Attachment_E_Subcontracting_Plan_Template_FINAL.doc

Attachment E Subcontracting Plan Template

RFQ 140D0422Q0533 NEA NASERC

I. GENERAL INFORMATION

A. Quoter Information

Name

Address

Date Prepared

Description of Supplies/Services

Solicitation Number

Place of Performance

B. Individual Plan Period:

II. TYPE OF PLAN (Check Only One)

☐ INDIVIDUAL SUBCONTRACTING PLAN: This is a subcontracting plan that covers the entire contract period (including option periods), applies to a specific contract, and has 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 SUBCONTRACTING PLAN: This is a subcontracting plan that contains 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 PLAN: This is a subcontracting plan (including goals) that covers the offeror’s fiscal year and that 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).

III. GOALS: Provide the appropriate response for each section in terms of the total dollars planned to be subcontracted, the total dollars planned to be subcontracted to small business (SB) (including ANCs and Indian tribes), veteran-owned small business (VOSB), service-disabled veteran-owned small business (SDVOSB), HUBZone small business, small disadvantaged business (SDB) (including ANCs and Indian tribes), and women-owned small business (WOSB) concerns or separate percentage goals for using such business concerns as subcontractors (see FAR 19.704(a)(1) and (a)(2)). The goals for VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB, concerns are sub-sets of the SB goal provided in section 2.B. For * attach, if necessary, additional sheets showing dollar amounts and percentages for instances where there are more than four option periods.

ESTIMATED BASE YEAR VALUES

Total Estimated PoP Value

Total Estimated PoP Subcontracted Dollar Value

Total Estimated PoP Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

ESTIMATED OPTION YEAR ONE VALUES

Total Estimated PoP Value

Total Estimated PoP Subcontracted Dollar Value

Total Estimated PoP Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

ESTIMATED OPTION YEAR TWO VALUES

Total Estimated PoP Value

Total Estimated PoP Subcontracted Dollar Value

Total Estimated PoP Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

ESTIMATED OPTION YEAR THREE VALUES

Total Estimated PoP Value

Total Estimated PoP Subcontracted Dollar Value

Total Estimated PoP Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

ESTIMATED OPTION YEAR FOUR VALUES

Total Estimated PoP Value

Total Estimated PoP Subcontracted Dollar Value

Total Estimated PoP Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

ESTIMATED TOTAL CONTRACT VALUES (Base + All Option Years)

Total Estimated Contract Value

Total Estimated Subcontracted Dollar Value

Total Estimated Subcontracted Percentage Value

SUBCONTRACTED VALUE BREAKDOWN

IV. DESCRIPTION OF SUPPLIES AND SERVICES TO BE SUBCONTRACTED* Provide a brief description of the supplies and/or services to be subcontracted under this contract, name of the company (if known), the company’s business size (i.e., SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes) and WOSB concerns and LB concerns), and the estimated dollar expenditure. ATTACH ADDITIONAL SHEETS IF NECESSARY

* FAR 19.704(a)(3) and the clause at 52.219-9(d)(3) requires a description of the principal types of supplies and services to be subcontracted and an identification of types planned for subcontracting to SB (including ANCs and Indian tribes),VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns.

V. DEVELOPING SUBCONTRACTING GOALS*. Describe the method(s) used to develop the subcontracting goals listed in Section III Goals.

* FAR 19.704(a)(4) and the clause at 52.219-9(d)(4) require a description of the method used to develop the subcontracting goals. Explain or state the basis for establishing your proposed goals (i.e. based on historical data and experience, market research, etc.); and provide justification for any low goal(s).

VI. POTENTIAL SOURCES*. Describe the method(s) used to identify potential sources for solicitation purposes, with specific attention to the method(s) used to identify SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes) and WOSB concerns.

*FAR 19.704(a)(5) and clause 52.219-9(d)(5) require a description of the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the System for Award Management (SAM), veterans service organizations, the National Minority Purchasing Council Vendor Information Service, the Research and Information Division of the Minority Business Development Agency in the Department of Commerce, or small, HUBZone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information contained in SAM as an accurate representation of a concern’s size and ownership characteristics for the purposes of maintaining SB, VOSB, SDVOSB, HUBZone, SDB, and WOSB source list. Use of SAM as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

VII. INDIRECT COSTS. Check the applicable box. Indirect costs ☐ HAVE BEEN ☐ HAVE NOT BEEN included in the subcontracting goals stated above. If indirect costs HAVE BEEN included, explain the method(s) used to determine the proportionate share of such costs to be incurred to SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns. See 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:

VIII. PLAN ADMINISTRATOR. Provide the following information for the individual employed by the offeror who will administer this subcontracting plan (see FAR 19.704(a)(7)) Name

Title/Position

Address

City/State/Zip Code

Telephone number

Fax number

Email Address

Alternate POC with contact information

A. 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:

i. 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.

ii. Provide adequate and timely consideration of the potentialities of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns in all “make-or-buy” decisions.

iii. Counsel and discuss subcontracting opportunities with representatives of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB firms.

iv. 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) database or by contacting SBA.

v. 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.

vi. 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.

vii. Develop and maintain bidders’ lists of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns from all possible sources.

viii. Ensure periodic rotation of potential subcontractors on bidders’ lists.

ix. 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.

x. Ensure that subcontract procurement “packages” are designed to permit the maximum possible participation of SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns

xi. Review subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns.

xii. 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.

xiii. Oversee the establishment and maintenance of contract and subcontract award records.

xiv. Attend or arrange for the attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

xv. Directly or indirectly counsel SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns on subcontracting opportunities and how to prepare bids to the company.

xvi. Conduct or arrange training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act on purchasing procedures.

xvii. Develop and maintain an incentive program for buyers that support the subcontracting program.

xviii. Monitor the company’s performance and make any adjustments necessary to achieve the subcontract plan goals.

xix. Prepare and submit timely reports.

xx. Coordinate the company’s activities during compliance reviews by Federal agencies.

B. Will the Plan Administrator named above perform the duties identified in Section ? ☐ YES ☐ NO Check the appropriate box. If NO is checked, provide the position title of the individual who in the company performs that duty, or provide an explanation as to why the duty is not performed in your company.

IX. EQUITABLE OPPORTUNITY: Description of the efforts your company will make to ensure that SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns will have an equitable opportunity to compete for subcontracts (see FAR 19.704(a)(8)). Check all that apply A. Outreach efforts to obtain sources:

☐ Contacting minority and small business trade associations

☐ Contacting business development organizations

☐ Attending small and minority business procurement conferences and trade fairs

☐ Finding sources from the Small Business Administration's Procurement Network (SAM/DSBS)

B. Internal efforts to guide and encourage purchasing personnel:

☐ Presenting workshops, seminars and training programs

☐ Establishing, maintaining and using SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns source lists, guides and other data for soliciting subcontracts

☐ Monitoring activities to evaluate compliance with the subcontracting plan

C. Other Additional efforts: (Please describe below.)

X. ASSURANCES OF CLAUSE INCLUSION AND FLOW DOWN. FAR 19.704(a)(9) and clause 52.219-9(d)(9) require assurances that the offeror will include the clause at 52.219-8, Utilization of Small Business Concerns (see 19.708(a)), 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 ($1,500,000 for construction) to adopt a plan that complies with the requirements of this clause (see 19.708(b)).

[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 $700,000 ($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.

XI. REPORTING AND COOPERATION: FAR 19.704(a)(10) and clause 52.219-9(d)(10) require assurances that the offeror will do the following:

[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) (http://www.esrs.gov), 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 UEI 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 UEI 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:

Type of

Report

ISR

(Individual/ Master)

Contract Completion

SSR

(Commercial)

Contract Completion

XII. RECORDKEEPING: FAR 19.704(a)(11) and clause 52.219-9(d)(11) require 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 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.

A. [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):

xxi. 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.

xxii. 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.

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

1. Whether small business concerns were solicited and, if not, why not;

2. Whether veteran-owned small business concerns were solicited and, if not, why not;

3. Whether service-disabled veteran-owned small business concerns were solicited and, if not, why not;

4. Whether HUBZone small business concerns were solicited and, if not, why not;

5. Whether small disadvantaged business concerns were solicited and, if not, why not;

6. Whether women-owned small business concerns were solicited and, if not, why not; and

7. If applicable, the reason award was not made to a small business concern.

xxiv. Records of any outreach efforts to contact

1. Trade associations;

2. Business development organizations;

3. Conferences and trade fairs to locate small, HUBZone small, small disadvantaged, and women-owned small business sources; and

4. Veterans service organizations.

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

1. Workshops, seminars, training, etc.; and

2. Monitoring performance to evaluate compliance with the program’s requirements.

B. 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.

C. Other records to support your compliance with the subcontracting plan: (Provide response below)

XIII. DESCRIPTION OF GOOD FAITH EFFORT

[Company Name] will take the following steps to demonstrate compliance with a good faith effort in achieving small business subcontracting goals:

The above requirements will be negotiated with the contracting officer prior to approval. The contracting officer must ensure per FAR 19.705-5(a)(5) that an acceptable plan is incorporated into and made a material part of the contract.

A. Does the offeror assure that it will make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the SB concerns that the offeror 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? See FAR 19.704(a)(12). ☐ Yes ☐ No

B. Does the offeror assure that it 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 the above assurance within this section? See FAR 19.704(a)(13). ☐ Yes ☐ No

XIV. SUBCONTRACTOR ACCESS TO THE CONTRACTING OFFICER.

Does the offeror assure that it will not prohibit a subcontractor from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor? See FAR 19.704(a)(14). ☐ Yes ☐ No

XV. PAYMENT OF SMALL BUSINESS SUBCONTRACTORS.

Does the offeror assure that it 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 FAR 19.704(a)(15). ☐ Yes ☐ No

XVI. TIMELY PAYMENTS TO SUBCONTRACTORS

Has the offeror established and use procedures to ensure the timely payment of amounts due pursuant to the terms of their subcontracts with SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns? See FAR 19.702. ☐ Yes ☐ No

SIGNATURE REQUIRED:

This subcontracting plan was SUBMITTED by:

Typed Name

Date Signed Company Title

REPORTING INSTRUCTIONS FOR CONTRACTORS

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 $700,000 (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 and NASA, the report shall be submitted semi-annually for the six months ending March 31 and the twelve months ending September 30. For civilian agencies, except NASA, it shall be submitted annually for the twelve month period 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.

(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.