Attachment 2 - Small Business Subcontracting Plan Format.docx

ATTACHMENT 2

The following outline meets the minimum requirements of Public Law 95-507 and the Federal Acquisition Regulation (FAR) Subpart 19.7. It is intended to be a guideline. It is not intended to replace any existing corporate plan which is more extensive. Please note that the Securities and Exchange Commission’s current subcontracting goals are:

· 25% for Small Business (SB)

· 5% for Small Disadvantaged Business (SDB)

· 5% for Service Disabled Veteran-Owned Small Business (SDVOSB)

· 5% for Women-Owned Small Business (WOSB)

· 5% for a certified HUBZone Small Business (HUBZone)

· 5% Veteran-Owned small business (VOSB)

Although there is no statutory goal for Veteran-Owned small business (VOSB) concerns, a VOSB goal must be proposed in accordance with FAR 19.7 and should represent the Offeror’s effort to provide the maximum practical subcontracting opportunities for VOSBs. The VOSB goal for this RFP is 5%.

For this RFP, the SEC expects all proposed subcontracting plans to meet the above goals, at a minimum. These percentages shall be expressed as percentages of the total available subcontracting dollars.

Identification Data: _______________________________________________ Company Name:__________________________________________________ Address:_______________________________________________________ Date Prepared:_____________ Item/Service:__________________________________________________ Place of Performance:__________________________________________

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

|_| INDIVIDUAL PLAN: In this type of plan all elements are developed specifically for this contract and are applicable for the full term of this contract.

|_| MASTER PLAN: In this type of plan, goals are developed for this contract; all other elements are standard. The master plan must be approved every three (3) years. Once incorporated into a contract with specific goals, it is valid for the life of the contract.

|_| COMMERCIAL PLAN: This type of plan is used when the contractor sells products and services customarily used for non-government purposes. Plan/goals are negotiated with the initial agency on a company-wide basis rather than for individual contracts. The plan is effective only during year approved. The contractor must provide a copy of the initial agency approval, and must submit an annual SF 295 to the SEC with a breakout of subcontracting prorated for the SEC with an operating element breakdown if possible.

2. GOALS:

FAR 19.704(a)(1) requires separate dollar and percentage goals for using small business concerns, HUBZone small business concerns, small disadvantaged business concerns, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns as subcontractors for the base year and each option year. (Please note that the goals for HUBZone small business, small disadvantaged business, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns are sub-sets of the small business goal).

A. Estimated percentage and dollar value of all planned subcontracting, i.e., to all types of business concerns under this contract is:

B. Estimated percentage and dollar value of planned subcontracting to small business concerns is:

C. Estimated percentage and dollar value of planned subcontracting to HUBZone small business concerns is:

D. Estimated percentage and dollar value of planned subcontracting to small disadvantaged business concerns is:

E. Estimated percentage and dollar value of planned subcontracting to small women-owned business concerns is:

F. Estimated percentage and dollar value of planned subcontracting to veteran-owned small business concerns is:

G. Estimated percentage and dollar value of planned subcontracting to service disabled veteran-owned small business concerns is:

H. Supplies and/or services to be subcontracted under this contract, business size (i.e., SB, HUBZone, SDB, WOB, VOSB, SDVOSB, and LB), and the estimated percentages, are: (Check all that apply).

SUPPLY/ COMPANY BUSINESS SIZE PERCENTAGE

VOSB, SDVOSB, LB)

(Attach additional sheets if necessary.)

I. Explain the methods used to develop the subcontracting goals for small, HUBZone small business, small disadvantaged, women-owned small business, veteran-owned small business, and service disabled veteran-owned small business concerns. Explain how the product and service areas to be subcontracted were established, how the areas to be subcontracted to small, HUBZone small business, small disadvantaged, women-owned small, veteran-owned small business, and service disabled veteran-owned small businesses were determined, and how the capabilities of small, HUBZone small, small disadvantaged, women-owned small, veteran-owned and service disabled veteran-owned small businesses were determined. Identify all source lists used in the determination process.

K. If indirect and overhead costs HAVE BEEN included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to small, HUBZone small, small disadvantaged, women-owned small, veteran-owned, and service disabled veteran-owned small business concerns.

3. PLAN ADMINISTRATOR:

FAR 19.704(a)(7) requires information about the company employee who will administer the subcontracting program. Please provide the name, title, address, phone number, position within the corporate structure and the duties of that employee.

Name:_________________________________ Title:__________________________________ Address:_______________________________ Telephone:_____________________________ Fax:__________________________________ Email:________________________________ Position Title:__________________________

Duties: Does the individual named above perform the following? (If NO is checked, please indicate who in the company performs those duties, or indicate why the duties are not performed in your company).

4. EQUITABLE OPPORTUNITY

FAR 19.704(a)(8) requires a description of the efforts your company will make to ensure that small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns will have an equitable opportunity to compete for subcontracts. (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 (ProNet)

B. Internal efforts to guide and encourage purchasing personnel:

|_| Presenting workshops, seminars and training programs |_| Establishing, maintaining and using small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business source lists, guides and other data for soliciting subcontracts |_| Monitoring activities to evaluate compliance with the subcontracting plan

C. Additional efforts: (Please describe.)

5. CLAUSE INCLUSION AND FLOW DOWN

FAR 19.704(a)(9) requires that your company include FAR 52.219-8, "Utilization of Small Business Concerns", in all subcontracts that offer further subcontracting opportunities. Your company must require all subcontractors, except small business concerns, that receive subcontracts in excess of $650,000 ($1.5M for construction of any public facility with further subcontracting possibilities) to adopt and comply with a plan similar to the plan required by FAR 52.219-9, "Small Business Subcontracting Plan."

Your company agrees that the clause will be included and that the plans will be reviewed against the minimum requirements for such plans. The acceptability of percentage goals for small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business concerns must be determined on a case-by-case basis depending on the supplies and services involved, the availability of potential small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business subcontractors and prior experience. Once the plans are negotiated, approved, and implemented, the plans must be monitored through the submission of periodic reports, including Standard Form (SF) 294 and (SF) 295 reports.

6. REPORTING AND COOPERATION

FAR 19.704(a)(10) requires that your company (1) cooperate in any studies or surveys as may be required; (2) submit periodic reports which show compliance with the subcontracting plan; (3) submit the "Individual Subcontracting Report (ISR)" and "Summary Subcontract Report" (SSR) in accordance with the instructions on the forms; and (4) ensure that subcontractors agree to submit ISR and SSR. Reporting will be done via the Electronic Subcontract Reporting System (eSRS) at http://www.esrs.gov. The cognizant Contracting Officer and OSDBU at SEC must receive the report(s) within 30 days after the close of each calendar period. That is:

04/01--09/30 ISR 10/30 Contracting Officer

10/01--09/30 SSR 10/30 OSDBU

7. RECORDKEEPING

FAR 19.704(a)(11) requires a list of the types of records your company will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. (Check all that apply.) (If NO is checked, please indicate why these types of records are not maintained).

G. Other records to support your compliance with the subcontracting plan: (Please describe)

8. TIMELY PAYMENTS TO SUBCONTRACTORS

FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of amounts due pursuant to the terms of your subcontracts with small business concerns, HUBZone small business concerns, small disadvantaged business concerns, women-owned small business concerns, veteran-owned small business concerns, and service disabled veteran-owned small business concerns.

Your company has established and uses such procedures:

|_| YES |_| NO

9. DESCRIPTION OF GOOD FAITH EFFORT

Maximum practicable utilization of small, HUBZone small, small disadvantaged women-owned small, veteran-owned small, and service disabled veteran-owned small business 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. In order to demonstrate your compliance with a good faith effort to achieve the small, HUBZone small, small disadvantaged, women-owned small, veteran-owned small, and service disabled veteran-owned small business subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with the Contracting Officer prior to approval of the plan.

10. SIGNATURES REQUIRED

This subcontracting plan was SUBMITTED by:

Signature: __________________________________________________ Typed Name:

Title:

Date:

This subcontracting plan was REVIEWED by:

Signature: __________________________________________________ Typed Name:

Title: Contracting Officer Date:

This subcontracting plan was REVIEWED by:

Signature: __________________________________________________ Typed Name Title: Small Business Specialist Date:

This subcontracting plan was REVIEWED by:

Signature: __________________________________________________ Typed Name:

Title: Small Business Administration Representative Date:

This subcontracting plan was ACCEPTED by:

Signature: __________________________________________________ Typed Name:

Title: Contracting Officer Date:

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