Attachment_L-2_-_SB_Subcontracting_Plan_Template.doc

Attachment L-2

HTC711-13-R-R010

SUBCONTRACTING PLAN INSTRUCTIONS/TEMPLATE

Notice to Other Than Small Business Vendors: The USTRANSCOM Office of Small Business Programs (OSBP) provides this template as a model to follow for subcontract plan submission and acceptance. You must complete this template in the order provided addressing each specific objective indicating efforts to maximize small business opportunity and participation. The plan is NOT a fill-in-the-blank form and you must remove instructional language. The template identifies eleven specific elements contractors must address within their subcontract plan and does not establish minimum requirements for an acceptable plan. In addition, offerors should thoroughly review the requirements set forth in FAR 19.7 and FAR clause 52-219-9 as well as DFARS 219.7 and DFARS clause 252.219-7003 regarding “The Small Business Subcontracting Program” and “Small Business Subcontracting Plan” before plan submission.

Subcontracting Plan Types:

Commercial Plan- 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.) Note that this type of plan shall relate to the offeror’s planned subcontracting generally, for both commercial and government business, rather than solely to an individual government contract. Per FAR 19.704(d) and clause 52.219-9(g), a commercial plan is the preferred type of subcontracting plan for contractors furnishing commercial items. Once a contractor’s commercial plan has been approved, the Government shall not require another subcontracting plan from the same contractor while the plan remains in effect, as long as the product or service being provided by the contractor continues to meet the definition of a commercial item. The contractor shall— (1) Submit the commercial plan to either the first contracting officer awarding a contract subject to the plan during the contractor’s fiscal year, or, if the contractor has ongoing contracts with commercial plans, to the contracting officer responsible for the contract with the latest completion date. The contracting officer shall negotiate the commercial plan for the Government. The approved commercial plan shall remain in effect during the contractor’s fiscal year for all Government contracts in effect during that period; (2) Submit a new commercial plan, 30 working days before the end of the Contractor’s fiscal year, to the contracting officer responsible for the uncompleted Government contract with the latest completion date. The contractor must provide to each contracting officer responsible for an ongoing contract subject to the plan, the identity of the contracting officer that will be negotiating the new plan; (3) When the new commercial plan is approved, provide a copy of the approved plan to each contracting officer responsible for an ongoing contract that is subject to the plan; and (4) Comply with the reporting requirements stated in paragraph (a)(10) of FAR 19.704 by submitting one SSR in eSRS for all contracts covered by its commercial plan. An ISR is not required for vendors with commercial plans. The SSR report will be acknowledged or rejected in eSRS by the contracting officer who approved the plan. A SSR report shall be submitted semi-annually for the six months ending March 31 and the twelve months ending September 30.

Individual Plan: Covers the ENTIRE contract period, applies to a specific contract, and has goals that are based on the offeror’s planned subcontracting (and purchasing) 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. For contracts with option periods, the plan will include SEPARATE goals and estimated value (or sales) for the base period with SEPARATE goals and estimated value for each option period. Per FAR 52.219-9(c) this type of plan must separately address subcontracting with small business (SB), veteran-owned small business (VOSB), service-disabled veteran-owned small business(SDVOSB), HUBZone small business concerns, small disadvantaged business (SDB) (including ANCs and Indian Tribes), and women-owned small business concerns (WOSB), with a separate part for the basic contract and separate parts for each option (if any). The plan shall be included in and made a part of the resultant contract. The subcontracting plan shall be negotiated within the time specified by the Contracting Officer. Failure to submit and negotiate the subcontracting plan shall make the offeror ineligible for award of a contract. The Contractor shall 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.

Subcontracting Dollars & Goals clarifications:

Total estimated subcontracting dollars (or spend) planned to all types of business concerns must be provided, then separately state the dollars that will be subcontracted to each category. All percents for each category will be expressed as a percentage of the total subcontracting dollars to all concerns (both large and small business)*.

The Small business dollar amount must include all sub-group category amounts; i.e., HUBZone, SDB, WOSB, VOSB, SDVOSB (plus any "other small" businesses that do not fall within one of these specified subgroups). Alaskan Native Corporations (ANCs) and Indian tribes will be included in the SDB amounts.

Sample Dollars

GSA Goal (FY 09) Total dollars to be subcontracted $1,000,000

100% (to both Large and Small Businesses) Large Businesses $ 630,000*

*63% Small Businesses $ 370,000*

*37% (includes HUBZone Small, Small Disadvantaged, Women-Owned Small, Veteran-Owned Small, Service-Disabled Veteran-Owned Small, and Other Small Business Concerns)

HUBZone Small Businesses $ 30,000

3%

Small Disadvantaged Businesses $ 60,000

6%

Women-Owned Small Businesses $ 50,000

5%

Veteran-Owned Small Businesses (Includes SDVOSB) $ 50,000

5%

Service-Disabled Veteran-Owned Small Businesses $ 30,000

3%

*The total for large business and small business should equal the totals in both dollars and percents. For small business dollars, do not add subgroups together to reach the total Small figure, as the same dollars can be double and triple counted for each group as applicable to the company receiving the order.

NOTE: The total $370,000 to all Small businesses includes dollars within each subgroup (HUBZone, SDB, WOSB, VOSB, and SDVOSB), plus any other small business concerns that are considered small and do not fall into a specified category.

PLEASE REMOVE THE COVER PAGES BEFORE SUBMITTING

THE SUBCONTRACTING PLAN TO USTRANSCOM

ATTACHMENT 1

FAR 19.704 SUBCONTRACTING PLAN REQUIREMENTS

[INSERT COMPANY NAME]

SMALL BUSINESS SUBCONTRACTING PLAN

I.

IDENTIFICATION DATA:

Address: _________________________________________________________________________ Date Prepared: ____________________________________________________________________ Description of Supplies/Services: _____________________________________________________ Solicitation Number: (Completed for Individual Plans; N/A for commercial plans)_______________ Contract Number: (Completed for Individual Plans during option period; N/A for commercial plans) COMPLETE if submitting an Individual Contract Plan, insert dates below for the contract duration, if known (or insert N/A if the contract does not include specified option period).

Individual Plan Period: Base: (Date of Award thru base period) Option 1: (1 year, 5 years, etc.)

Option 2: (1 year, 5 years, etc.) Option 3: (1 year, 5 years, etc.) Option 4: (1 year, 5 years, etc.)

Estimated Contract Value (Provide separate estimate for base contract period and each option) Base Period: $_______________ Option Period 1: $____________ Option Period 2: $____________

Option Period 3: $____________ Option Period 4: $____________ (if applicable/Not used for MAS) Place of Performance: ________________________________________________

DUNS Number: (under the contract awarded or pending award) COMPLETE if submitting a Commercial Plan Commercial Plan Period: (insert fiscal year for contractor/offeror) Projected annual sales (Company-wide): $__________________

II.

TYPE OF PLAN – FAR 19.701 (For definitions, see Cover Page and FAR clause 52.219-9):

_____Commercial Plan

_____Individual Plan

_____Master Plan (incorporated into Individual Plan)

III.

SUBCONTRACTING PLAN:

A. Goals:

FAR 19.704(a)(1) requires separate percentage goals for using small business (including Alaskan Native Corporations (ANCs) and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business (including ANCs and Indian tribes) and women-owned small business concerns as subcontractors; and FAR 19.704(a)(2)requires a statement of the total dollars planned to be subcontracted and a statement of the total dollars planned to be subcontracted to small business (including ANCs and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business (including ANCs and Indian tribes) and women-owned small business concerns. Commercial plans reflect annual company goals. Individual plans reflect contract-specific goals and shall contain separate statements and goals for the basic contract period and separately for each option period.

COMPLETE if submitting an Individual Plan and note that a separate part is required for the base contract period and for each option period, if any. (Please remove this section and following page if submitting a COMMERCIAL PLAN.)

[Company Name] provides the following separate dollar and percentage goals, which are a percentage of the total subcontracting dollars for each business category:

BASE YEAR: Goals are expressed in dollars and percentages of the total dollars planned to be subcontracted.

PLANNED SUBCONTRACTING TO:

1. Total Dollars to be Subcontracted large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

If applicable:

OPTION YEAR 1: Goals are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

OPTION YEAR 2: Goals are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

OPTION YEAR 3: Goals are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

OPTION YEAR 4: Goals are expressed in dollars and percentages of total dollars planned to be subcontracted.

1. Total Dollars to be Subcontracted large and all small businesses must equal total amount to be subcontracted (both $ and %)

100%

2. Large Businesses (Other than Small)

3. All Small Businesses (including ANCs & Indian tribes)

4. Veteran-Owned Small Businesses (VOSB)

5. Service-Disabled Veteran-Owned Small Businesses (SDVOSB)

6. HUBZone Small Business (HUBZone)

7. Small Disadvantaged Businesses (SDB) (including ANCs & Indian tribes)

8. Women-Owned Small Businesses (WOSB)

COMPLETE FORMAT BELOW IF SUBMITTING A COMMERCIAL PLAN (please remove this page/section if submitting an individual plan).

1. Estimated TOTAL dollars planned to be subcontracted to all types of concerns (generally for both commercial and government business, in support of commercial items sold during company fiscal year):

Annual Commercial Purchases/Spend: $_________________ = 100% subcontracted

2. Total dollars planned to be subcontracted to large business concerns (or classified as other than small):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

3. Total dollars planned to be subcontracted to all small business concerns (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB small business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

4. Total dollars planned to be subcontracted to Veteran-owned Small Business concerns (including service-disabled veteran-owned small businesses):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

5. Total dollars planned to be subcontracted to Service-disabled Veteran-owned Small Business concerns (subset of VOSB above and cannot be higher than #4 above):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

6. Total dollars planned to be subcontracted to HUBZone Small Business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

7. Total dollars planned to be subcontracted to Small Disadvantaged Business concerns (including ANCs and Indian tribes):

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

8. Total dollars planned to be subcontracted to Women-owned small business concerns:

Annual Commercial Purchases/Spend: $__________________ = ___ % of Total

B. Supplies/Services to be Subcontracted:

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. Check all that apply below, ensuring that at least one item is indicated for each column. If assistance is needed to locate small business sources, contact your local Small Business Administration Commercial Market Representative via www.sba.gov/localresources, or access the System for Award Management (SAM) general info tab at www.sam.gov. You may also post solicitations for small business opportunities on SBA’s SUB-Net at https://eweb1.sba.gov/subnet/search/index.cfm .

The principal types of supplies and/or services that [Company Name] anticipates to be subcontracted and the identification of the type of business concern planned are as follows:

Business Category or Size

ATTACH ADDITIONAL SHEETS IF NECESSARY (OR REMOVE LINES IF NOT NEEDED)

C. Method Used to Develop Subcontracting 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).

[Company Name] used the following method to develop the subcontracting goals:

D. Method Used to Identify Potential Sources:

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, SAM general info, 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 the System for Award Management (SAM) as a source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

[Company Name] identifies potential subcontractors using the following source lists and organizations:

E. Indirect Costs Inclusion:

FAR 19.704(a)(6) and clause 52.219-9(d)(6) require a statement as to whether or not the offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone, SDB (including ANCs and Indian tribes), and WOSB concerns. NOTE: indirect costs represent the expenses of doing business that are NOT easily identified with a specific project (i.e. contract or grant) but are generally recognized as ordinary and necessary for the general operation of the contractor’s organization and the conduct of activities it performs. Types of indirect costs include overhead (e.g. facility/utility & supplies cost), general and administrative (G&A), and fringe benefits (e.g. services or benefits provided to employees such as health insurance, payroll taxes, pension contribution, etc).

Indirect costs _____HAVE BEEN (or) _____HAVE NOT BEEN included in the dollar and percentage subcontracting goals stated above.

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:

F. Subcontract Plan Administrator:

FAR 19.704(a)(7) and clause 52.219-9(d)(7) require the name of an individual employed by the offeror who will administer the offeror’s subcontracting program, and a description of the duties of the individual. Please add the contact information for this person (telephone number, fax number and/or email address), in case of questions and provide an alternate point of contact if applicable.

Name: ____________________________________________________________________________

Title/Position: ______________________________________________________________________ Address: __________________________________________________________________________ City/State/Zip Code: _________________________________________________________________ Telephone number: __________________________________________________________________ Fax number: _______________________________________________________________________ Email Address: _____________________________________________________________________ Alternate POC with contact information: _________________________________________________ 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:

1. 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.

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

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

4. 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) representations and certifications or by contacting SBA.

5. 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.

6. 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.

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

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

9. 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.

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

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

12. 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.

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

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

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

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

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

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

19. Prepare and submit timely reports.

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

IF YOUR PROGRAM ADMINISTRATOR WILL PERFORM ADDITIONAL SUBCONTRACTING DUTIES NOT SHOWN ABOVE, PLEASE IDENTIFY THEM HERE:

21. Additional Duties:

G. Description of Efforts for Equitable Opportunity for SB to Compete for Subcontracts:

FAR 19.704(a)(8) and clause 52.219-9(d)(8) require a description of the efforts the offeror will make to assure that SB, VOSB, SDVOSB, HUBZone, SDB and WOSB concerns have an equitable opportunity to compete for subcontracts.

[Company Name] will make every effort to ensure that all small business concerns have an equitable opportunity to compete for subcontracts. These efforts may include one or more of the following activities: (please indicate which of the following apply or adapt list to fit your company’s efforts)

A. Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations

___ Contacting business development organizations

___ Requesting sources from the SAM SB general info ___ Attending small and minority business trade fairs and procurement conferences

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. Other Additional efforts: (Please describe below.)

H. 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 $650,000 ($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 $650,000 ($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.

I. 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 DUNS 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 DUNS 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:

Submit Reports to eSRS Calendar Period Report Due

Date Due with email address for:

10/01--03/31

ISR

04/30

Contracting Officer/SBTA 10/01--03/31

SSR

04/30

04/01--09/30

ISR

10/30

10/01--09/30

SSR

10/30

THE eSRS WEB-BASED REPORTING REQUIREMENT INSTRUCTIONS ARE PROVIDED IN ATTACHMENT 2 “SUBCONTRACTING PLAN REPORTING”.

J. Record Keeping:

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.

[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):

1. 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.

2. 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.

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

4. 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, and women-owned small business sources; and

(D) Veterans service organizations.

5. 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.

6. 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.

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

SIGNATURE REQUIRED: Plan must be signed and dated by a company official to be valid This subcontracting plan was SUBMITTED by:

Signature: ____________________________________________________________________ Typed Name: __________________________________________________________________

Company Title: ________________________________________________________________ Date Signed: __________________________________________________________________

Government Contracting Officer APPROVAL:

Signature: ____________________________________________________________________

Printed Name: _________________________________________________________________

Agency: ______________________________________________________________________ Attachment 2

SUBCONTRACTING PLAN REPORTING

eSRS

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 $650,000 (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 (USTRANSCOM) and NASA, the report shall be submitted semi-annually for the six months ending March 31 and the twelve months 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.

(ii) Reports submitted under a COMMERCIAL plan—

(A) The report shall include all subcontract awards under the commercial plan in effect during the Government’s fiscal year.

(B) A SSR report shall be submitted semi-annually for the six months ending March 31 and the twelve months ending September 30. Reports are due 30 days after the close of each reporting period.

(C) If a Contractor has a commercial plan and is performing work for more than one executive agency, the Contractor shall specify the percentage of dollars attributable to each agency from which contracts for commercial items were received.

(D) The authority to acknowledge or reject SSRs for commercial plans resides with the Contracting Officer who approved the commercial plan.

(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.