J-11_Small_Business_Concern_Subcontracting_Plan_Outline.pdf

FFRDC HS SReauest For Prooosal Part I l l - Lists of Documents. Exhibits, and Other Attachments RFP No. HSHQDC-09-R-00008 Attachment J-I I - Subcontracting Plan Outline

Attachment J-I I

DEPARTMENT OF THE HOMELAND SECURITY

SMALL, HUBZone SMALL, SMALL DISADVANTAGED, WOMEN-OWNED SMALL, & SERVICE DISABLED VETERAN OWNED

SMALL BUSINESS CONCERNS SUBCONTRACTING PLAN OUTLINE

The f o l l o w i n g o u t l i n e mee t s t h e minimum requ irements o f Publ ic Law 95-507 and t h e Federal A c q u i s i t i o n Regula t ion ( F A R ) Subparts 19.7 . I t i s in tended t o b e a g u i d e l i n e . I t i s n o t i n t e n d e d t o rep lace any e x i s t i n g corpora te plan which i s more e x t e n s i v e . I f a s s i s t a n c e i s needed t o l o c a t e small b u s i n e s s sources , con tac t t h e C o n t r a c t i n g O f f i c e r , Michael B . S c o t t , (202) 447-5623. Please n o t e t h a t t h e Department o f t h e Homeland S e c u r i t y has s u b c o n t r a c t i n g goa ls o f 40% f o r small b u s i n e s s , 3% f o r HUBZone small b u s i n e s s , 5 % f o r small d isadvantaged b u s i n e s s , 5% f o r women-owned small b u s i n e s s , and 3 % f o r S e r v i c e Disabled Veteran-Owned small b u s i n e s s concerns f o r f i s c a l y e a r 2009.

For t h i s procurement, t h e Department o f t h e Homeland S e c u r i t y e x p e c t s a l l proposed s u b c o n t r a c t i n g p l a n s t o c o n t a i n t h e f o l l o w i n g g o a l s , a t a minimum, f o r small b u s i n e s s %%, f o r HUBZone small b u s i n e s s concerns 3 %, f o r small d isadvantaged b u s i n e s s concerns 5%, f o r women-owned small b u s i n e s s concerns 5 %, and f o r S e r v i c e Disabled Veteran-Owned small b u s i n e s s concerns 3%.

Although t h e r e i s no s t a t u t o r y goal f o r Veteran-Owned smal l b u s i n e s s (VOSB) concerns , a VOSB goal must b e proposed i n accordance w i t h FAR 19 . 7 and should r e p r e s e n t t h e o f f e r o r ' s e f f o r t t o prov ide t h e maximum p r a c t i c a b l e s u b c o n t r a c t i n g o p p o r t u n i t i e s f o r VOSBs. These percen tages s h a l l b e expressed as percen tages o f t h e t o t a l a v a i l a b l e s u b c o n t r a c t i n g d o l l a r s .

Identification Data:

Company Name:

Address :

Date Prepared: Solicitation Number:

Item/Service:

Place of Performance:

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

INDIVIDUAL PLAN: In t h i s t y p e o f p lan a l l e l e m e n t s a r e developed s p e c i f i c a l l y f o r t h i s c o n t r a c t and a r e a p p l i c a b l e f o r t h e f u l l term o f t h i s c o n t r a c t .

MASTER PLAN: In t h i s t y p e o f p l a n , goa l s a r e developed f o r t h i s c o n t r a c t ; a l l o t h e r e lements a r e s tandard . The mas ter p lan must b e approved e v e r y t h r e e ( 3 ) years . Once incorpora ted i n t o a c o n t r a c t w i t h s p e c i f i c g o a l s , i t i s v a l i d f o r t h e l i f e o f t h e con t r a c t .

COMMERCIAL PLAN: T h i s t y p e o f p lan i s used when t h e c o n t r a c t o r s e l l s p r o d u c t s and s e r v i c e s c u s t o m a r i l y used f o r nongovernment purposes . P lan /goa ls a r e n e g o t i a t e d w i t h t h e i n i t i a l agency on a company-wide b a s i s r a t h e r than f o r i n d i v i d u a l c o n t r a c t s . The plan i s e f f e c t i v e o n l y dur ing year approved. The c o n t r a c t o r must p r o v i d e a copy o f t h e i n i t i a l agency approva l , AND M U S T SUBMIT AN

ANNUAL S F 295 TO DHS WITH A BREAKOUT OF SUBCONTRACTING PRORATED

FOR DHS (WITH A OPERATING ELEMENT ( O E ) BREAKDOWN, IF POSSIBLE).

2. GOALS:

FFRDC HS SEDl Request For Proposal Part Ill - Lists of Documents, Exhibits, and Other Attachments RFP No. HSHQDC-09-R-00008 Attachment J-11 - Subcontracting Plan Outline

FAR 1 9 . 7 0 4 ( a ) ( 1 ) r e q u i r e s s e p a r a t e d o l l a r a n d p e r c e n t a g e g o a l s f o r u s i n g s m a l l b u s i n e s s c o n c e r n s , HUBZone s m a l l b u s i n e s s c o n c e r n s , s m a l l d i s a d v a n t a g e d b u s i n e s s c o n c e r n s , women-owned s m a l l b u s i n e s s , a n d service d i s a b l e d v e t e r a n -owned s m a l l b u s i n e s s c o n c e r n s a s s u b c o n t r a c t o r s f o r t h e b a s e y e a r a n d e a c h o p t i o n y e a r . ( P l e a s e n o t e t h a t t h e g o a l s f o r HUBZone s m a l l b u s i n e s s , s m a l l d i s a d v a n t a g e d b u s i n e s s , women-owned s m a l l b u s i n e s s , a n d service d i s a b l e d v e t e r a n - o w n e d s m a l l b u s i n e s s c o n c e r n s a r e s u b - s e t s o f t h e s m a l l b u s i n e s s g o a l ) .

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

FY -

BASE

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

( * T h i s f i g u r e i n c l u d e s t h e amount i n C . , D . , E . , F . , a n d G . b e l o w . )

FY - FY-

BASE 1ST OPTION

FY-

2ND OPTION

FY-

3RD OPTION

S

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

FY -

BASE

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

FY - FY-

BASE 1ST OPTION

FY-

2ND OPTION

s

FY-

3RD OPTION

S

E. Estimated dollar value and percentage of planned subcontracting to small women-owned business concerns is:

FY - FY

BASE ISTOPTION

FY-

2ND OPTION

e

FY-

3RD OPTION

F. Estimated dollar value and percentage of planned subcontracting to veteran-owned small business concerns is:

FY-

1ST OPTION

S

BASE

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

FY - FY FY FY FY

BASE STOPT TI ON ~NDOPTION ~ R ~ O P T I O N 4TH OPTION**

9, % 0 % % 3

**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, SDB, WOB, VOSB, SDVOSB, and LB) , and the estimated dollar expenditure, are: (Check all that apply).

SUPPLY /

SERVICE

COMPANY BUSINESS DOLLAR

NAME SIZE AMOUNT

(IF KNOWN) (SB, HUBZone, SDB, WOB, VOSB, SDVOSB, LB)

(Attach additional sheets if necessary.)

Explain the methods used to develop the subcontracting goals for small, HUBZone small business, small disadvantaged, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns. Explain how the product and service areas to be subcontracted were established, how the areas to be subcontracted to small, HUBZone small business, small disadvantaged, women-owned small, veteran-owned small business, and service disabled veteran-owned small businesses were determined, and how the capabilities of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned and service disabled veteran-owned small businesses were determined. Identify all source lists used in the determination process.

J. Indirect and overhead costs HAVE BEEN ~ - ~ -

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, and service disabled veteran-owned small business concerns.

3. PLAN 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, position within the corporate structure and the duties of that employee.

Name :

Title:

Address:

Telephone:

Fax : - E:mail Address:

Position:

Duties: 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 companyls/division's support for awarding contracts and subcontracts to small, HUBZone small, small disadvantaged, women-owned small, veteran-owned, and service disabled veteran-owned small business concerns.

YES NO

B. Developing and maintaining bidders1 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.

YES NO

D. Assuring that small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small businesses 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 businesses.

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.

FFRDC HS SEDl Reauest For Pro~osal Part Ill - Lists of Documents. Exhibits, and Other Attachments

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.

YES NO

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.

YES NO

0. Preparing and submitting timely reports.

YES NO

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

YES NO

4. EQUITABLE OPPORTUNITY

FAR 19 .704 ( a ) ( 8 ) r e q u i r e s a d e s c r i p t i o n o f the e f f o r t s y o u r company w i l l m a k e t o e n s u r e t h a t s m a l l , HUBZone s m a l l , s m a l l d i s a d v a n t a g e d , women-owned s m a l l , v e t e r a n - o w n e d s m a l l , a n d service d i s a b l e d v e t e r a n - o w n e d s m a l l b u s i n e s s c o n c e r n s w i l l h a v e a n e q u i t a b l e o p p o r t u n i t y t o c o m p e t e f o r s u b c o n t r a c t s .

(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 (ProNet)

B. Internal efforts to guide and encourage purchasing personnel:

Presenting workshops, seminars and training programs

RFP No. HSHQDC-09-R-00008 Attachment J- I I - Subcontracting Plan Outline

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 FLOW DOWN

FAR 19. 704 ( a ) ( 9 ) r e q u i r e s t h a t your company i n c l u d e FAR 52.21 9-8 , " U t i l i z a t i o n o f Small B u s i n e s s Concerns" , i n a l l s u b c o n t r a c t s t h a t o f f e r f u r t h e r s u b c o n t r a c t i n g o p p o r t u n i t i e s . Your company must r e q u i r e a l l s u b c o n t r a c t o r s , e x c e p t smal l b u s i n e s s c o n c e r n s , t h a t r e c e i v e s u b c o n t r a c t s i n e x c e s s o f $500,000 ($1,000,000 f o r c o n s t r u c t i o n ) t o adopt and comply w i t h a p lan s i m i l a r t o t h e p lan r e q u i r e d b y FAR 52.21 9-9 , "Small B u s i n e s s S u b c o n t r a c t i n g Plan. "

Your company 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 Standard Form (SF) 294 and SF 295 reports.

6. REPORTING AND COOPERATION

FAR 19 . 704 ( a ) ( 1 0 ) r e q u i r e s t h a t your company ( 1 ) c o o p e r a t e i n any s t u d i e s o r s u r v e y s a s may be r e q u i r e d , ( 2 ) submit p e r i o d i c r e p o r t s which show compliance w i t h t h e s u b c o n t r a c t i n g p l a n ; ( 3 ) submit Standard Form ( S F ) 294 , " S u b c o n t r a c t i n g Repor t f o r I n d i v i d u a l Con t r a c t s , " and SF 295 , "Summary Subcon t rac t Repor t , " i n accordance w i t h t h e i n s t r u c t i o n s on t h e forms; and ( 4 ) e n s u r e t h a t s u b c o n t r a c t o r s agree t o submit SF 294 and SF 295. R e p o r t i n g w i l l b e done v i a t h e E l e c t r o n i c S u b c o n t r a c t R e p o r t i n g S y s t e m ( e S R S ) . The c o g n i z a n t c o n t r a c t i n g o f f i c e r a t DHS must r e c e i v e t h e r e p o r t ( s ) w i t h i n 30 days a f t e r t h e c l o s e o f each c a l e n d a r p e r i o d . That i s :

Calendar Period Report Due Date Due Send Report To 10/01--03/31 SF 294 04/30 Contracting Officer 04/01--09/30 SF 294 10/30 Contracting Officer 10/01--09/30 SF 295 10/30 Contracting Officer

7. RECORDKEEPING

FAR 19 . 7 0 4 ( a ) ( 1 1 ) r e q u i r e s a l i s t o f t h e t y p e s o f r e c o r d s your company w i l l m a i n t a i n t o demons t ra te t h e procedures adopted t o comply w i t h t h e r e q u i r e m e n t s and goa l s i n t h e s u b c o n t r a c t i n g p l a n . (Check all that apply.) (If NO is checked, please indicate why these types of records are not maintained).

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 N 0

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

YES NO

C. On a contract-by-contract basis, records on all subcontract solicitations over $100,000 which indicate for each solicitation (1) whether small business concerns were solicited, and if not, why not;

(2)whether HUBZone small business concerns were solicited, and if not, why not; (3)whether small disadvantaged business concerns were solicited, and if not, why not; (4) whether women-owned small business concerns were solicited, and if not, why not; (5) whether veteran-owned small business concerns were solicited, and if not, why not; (6) whether service disabled veteran-owned small businesses were solicited, and if not, why not; and (7) reasons for the failure of solicited small, HUBZone 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 and minority 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 (HUBZone, SDB, WOB, VOSB, SDVOSB, etc.) of each subcontractor. (This item is not required for company or division-wide commercial plans.)

YES N 0

G. Other records to support your compliance with the subcontracting plan:

(Please describe)

8. TIMELY PAYMENTS TO SUBCONTRACTORS

FAR 1 9 . 7 0 2 r e q u i r e s your company t o e s t a b l i s h and use procedures t o ensure t h e t i m e l y payment o f amounts due pursuant t o t h e terms o f your s u b c o n t r a c t s w i t h small b u s i n e s s concerns , HUBZone small b u s i n e s s concerns , smal l d isadvantaged b u s i n e s s concerns , women-owned small b u s i n e s s concerns , veteran-owned small b u s i n e s s concerns , and s e r v i c e d i s a b l e d veteran-owned small b u s i n e s s concerns .

Your company has established and uses such procedures:

YES NO

9. DESCRIPTION OF GOOD FAITH EFFORT

Maximum prac t i cab le u t i l i z a t i o n o f small , HUBZone smal l , small disadvantaged women-owned smal l , veteran-owned small , and se rv i ce disabled veteran-owned small bus iness concerns as subcontractors i n Government con t rac t s i s a mat ter o f nat ional i n t e r e s t wi th both soc ia l and economic b e n e f i t s . When a contractor f a i l s t o make a good f a i t h e f f o r t t o comply with a subcontract ing plan, these o b j e c t i v e s are not achieved, and 15 U . S . C . 637(d) ( 4 ) ( F ) d i r e c t s t ha t l i qu ida ted damages sha l l be paid b y the contrac tor . 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.

10. SIGNATURES REQUIRED

This subcontracting plan was SUBMITTED by:

Signature:

Typed Name:

Title:

Date:

This subcontracting plan was REVIEWED by:

Date:

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 s u b c o n t r a c t i n g p l a n was APPROVED by:

S i g n a t u r e :

Typed Name:

T i t l e : D i r e c t o r , O f f i c e of Small Business Programs ( o r d e s i g n e e ) Date:

Th i s s u b c o n t r a c t i n g p l a n was ACCEPTED by:

S i a n a t u r e :

Typed Name:

T i t l e : C o n t r a c t i n g O f f i c e r Date: