J-5 Subcontracting Plan.docx

MSC (N10) SUBCONTRACTING PLAN ASSESSMENT CHECKLIST

MSC (N10) SUBCONTRACTING PLAN ASSESSMENT CHECKLIST

1.0 Signatures

(If extensive, attach separate page)

1.1 Contract Specialist

Yes No

1.2 Contracting Officer

Yes No

**1.3 Level Above Contracting Officer

Yes No

1.4 MSC Small Business Professional

Yes No

1.5 Small Business Administration (SBA) Procurement Center Representative (PCR)

Yes No

Notes:

*(1) Remarks / justifications are required in the event of a SDB goal of less than 5% or for a subcontracting plan with a zero goal.

**(2) The Level Above Contracting Officer signature in 1.3 is required:

-IAW DFARS 219.705-4(d) for approval of a SDB goal of less than 5%; and -IAW NMCARS 5219.705-4 for approval of a subcontracting plan containing a zero goal.

Purpose: The following checklist has been designed to be consistent with FAR 19.704, Subcontracting Plan Requirements and FAR 52.219-9, Small Business Subcontracting Plan, and alternates. Use this checklist to document the assessment and proper review / approval of proposed subcontracting plans. Include this completed checklist with required signatures and all proposed subcontracting plans and their revisions in the official contract file.

Background: FAR 19.702(a)(1) and (2) require the apparently successful offeror or bidder selected for award to submit a subcontracting plan for all negotiated and sealed bid acquisitions that are expected to exceed $700,000 ($1.5M for construction) and have subcontracting possibilities. See FAR 19.702(b) for exceptions.

IAW FAR 19.702(a)(3), each contract modification that causes the value of a contract without a subcontracting plan to exceed $700,000 ($1.5 million for construction), shall require the contractor to submit a subcontracting plan for the contract, if the Contracting Officer determines that subcontracting opportunities exist.

Additionally, IAW FAR 19.301-2(e), Contracting Officers may require a subcontracting plan for a contract containing FAR 52.219-9, Small Business Subcontracting Plan, if a prime contractor’s size status changes from small to other than small as a result of a size rerepresentation (see FAR 19.705-2(b)(3)).

2.0 Contract / Solicitation Information

2.1 Contract or Solicitation Number:

2.2 Contractor Name:

Address:

2.3 Subcontracting Plan Version / Date Prepared:

2.4 Principal Supplies / Services Description:

2.5 Competitive Environment: ☐ Sole Source ☐ Competitive

2.6 Contract or Solicitation Includes Options: ☐ Yes ☐ No

2.7 Total Contract Value (base and all options):

(Note: IAW FAR 19.704(c), for multi-year contracts or contracts with options, consider the cumulative value of the basic contract and all options in determining whether a subcontracting plan is required.)

3.0 Subcontracting Plan Type

3.1 ☐ Individual Subcontracting Plan (FAR 19.701)

3.2 ☐ Commercial Plan (FAR 19.701) Cognizant Contracting Officer:______________________________________ Approval Date:___________

3.3 ☐ Master Subcontracting Plan (FAR 19.701 and DFARS 219.706) Cognizant Administrative Contracting Officer:__________________________ Approval Date:___________

3.4 ☐ Comprehensive Subcontracting Plan (DFARS / PGI 219.702 and DoD Class Deviation 2015-O0006)

4.0 Required Elements of the Subcontracting Plan

4.1 Subcontracting Goals (FAR 52.219-9 (d)(1)&(2) and FAR 19.704(a)(1)&(2))

Notes: (1) For Individual Subcontracting Plans only, and IF required by the Contracting Officer, goals shall also be expressed in terms of percentage of total contract dollars, in addition to the goals expressed as a percentage of total subcontract dollars, using the grey-fill column.

(2) Make sure numbers are calculated correctly.

(3) If goals are the same in the option periods as in the base period, check the boxes in 4.1.2 – 4.1.5, as applicable. Delete the sub-items (i.e., 4.1.1.1 - 4.1.1.) for each option.

4.1.1 FOR BASE PERIOD

3.11

4.1.1.1 Total dollars planned to be subcontracted and

percentage of total subcontract dollars (For Commercial Plans Only: the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support sales):

4.1.1.2 Total dollars planned to be subcontracted and

percentage of total subcontract dollars to small businesses (including Alaska Native Corporation (ANC) and Indian tribes):

4.1.1.3 Total dollars planned to be subcontracted and

percentage of total subcontract dollars to be subcontracted to veteran-owned small businesses:

4.1.1.4 Total dollars planned to be subcontracted and

to service-disabled veteran-owned small businesses:

4.1.1.5 Total dollars planned to be subcontracted and

to HUBZone small businesses:

4.1.1.6 Total dollars planned to be subcontracted and

to small disadvantaged businesses (SDBs) (including ANC and Indian tribes):

Note: DFARS 219.705-4 requires level above KO approval for SDB goal of less than 5%.

If less than 5%, provide justification under Section 1.0.

Note: Applies to Individual Contract Plans and Commercial Plans.

4.1.1.7 Total dollars planned to be subcontracted and

Percentage of total subcontract dollars to be subcontracted to woman-owned small businesses:

4.1.2 FOR OPTION PERIOD 1 ☐ Applicable ☐ Not Applicable ☐ Goals Mirror Base Period 3.12

4.1.2.1 Total dollars planned to be subcontracted and

(For Commercial Plans Only: the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support sales):

4.1.2.2 Total dollars planned to be subcontracted and

to small businesses (including ANC and Indian tribes):

4.1.2.3 Total dollars planned to be subcontracted and

to veteran-owned small businesses:

4.1.2.4 Total dollars planned to be subcontracted and

to service-disabled veteran-owned small businesses:

4.1.2.5 Total dollars planned to be subcontracted and

to HUBZone small businesses:

4.1.2.6 Total dollars planned to be subcontracted and

to SDBs (including ANCs and Indian tribes):

Note: DFARS 219.705-4 requires level above KO approval for SDB goal of less than 5%. If less than 5%, provide justification under Section 1.0.

Note: Applies to Individual Contact Plans and Commercial Plans.

4.1.2.7 Total dollars planned to be subcontracted and

to woman-owned small businesses:

4.1.3 FOR OPTION PERIOD 2 ☐ Applicable ☐ Not Applicable ☐ Goals Mirror Base Period

4.1.3.1 Total dollars planned to be subcontracted and

(For Commercial Plans Only: the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support sales):

4.1.3.2 Total dollars planned to be subcontracted and

to small businesses (including ANCs and Indian tribes):

4.1.3.3 Total dollars planned to be subcontracted and

to veteran-owned small businesses:

4.1.3.4 Total dollars planned to be subcontracted and

to service-disabled veteran-owned small businesses:

4.1.3.5 Total dollars planned to be subcontracted and

to HUBZone small businesses:

4.1.3.6 Total dollars planned to be subcontracted and

to SDBs (including ANCs and Indian tribes):

Note: DFARS 219.705-4 requires level above KO approval for SDB goal of less than 5%.

If less than 5%, provide justification under Section 1.0.

Note: Applies to Individual Contract Plans and Commercial Plans.

4.1.3.7 Total dollars planned to be subcontracted and

to woman-owned small businesses:

3.13

4.1.4 FOR OPTION PERIOD 3 ☐ Applicable ☐ Not Applicable ☐ Goals Mirror Base Period

4.1.4.1 Total dollars planned to be subcontracted and

(For Commercial Plans Only: the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support sales):

4.1.4.2 Total dollars planned to be subcontracted and

to small businesses (including ANCs and Indian tribes):

4.1.4.3 Total dollars planned to be subcontracted and

to veteran-owned small businesses:

4.1.4.4 Total dollars planned to be subcontracted and

to service-disabled veteran-owned small businesses:

4.1.4.5 Total dollars planned to be subcontracted and

to HUBZone small businesses:

4.1.4.6 Total dollars planned to be subcontracted and

to SDBs (including ANCs and Indian tribes):

Note: DFARS 219.705-4 requires level above KO approval for SDB goal of less than 5%.

If less than 5%, provide justification under Section 1.0.

Note: Applies to Individual Contract Plans and Commercial Plans.

4.1.4.7 Total dollars planned to be subcontracted and

to woman-owned small businesses:

3.14

4.1.5 FOR OPTION PERIOD 4 ☐ Applicable ☐ Not Applicable ☐ Goals Mirror Base Period

3.1.5.1 Total dollars planned to be subcontracted and

(For Commercial Plans Only: the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support sales):

4.1.5.2 Total dollars planned to be subcontracted and

to small businesses (including ANCs and Indian tribes):

4.1.5.3 Total dollars planned to be subcontracted and

to veteran-owned small businesses:

4.1.5.4 Total dollars planned to be subcontracted and

to service-disabled veteran-owned small businesses:

4.1.5.5 Total dollars planned to be subcontracted and

to HUBZone small businesses:

4.1.5.6 Total dollars planned to be subcontracted and

to SDBs (including ANCs and Indian tribes):

Note: DFARS 219.705-4 requires level above KO approval for SDB goal of less than 5%.

If less than 5%, provide justification under Section 1.0.

Note: Applies to Individual Contract Plans and Commercial Plans.

4.1.5.7 Total dollars planned to be subcontracted and

to woman-owned small businesses:

4.2 FOR ALL PERIODS Description of the principal types of supplies and services to be subcontracted and an identification of the types planned for subcontracting to: (FAR 52.219-9(d)(3) & FAR 19.704(a)(3)) Note: Applies to Individual Contract Plans and Commercial Plans.

4.2.1 Small businesses (including ANCs and Indian tribes): ☐ Yes ☐ No

4.2.2 Veteran-owned small businesses: ☐ Yes ☐ No

4.2.3 Service-disabled veteran-owned small businesses: ☐ Yes ☐ No

4.2.4 HUBZone small businesses: ☐ Yes ☐ No

4.2.5 SDBs (including ANCs and Indian tribes): ☐ Yes ☐ No

4.2.6 Women-owned small businesses: ☐ Yes ☐ No

4.3 FOR ALL PERIODS A description of the method used to develop subcontracting goals.

(FAR 52.219-9(d)(4) & FAR 19.704(a)(4)) ☐ Yes ☐ No

4.4 FOR ALL PERIODS A description of the method used to identify potential sources for solicitation purposes. (FAR 52.219-9(d)(5) & FAR 19.704(a)(5)) ☐ Yes ☐ No

4.5 FOR ALL PERIODS 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: (FAR 52.219-9(d)(6) & FAR 19.704(a)(6))

4.5.1 Indirect costs included with description of method: ☐ Yes ☐ No (if yes, see 4.5.2 – 4.5.7; if no, skip 4.5.2 – 4.5.7)

4.5.2 Small businesses (including ANCs and Indian tribes): ☐ Yes ☐ No

4.5.3 Veteran-owned small businesses: ☐ Yes ☐ No

4.5.4 Service-disabled veteran-owned small business: ☐ Yes ☐ No

4.5.5 HUBZone small businesses: ☐ Yes ☐ No

4.5.6 Small disadvantaged businesses (including ANCs and Indian tribes): ☐ Yes ☐ No

4.5.7 Women-owned small businesses: ☐ Yes ☐ No

4.6 FOR ALL PERIODS Name of individual employed by the offeror who will administer the offeror’s subcontracting program and a description of the duties: (FAR 52.219-9(d)(7) & FAR 19.704(a)(7))

4.6.1 Name of individual who will administer the offeror’s subcontracting program? ☐ Yes ☐ No

4.6.2 Description of duties of the individual who will administer the offeror’s subcontracting program?

☐ Yes ☐ No

4.7 FOR ALL PERIODS A description of the efforts the offeror will make to ensure that small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns have an equitable opportunity to compete for subcontracts. (FAR 52.219-9(d)(8) & FAR 19.704(a)(8)) ☐ Yes ☐ No

4.8 FOR ALL PERIODS Assurances that the offeror will include FAR clause 52.219-8 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 $700,000

4.9 FOR ALL PERIODS Assurances that the offeror will: (FAR 52.219-9(d)(10), DoD Class Deviation 2016- O0009 & FAR 19.704(a)(10)) Note: For orders against basic ordering agreements (BOAs) and blanket purchase agreements (BPAs), complete the following sections only: 4.9.1, 4.9.2, 4.9.8 and 4.9.9.

4.9.1 Cooperate in any studies or surveys as may be required; ☐ Yes ☐ No

4.9.2 Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan; ☐ Yes ☐ No

4.9.3 After November 30, 2017, include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite quantity contracts intended for use by multiple agencies;

☐ Yes ☐ No

4.9.5 Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS; ☐ Yes ☐ No Note: Applies to the Individual Subcontract Plan.

4.9.6 Provide its prime contract number, its unique entity identifier number (formerly DUNS), 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 when submitting their ISRs; ☐ Yes ☐ No Note: Applies to the Individual Subcontract Plan.

4.9.7 Require that each subcontractor with a subcontracting plan provide the prime contract number, its own unique entity identifier (formerly 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. ☐ Yes ☐ No Note: Applies to the Individual Subcontract Plan.

4.9.8 For BOAs and BPAs only: Submit Stand Form (SF) 294 Subcontracting Report for Individual Contract and submit the Summary Subcontract Report (SSR) using the Electronic Subcontracting Reporting System (eSRS); ☐ Yes ☐ No

4.9.9 For BOAs and BPAs only: Ensure that its subcontractors with subcontracting plans agree to submit the SF 294 and SSR in accordance with clause requirements. ☐ Yes ☐ No

4.10 FOR ALL PERIODS A description of the types of records that will be maintained concerning procedures adopted to comply with the requirements and goals in the plan, including: (FAR 52.219-9 (d)(11) & FAR 19.704(a)(11))

4.10.1 Establishing source lists; and ☐ Yes ☐ No

4.10.2.4 Records of any outreach efforts to contact –

4.11 FOR ALL PERIODS Assurances that the offeror will make a good faith effort to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns that it used preparing the bid or proposal, in the same or greater scope, amount, and quality used in preparing and submitting the bid or proposal: (FAR 52.219(d)(12) & FAR 19.704(a)(12)) ☐ Yes ☐ No

4.12 FOR ALL PERIODS Assurances that the Contractor will provide the Contracting Officer with a written explanation submitted within 30 days of contract completion if the Contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work as described in FAR 52.219-9(d)(12) or FAR 19.704(a)(12): (FAR 52.219-9(d)(13) & FAR 19.704(a)(13)) ☐ Yes ☐ No

4.13 FOR ALL PERIODS Assurances that the Contractor will not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor: (FAR 52.219-9(d)(14) & FAR 19.704(a)(14)) ☐ Yes ☐ No

4.14 FOR ALL PERIODS Assurances that the offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract, and notify the Contracting Officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor: (FAR 52.219-9(d)(15) & FAR 19.704(a)(15)) ☐ Yes ☐ No

SOURCE SELECTION SENSITIVE – SEE FAR 2.101 AND 3.104

SOURCE SELECTION INFORMATION – SEE FAR 2.101 AND 3.104

V2.0, Mar 2017