Attachment_C_-_Subcontracting_Plan_2013-2014.pdf

Department of the Treasury Small, HUBZone Small, Small Disadvantaged, Women-Owned Small, Veteran-Owned Small, & Service Disabled Veteran-Owned Small Business Concerns

Subcontracting Plan Outline

The following outline meets the minimum requirements of Public Law 95-507 and the Federal Acquisition Regulation (FAR) Subparts 19.7. It is intended to be a guideline. It is not intended to replace any existing corporate plan which is more extensive. If you need assistance to locate small business sources, contact the Director, Office of Small Business Development at (202) 622-0530. Please note that the Department of the Treasury has subcontracting goals of 52 % for small business, 3 % for HUBZone Small Business, 5 % for Small Disadvantaged Business (SDB), 5 % for Women-Owned Small Business (WOSB), and 3 % for Service Disabled Veteran-Owned Small Business (SDVOSB) for fiscal year 2013- 2014. For this procurement, the Department of the Treasury expects all proposed subcontracting plans to contain the above goals, at a minimum. Although there is no statutory goal for Veteran-Owned Small Business (VOSB) concerns, a VOSB goal must be proposed in accordance with FAR 19.7 and should represent the offeror’s best effort to provide the maximum practicable opportunities for VOSBs. These percentages shall be expressed as percentages of the total available subcontracting dollars.

Identification Data:

Company Name:_______________________________________________________________________ Address: _____________________________________________________________________________ Date Prepared:___________________Solicitation Number:_____________________________________ Item/Service:__________________________________________________________________________ Place of Performance:___________________________________________________________________

1. TYPE OF PLAN: (Check only one).

INDIVIDUAL PLAN: In this type of plan, all elements are developed specifically for this contract and are applicable for the full term of this contract.

MASTER PLAN: In this type of plan, goals are separately developed for this contract in an individual plan; all other elements are standard. The master plan must be approved once every three (3) years. Once incorporated into a contract with specific goals, it is valid for the life of the contract.

COMMERCIAL PLAN: This type of plan is used when the contractor sells products and services customarily used for non-government purposes. Plans and goals are negotiated with the initial agency on a company-wide basis rather than for individual contracts. The plan is effective only during year approved. The contractor must provide a copy of the initial agency approval, and must submit an annual Summary Subcontracting Report (SSR) in the electronic Subcontracting Reporting System (eSRS) to Treasury with a breakout of subcontracting prorated for Treasury (with a further bureau breakout, if possible).

2. GOALS:

FAR 19.704(a)(1) requires dollar and percentage goals for using small business, HUBZone small business, small disadvantaged business, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns as subcontractors for the base year and each option year. (Please note that the goals for HUBZone small business, small disadvantaged business, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns are sub-sets of the small business goal). Express all dollar goals as a percentage of total planned subcontracting dollars. Zero percentage/dollar goals are NOT ACCEPTABLE and will not be approved.

A. Estimated dollar value of all planned subcontracting, i.e., to all types of business concerns under this contract is:

Estimated Dollar Value of All Planned Subcontracting

Base 1st Option 2nd Option 3rd Option 4th Option

100% 100% 100% 100% 100%

B. Estimated dollar value and percentage of total planned subcontracting to small business concerns is:

(Include HUBZone Small, Small Disadvantaged, Women-owned Small Business, Veteran-owned Small Business and Service Disabled Veteran-Owned Small Business)

*(This figure includes the amount in C., D., E., F., and G. below.)

Subcontracting to Small Business Concerns

C. Estimated dollar value and percentage of total planned subcontracting to HUBZone small business concerns is:

Subcontracting to HUBZone Small Business Concerns

D. Estimated dollar value and percentage of total planned subcontracting to small disadvantaged business concerns is:

Subcontracting to Small Disadvantaged Business Concerns

E. Estimated dollar value and percentage of total planned subcontracting to women-owned small

Subcontracting to Women-Owned Small Business Concerns

Base 1st Option 2nd Option 3rd Option 4th Option

F. Estimated dollar value and percentage of total planned subcontracting to veteran-owned small

Subcontracting to Veteran-Owned Small Business Concerns

G. Estimated dollar value and percentage of total planned subcontracting to service disabled veteran-owned small business concerns is:

Subcontracting to Service Disabled Veteran-Owned Small Business Concerns

** IF ANY CONTRACT HAS MORE THAN FOUR OPTIONS, PLEASE ATTACH ADDITIONAL

SHEETS SHOWING DOLLAR AMOUNTS AND PERCENTAGES.

H. Supplies and/or services to be subcontracted under this contract, business size (i.e., SB, HUBZone, DB, WOB, VOSB, SDVOSB, and LB), and the estimated dollar expenditure are: (Check all that apply).

Business Category or Size Supply/ Service

Dollar Amount

Large Small Bus.

HUBZ

Small

SDB WOSB VOSB SDVOSB Company Name (If Known)

(Attach additional sheets if necessary.)

I1. Explain the methods used to develop the subcontracting goals for small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns.

I2. Explain how the product and service areas to be subcontracted were established, how the areas to be subcontracted to small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns were determined.

I3. How the capabilities of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns were determined.

I4. Identify all source lists used in the determination process.

J. Indirect and overhead costs HAVE BEEN or HAVE NOT BEEN included in the dollar and percentage subcontracting goals stated above. (Check one.)

K. If indirect and overhead costs HAVE BEEN included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns.

3. PROGRAM ADMINISTRATOR:

FAR 19.704(a)(7) requires information about the company employee who will administer the subcontracting program. Please provide the name, title, address, phone number, fax number, e:mail address, and position within the corporate structure and the duties of that employee.

Name:_______________________________________________________________________________ Title:________________________________________________________________________________ Address:_____________________________________________________________________________ Telephone:____________________________________________________________________________ Fax:_________________________________________________________________________________ E:mail Address:________________________________________________________________________ Position:_____________________________________________________________________________

Duties: The Program Administrator’s general overall responsibility for the Contractor’s subcontracting program, i.e., developing, preparing, and executing individual subcontracting plans and monitoring performance relative to this particular plan. These duties may include, but are not limited to the following activities. Does the individual named above perform the following? (If NO is checked, please indicate who in the company performs those duties, or indicate why the duties are not performed in your company.)

A. Developing and promoting company/division policy statements that demonstrate the company’s/division’s support for awarding contracts and subcontracts to small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns.

____ YES ____ NO

B. Developing and maintaining bidders’ lists of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns from all possible sources.

____ YES ____ NO

C. Ensuring periodic rotation of potential subcontractors on bidders’ lists.

D. Assuring that small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns are included on the bidders’ list for every subcontract solicitation for products and services they are capable of providing.

____ YES ____ NO

E. Ensuring that subcontract procurement “packages” are designed to permit the maximum possible participation of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns.

____ YES ____ NO

F. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business participation.

____ YES ____ NO

G. Ensuring that the subcontract bid proposal review board documents its reasons for not selecting any low bids submitted by small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns.

____ YES ____ NO

H. Overseeing the establishment and maintenance of contract and subcontract award records.

____ YES ____ NO

I. Attending or arranging for the attendance of company counselors at Business Opportunity

Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

____ YES ____ NO

J. Directly or indirectly counseling small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns on subcontracting opportunities and how to prepare responsive bids to the company

____ YES ____ NO

K. Providing notice to subcontractors concerning penalties for misrepresentations of business status as small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, or service disabled veteran-owned small business 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.

____ YES ____ NO

L. Conducting or arranging training for purchasing personnel regarding the intent and impact of Public

Law 95-507 on purchasing procedures.

M. Developing and maintaining an incentive program for buyers which supports the subcontracting program.

____ YES ____ NO

N. Monitoring the company’s performance and making any adjustments necessary to achieve the subcontract plan goals.

O. Preparing and submitting timely reports.

P. Coordinating the company’s activities during compliance reviews by Federal agencies.

____ YES ____ NO

4. EQUITABLE OPPORTUNITY

FAR 19.704(a)(8) requires a description of the efforts your company will make to ensure that small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns will have an equitable opportunity to compete for subcontracts.

These efforts may include, but are not limited to the following activities: (Check all that apply.)

A. Outreach efforts to obtain sources:

Contacting minority and small business trade associations

Contacting business development organizations

Finding sources from the Dynamic Small Business Search of the Central Contractor Registration (CCR) System at http://www.ccr.gov

Attending small, HUBZone, minority, women-owned, veteran-owned, & service disabled veteran-owned small business procurement conferences and trade fairs

B. Internal efforts to guide and encourage purchasing personnel:

Presenting workshops, seminars and training programs

Establishing, maintaining and using small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business source lists, guides and other data for soliciting subcontracts

Monitoring activities to evaluate compliance with the subcontracting plan C. Additional efforts: (Please describe.)

5. CLAUSE INCLUSION AND FLOWDOWN

FAR 19.704(a)(9) requires that your company provide assurances that it will include the clause at FAR 52.219-8, “Utilization of Small Business Concerns,” in all subcontracts that offer further subcontracting opportunities. FAR 52.219-9(d)(9) also requires that your company agrees in this plan that it will require all subcontractors, except small business concerns, that receive subcontracts in excess of $500,000 ($1,000,000 for construction) to adopt a plan that complies with the requirements of FAR 52.219-9, “Small Business Subcontracting Plan.”

[Insert company name] agrees that the clause will be included and that the plans will be reviewed against the minimum requirements for such plans.

The acceptability of percentage goals for small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns must be determined on a case-by-case basis depending on the supplies and services involved, the availability of potential small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business subcontractors and prior experience. Once the plans are negotiated, approved, and implemented, the plans must be monitored through the submission of periodic reports, including the Individual Subcontracting Report and the Summary Subcontracting Report submitted through the electronic Subcontracting Reporting System (eSRS).

6. REPORTING AND COOPERATION

FAR 19.704(a)(10) requires that your company (1) cooperate in any studies or surveys as may be required, (2) submit periodic reports which show compliance with the subcontracting plan; (3) submit Individual Subcontracting Report and Summary Subcontracting Report through the electronic Subcontracting Reporting System (eSRS); and (4) ensure that subcontractors agree to submit the Individual Subcontracting Report and the Summary Subcontracting Report through the electronic Subcontracting Reporting System (eSRS). The cognizant Contracting Officer of the Treasury bureau awarding the contract must approve the reports through the eSRS system. The reports must be submitted electronically through the eSRS system within 30 days after the close of each calendar period. That is:

Calendar Period Report Due

Date Due Send Report Through the Electronic Subcontracting

Reporting System (eSRS) to:

10/01–03/31 Individual Subcontracting Report (old SF 294)

04/30 Contracting Officer/Bureau Small Business Specialist

04/01–09/30 Individual Subcontracting Report (old SF 294)

10/30 Contracting Officer/Bureau Small Business Specialist

10/01–09/30 Summary Subcontracting Report (old SF 295*)

10/30 Contracting Officer/Bureau Small Business Specialist/Department of the Treasury Office of Small Business Development

*Summary Subcontracting Report must also be submitted to SBA’s Commercial Market Representative

Contracting Officer’s Address is:

Bureau of Engraving and Printing, Office of Acquisition, Attn: Contracting Officer, Materials and IT Contracts Division, 14th and C Streets, SW, Rm 708A, Washington, DC 20228

Department of the Treasury Office of Small Business Development address is:

Department of the Treasury, Attn: Director, Office of Small Business Development, 1500 Pennsylvania Avenue, NW, Mail Code 655 15th/6099, Washington, DC 20220

7. RECORDKEEPING

FAR 19.704(a)(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. (Check all that apply.) (If NO is checked, please indicate why these types of records are not maintained.) These records include, but are not limited to, the following:

A. Small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concern source lists, guides, and other data identifying such vendors.

____ YES ____ NO

B. Organizations contacted for small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business sources.

C. On a contract-by-contract basis, records on all subcontract solicitations over $100,000 which indicate for each solicitation:

C1. Whether small business concerns were solicited, and if not, why not.

C2. Whether HUBZone small business concerns were solicited, and if not, why not.

C3. Whether small disadvantaged business concerns were solicited, and if not, why not.

C4. Whether women-owned small business concerns were solicited, and if not, why not.

C5. Whether veteran-owned small business concerns were solicited, and if not, why not.

C6. Whether service disabled veteran-owned small business concerns were solicited, and if not, why not.

C7. Reasons for the failure of solicited small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns to receive the subcontract award.

____ YES ____ NO

D. Records to support other outreach efforts, e.g., contacts with minority and small business trade associations, attendance at small, HUBZone small, minority, women-owned small, veteran-owned small, and service disabled veteran-owned small business procurement conference and trade fairs.

____ YES ____ NO

E. Records to support internal activities to (1) guide and encourage purchasing personnel, e.g., workshops, seminars, training programs, incentive awards; and (2) monitor activities to evaluate compliance.

____ YES ____ NO

F. On a contract-by-contract basis, records to support subcontract award data including the name, address and business size and ownership status (SB, HUBZone, SDB, WOB, VOSB, SDVOSB, etc.) of each subcontractor. (This item is not required for company or division-wide commercial plans).

G. Other records to support your compliance with the subcontracting plan: (Please describe)

8. TIMELY PAYMENTS TO SUBCONTRACTORS

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 small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns. [Insert company name] has established and uses such procedures:

9. DESCRIPTION OF GOOD FAITH EFFORT

Maximum practicable utilization of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business 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 the contractor must pay liquidated damages. In order to demonstrate your compliance with a good faith effort to achieve the small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with the contracting officer prior to approval of the plan.

The offeror is advised that this subcontracting plan will be made a material part of the contract and that the submission of the Individual Subcontracting Report and the Summary Subcontracting Report will be made a not-separately-priced line item deliverable in the contract.

10. SIGNATURES REQUIRED

Company Signatures:

This subcontracting plan was submitted by:

Signature:

Typed Name:

Title:

Date:

Government Signatures:

This subcontracting plan was reviewed by:

Signature:

Typed Name:

Title: Contracting Officer

Date:

Government Signatures Continued:

This subcontracting plan was reviewed by:

Signature:

Typed Name:

Title: Small Business Specialist

Date:

This subcontracting plan was reviewed by:

Signature:

Typed Name:

Title: Small Business Administration Representative

Date:

This subcontracting plan was approved by:

Signature:

Typed Name:

Title: Director, Office of Small Business Programs (or designee)

Date:

This subcontracting plan was accepted by:

Signature:

Typed Name:

Title: Contracting Officer

Date: