of planned subcontracting with women-owned small businesses (WOSB):

Base Period: $ & % & Option Periods: $ & %

f) Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses (HUBZone):

Base Period: $ & % & Option Periods: $ & %

2b. GOALS FOR COMMERCIAL PLANS (1-Year Goals)

a) Total estimated dollar value and percent of planned subcontracting with small businesses (SB) (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns: $ and [Divide $ by total projected subcontracts in #1b]%

b) Total estimated dollar value and percent of planned subcontracting with veteran-owned small businesses (VO): $[Note that SDVO is a subset of VO; therefore, the VO % goal here must be higher than the SDVO % goal below.] and [Divide $ by total projected subcontracts in #1b]%

c) Total estimated dollar value and percent of planned subcontracting with service-disabled veteran-owned small businesses (SDVO) (Note: This is a subset of veteran-owned): $ and [Divide $ by total projected subcontracts in #1b]%

d) Total estimated dollar value and percent of planned subcontracting with small, disadvantaged businesses (SDB) (including ANCs and Indian tribes): $ and [Divide $ by total projected subcontracts in #1b]%

e) Total estimated dollar value and percent of planned subcontracting with women-owned small businesses (WO): $ and [Divide $ by total projected subcontracts in #1b]%

f) Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses (HUB): $ and [Divide $ by total projected subcontracts in #1b]%

3. PRODUCTS AND/OR SERVICES Note: Commercial Plans must include all indirect costs. Note that you cannot exclude a category just because there are only LBs sources available.

The types of products and/or services to be subcontracted are:

LB: [List all categories of spend except those categories listed as excludable on page 1] SB: [List all categories of spend except those categories listed as excludable on page 1] VOSB: [List all categories of spend except those categories listed as excludable on page 1] SDVOSB: [List all categories of spend except those categories listed as excludable on page 1] SDB: [List all categories of spend except those categories listed as excludable on page 1] WOSB: [List all categories of spend except those categories listed as excludable on page 1] HUBZone: [List all categories of spend except those categories listed as excludable on page 1]

4. GOAL DEVELOPMENT

The following method was used in developing the subcontracting goals:

[Response must answer how you arrived at your proposed goals. Justification is required in two cases: 1) When proposing a % goal less than the USDA suggested % goal; 2) When proposing a % goal less than last year's achieved %.]

5. IDENTIFYING POTENTIAL SOURCES

The following methods were used to identify potential sources for solicitation purposes (See FAR 52.219-9(d)(5) for examples of methods that may be used.):

[Be specific when listing web sites, organizations, associations, events, etc. General responses will not be accepted.]

6. INDIRECT COSTS Note: Commercial Plans must include all indirect costs.

Indirect costs |_| have |_| have not been included in the dollar and percentage subcontracting goals stated above. (Check one.)

If "have been" is checked (and you are proposing an individual plan), explain the method used in determining the proportionate share of indirect costs to be incurred with small business (including Alaska Native Corporations and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, small disadvantaged business (including ANCs and Indian tribes), women-owned small business, and HUBZone small business concerns. Note: Commercial plan holders are required to include all indirect costs and will not need to provide the aforementioned explanation because the costs will be applied at 100%.

[To be completed only by individual planholders.]

7. PROGRAM ADMINISTRATOR

The following individual will administer the subcontracting program:

This individual's specific duties, as they relate to the firm's subcontracting program, are as follows: [Duties listed must be comprehensive and include direct program responsibilities or oversight of those responsibilities. Must reference timely submission of eSRS reports as well as submission of plans 30-days prior to the expiration of the current plan.]

8. EQUITABLE OPPORTUNITY

The following good faith efforts (internal and external) will be taken to assure that small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns will have an equitable opportunity to compete for subcontracts:

[Must address both internal and external proactive, good faith efforts. Be specific when listing organizations, associations, events, etc. General responses will not be accepted. See end of template for explanations re. good faith effort.]

9. FLOW-DOWN CLAUSE

The offeror agrees that the FAR clause of this contract entitled “Utilization of Small Business Concerns” (52.219-8) will be included 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 the applicable threshold specified in FAR 19.702(a) on the date of subcontract award, with further subcontracting possibilities to adopt a subcontracting plan that complies with the requirements of FAR clause 52.219-9 Small Business Subcontracting Plan.

NOTE: See exceptions listed in FAR 52.219-9(j).

10. REPORTING & COOPERATION

The offeror agrees to

(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) After November 30, 2017, include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contracts with individual subcontracting plans where the contract is intended for use by multiple agencies;

(iv) Submit the Individual Subcontract Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with paragraph (l) of FAR 52.219-9 using https://sam.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 SBA 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 52.219-9, or as provided in agency regulations;

(v) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using https://sam.gov/.

(vi) Provide its prime contract number, its unique identity 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

(vii) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own unique identity 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.

11. RECORDKEEPING

The following is a description of the types of records that will be maintained concerning procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of the offeror’s efforts to locate small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business 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):

(i) Source lists (e.g., SAM), guides, and other data that identify small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small, disadvantaged business, and women-owned small business concerns.

(ii) Organizations contacted in an attempt to locate sources that are small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small, disadvantaged business, or women-owned small business concerns.

(iii) Records on each subcontract solicitation resulting in an award of more than the simplified acquisition threshold, as defined in FAR 2.101 on the date of subcontract award, 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.

(iv) 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, service-disabled veteran-owned, and women-owned small business sources; and

(D) Veterans service organizations.

(v) 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.

(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.

12 and 13. UTILIZATION OF SMALL BUSINESS CONCERNS USED IN BID/PROPOSAL

12. The offeror agrees to 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 it 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. Responding to a request for a quote does not constitute use in preparing a bid or proposal. The Offeror used a small business concern in preparing the bid or proposal if–

(i) The Offeror identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the subcontract; or

(ii) The Offeror used the small business concern’s pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the Offeror is awarded the contract.

13. The Contractor agrees to 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 (12) above. This written explanation must be submitted to the Contracting Officer within 30 days of contract completion.

14. SUBCONTRACTOR DISCUSSIONS WITH CONTRACTING OFFICER

The Contractor agrees not to prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor.

15. PROMPT PAYMENT OF SMALL BUSINESS SUBCONTRACTORS

The Contractor agrees to 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 (see FAR 52.242-5).

Signed: ____________________________________ Date Signed: ______________ Typed Name: Title:

[Agency/office approver must have the contract expiration date that goes out the furthest, not including unexercised options.]

Government Plan Approval Signature

Name of Government Approver

Date Approved

COMMERCIAL PLANS: SUMMARY OF GOALS

This page is for commercial plans ONLY.

Round percentages to one decimal place (X.x%) and dollar figures to the nearest whole dollar.

approximate eSRS

1. Total Subcontracting Dollars $ $ $ (both large & small businesses)

2c. Service-Disabled Veteran-

* You may list Prior Year Achievements in one of two ways:

1) SSR Based: List the achievements reported in the most recent Summary Subcontract Report (SSR), which is based on the Government’s fiscal year of Oct 1 – Sep 30.

2) Prior 12-months: List your actual spend for the 12-month period prior to submission. In most cases, this should match or approximate your eSRS report. We recognize that there may be differences between achievements reported above and those reported in your SSR in Sam.gov may be due to the timing of spend if your plan period (company fiscal year) is different than the Government fiscal year spend reported in eSRS.