Subcontracting Plan Template FY12.doc

[Insert Company Name]

SMALL BUSINESS SUBCONTRACTING PLAN

For information only, the following outline meets the minimum requirements as imposed by Section 8(d) of the Small Business Act, and meets the minimum requirements of the Federal Acquisition Regulation (FAR) Subpart 19.7. This model plan is intended to be used as a guideline. It is not intended to replace any existing corporate plan which may be more extensive. Your company is expected to thoroughly review the subcontracting plan requirements at FAR 19.704 and Clause 52.219-9 to ensure your plan complies. If assistance is needed to locate small business sources, contact the Small Business Administration, Commercial Market Representative at www.sba.gov/localresources, or access the Central Contractor Registration (CCR) Dynamic Small Business Search database at www.ccr.gov.)

The General Services Administration subcontracting goals for FY 10 and FY11 are currently:

I.

IDENTIFICATION DATA:

Company Name:______________________________________________________________

Address:___________________________________________________________________

Duns Number:_______________________________________________________________

Date Prepared:_____________________________________________________________

Description of Supplies/Services: _________________________________________

Solicitation Number: (Completed when submitting and Individual Plan)____________ Contract Number: (Completed when submitting and Individual Plan)______________ Individual Contract Period (Insert dates below) Base: ______________________________ Option: ______________________________ Estimated Contract Value (Separately for base and each option period) Base Period: $_________________ Option Period: $____________________

OR

Commercial Plan Period: (Insert dates of offeror’s fiscal year)________________ Estimated annual sales (Company-wide): $________________

II.

TYPE OF PLAN: (Check only one) ______ COMMERCIAL PLAN: Covers the offeror’s fiscal year and 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.) Per FAR 19.704(d), this is the preferred type of plan for contractors furnishing commercial items. Used when the company sells large quantities of commercial items to many Government agencies, and goals are negotiated on a company-wide basis. Plan is done annually, effective during the company’s fiscal year, approved by the first Federal agency awarding a contract for commercial supplies/services during the contractor’s fiscal year, and is applicable to every additional Federal contract for commercial supplies/services awarded to that contractor during the same fiscal year. A new plan must be obtained and approved 30 days prior to the expiration of the current plan. The contractor must provide a copy of the approved plan to each agency contracting officer responsible for an ongoing contract subject to the plan.

______ INDIVIDUAL CONTRACT PLAN: 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 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. GSA may request goals be re-negotiated prior to each option period.

______ INDIVIDUAL CONTRACT PLAN INCORPORATING MASTER PLAN: 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. A master plan on a plant or division-wide basis that contains all the elements required by paragraph (d) of this clause, except goals, may be incorporated by reference as a part of the subcontracting plan required of the offeror by this clause 52.219-9; provided (1) The master plan has been approved; (2) The offeror ensures that the master plan is updated as necessary and provides copies of the approved master plan, including evidence of its approval, to the Contracting Officer; and (3) Goals and any deviations from the master plan deemed necessary by the Contracting Officer to satisfy the requirements of this contract are set forth in the individual subcontracting plan.

III.

GOALS:

A. For information only, FAR 19.704(a)(1) requires separate percentage goals for using 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 as subcontractors; and (2) 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 will always reflect annual company wide goals. Individual plans will reflect contract specific goals for the Base contract period and separately for each Option period(s). Note that large and all small business must equal the total amount to be subcontracted both in dollars and percentages.

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

1. Estimated TOTAL dollars planned to be subcontracted; i.e. to all types of business concerns:

Base Contract: $___complete for Ind. Plan___ = 100% subcontracted

Option Period: $___complete for Ind. Plan___ = 100% subcontracted

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = 100 subcontracted

2. Planned subcontracting to large business concerns (those classified as other than small):

Base Contract: $___complete for Ind. Plan___ = ____% of Total

Option Period: $___complete for Ind. Plan___ = ____% of Total

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = %___ of Total

3. Planned subcontracting to all small business concerns (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:

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = ____% of Total dollars

4. Planned subcontracting to hubzone small business concerns:

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = ____% of Total

5. Planned subcontracting to small disadvantaged business concerns:

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = %___ of Total dollars

6. Planned subcontracting to women-owned small business concerns:

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = ____% of Total dollars

7. Planned subcontracting to veteran-owned small business concerns (which includes service-disabled veteran-owned small business):

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = ____% of Total dollars

8. Planned subcontracting to service-disabled veteran-owned small business concerns (subset of VOSB above and cannot be higher than #7 above):

Base Contract: $___complete for Ind. Plan___ = ____% of Total dollars Option Period: $___complete for Ind. Plan___ = ____% of Total dollars

OR

Annual Commercial Expenditures: $ Complete for Comm. Plan = ____% of Total dollars

B. For information only, FAR 19.704(a) (3) requires a description of the principal types of supplies and services to be subcontracted and an identification of types planned for subcontracting 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. Check all that apply below, ensuring that at least one item is indicated for each column.

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

Business Category or Size

C .For information only, FAR 19.704(a)(4) requires a description of the method used to develop the subcontracting goals; Explain the method used and state the basis for establishing your proposed goals; provide justification for any low goal(s); and state how the supplies/services to be subcontracted were determined (i.e. based on historical data and experience, market research, etc.).

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

D. For information only, FAR 52.219-(d)(5) requires a description of the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the Central Contractor Registration database (CCR), 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 CCR as an accurate representation of a concern’s size and ownership characteristics for the purposes of maintaining a small, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business source list. Use of CCR as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

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

E. For information only, FAR 19.704(a)(6) requires 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 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.

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

If indirect costs HAVE been included, provide a description of the method used to determine the proportionate share of indirect costs to be incurred with 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.

IV.

PROGRAM ADMINISTRATOR:

For information only, FAR 19.704(a)(7) requires a 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 employed by the offeror who will administer the subcontracting program. Please include the contact information for this person (telephone number, fax number and/or email address). Also provide an alternate point of contact if applicable, who is responsible for this subcontracting plan, in case of questions.

Name:________________________________________________________________________

Title/Position:______________________________________________________________

Telephone number:____________________________________________________________

Fax number:__________________________________________________________________

Email Address:_______________________________________________________________

Alternate POC with contact information:______________________________________

Duties: The Program Administrator shall have general overall responsibility for the Contractors subcontracting program; i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to this particular plan. Such duties [found in FAR 52.219-9(e)] may include, at least the following:

(1) Assist small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business 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 small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business 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 small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns in all “make-or-buy” decisions.

(3) Counsel and discuss subcontracting opportunities with representatives of small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business 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 Central Contractor Registration (CCR) database or by contacting SBA.

(5) Provide notice to subcontractors concerning penalties and remedies for misrepresentations of business status as small, veteran-owned small business, HUBZone small, small disadvantaged, or women-owned small business 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.

Additional duties: (Please describe below)

V.

EQUITABLE OPPORTUNITY:

For information only, FAR 19.704(a)(8) requires a description of the efforts the offeror will make to assure that small businesses (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 have an equitable opportunity to compete for subcontracts.

[Company] will make every effort to ensure equitable opportunity to compete for subcontracts. These efforts may include one or more of the following activities: (please indicate which ones apply or provide your own personalized list of efforts)

A. Outreach efforts to obtain sources:

___ Contacting minority and small business trade associations

___ Contacting business development organizations

___ Requesting sources from the Central Contractor Registration (CCR), Dynamic Small Business Search

___ Attending small minority and women-owned procurement conferences and trade shows

B. Internal efforts to guide and encourage purchasing personnel:

___ Presenting workshops, seminars and training programs

___ Establishing, maintaining and using small businesses (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 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)

VI.

ASSURANCES OF CLAUSE INCLUSION AND FLOW DOWN:

For information only, FAR 19.704(a)(9) requires 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 $550,000 ($1,000,000 for construction) to adopt a plan that complies with the requirements of the clause at 52.219-9, Small Business Subcontracting Plan (see 19.708(b)).

[Company] 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 $550,000 ($1,000,000 for construction) to adopt a plan that complies with the requirements of the clause at 52.219-9, Small Business Subcontracting Plan.

VII.

REPORTING AND COOPERATION:

For information only, FAR 19.704(a) (10) requires Assurances that the offeror will agree to the following:

[Company] agrees to:

(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:

Calendar Period Report Due

Date Due

Send Report To 10/01--03/31

ISR

04/30 contracting officer with copy to SBTA/OSBU 04/01--09/30

ISR

10/30 contracting officer with copy to SBTA/OSBU

10/01--09/30

SSR

10/30 contracting officer with copy to SBTA/OSBU Note the actual eSRS web-based reporting requirements are found at FAR clause 52.219-9(l), which begins:

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.

VIII.RECORDKEEPING:

For information only, FAR 19.704(a)(11) requires 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 offeror’s efforts to locate small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns and award subcontracts to them.

[Company] 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 small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business 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., CCR), guides, and other data that identify small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns.

2. Organizations contacted in an attempt to locate sources that are small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, or women-owned small business concerns.

3. Records on each subcontract solicitation resulting in an award of more than $100,000, 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. Other records to support your compliance with the subcontracting plan: (Please describe)

IX.

STATUTORY REQUIREMENTS:

For information only, FAR 19.702 requires any contractor receiving a contract for more than the simplified acquisition threshold must agree in the contract 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 will have the maximum practicable opportunity to participate in contract performance consistent with its efficient performance. It is further the policy of the United States that its prime contractors establish procedures to ensure the timely payment of amounts due pursuant to the terms of their subcontracts with small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns.

These steps will be negotiated with the contracting officer prior to approval of the plan. We understand that this subcontracting plan will be made a material part of the contract and that the submission of electronic reports (SSR and/or ISR) will be made a line item deliverable in the contract.

X.

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

Signature: ________________________________________________________________ Typed Name: ________________________________________________________________

Title: ________________________________________________________________

Date Signed: ________________________________________________________________

Found Acceptable by the following Contracting Officer:

Signature: ________________________________________________________________ Typed Name: ________________________________________________________________

Date Signed: ________________________________________________________________