SERDP-ESTCP Projects Small Business Subcontracting Plan Template Updated 10-7-2025.docx

SUBCONTRACTING PLAN

Company Name:

Cage Code:

SAM UEI:

Tax ID #:

Address:

Date Prepared:

Solicitation #:

Contract #:

NAICS Code:

Period of Performance:

TYPE OF PLAN:

xx

*The term Small Business Concerns covers Small Disadvantaged (including ANCs and Indian tribes), Veteran Owned, Service-Disabled Veteran Owned, Woman Owned, Economically Disadvantaged Woman Owned, and Historically Underutilized Business Zone Small Business.

1. Subcontracting Goals (FAR 52.219-9(d)(1), FAR 52.219-9(d)(2)(ii-vii)):

Subcontracts awarded to an ANC or Indian Tribe counted towards the subcontracting goals for small business and small disadvantaged business concerns, regardless of the size or Small Business Administration certification status of the ANC or Indian tribe? Total subcontracted dollars and subcontracting percentage goals as compared to SUBCONTRACTED DOLLARS ONLY for the complete period of performance.

Small Business (SB)*

Small Disadvantage Business (SDB)

Women Owned Small Business (WOSB)

Veteran Owned Small Business (VOSB)

Service Disabled Veteran Owned Small Business (SDVOSB)

HUBzone Small Business

Historically Black College & Minority Owned Small Business (HBCU & MI)*-

2. SB Commitment Goals FAR 52.219-9(d)(1)

Total dollars planned to be subcontracted to the following to include percentage of TOTAL CONTRACT VALUE for the complete period of performance:

Small Business (SB)*

Small Disadvantage Business (SDB)

Women Owned Small Business (WOSB)

Veteran Owned Small Business (VOSB)

Service Disabled Veteran Owned Small Business (SDVOSB)

HUBzone Small Business

Historically Black College & Minority Owned Small Business (HBCU & MI)

3. DESCRIPTION OF PRODUCTS/SERVICES FAR 52.219-9(d)(3)(i-vi):

A description of ALL Supplies/Services to be subcontracted under this contract are as follows:

(Other than Small, Small, Small Disadvantaged, Veteran Owned, Service Disabled Veteran Owned, Woman Owned, Economically Disadvantaged Woman Owned, Historically Underutilized Business Zone Small Business, HBCU/MI)

4. DESCRIPTION OF THE METHOD USED TO DEVELOP SUBCONTRACTING GOALS FOR SB AND SB CONCERNS FAR 52.219-9(d)(4): Comment by Richard, Danielle K CIV USARMY CEHQ (USA): Please provide a brief description

5. POTENTIAL SOURCES FOR SOLICITATION FAR 52.219-9(d)(5):

The method used to identify potential sources for solicitation is as follows:

To determine potential small business vendors to meet these needs, all current small and targeted business vendors with accounts with the University of Minnesota U-Wide program were identified. In addition, keywords from the proposal, as well as keywords from the laboratory’s list of prior purchases were cross-listed with the dynamic Small Business Administration database (DSBS – Dynamic Small Business Search; https://web.sba.gov/pro-net/search/dsp_dsbs.cfm) as well as Veteran owned small business search; https://veterans.certify.sba.gov/#search, and SBA HUBZone Map. A list of potential vendors was identified (including SB, SDB, WOSB, VOSB, SDVOSB, HUBZone, and Minority Owned businesses). In addition, the key online marketplace for commonly purchased goods at the University of Minnesota, “U Market”, identifies Small and Targeted businesses (https://umarket.umn.edu/targeted-suppliers), including Innovative Office and Neta Scientific. This is a part of the University of Minnesota’s larger effort to establish and implement use of targeted business, community economic development and small business programs for the university. From here, each vendor and their products/services were examined in detail to determine if they would meet the needs of the proposed work, reducing the list to the list of small businesses provided above.

6. INDIRECT COST FAR 52.219-9(d)(6):

Indirect and overhead costs _____HAVE / X HAVE NOT been included in the subcontracting goals.

If, “HAVE been” is selected above provide a description of the method used to determine the proportionate share of indirect costs to be incurred with the Small Business Concerns

7. PROGRAM ADMINISTRATOR FAR 52.219-9(d)(7):

This individual is employed by our company and will be the administrator of our Subcontracting Program:

The Program Administrator’s duties are as follows FAR 52.219-9(d)(7):

The Sponsored Financial Reporting (SFR) office at the University of Minnesota will monitor and maintain records of small business purchases, and submit required reports, such as the Individual Subcontract Report and the Summary Subcontract Report.

In addition to the program administrator, the PI and the departmental accounting office will continue to identify potential small business subcontractor options based on research needs and deliverables of project, provide a kickoff project meeting to advise research team on small business suppliers to use based on task needs, and provide periodic reminders to the team to ensure businesses are utilized as planned when purchasing supplies. The list of potential SB vendors will also be regularly maintained by the PI and updated as needed.

8. OPPORTUNITIES FOR SUBCONTRACTING FAR 52.219-9(d)(8) See 19.202-1:

The efforts that will be made to ensure that Small Businesses and Small Business Concerns have an equitable opportunity to compete for subcontracts are detailed below. The Subcontracting Program Administrator’s has the 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 including ensure efforts for equitable opportunity for competing for subcontracts and performs the following duties:

Yes

No*

Description x

(a) Develop and promote 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 assures that these concerns are included on the source lists for solicitations for products and services they are capable of providing x

(b) Develop and maintain bidder source lists of SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns from all possible sources x

(c) Ensures periodic rotation of potential subcontractors on bidder’s lists x

(f) Ensures 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.

x

(g) Ensures that Requests for Proposals (RFPs) are designed to permit the maximum practicable Participation of SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns x

(h) Reviews subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB participation x

(i) Accesses various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns to include the SBA’s PRO-Net and SUB-Net Systems, (http://www.sba.gov), the National Minority Purchasing Council Vendor Information Service, the Office of Minority Business Data Center in the Department of Commerce, local small business and minority associations, contact with local chambers of commerce and Federal agencies’ Small Business Offices x

(j) Establishes and maintains contract and subcontract award records x

(k) Participates in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc x

(l) Ensures 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 x

(m) Conducts or arranges for the conduct of training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act, as amended.

x

(n) Monitors the company’s subcontracting program performance and makes any adjustments necessary to achieve the subcontract plan goals x

(o) Prepares and submits timely, required subcontract reports x

(p) Coordinates the company’s activities during the conduct of compliance reviews by Federal agencies

Additional efforts are as follows:

The University of Minnesota’s Board of Regents Policy on Targeted Business, Community Economic Development, and Small Business Programs can be found here:

https://regents.umn.edu/sites/regents.umn.edu/files/2021- 08/policy_targeted_business_community_economic_development_and_small_business_programs.pdf

9. STATEMENT OF FLOW DOWN:

x

(a) Clause 52.219-8 Utilization of Small Business Concerns will be included in all subcontracts that offer further subcontracting opportunities.

FAR 52.219-9(d)(9) x

(b) All subcontractors (except small businesses) that receive subcontracts more than $900,000 ($2 Million for Construction) will be required to adopt a plan that complies with the requirements of the clause at 52.219-9 Small Business Subcontracting Plan.

FAR 52.219-9(d)(9)

10. Assurances The University of Minnesota provides/agrees to/will comply with the following assurances:

x Assurances:

i. FAR 52.219-9(d)(1)(i) Are subcontracts awarded to an ANC or Indian Tribe Counted towards the subcontracting goals for small Business and small disadvantaged business concerns, regardless of the size or Small Business Administration certification status of the ANC or Indian tribe?

FAR 52.219-9(d)(1)(ii)

(A) In most cases, the appropriate Contractor is the Contractor that awarded the subcontract to the ANC or Indian tribe.

(B) If the ANC or Indian tribe designates more than one Contractor to count the subcontract toward its goals, the ANC or Indian tribe shall designate only a portion of the total subcontract award to each Contractor. The sum of the amounts designated to various Contractors cannot exceed the total value of the subcontract.

(C) The ANC or Indian tribe shall give a copy of the written designation to the Contracting Officer, the prime xContractor, and the subcontractors in between the prime Cxontractor and the ANC or Indian tribe within 30 days of the date of the subcontract award.

(D) If the Contracting Officer does not receive a copy of the ANC’s or the Indian tribe’s written designation within 30 days of the subcontract award, the Contractor that awarded the subcontract to the ANC or Indian tribe will be considered the designated Contractor.

FAR 52.219-9(d)(10)(i)

FAR 52.219-9(d)(10)(ii)

FAR 52.219-9(d)(10)(iii)

xx x x x

vi. The ISR shall be submitted semi-annually during contract performance for the periods ending March 31 and September 30.

vii. A report is also required for each contract within 30 days of contract completion.

viii. Reports are due 30 days after the close of each reporting period, unless otherwise directed by the contracting officer.

ix. 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.

x. When a contracting officer rejects an ISR, contractor is required to submit a revised ISR within 30 days of receiving the notice of the ISR rejection

FAR 52.219-9(d)(10)(vi)

FAR 52.219-9(d)(10)(vii)

If no is selected, please provide alpha-number and explanation below:

11. TYPES OF RECORDS THAT WILL BE MAINTAINED:

The University of Minnesota assures to:

A description of the types of records that will be maintained concerning the procedures adopted to comply with the requirements and goals in this plan, including establishing source lists; and a description of our efforts to locate small businesses, and small business concerns and to award subcontracts to them.

x

Maintain source lists (e.g., SAM), 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 FAR 52.219-9(d)(11)(i) x

Maintain records of 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 FAR 52.219-9(d)(11)(ii) x

Maintain records on each subcontract solicitation resulting in an award of more than the simplified acquisition threshold whether each small business category (small business, veteran-owned small business, service- disabled veteran-owned small business, HUBZone small business, small-disadvantaged business, and women-owned small business concerns as subcontractors) was solicited and, if not, why not FAR 52.219-9(d)(11)(iii)(A)-(F) x

Maintain records of the reason award was not made to a small business concern for solicitations over the simplified acquisition 750? FAR 52.219-9(d)(11)(iii)(G) x

Maintain records of outreach efforts to contact trade associations FAR 52.219-9(d)(11)(iv)(A) x

Maintain records of outreach efforts to contact business development organizations. FAR 52.219-9(d)(11)(iv)(B) x

Maintain records of outreach efforts to contact conferences and trade fairs to locate small, HUBZone small, small disadvantaged, service-disabled veteran-owned, and women-owned small business sources. FAR 52.219-(d)(11)(iv)(C) x

Maintain records of outreach efforts to contact veterans’ service organizations FAR 52.219-9(d)(11)(iv)(D) x

Maintain records of internal guidance and encouragement provided to buyers through workshops, seminars, training, etc. FAR 52.219-9(d)(11)(v)(A) x

Maintain records of internal guidance and encouragement provided to buyers through monitoring performance to evaluate compliance with the program’s requirements. FAR 52.219-9(d)(11)(v)(B) x

Maintain records on a contract-by- contract basis, records to support award data submitted by the offeror to the Government, including the name, address, and business size of each subcontractor (not required for commercial plans). FAR 52.219-9(d)(11)(vi)

Other Assurances:

12. The University of Minnesota assures to 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 the was 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. An offeror used a small business concern in preparing the bid or proposal if:

i. 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 contract; or

ii. 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 FAR 52.219-9(d)(12) (i) and (ii)

13. The University of Minnesota assures to 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 (a)(12) of this section. This written explanation will be submitted to the contracting officer within 30 days of contract completion

14. The University of Minnesota assures 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; and

15. The University of Minnesota will pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract and shall notify the contracting officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor (see 52.242-5).

Preparer of the Subcontracting Plan

Signature:___________________________________________

Date: (type here)

Name: (type here)

Title: (type here)

Telephone# (type here)

Email Address: (type here)

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