Sections B- F-G forms.pdf

Revised September 2016 1

SOURCE SELECTION SENSITIVE INFORMATION

DISCLOSURE LIMITATIONS AS OUTLINED IN FAR 2.101 & 3.104 APPLY

Solicitation # N44255-20-R-0003 Attachments

Attachment B – Individual Small Business Subcontracting Plan

Attachment F – Small Business Subcontracting Record

Attachment G – Small Business Participation and Commitment Strategy

IN FAR 2.101 & 3.104 APPLY

ATTACHMENT B

INDIVIDUAL SMALL BUSINESS SUBCONTRACTING PLAN (Template)

Edit or delete red font text and complete fill-ins as applicable

This template is designed to be consistent with FAR 19.704, Subcontracting Plan Requirements and FAR clause 52.219-9, Small Business Subcontracting Plan (“subcontracting plan”). Other formats may be acceptable, including commercial or master subcontracting plans; however, failure to include the essential information exemplified in this individual plan template may be cause for delay in acceptance or rejection of a bid/offer.

(TO BE SUBMITTED BY OTHER THAN SMALL BUSINESSES ONLY)

(Also referred to as large businesses)

(CONTRACTOR’S NAME)

(ADDRESS)

(CONTRACTOR’S CORPORATE HEADQUARTERS ADDRESS)

[If same as above, so indicate].

(Solicitation or Contract Number)

(Title of the Project and Location)

(Date Prepared)

PLAN SUBMITTED BY:

Signature: __________________________________ Date: ____________________

Printed Name: ___________________________________________________________

Title: __________________________________________________________________

REVIEWED:

Small Business Professional Date

REVIEWED:

Small Business Administration Date

Procurement Center Representative

ACCEPTED:

Procuring Contracting Officer Date

Attachment B continued

SUBCONTRACTING PLAN

This document, together with any attachments, is submitted as a subcontracting plan to satisfy the requirements of Federal Acquisition Regulations (FAR) 19.704. The following goals are established for the contract (including base period and all option items/periods (if applicable)). Attachment 1 provides breakdowns for the base year and option periods. Percentages may be rounded to nearest tenth of a percent. INCLUDE SUPPORTING RATIONALE FOR ALL PROPOSED GOALS AND ENSURE THIS PLAN IS

CONSISTENT WITH ANY SMALL BUSINESS PARTCIPATION AND COMMITMENT STRATEGY ASSOCIATED

WITH THIS ACQUISITION.

1. a. Total Contract Value $_______________

(including options)

b. Total Subcontracted $_______________ _______% of 1.a

(inclusive of all planned subcontracting to all businesses, regardless of size)

c. Total Prime-performed $_______________ _______% of 1.a

2. The following dollars and percentage goals are applicable to the contract cited above. (See FAR

19.704(a)(1) and (2))

a. Large Business $_______________ _______% of 1.b

This number represents total planned subcontract dollars that will be awarded to other than small business concerns (including subcontracts awarded to Historically Black Colleges, Universities and

Minority Institutions (HBCU/MIs).

b. Small Business (SB) $_______________ _______% of 1.b

This number represents total planned subcontract dollars that will be awarded to small business concerns** as well as subcontracts awarded under the AbilityOne Program to SourceAmerica (formerly

NISH) and National Industries for the Blind (NIB) organizations and subcontracts awarded to Alaskan

Native Corporations (ANCs) and Indian Tribes as prescribed in FAR 19.703(c) & FAR 52.219-9.

(** Small business concerns include SBs, Small Disadvantaged Businesses (SDB), Women-Owned Small

Businesses (WOSB), Historically Underutilized Business Zone (HUBZone) small businesses, Veteran-Owned

Small Businesses (VOSB) and Service-Disabled Veteran-Owned Small Businesses (SDVOSB))

(Include 2.c, 2.d, 2.e, 2.f, 2.g, 2.h, and 2.i, below).

Notes:

(1) Lines 1.b + 1.c=100% of Line 1.a

(2) Lines 2.a + 2.b = 100% of Line 1.b

(3) Lines 2.c, 2.d, 2.e, 2.f, 2.g, 2.h, and 2.i are calculated against Line 1.b, the total value of overall subcontract dollars.

(4) Subcontracts to companies that qualify in multiple categories of SB must be reported under each category. For example: if you are planning to subcontract $100,000 to company ABC, a woman-owned

SDB that is also a certified HUBZone SB, you will report $100,000 on line 2.b (SB), 2.c (HUBZone), 2.d

(WOSB) and 2.e (SDB). Accordingly, the sum of 2.c through 2.i will not necessarily equate to the value of

2.b.

(5) Designated HUBZone SBs must be certified by the Small Business Administration (SBA).

c. HUBZone SB $______________ ________% of 1.b

This number represents total planned subcontract dollars that will be awarded to qualified

HUBZone small business concerns certified by SBA. (Included in total for 2.b, above)

d. WOSB $_______________ ________% of 1.b

This number represents total planned subcontract dollars under that will be awarded to WOSBs.

(Included in total for 2.b, above)

e. SDB $______________ ________% of 1.b

This number represents total planned subcontracting dollars that will be awarded to small business concerns owned and controlled by socially and economically disadvantaged individuals (include in this category the planned subcontracting dollars to ANCs and Indian Tribes shown in total for 2.i below).

(Included in total for 2.b, above)

f. VOSB $_______________ ________% of 1.b

This number represents total planned subcontract dollars that will be awarded to small business concerns owned and controlled by veterans (include in this category the planned subcontracting dollars for

SDVOSBs shown in 2.g below). (Included in total for 2.b, above)

g. SDVOSB $_______________ ________% of 1.b

This number represents total planned subcontract dollars under this contract that will be awarded to subcontractors who are small business concerns owned and controlled by service-disabled veterans.

(Included in totals for 2.b and 2.f, above)

h. AbilityOne $_______________ ________% of l.b.

This number represents total planned subcontract dollars that will be awarded to

AbilityOne associated nonprofit agencies through SourceAmerica and NIB. Per DFARS 219.703, subcontracts awarded to qualified non-profit agencies for the blind or severely disabled may be counted toward the small business subcontracting goal. (Included in total for 2.b, above)

i. Alaskan Native

Corporations &

Indian Tribes $_______________ ________% of l.b.

This number represents total planned subcontract dollars that will be awarded to ANCs and Indian Tribes and for which the prime contractor has been designated to receive SDB credit. (See

FAR 19.703 & FAR 52.219-9) (Included in totals for 2.b and 2.e, above)

3. The following principal products and/or services will be subcontracted under this contract. (See FAR

19.704(a)(3)

a. Products/services planned to be subcontracted to LB concerns (including HBCU/MIs):

Firm subcontract commitments:

Name of Company/DUNS Products or Services

b. Products/services planned to be subcontracted to SB concerns:

c. Products/services planned to be subcontracted to certified HUBZone concerns:

d. Products/services planned to be subcontracted to WOSB concerns:

e. Products/services planned to be subcontracted to SDB concerns:

f. Products/services planned to be subcontracted to VOSB concerns:

g. Products/services planned to be subcontracted to SDVOSB concerns:

Firm subcontract commitments:

Name of Company/DUNS Products or Services

h. Products/services planned to be subcontracted to AbilityOne organizations:

Name of Organization/DUNS Products or Services

i. Planned products/services to be subcontracted to ANCs and Indian Tribe businesses (See 2.i above for explanation):

Attachment B Continued

4. The following methods were used to develop the above subcontracting goals. Include a statement explaining how the products and services to be subcontracted were established, how the products and services to be subcontracted to SB, SDB, WOSB, HUBZone, VOSB, SDVOSB concerns, AbilityOne program participants, ANCs and Indian Tribes were determined, and how their capabilities were assessed. (See FAR 19.704(a)(4))

5. The following methods were/will be used to identify potential sources for solicitation purposes

(See FAR 19.704(a)(5))

6. Indirect and overhead costs have have not been included in the goals specified in 1. and 2.

above. If "have" is checked, explain the method used in determining the proportionate share of indirect costs to be incurred with SBs (including all subcategories delineated above). (See FAR 19.704(a)(6))

7. The following employee will administer the subcontracting program: (See FAR 19.704(a)(7))

NAME: ________________________________________________________________

ADDRESS: ________________________________________________________________

TELEPHONE NO.: _____________________ FAX NO.: ___________________________

EMAIL: ____________________________________________________________________

TITLE: _____________________________________________________________________

This individual has general overall responsibility for the company's small business program. This person should have knowledge of the federal small business programs and be knowledgeable about federal procurement practices. If the prime decides to change the person in this position, they must notify the Contracting Officer and the Deputy for Small Business. The administrator is responsible for the development, preparation and execution of this subcontracting plan, and for monitoring performance relative to contractual subcontracting requirements contained in this plan, including:

a. Developing and maintaining bidders lists of SB, SDB, WOSB, HUBZone SB, VOSB, SDVOSB concerns, AbilityOne program participants, HBCU/MIs, ANCs, and Indian Tribes (hereafter referred to as the small business community) from all possible sources.

b. Ensuring that procurement packages are structured to permit the small business community to participate to the maximum extent possible.

c. Assuring inclusion of the small business community in all solicitations for products or services, which they are capable of providing.

d. Reviewing solicitations to remove statements, clauses, etc., which may tend to restrict or prohibit the small business community participation.

e. Ensuring periodic rotation of potential subcontractors on bidders lists.

f. Ensuring that the bid proposal review board documents its reasons for not selecting low bids submitted by the small business community.

g. Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.

h. Attending or arranging for attendance of company counselors at Business Opportunity

Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

i. Conducting or arranging for the motivational training for purchasing personnel pursuant to the intent of P.L. 95-507.

j. Monitoring attainment of proposed goals.

k. Preparing and submitting required periodic subcontracting reports.

l. Coordinating contractor's activities during the conducting of compliance reviews by

Federal agencies.

m. Coordinating the conduct of contractor's activities involving its small business subcontracting program.

n. Additional duties. __________________________

8. The following efforts will be taken to ensure that the small business community will have an equitable opportunity to compete for subcontracts. (See FAR 19.704(a)(8))

a. Outreach efforts will be made by identifying:

- Contacts with minority and small business trade associations.

- Contacts with business development organizations.

- Attendance at small and minority business procurement conference and trade fairs.

b. Sources will be requested from the System for Award Management (SAM) website available at https://www.sam.gov/ on the Internet.

Automated data base sources to be used, other than SAM, will be as follows:

https://www.sam.gov/

c. The following internal efforts will be made to guide and encourage buyers:

(i) Workshops, seminars and training programs will be conducted.

(ii) Activities will be monitored to evaluate compliance with this subcontracting plan.

(iii) Arrange interviews with the small business community.

d. Describe how your small business database, source lists, guides, and other data will be maintained and utilized by buyers in soliciting subcontracts; e.g., rotation of firms in the data base, keeping data base current and useful.

9. Provide assurances the offeror agrees that the FAR clause 52.219-8 entitled "Utilization of Small

Business Concerns " will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors, except SB concerns, that receive subcontracts in excess of $700,000 ($1,500,000 for construction) will be required to adopt plans that comply with the requirements of the clause at

52.219-9, Small Business Subcontracting Plan. Such plans will be reviewed by comparing them with the provisions of P.L. 95-507 and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies/services involved, the availability of potential small and small disadvantaged subcontractors, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to review subcontracting program progress. (See FAR 19.704(a)(9))

10. Provide assurances the offeror will submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance by the offeror (contractor) with the subcontracting plan and with FAR clause 52.219-8. (See FAR 19.704(a)(10)(i) and (ii))

Provide assurances the offeror will:

a. Submit the Individual Subcontract Report (ISR) and the Summary Subcontract Report (SSR) using the Electronic

Subcontracting Reporting System (eSRS) at http://www.esrs.gov, following the instructions in the eSRS and FAR Clause

52.219-9.

1st reporting period – Oct 1 through March 31 Submit NLT 30 April

2nd reporting period – Oct 1 through September 30 Submit NLT 30 October

A separate “Final” ISR is required at contract completion.

Upon award of the contract, the identity of the individual(s) responsible for acknowledging receipt or rejecting the ISR and the SSR will be provided to the awardee.

b. Ensure that its large business subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the eSRS;

c. 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 large business subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their ISRs; and

d. Require that each large business 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 large business subcontractors with subcontracting plans.

e. Ensure that the identified contracting officer and small business professional assigned to the contract are included on the eSRS email notification distribution for each report. (See FAR

19.704(a)(10)(iii)-(vi))

*Note 1: If contract value is $30,000 or more and the solicitation includes FAR Clause

52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards, ensure additional reporting requirements are met in eSRS in accordance with this clause.

11. The offeror will maintain at least the following types of records to document compliance with this subcontracting plan: (See FAR 19.704(a)(11)) http://www.esrs.gov/

a. Source lists, guides, and other data identifying small business, HUBZone small business, women-owned small business, small disadvantaged business, veteran owned small business and service disabled veteran owned small business.

b. Organizations contacted to locate small business, HUBZone small business, women-owned small business, small disadvantaged business, veteran owned small business and service disabled veteran owned small business.

c. On a contract-by-contract basis, records on all subcontract solicitations over $150,000 and indicating for each solicitation:

(i) whether small business, HUBZone SBs, WOSBs, SDBs, VOSBs and SDVOSBs were solicited, and if not, why not; and

(ii) reason why the award was not made to a small business concern.

(iii) written designations from ANCs or Indian Tribes, in accordance with FAR 19.703, if applicable.

d. Records to support other outreach efforts, e.g., contacts with small business trade associations, business development organizations, and attendance at small business procurement conferences and trade fairs, and frequency of accessing SAM.

e. Maintain records of internal guidance and encouragement to buyers through:

(i) Workshops, seminars, training; and

(ii) Monitoring performance to evaluate compliance with the program’s requirement.

f. On a contract-by-contract basis, records to support award data submitted by the contractor to the Government including the name, address, and business size of each subcontractor.

12. Provide 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 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 if:

a. The Offeror identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the subcontract; or

b. The Offeror used the small business concern’s pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the Offeror is awarded the contract. (See FAR 19.704(a)(12))

13. Provide assurances that the Contractor 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 12.

Attachment B continued

Attachment B continued

This written explanation must be submitted to the Contracting Officer within 30 days of contract completion. (See FAR

19.704(a)(13))

14. Provide 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. (See FAR 19.704(a)(14))

15. Provide 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. (See FAR 19.704(a)(15))

*****END OF PLAN*****

The original copy of this plan will be included in the file and made a material part of the contract.

Copy to:

Small Business Professional

SBA Procurement Center Representative

Contractor Information (Firm Name): ________________________________________________

Client Information (Name): ________________________________________________________

TO BE COMPLETED BY CLIENT

ATTACHMENT F

SMALL BUSINESS SUBCONTRACTING RECORD

COMPANY NAME: _______________________________________

SUBCONTRACTING ACHIEVEMENTS – Include actual dollar values subcontracted for each of the categories listed.

Include the percentage goal only if a goal was established. Note: Form may be expanded.

(1) Contract Number/Title:

Check One: ____ Prime Contract ____ Subcontract

Subcontracting Plan Required ____ Yes ____ No

ACTUAL

SUBCONTRACTED

SUBCONTRACT

GOAL

(if applicable)

Completion Date: Total Contract Value: $

Total Subcontracted Value: $ Whole Dollars Percent Percent

(a) Small Business Concerns (Including SDB, WOSB, HUBZone, VOSB, SDVOSB and AbilityOne entities) (Dollar amount and percent of line c.)

Small Business Concerns (Non-Federal Certifications Examples:

MBE (Minority Business Enterprise), DBE (Disadvantaged

Business Enterprise), DVBE (Disabled Veteran Business Enterprise), SB (Small

Business), WBE (Women’s

Business Enterprise).

(b) Other Than Small (OTS) Business Concerns (Dollar amount and percent of line c.)

(c) Total (sum of lines a & b above)

(d) Small Disadvantaged Business Concerns (Dollar amount and percent of line c.) Including MBE & DBE

(e) Women-Owned Small Business Concerns (Dollar amount and percent of line c.) Including WBE

(f) HUBZone Small Business Concerns (Dollar amount and percent of line c.)

(g) Veteran-Owned Small Business Concerns (Dollar amount and

(h) Service Disabled Veteran-Owned Small Business Concerns (Dollar amount and percent of line c.) Including DVBE

Name of customer reference for this project: ___________________________________________

Phone Number: _______________________ FAX Number: _______________________

Email address: ________________________________________

(2) Contract Number/Title:

SUBCONTRACT

GOAL

Completion Date: Contract Dollar Value: $

(b) Small Business Concerns (Including SDB, WOSB, HUBZone, VOSB, line c.)

Small Business Concerns (Non-Federal Certifications Examples:

MBE (Minority Business Enterprise), DBE (Disadvantaged

Business Enterprise), DVBE (Disabled Veteran Business Enterprise), SB (Small

(b) OTS Business Concerns (Dollar amount and percent of line c.)

(3) Contract Number/Title:

SUBCONTRACT

GOAL

Completion Date: Contract Dollar Value: $

(c) Small Business Concerns (Including SDB, WOSB, HUBZone, VOSB, line c.)

Small Business Concerns (Non-Federal Certifications Examples:

MBE (Minority Business Enterprise), DBE (Disadvantaged

Business Enterprise), DVBE (Disabled Veteran Business Enterprise), SB (Small

(b) OTS Business Concerns (Dollar amount and percent of line c.)

ATTACHMENT G

SMALL BUSINESS PARTICIPATION AND COMMITMENT STRATEGY

(OFFEROR’S NAME)

(ADDRESS)

Solicitation or Contract Number

(Title of the Project)

(Location)

(Date Prepared)

INSERT INTRODUCTION/EXECUTIVE SUMMARY (Up to 2 pages maximum)

SMALL BUSINESS PARTICIPATION AND COMMITMENT STRATEGY – (Base and Option Years)

1. Estimated value of all planned subcontracting $________________

____% of contract

2. Estimated value of all work to be self-performed $________________

____% of contract

3. Total value of the proposal (sum of 1. and 2. above) $________________

100% of contract

4. Subcontracts for products and services to be awarded under this project.

a. Self-Performed Work:

TYPE OF SERVICE/PRODUCT $ VALUE OF WORK

TOTAL: $________________

PERCENTAGE OF CONTRACT VALUE (line 3) _________%

If the Offeror is a small business, the Government will add self-performed work to the appropriate category(ies) in c. (1) through c. (6) below to calculate overall small business participation rates.

b. Other Than Small (OTS) Business Subcontracts**

NAME OF COMPANY* TYPE OF SERVICE/PRODUCT $ VALUE OF SUBCONTRACT

PERCENTAGE OF CONTRACT VALUE (line 3) ________%

c. Small Business (SB) Subcontracts

(1) SMALL DISADVANTAGED BUSINESSES: (SDB)

(2) WOMEN-OWNED SMALL BUSINESSES: (WOSB)

TOTAL: $_______________

(3) HISTORICALLY UNDERUTILIZED BUSINESS ZONE (HUBZone) CONCERN:

NAME OF COMPANY* TYPE OF SERVICES $ VALUE OF SUBCONTRACT

(4) VETERAN OWNED SMALL BUSINESS: (VOSB)

PERCENTAGE OF CONTRACT VALUE (line 3) __________%

(5) SERVICE-DISABLED VETERAN OWNED SMALL BUSINESS: (SDVOSB)

(6) ABILITYONE PROGRAM ORGANIZATIONS

NAME OF ORG* TYPE OF SERVICES $ VALUE OF SUBCONTRACT

* For each company/organization listed, describe the nature of commitment to subcontract and whether or not it is legally binding. If unknown/to be determined, so indicate.

** Include any subcontracts to Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) in the OTS Business listing.

NOTES:

1. The dollar sum of lines 4.b and 4.c (excluding (1)-(6)) must equal line 1.

2. Lines 4.c. (1) through 4.c. (6) identify various subcategories of small businesses. Subcontracts to companies that qualify in multiple categories must be reported under each category. For example: A $100,000 subcontract to ABC, a woman-owned, small disadvantaged business that is also a certified HUBZone concern, will be reported as $100,000 on line 4.c., SB, line 4.c. (1), SDB, line 4.c. (2), WOSB and line 4.c.(3), HUBZone concern.

3. Subcontracts to qualified nonprofit agencies participating in the AbilityOne Program are considered small business subcontracts for the purposes of this strategy and any associated small business subcontracting plan.

INSERT SUPPLEMENTAL NARRATIVES (limited to five pages) TO ADDRESS JOINT VENTURE PARTICULARS AND

OTHER STRATEGY ELEMENTS SUCH AS THE NATURE OF COMMITMENTS/AGREEMENTS COVERING POST

AWARD ROLES, SPECIFIC INITIATIVES AND TOOLS TO ENHANCE SMALL BUSINESS PARTICIPATION AND

CAPABILITIES AND HOW SMALL BUSINESS PARTICIPATION RATES WERE DETERMINED.

CONTRACT LEVEL PERFORMANCE SUMMARY

This document summarizes participation (total contract performance, including self-performance and subcontracted efforts) by type of business entity in terms of both dollar value and percentage of total contract value.

Base Option 1 Option 2 TOTAL

DOLLARS

Total contract value

OTS Business* $ $ $ $

SB* $ $ $ $

SDB $ $ $ $

WOSB $ $ $ $

HUBZone SB $ $ $ $

VOSB $ $ $ $

SDVOSB

ABILITYONE $ $ $ $

PERCENTAGES (of total contract value)

OTS Business* % % % %

SB* % % % %

OTSB + SB 100 % 100 % 100 % 100 %

SDB % % % %

WOSB % % % %

HUBZone SB % % % %

VOSB % % % %

SDVOSB % % % %

ABILITYONE % % % %

Include additional option years if applicable

* The sums of the “OTS Business” and “SB” dollars lines (excluding subcategories) must equal the associated dollar values on the “Total dollar value of this contract” line. The sum of “OTS Business” and

“SB” percentage lines (again, excluding subcategories) must equal 100% and represent all work to be performed under the contract.