II_1 - RFP Attachment J-4B - Subcontracting Plan (SF 1019A).docx

Appendix 6-2, Subcontracting Plan Review Checklist

DEPARTMENT OF THE TREASURY

SUBCONTRACTING PLAN OUTLINE

This form meets the minimum requirements of Public Law 95-507 and the Federal Acquisition Regulation (FAR) subpart 19.7. This form is intended to be a guideline and is not intended to replace an offeror’s existing corporate plan which is more extensive. If assistance is needed to locate small business sources, contact the bureau Small Business Specialist. Additional sheets can be added as necessary to this form (e.g. there are more than four option periods).

The Department of the Treasury has the following subcontracting goals for fiscal year 2023:

20 % for small business concerns (including ANCs and Indian tribes);

3 % for service-disabled veteran-owned small business concerns;

3 % for HUBZone small business concerns;

5 % for small, disadvantaged business (including ANCs and Indian tribes) concerns; and 5 % for women-owned small business concerns.

Offeror Information.

Company Name:

Address:

Date Prepared: Solicitation No./Contract No.:

Item/Service:

Place of Performance:

Total contract dollars

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

☐ INDIVIDUAL SUBCONTRACTING PLAN: This is a subcontracting plan that covers the entire contract period (including option periods), applies to a specific contract, and has goals that are based on the offeror’s planned subcontracting 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.

☐ MASTER SUBCONTRACTING PLAN: This is a subcontracting plan that contains all the required elements of an individual contract plan, except goals, and may be incorporated into individual contract plans, provided the master plan has been approved

☐ COMMERCIAL PLAN: This is 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).

2. GOALS.

Provide the appropriate response for each section 2.A thru 2.G in terms of either the total dollars planned to be subcontracted, the total dollars planned to be subcontracted to small business (SB) (including ANCs and Indian tribes), veteran-owned small business (VOSB), service-disabled veteran-owned small business (SDVOSB), HUBZone small business, small disadvantaged business (SDB) (including ANCs and Indian tribes), and women-owned small business (WOSB) concerns or separate percentage goals for using such business concerns as subcontractors (see FAR 19.704(a)(1) and (a)(2)). The goals for VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB, concerns are sub-sets of the SB goal provided in section 2.B. For * attach, if necessary, additional sheets showing dollar amounts and percentages for instances where there are more than four option periods.

A. Estimated dollar value** of all planned subcontracting, includes both large and small business concerns under this contract is. **includes the dollar amount in section 2.B below.

B. Estimated dollar value*** and percentage of planned subcontracting to SB (including ANCs and Indian tribes) concerns is: ***includes the dollar amounts in sections 2.C thru 2.G below.

For individual subcontracting plans only, the following is the percentage of planned subcontracting calculated against total contract dollars.

C. Estimated dollar value and percentage of planned subcontracting to SDB (including ANCs and Indian tribes) concerns is:

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

E. Estimated dollar value and percentage of planned subcontracting to HUBZone small business 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:

H. Brief description of the supplies and/or services to be subcontracted under this contract, name of the company (if known), the company’s business size (i.e., SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes) and WOSB concerns and LB concerns), and the estimated dollar expenditure (see FAR 19.704(a)(3)):

(IF KNOWN)

I. Describe the method(s) used to develop the subcontracting goals (see sections 2.A through 2.G above) (see FAR 19.704(a)(4)).

J. Describe the method(s) used to identify potential sources for solicitation purposes, with specific attention to the method(s) used to identify SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes) and WOSB concerns (see FAR 19.704(a)(5)).

K. Check the applicable box. Indirect costs ☐ HAVE BEEN ☐ HAVE NOT BEEN included in the subcontracting goals stated above. If indirect costs HAVE BEEN included, explain the method(s) used to determine the proportionate share of such costs to be incurred to SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns. See FAR 19.704(a)(6).

3. PLAN ADMINISTRATOR.

Provide the following information for the individual employed by the offeror who will administer this subcontracting plan (see FAR 19.704(a)(7)).

Name:

Title:

Address:

Telephone:

E-mail address:

Position:

Duties: Does the individual named above perform the following? Check the appropriate box for each section. If NO is checked, provide the position title of the individual who in the company performs that duty, or provide an explanation as to why the duty is 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns. ☐ YES ☐ NO

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

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

D. Assuring that SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns are included on the bidders' list for every subcontract solicitation for supplies 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns.

☐ YES ☐ NO

F. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns participation.

☐ YES ☐ NO

G. Ensuring that the subcontract bid proposal review board documents its reasons for not selecting any low bids submitted SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns for the purpose of obtaining a subcontract that is to be included as part or all of a goal contained in this 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.

Description of the efforts your company will make to ensure that SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns will have an equitable opportunity to compete for subcontracts (see FAR 19.704(a)(8)). 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns source lists, guides and other data for soliciting subcontracts ☐ Monitoring activities to evaluate compliance with the subcontracting plan

C. Additional efforts:

5. CLAUSE INCLUSION AND FLOW DOWN.

Your company assures that it will include 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 $700,000 ($1.5 million for construction) to adopt a plan that complies with the requirements of FAR clause 52.219-9, Small Business Subcontracting Plan. See FAR 19.704(a)(9).

6. REPORTING AND COOPERATION.

Your company assures that it will: (1) cooperate in any studies or surveys as may be required; (2) submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan; (3) 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. The chart below outlines the type of reports, frequency of reports, reporting periods and report due dates; (4) ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the eSRS; (5) its prime contract number, its DUNS number, and the e-mail address of the offeror’s official responsible for acknowledging receipt of or rejecting the ISRs to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their ISRs; and (6) require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans. See FAR 19.704(a)(10).

Type of Report

ISR

(Individual/ Master)

Contract Completion

SSR

(Commercial)

Contract Completion

7. RECORDKEEPING.

Description of the types of records that will be maintained concerning procedures adopted to comply with the requirements and goals in the plan (See FAR 19.704(a)(11)). Check the applicable box for each section. If NO is checked, provide an explanation as to why these types of records are not maintained.

A. SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB 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 (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB 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 (including ANCs and Indian tribes) concerns were solicited, and if not, why not; (2) whether HUBZone small business concerns were solicited, and if not, why not; (3) whether SDB (including ANCs and Indian tribes) 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. SDB concern) and ownership status of each subcontractor (This item is not required for commercial plans.). ☐ YES ☐ NO

G. Other records to support your company’s efforts to locate SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns and to award subcontracts to them: (Please describe)

8 USE OF SMALL BUSINESS CONCERNS.

Your company assures that it will make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the SB concerns that the offeror used in preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal. Responding to a request for a quote does not constitute use in preparing a bid or proposal. See FAR 19.704(a)(12).

Your company assures that it will provide the contracting officer with a written explanation if the contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in the above assurance within this section. This written explanation will be submitted to the contracting officer within 30 days of contract completion. See FAR 19.704(a)(13).

9. SUBCONTRACTOR ACCESS TO THE CONTRACTING OFFICER.

Your company assures that it will not prohibit a subcontractor from discussing with the contracting officer any material matter pertaining to payment to or utilization of a subcontractor. See FAR 19.704(a)(14).

10. PAYMENT OF SMALL BUSINESS SUBCONTRACTORS.

Your company assures that it will pay its small business subcontractors on time and in accordance with the terms and conditions of the subcontract, and notify the contracting officer if the offeror pays a reduced or an untimely payment to a small business subcontractor. See FAR 19.704(a)(15).

11. TIMELY PAYMENTS TO SUBCONTRACTORS.

FAR 19.702 requires prime contractors to establish and use procedures to ensure the timely payment of amounts due pursuant to the terms of their subcontracts with SB (including ANCs and Indian tribes), VOSB, SDVOSB, HUBZone small business, SDB (including ANCs and Indian tribes), and WOSB concerns. Check the applicable box.

Your company has established and uses such procedures: ☐ YES ☐ NO If Yes, provide a description of the procedures:

12. SIGNATURES REQUIRED.

OFFEROR’S 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 1/17) Prescribed by Treasury: DTAP 1019.705-3