Attachment J.4 Subcontracting Plan.doc

Attachment J.4 Subcontracting Plan A Subcontracting Plan is required if the estimated cost of the contract may exceed $750,000 ($1,500,000 for construction). Small businesses are excluded from the requirement to submit a Subcontracting Plan.

The following outline meets the minimum requirements of Section 8(d) of the Small Business Act, as amended, and implemented by the Federal Acquisition Regulations (FAR) Subpart 19.7. The U.S. Department of Health and Human Services (HHS), Office of Small and Disadvantaged Business Utilization (OSDBU) recommends that offerors use the following format to submit proposed Individual Subcontracting Plans. It is not intended to replace any existing Corporate/Commercial Plan that is more extensive.

Questions should be forwarded to the Contracting Officer and/or Small Business Subcontracting Program Manager.

PROJECT INFORMATION

Title of Acquisition: National Consensus Development and Strategic Planning for Health Care Quality Measurement

Contractor’s Name:

FAR 52.217-8 Amount (If applicable): N/A

SUBCONTRACT PLAN GUIDANCE- Failure to include the essential information of FAR 19.7 may be cause for either a delay in acceptance or the rejection of a bid or offer when a Subcontracting Plan is required. “SUBCONTRACT,” as used in this document, means any agreement (other than one involving an employer‑employee relationship) entered into by a Federal Government prime contractor or subcontractor requesting supplies or services required for performance of the contract or subcontract.

If assistance is needed to locate small business sources, contact the Small Business Specialist (SBS) supporting the OPDIV/STAFFDIV. SBS contact information is located on the OSDBU website (https://osdbu.hhs.gov) or contact the HHS OSDBU Customer Care Center at sbmail@hhs.gov or (202) 690-7300..

HHS currently has the following subcontracting goals for Fiscal Year 2022:

Type of Concern Goal (%) Small Business 32.5% Small Disadvantaged Business, including 8(a) Program Participants, Alaska Native Corporations (ANC), and Indian Tribes 5.00% Women-Owned Small Business 5.00% Service-Disabled Veteran-Owned Small Business 3.00% HUBZone Small Business 3.00% For this procurement, HHS expects all proposed Subcontracting Plan(s) to contain, at a minimum, the aforementioned percentages.

1. TYPE OF PLAN

Please check the appropriate box below:

Individual: FORMCHECKBOX Master* (Addendum): FORMCHECKBOX Commercial**: FORMCHECKBOX

*When Master is checked, Individual must also be checked and the submission must include both.

**If Commercial is checked, please stop here and attach a copy of your commercial plan.

For Informational Purposes:

Individual Plan: All elements developed specifically for this contract and applicable for the full term of this contract.

Master Plan: Goals developed for this contract, all other elements standardized and approved by a lead agency Federal Official; Must be renewed every three years and contractor must provide copy of lead agency approval.

Commercial Products/Services Plan: Goals are negotiated with the initial agency on a company-wide basis rather than for individual contracts; This plan applies to the entire production of commercial service or items or a portion thereof. The contractor sells commercial products and services customarily used for non-Government purposes. The plan is effective during the offeror’s fiscal year.

2. SUBCONTRACTING GOAL DATA (FAR 19.702(a)(1-3) & FAR 52.219-9(d)(1))

The below data indicates the dollar and percentage goals for Small Businesses (SBs), Small Disadvantaged Businesses (SDBs), including 8a Program Participants, Alaska Native Corporations and Indian Tribes, Women‑Owned Small Businesses (WOSBs), Historically Underutilized Business Zone (HUBZone) Small Businesses, Veteran-Owned Small Businesses (VOSBs), Service-Disabled Veteran-Owned Small Businesses (SDVOSBs), and “Other” than Small Businesses as subcontractors. Please indicate the dollar amount and percentage goals for the Base Period (BP) and each Option Period (OP), as specified in FAR 19.704. If the contract has more than four Option Periods, please attach additional sheets which illustrate dollar amounts and percentages.

PLEASE NOTE: Zero is not an acceptable goal for the SB, SDB, WOSB, HUBZone, VOSB, or SDVOSB categories, as it does not demonstrate a good faith effort towards supporting these categories throughout the period of performance of the contract.

% of Total Contract $

This column shall be completed, if required by the Contracting Officer.

For Individual Plans, complete Section 2.a (FAR 52.219-9(d)(2)(i)).

a. The total dollars planned to be subcontracted under this contract is:

$ _______________________ =2b+2h

If your contract includes options, please include the break down here:

BP: $ _______________________

OP 1: $ _______________________

OP 2: $ _______________________

OP 3: $ _______________________

OP 4: $ _______________________

Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

b. Total dollars and percentages planned to be subcontracted to Small Business concerns, including Alaska Native Corporations and Indian Tribes (FAR 52.219-9(d)(2)(ii)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

c. Total dollars and percentages planned to be subcontracted to Veteran-Owned Small Business concerns (FAR 52.219-9(d)(2)(iii)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

d. Total dollars and percentages planned to be subcontracted to Service-Disabled Veteran-Owned Small Business concerns (FAR 52.219-9(d)(2)(iv)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

e. Total dollars and percentages planned to be subcontracted to HUBZone Small Business concerns (FAR 52.219-9(d)(2)(v)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

f. Total dollars and percentages planned to be subcontracted to Small Disadvantaged Business concerns, including Alaska Native Corporations and Indian Tribes (FAR 52.219-9(d)(2)(vi)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

g. Total dollars and percentages planned to be subcontracted to Women-Owned Small Business concerns (FAR 52.219-9(d)(2)(vii)). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

h. Total dollars and percentages planned to be subcontracted to “Other” than Small Business concerns (i.e., large businesses, non-profits, etc.) (HHS OSDBU). Percentages are based on the total dollars to be subcontracted under this contract (Section 2.a).

$ _______________________ and _________% If your contract includes options, please include the break down here:

BP: $ _______________________ and _________% OP 1: $ _______________________ and _________%

OP 2: $ _______________________ and _________% OP 3: $ _______________________ and _________%

OP 4: $ _______________________ and _________% Total: _______%

If options are applicable:

BP: _______%

OP 1: _______%

OP 2: _______%

OP 3: _______%

OP 4: _______%

i. Subcontracting Opportunities: Provide a description of all principal products and/or services to be subcontracted to all types of concerns listed above in Sections 2.b-2.h (FAR 52.219-9(d)(3)).

Provide a description of ALL the products and/or services to be subcontracted under this contract, and indicate the size and type of business supplying them (include all that apply). Additional rows may be added to the below table, as needed.

Products and/or Services Other Small Business

SDB

WOSB

HUBZone

VOSB

SDVOSB

j. Please describe the methodology used to develop goals and identify potential sources (e.g. historical trends, information on technical and competitive bidding, formula for calculating goals, etc.) (FAR 52.219-9(d)(4-5)).

k. Please check the appropriate box below:

Indirect costs have FORMCHECKBOX have not FORMCHECKBOX been included in the dollar and percentage subcontracting goals above.

If indirect costs have been included in establishing subcontracting goals, please provide a description of the method used to determine the proportionate share of indirect costs to be incurred with all types of concerns listed in Section 2.b.-2.h (FAR 52.219-9(d)(6)).

3. PLEASE ENTER THE FOLLOWING INFORMATION FOR THE INDIVIDUAL WHO WILL ADMINISTER YOUR SUBCONTRACTING PROGRAM (FAR 52.219-9(d)(7)).

Name: _________________________________ Title: ________________________________________ Address: ________________________________________________________________________________ Telephone: _________________________________ E-mail: _______________________________________ Duties (Check the appropriate box(es)): Does the individual named above have 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 those Subcontracting Plans and perform the following duties)? FORMCHECKBOX yes FORMCHECKBOX no

Additionally, please respond whether or not the individual who will administer you subcontracting program conducts the following:

a. Developing and promoting company‑wide policy initiatives that demonstrate the company’s support for awarding contracts and subcontracts to SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns, and for assuring that these concerns are included on the source lists for solicitations for products and services they are capable of providing FORMCHECKBOX yes FORMCHECKBOX no

b. Developing and maintaining bidder source lists of SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns from all possible sources FORMCHECKBOX yes FORMCHECKBOX no

c. Ensuring periodic rotation of potential subcontractors on bidder’s lists FORMCHECKBOX yes FORMCHECKBOX no

d. Assuring that SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB businesses are included on the bidders’ list for every subcontract solicitation for products and services that they are capable of providing FORMCHECKBOX yes FORMCHECKBOX 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 FORMCHECKBOX yes FORMCHECKBOX 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 FORMCHECKBOX yes FORMCHECKBOX no

g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns, including the System for Award Management (http://sam.gov), local small business and minority associations, local chambers of commerce, and Federal agencies’ Small Business Offices FORMCHECKBOX yes FORMCHECKBOX no

h. Establishing and maintaining contract and subcontract award records FORMCHECKBOX yes FORMCHECKBOX no

i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc. FORMCHECKBOX yes FORMCHECKBOX 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 to the company FORMCHECKBOX yes FORMCHECKBOX no

k. Conducting or arranging for the conduct of training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act, as amended FORMCHECKBOX yes FORMCHECKBOX no

l. Monitoring the company’s subcontracting program performance and making any adjustments necessary to achieve the subcontract plan goals FORMCHECKBOX yes FORMCHECKBOX no

m. Preparing and submitting required subcontract reports in a timely manner FORMCHECKBOX yes FORMCHECKBOX no

n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(d) of the Small Business Act on purchasing procedures FORMCHECKBOX yes FORMCHECKBOX no

o. Coordinating the company’s activities during the conduct of compliance reviews by Federal agencies FORMCHECKBOX yes FORMCHECKBOX no

(If NO is checked for any of the duties above, please provide the name, title, address, telephone number, and e-mail of the individual in the company who performs those duties, or indicate why the duties are not performed in your company on a separate sheet of paper submitted with the proposed Subcontracting Plan.

Please identify any additional duties of the individual who will administer your subcontracting program.

4. PLEASE DESCRIBE YOUR EFFORTS TO ENSURE THAT SMALL BUSINESSES, INCLUDING SDB, WOSB, HUBZONE, AND SDVOSB HAVE AN EQUITABLE OPPORTUNITY TO COMPETE FOR SUBCONTRACTS (FAR 52.219-9(d)(8)).

These efforts include, but are not limited to, the following activities:

a. Outreach efforts to obtain sources, including (1) contacting minority and small business trade associations, (2) contacting business development organizations and local chambers of commerce, (3) attending SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB procurement conferences and trade fairs, (4) reviewing sources from the System for Award Management (http://www.sam.gov), (5) reviewing sources from the Small Business Administration (SBA), Dynamic Small Business Search (DSBS) database (http://dsbs.sba.gov/), and (6) utilizing newspaper and magazine advertisements to encourage new sources.

b. Internal efforts to guide and encourage purchasing personnel, including (1) conducting workshops, seminars and training programs,

(2) establishing, maintaining, and utilizing SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB source lists, guides, and other data for soliciting subcontractors, and (3) monitoring activities to evaluate compliance with the Subcontracting Plan.

Please describe your efforts:

5. FLOW DOWN CLAUSE (FAR 52.219-9(d)(8))

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.” In accordance with FAR 52.212-5(e) and 52.244-6(c)(2) the contractor is not required to include flow-down clause FAR 52.219.-9 if it is subcontracting commercial items.

6. REPORTING AND COOPERATION (FAR 52.219-9(d)(10)) & (FAR 19.704(a)(10)) The contractor gives assurance of (1) cooperation in any studies or surveys that may be required, (2) submission of periodic reports which illustrate compliance with the Subcontracting Plan, (3) submission of its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR), and (4) subcontractors submission of ISRs and SSRs. ISRs and SSRs shall be submitted via the Electronic Subcontracting Reporting System (eSRS) website https://esrs.symplicity.com/index?_tab=signin&cck=1 Please refer to FAR 19.7 or contact the Contracting Officer for regulatory reporting requirements and other obligations that you are accepting by signing of this document and acceptance of any subsequent contract award that may be granted.

7. RECORD KEEPING (FAR 52.219-9(d)(11))

FAR 52.219-9(d)(11) requires a list of the types of records your company will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan.

Please check the appropriate box below:

The contractor acknowledges and agrees to record keeping obligation expressed at FAR 52.219-9(d)(11): yes FORMCHECKBOX no FORMCHECKBOX

8. ASSURANCES OF GOOD FAITH EFFORT, AND THE SUBMISSION OF EXPLANATIONS WHEN FAILING TO ACQUIRE AS STATED IN GOOD FAITH EFFORT (FAR 52.219-9(d)(12-13))

Please check the appropriate box(es) below:

a. The contractor will 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: yes FORMCHECKBOX no FORMCHECKBOX ; and

b. 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 within 30 days of contract completion and as required under FAR 19.7: yes FORMCHECKBOX

9. 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)) Please check the appropriate box below:

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: yes FORMCHECKBOX

10. ASSURANCES OF TIMELY PAYMENTS TO SUBCONTRACTORS (FAR 52.219-9(d)(15))

FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of amounts due, pursuant to the terms of your subcontracts, with SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns.

Please check the appropriate box(es) below:

a. The contractor has established and uses procedures to ensure timely payment, as described above: yes FORMCHECKBOX no FORMCHECKBOX

b. The contractor will pay their 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: yes FORMCHECKBOX

SIGNATURES & REPRESENTATION

The contractor makes the following representation (Check the appropriate box):

I have reviewed FAR 19.704 and FAR 52.219-9, and this Subcontracting Plan is in compliance with the subject FAR requirements and guidance: yes FORMCHECKBOX

This Subcontracting Plan was submitted by:

Name: _____________________________ Title: __________________________________________ Signature: ____________________________________________________________________________________ Address: _____________________________________________________________________________________ Telephone: _________________________________ Email: _____________________________________________

Subcontracting Plan Template (Rev. January 2021)