S-3 Subcontracting_Plan_Template - OEM.doc

SMALL BUSINESS SUBCONTRACTING PLAN

SOLICITATION/CONTRACT N40027-22-R-0003

SMALL BUSINESS SUBCONTRACTING PLAN

SOLICITATION/CONTRACT N40027-22-R-0003

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

Procurement Center Representative

ACCEPTED:

Procuring Contracting Officer

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)). 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.

Department of Defense FY 2022 Subcontracting Goals are:

Note: The Small Business Administration defines a small business concern as one that is independently owned and operated, organized for profit, and that is not dominant in its field. Depending on the industry, size standard eligibility is based on the average number of employees for the preceding twelve months or on sales volume averaged over a three-year period. See www.sba.gov for additional information regarding size standards.

1. Type of Plan (check one)

_____ Individual plan means 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 plan means 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 products/service plan means 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

Below indicate the dollar and percentage goals for Small Business (SB), Small Disadvantaged (SDB) including Alaska Native Corporations and Indian Tribes, Women‑owned and Economically Disadvantaged Women-Owned (WOSB), Historically Underutilized Business Zone (HUBZone), Veteran Owned Small Business (VOSB), Service-Disabled Veteran-Owned (SDVOSB) Small Businesses and “Other than Small Business” (Other) as subcontractors. Indicate the base year and each option year, as specified in FAR 19.704 or project annual subcontracting base and goals under commercial plans. If any contract has more four options, please attach additional sheets which illustrate dollar amounts and percentages. PLEASE NOTE: Zero dollars is not an acceptable goal for the SB, SDB, WOSB, HUBZone, VOSB or SDVOSB categories since this does not demonstrate a good faith effort throughout the period of performance of the contract. Formula for below: 2.b. + 2.h. = 2.a.

a. Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is _____ ____ (Base Period + All Option Periods).

b. Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, VOSB and SDVOSB): (% of “a”)

$ ________________ and ________________% (Base Period + All Options Periods)

c. Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ ________________ and ________________% (Base Period + All Option Periods)

d. Total estimated dollar value and percent of planned subcontracting with WOMEN‑OWNED SMALL BUSINESSES: (% of “a”) $ ________________ and ________________% (Base Period + All Option Periods)

e. Total estimated dollar and percent of planned subcontracting with HUBZone SMALL BUSINESSES:

(% of “a”) $ ________________ and _________% (Base Period + All Option Periods)

f. Total estimated dollar and percent of planned subcontracting with Veteran-Owned SMALL BUSINESSES: (% of “a”) $ ____________and ________________% (Base Period + All Option Periods)

g. Total estimated dollar and percent of planned subcontracting with Service-Disabled Veteran-Owned SMALL BUSINESSES: (% of “a”) $ ________________ and ________________% (Base Period + All Option Periods)

h. Total estimated dollar and percent of planned subcontracting with “OTHER THAN SMALL BUSINESSES” (As defined by the Small Business Administration as “any entity that is not classified as a U.S. small business. This includes large businesses, state and local governments, non-profit organizations, public utilities, educational institutions and foreign-owned firms.)

i. (% of “a”) $ ________________ and ________________% (Base Period + All Option Periods) j.

Provide a description of ALL the products and/or services to be subcontracted under this contract, indicate the socio-economic status of the entities to be utilized as subcontractors, and indicate what (if any) written commitments have been entered into with the subcontractors. (Attach additional sheets, if necessary.)

k.

Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB, HUBZone and SDVOSB concerns. Address efforts made to ensure that maximum practicable subcontracting opportunities have been made available for those concerns and explain the method used to identify potential sources for solicitation purposes. Explain the method and state the quantitative basis (in dollars) used to establish the percentage goals. Also, explain how the areas to be subcontracted to SB, WOSB, HUBZone, VOSB and SDVOSB concerns were determined, how the capabilities of these concerns were considered contract opportunities and how such data comports with the cost proposal. Identify any source lists or other resources used in the determination process. (Attach additional sheets, if necessary.)

l.

Indirect costs have ____ have not ____ been included in the dollar and percentage subcontracting goals above (check one).

m. If indirect costs have been included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns:

3. Subcontracting Program Administrator:

NAME:

TITLE:

ADDRESS:

TELEPHONE:

E-MAIL:

Duties: Does the individual named above have general overall responsibility for the company’s subcontracting program, i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of those subcontracting plans and perform the following duties? ___yes ___no (If NO is checked, please identify who in the company performs those duties, or indicate why the duties are not performed in your company on a separate sheet of paper and submit with the proposed subcontracting plan.)

a.

Developing and promoting company‑wide policy initiatives that demonstrate the company’s support for awarding contracts and subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns; and for assuring that these concerns are included on the source lists for solicitations for products and services they are capable of providing; __yes __ no b.

Developing and maintaining bidder source lists of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns from all possible sources; __yes __ no c.

Ensuring periodic rotation of potential subcontractors on bidder’s lists; __ yes __ no d.

Assuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB businesses are included on the bidders’ list for every subcontract solicitation for products and services that they are capable of providing. __ yes __ no

e. Ensuring that Requests for Proposals (RFPs) are designed to permit the maximum practicable participation of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns. __ yes __ no

f. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, 8(a), SDB, WOSB, HUBZone, VOSB and SDVOSB small business participation. __ yes __ no

g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns to include SBA’s Dynamic Small Business Search web page (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm) and/or the System for Awards Management (www.sam.gov), local small business and minority associations, local chambers of commerce and Federal agencies’ Small Business Offices; ___ yes ___ no

h. Establishing and maintaining contract and subcontract award records; __ yes __ no

i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc; __ yes __ no

j. Ensuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns are made aware of subcontracting opportunities and assisting concerns in preparing responsive bids to the company; __ yes __ no

k. Conducting or arranging for the conduct of training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act, as amended; __ yes __ no

l. Monitoring the company’s subcontracting program performance and making any adjustments necessary to achieve the subcontract plan goals;

___yes ___ no

m. Preparing and submitting timely, required subcontract reports;

___ yes ___ no

n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(d) of the Small Business Act on purchasing procedures; __ yes __ no

o. Coordinating the company’s activities during the conduct of compliance reviews by Federal agencies; and __ yes __ no

p. Other duties: ________________________________________________________

4. Equitable Opportunity

Describe efforts the offeror will undertake to ensure that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns will have an equitable opportunity to compete for subcontracts. These efforts include, but are not limited to, the following activities:

a. Outreach efforts to obtain sources:

1. Contact minority and small business trade associations

2. Contact business development organizations and local chambers of commerce

3. Attend SB, SDB, WOSB, HUBZone, VOSB and SDVOSB procurement conferences and trade fairs

4. Review sources from the Dynamic Small Business Search web page (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm)

5. Review sources from the System for Award Management web page (www.sam.gov)

Additional efforts: _________________________________________________ b.

Internal efforts to guide and encourage purchasing personnel:

1. Conduct workshops, seminars and training programs;

2. Establish, maintain, and utilize SB, SDB, WOSB, HUBZone, VOSB and SDVOSB source lists, guides, and other data for soliciting subcontractors; and

3. Monitor activities to evaluate compliance with the subcontracting plan.

Additional efforts: _________________________________________________

5. Flow-Down Clause The contractor agrees to include the provisions under FAR 52.219‑8, “Utilization of Small Business Concerns,” in all acquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. All subcontractors (except small business concerns) that receive subcontracts in excess of $700,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219‑9, “Small Business Subcontracting Plan.” [Note: In accordance with FAR 52.212-5(e), the contractor is not required to include flow-down the clause if it is subcontracting commercial items.]

6. Reporting and Cooperation The contractor gives assurance that it will

i. Cooperation in any studies or surveys that may be required;

ii. Submit periodic reports which illustrate compliance with the subcontracting plan

iii. Submit its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR); via the Electronic Subcontracting Reporting System (eSRS) website (www.esrs.gov)

iv. Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS

v. Provide prime contract number, DUNS number, and the e-mail address of the official responsible for acknowledging receipt of or rejecting the ISRs to all first-tier subcontractors and subcontracting plans so this information can be entered into eSRS when submitting ISRs

vi. Each subcontractor with a subcontracting plan shall 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.

Please refer to FAR Part 19.7 for instruction concerning the submission of a Commercial Plan: SSR is due on 10/30 each year for the previous fiscal year ending 9/30. Reports are required when due, regardless of whether there has been any subcontracting activity since the inception of the contract or the previous reporting period.

The eSRS system does not allow firms to submit a separate report for each task order issued. Therefore, eSRS reporting for SERMC contracts must include the applicable information for each task order issued under the IDIQ contract. Contractors should include a statement in the remarks section of eSRS to indicate the task order number and dollars awarded via the task order.

7. Description of Record Types (Ref: FAR 52.219-9(d)(11)) In order to demonstrate your firm’s adherence to the requirement to maintain records that reflect your compliance with requirements and goals in the plan, describe your firm’s records maintenance procedures for locating each category of small business for use as a subcontractor:

8. Description of Good Faith Effort

Maximum practicable utilization of SB, SDB, WOSB, HUBZone, 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. Describe your firm’s commitment to making a good faith effort towards the subcontracting goals.

Template updated by SERMC on December 8, 2015