II_01_e_RFP Attachment 4 - SB Concerns Subcontracting Plan Outline v2.docx

Appendix 6-2, Subcontracting Plan Review Checklist

Attachment 4

The following outline meets the minimum requirements of Public Law 95-507 and the Federal Acquisition Regulation (FAR) subpart 19.7. It is intended to be a guideline. It is not intended to replace any existing corporate plan which is more extensive. If assistance is needed to locate small business sources, contact the bureau Small Business Specialist. Please note that the Department of the Treasury (or bureau name) has subcontracting goals of 25% for small business, 5% for small disadvantaged business, 5% for women-owned small business, 3% for HUBZone small business, and 3% for Service-Disabled Veteran-Owned small business concerns for fiscal year 2023. Although there is no statutory goal for Veteran-Owned small business (VOSB) concerns, a VOSB goal must be proposed in accordance with FAR subpart 19.7 and should represent the Offeror’s effort to provide the maximum practicable subcontracting 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 developed for this contract; all other elements are standard. The master plan must be approved 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 nongovernment purposes. Plan/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 REPORT ANNUALLY IN THE E-SRS WITH A BREAKOUT OF SUBCONTRACTING PRORATED FOR TREASURY (WITH A BUREAU BREAKDOWN, IF POSSIBLE).

2. GOALS.

FAR 19.704(a)(1) requires separate dollar and percentage goals for using small business (SB), HUBZone small business, small disadvantaged business (SDB) (including ANCs and Indian tribes), women-owned small business (WOSB), veteran-owned small business (VOSB), and service-disabled veteran-owned small business (SDVOSB) concerns as subcontractors for the base year and each option year. (Please note that the goals for HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns are sub-sets of the SB goal).

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

B. Estimated dollar value* and percentage of planned subcontracting to SB concerns is: (*This figure includes the amount in C., D., E., F., and G. below.)

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

D. Estimated dollar value and percentage of planned subcontracting to SDB concerns is:

E. Estimated dollar value and percentage of planned subcontracting to WOSB concerns is:

F. Estimated dollar value and percentage of planned subcontracting to VOSB concerns is:

G. Estimated dollar value and percentage of planned subcontracting to SDVOSB concerns is:

*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).

(IF KNOWN)

(Attach additional sheets if necessary.)

I. Explain the methods used to develop the subcontracting goals for SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns. Explain how the product and service areas to be subcontracted were established, how the areas to be subcontracted to SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB were determined, and how the capabilities of SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 company's/division's support for awarding contracts and subcontracts to SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns. ☐ YES ☐ NO

B. Developing and maintaining bidders' lists of SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns from all possible sources. ☐ YES ☐ NO

C. Ensuring periodic rotation of potential subcontractors on bidders' lists. ☐ YES ☐ NO

D. Assuring that SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB.

☐ YES ☐ NO

F. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB participation. ☐ YES ☐ NO

G. Ensuring that the subcontract bid proposal review board documents its reasons for not selecting any low bids submitted by SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 personnel at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc. ☐ YES ☐ NO

J. Directly or indirectly counseling SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 95-907 on purchasing procedures. ☐ YES ☐ NO

M. Developing and maintaining an incentive program for buyers, which support the subcontracting program. ☐ YES ☐ NO

N. Monitoring the company's performance and making any adjustments necessary to achieve the subcontracting plan goals. ☐ YES ☐ NO

O. Preparing and submitting timely reports. ☐ YES ☐ NO

4. EQUITABLE OPPORTUNITY.

FAR 19.704(a)(8) requires a description of the efforts your company will make to ensure that SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns will have an equitable opportunity to compete for subcontracts. (Check all that apply.)

A. Outreach efforts to obtain sources:

☐ Contacting minority and small business trade associations ☐ Contacting business development organizations ☐ Attending small and minority business procurement conferences and trade fairs ☐ Finding sources from the Small Business Administration's Procurement Network (SAM/DSBS)

B. Internal efforts to guide and encourage purchasing personnel:

☐ Presenting workshops, seminars and training programs ☐ Establishing, maintaining and using SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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) requires that your company include FAR 52.219-8, Utilization of Small Business Concerns, in all subcontracts that offer further subcontracting opportunities. Your company must require all subcontractors, except small business concerns, that receive subcontracts in excess of $700,000 ($1,5 million for construction) to adopt and comply with a plan similar to the plan required by FAR 52.219-9, Small Business Subcontracting 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 SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns must be determined on a case-by-case basis depending on the supplies and services involved, the availability of potential SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB subcontractors and prior experience. Once the plans are negotiated, approved, and implemented, the plans must be monitored through the submission of periodic reports, including Individual Subcontract Report (ISR) and/or the Summary Subcontract Report (SSR).

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 required reports (e.g. ISRs/SSRs) in the Electronic Subcontracting Reporting System (eSRS). The chart below outlines the type of reports, frequency of reports, reporting periods and report due dates:

Type of Report

ISR

(Individual/ Master)

Contract Completion

30 days after contract completion

SSR

(Commercial)

Contract Completion

30 days after contract completion

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).

A. SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concern source lists, guides, and other data identifying such business concerns. ☐ YES ☐ NO

B. Organizations contacted in an attempt to locate sources that are SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns. ☐ YES ☐ NO

C. On a contract-by-contract basis, records on each subcontract solicitation resulting in an award of more than $150,000 which indicate (1) whether SB concerns were solicited, and if not, why not; (2) whether HUBZone small business concerns were solicited, and if not, why not; (3) whether SDB concerns were solicited, and if not, why not; (4) whether WOSB concerns were solicited, and if not, why not; (5) whether VOSB concerns were solicited, and if not, why not; (6) whether SDVOSB concerns were solicited, and if not, why not; and (7) if applicable, the reasons award was not made to a SB concern. ☐ YES ☐ NO

D. Records of any outreach efforts, e.g., trade associations, business development organizations, conferences and trade fairs and veteran service organizations. ☐ YES ☐ NO

E. Records of internal guidance and encouragement provided to purchasing through (1) workshops, seminars, training programs, etc.; and (2) monitoring performance to evaluate compliance with program’s requirements. ☐ YES ☐ NO

F. On a contract-by-contract basis, records to support subcontract award data including the name, address and business size (e.g. HUBZone, SDB, WOB, VOSB, SDVOSB) and ownership status of each subcontractor (This item is not required for commercial plans.). ☐ YES ☐ NO

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 SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns.

Your company has established and uses such procedures: ☐ YES ☐ NO

9. DESCRIPTION OF GOOD FAITH EFFORT.

Maximum practicable utilization of SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB 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 liquidated damages shall be paid by the contractor. In order to demonstrate your company’s compliance with a good faith effort to achieve the SB, HUBZone small business, SDB, WOSB, VOSB, and SDVOSB concerns subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with the contracting officer prior to approval of the subcontracting plan.

10. SIGNATURES REQUIRED.

COMPANY SIGNATURE:

A. This subcontracting plan was SUBMITTED by:

Signature:

Name: Date:

Title:

GOVERNMENT SIGNATURES

B. This subcontracting plan was REVIEWED by:

Signature:

Name: Date:

Title: Contracting Officer

C. This subcontracting plan was REVIEWED by:

Signature:

Name: Date:

Title: Small Business Specialist

D. This subcontracting plan was REVIEWED by:

Signature:

Name: Date:

Title: Small Business Administration Representative (PCR)

E. This subcontracting plan was APPROVED by:

Signature:

Name: Date:

Title: Director, Office of Small and Disadvantaged Business Utilization (or designee)

F. This subcontracting plan was ACCEPTED by:

Signature:

Name: Date:

Title: Contracting Officer

Treasury Standard Form 1019A (Rev 3/16) Prescribed by Treasury: DTAP 1019.705-3