Small Business Subcontracting Plan Sample.pdf

W9128A24R0007

Section 00 22 16, Attachment C – 1

Attachment C

SAMPLE SMALL BUSINESS SUBCONTRACTING PLAN

CONTRACTOR: ___________________________________

ADDRESS: ____________________________________

PHONE: (______) ____________________________

UEI NO.: ____________________________________

SOLICITATION OR CONTRACT NUMBER: _______________________________

DESCRIPTION: ________________________________________________________

* Federal Acquisition Regulation (FAR), paragraph 19.708(b)(1)) prescribes the use of the clause at FAR 52.219-9 entitled "Small Business Subcontracting Plan." The following is a suggested model for use when formulating such subcontracting plan. While this model plan has been designed to be consistent with FAR 52.219-9, other formats of a subcontracting plan may be acceptable. However, failure to include the essential information as exemplified in this model may be cause for either a delay in acceptance or the rejection of a bid or offer where the clause is applicable.

Further, the use of this model is not intended to waive other requirements that may be applicable under FAR 52.219- 9 or that may appear in the Government’s solicitation. "SUBCONTRACT," as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a federal government prime contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract.

1. The information herein provided, together with any attachments and subsequent amendments, is submitted as a subcontracting plan to satisfy the applicable requirements of P.L. 99-661 Section 1207, P.L. 100-180 Section 806, and FAR 52.219-9, Alternate II (Nov 2016). Attached is a copy the company’s policy statement or internal guidance to company buyers recognizing understanding and commitment to the aforementioned public laws.

2. The following is a list of separate percentage goals for using small business (including Alaska Native Corporations (ANCs) and Indian tribes), veteran-owned small business (VOSB), service-disabled veteran-owned small business (SDVOB), HUBZone small business (HUBZone), small disadvantaged business (SDB)(including ANCs and Indian tribes), and women-owned small business (WOSB) concerns, and historically black colleges and universities and minority serving institutions where applicable as subcontractors.

3. The following is 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, as a percentage of total subcontract dollars. For individual subcontracting plans only, a contracting officer may require the goals referenced in item #2 of this section to be calculated as a percentage of total contract dollars, in addition to the goals established as a percentage of total subcontract dollars. (The following table is an example.)

Section 00 22 16, Attachment C – 2

Total Planned Subcontracting dollars under this contract estimated to go to SB Categories listed below:

Amount Percent

a. All types of business concerns under this contract (Large and small) $100,000.00 50%

b. Total dollars planned to be subcontracted out $71,000.00 71%

c. Small Business Concerns [including American Native Corporations

(ANC) and Indian tribes]. (% of “a”) $18,000.00 33.9%

d. Veteran-Owned Small Business Concerns (% of “a”) $4,000.00 5.9%

e. Service-Disabled Veteran-Owned Small Business Concerns. (% of “a”) $4,000.00 5.9%

f. HUBZone Business Concerns. (% of “a”) $10,000.00 16.3%

g. Small Disadvantaged Business Concerns (including ANCs and Indian tribes). (% of “a”) $17,000.00 31.4%

h. Women-owned Small Business Concerns. (% of “a”) $18,000.00 33.9%

Option Years: (State the goals for the option years. If the same percentages will be used, state, “Same percentages as noted above will be used for each option year.” If there are no option years, leave this portion out of your plan.)

4. The following is a statement of the principal types of supplies and services to be subcontracted and the 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, as a percentage of total subcontract dollars. (The following table is an example.)

Provide listing of subcontractors, contact information such as phone number or email address, their business size, type of work, and amount to be subcontracted. For example:

Contractor Contract info Size Type of Work Amount Percent S&S Sampling (999)555-5555 SB Soil Drilling $5,000 5% ABC Testing abc@dot.com SDB Material testing $15,000 15% XYZ Consultants (999)444-4444 WOSB Civil Engineering $7,500 7.5% John Doe Surveying (000)333-3333 HUBZone Survey $15,000 15% ACME Plumbing acme@dot.com SDB and

VOSB

Plumbing $8,250 8.2%

Ace Equipment ace@dot.com SDVOSB and VOSB

Equipment Rental $5,000 5%

AAA Electrical Supplier aaa@dot.net VOSB Electrical Supplies $12,000 12%

5. The method used to develop the subcontracting goals. (FAR 19.704(a)(4)). Provide information on how the subcontracting goals were developed. i.e., vendor listing, General Contractors’ Association, past experience with subcontractors, etc.

6. The method used to identify potential sources for solicitation purposes involve:

List sources of potential subcontractors. For example: SBA’s PRO-Net database, Corps of Engineers’ vendor listing, General Contractors’ Association, past experience and/or familiarity with specific subcontractors, etc.

7. Within the goals specified in paragraph 2 above, indirect costs are or are not included.

(A statement as to whether or not indirect costs are included in establishing subcontracting goals, and if indirect costs are included, a description of the method used to determine the proportionate share of indirect costs to be incurred with (i) small business (including ANCs and Indian tribes), (ii) Veteran-owned; (iii) Service-disabled veteran owned; (iv) HUBZone; (v) Small disadvantaged (including ANCs and Indian tribes); (vi) women-owned business concerns).

NOTE: COMMERCIAL PLANS MUST INCLUDE INDIRECT COSTS.

Section 00 22 16, Attachment C – 3

8. The following individual will administer the subcontracting program:

Name: __________________________________

Title: __________________________________

Address: __________________________________

Telephone: (_______)_________________________

FAX: (_______)_________________________

The duties of the above named person(s) involve:

a. 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.

b. 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.

c. 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.

d. Confirm that a subcontractor representing itself as a HUBZone small business concern is certified by SBA as a HUBZone small business concern in accordance with 52.219-8(d)(2).

e. 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.

f. For all competitive subcontracts over the simplified acquisition threshold in which a small business concern received a small business preference, upon determination of the successful subcontract Offeror, prior to award of the subcontract the Contractor must inform each unsuccessful small business subcontract Offeror in writing of the name and location of the apparent successful Offeror and if the successful subcontract Offeror is a small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, or women-owned small business concern.

g. Assign each subcontract the NAICS code and corresponding size standard that best describes the principal purpose of the subcontract.

h. Develop and maintain subcontractor and supplier lists of small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns.

i. Monitor the progress toward proposed subcontracting goals, and if necessary, makes adjustments to achieve the subcontracting goals.

j. Prepare and submit periodic subcontracting reports to include the Individual Subcontract Report (ISR) and the Summary Subcontract Report (SSR) using the Electronic Subcontracting Reporting System (eSRS) at www.esrs.gov following the instructions in the eSRS and FAR clause 52.219-9.

k. Notify the Contracting Officer of any deviation from this subcontracting plan.

l. Attend or arrange for the attendance of company counselors at Business Opportunity Workshops, Minority

Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc.

m. Oversee the establishment and maintenance of contract and subcontract award records.

n. Prepare and submit timely, required subcontract reports.

o. Coordinate the company’s activities during the conduct of compliance reviews by Federal agencies.

p. Other duties: ________________________________________________________________

Section 00 22 16, Attachment C – 4

9. The following outreach efforts will be taken to assure 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 will have an equitable opportunity to compete for subcontracts:

Provide description of your outreach efforts. For example:

a. Sources will be identified from the Small Business Administration’s PRO-Net database.

b. Sources will be requested from business development organizations such as the Chamber of Commerce and Regional Minority Development Councils.

c. Participation in small business trade fairs

10. The Offeror agrees that the clause in this contract entitled “Utilization of Small Business Concerns” will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors (except small business concerns) who receive subcontracts in excess of $750,000 for supplies or services or greater than $1,500,000 for construction will be required to adopt and comply with a subcontracting plan similar to this one as required by FAR 52.219-9, “Small Business Subcontracting Plan.” The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies or services involved, the availability of potential 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 subcontractors, and prior experience. (Flow-down of the subcontracting plan requirement is not applicable to subcontracts for commercial items in contracts that contain either FAR 52.212-5(e) or FAR 52.244-6(c).)

11. The Offeror agrees to:

a. Cooperate in any studies or surveys as may be required.

b. Submit periodic reports in order to allow the Government to determine the extent of compliance by the

Offeror with the subcontracting plan.

c. Include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contract intended for use by multiple agencies;

d. Submit on a semi-annual basis for the periods ending March 31 and September 30, within 30 days after the close of each reporting period the Individual Subcontract Report (ISR) and the Summary Subcontract Report (SSR) using the Electronic Subcontracting Reporting System (eSRS) at www.esrs.gov following the instructions in eSRS and FAR Clause 52.219-9 in accordance with the instructions of the administering contracting office, or provide other ancillary reports as requested by the Contracting Officer or Small Business Office Submit a completed report within 30 days after contract completion.

e. Ensure that its subcontractors agree to submit ISR and/or SSR using eSRS, if applicable.

f. Provide its prime contract number and UEI number, and e-mail address of the official responsible for acknowledging receipt of or rejecting the ISRs, to all first-tier subcontractors with subcontracting plans in order to enter the information into the eSRS when submitting ISRs; and

g. Require each subcontractor with a subcontracting plan provide the administer of this subcontracting plan, the prime contract number, its UEI number, and e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans.

12. The Offeror agrees to maintain the following types of records to demonstrate compliance with this subcontracting plan and its goals, including:

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, guides, and other data that describe the Offeror’s efforts to locate 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.

b. 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.

c. Organizations contacted in attempt to location sources that are small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns.

Section 00 22 16, Attachment C – 5

d. Records on each subcontract resulting in award of more than $250,000, indicating:

(1) Records on each subcontract solicitation resulting in an award of more than the simplified acquisition threshold, indicating A. Whether a small business concerns were solicited and if not, why not;

B. Whether a veteran-owned small business concerns were solicited and if not, why not;

C. Whether a service-disabled veteran-owned small business concerns were solicited and if not, why not;

D. Whether a HUBZone small business concerns were solicited and if not, why not;

E. Whether a small disadvantaged business concerns were solicited and if not, why not;

F. Whether a women-owned small business concerns were solicited and, if not, why not.

G. If applicable, the reason award was not made to a small business concern.

e. Records of any outreach effort to contact

(1) Trade associations;

(2) Business development organizations;

(3) Conferences and trade fairs to locate small, HUBZone, small business, small disadvantaged, service-disabled veteran-owned, and women-owned small business sources; and

(4) Veterans service organizations.

f. Records of internal guidance and encouragement provided to buyers through:

(1) Workshops, seminars, training, etc., and

(2) Monitoring performance to evaluate compliance with the program’s requirements.

g. 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.

13. 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 the Offeror 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;

14. 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 items 3 and 4 of this section. This written explanation will be submitted to the contracting officer within 30 days of contract completion.

15. 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; and;

16. Assurances that the Offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the subcontract, and notify the contracting officer if the Offeror pays a reduced or an untimely payment to a small business subcontractor (see 52.242-5).

Section 00 22 16, Attachment C – 6

This subcontracting plan was submitted by:

(Must be a company official with authority to contractually obligate the company.)

Signed: ___________________________________

Date: ___________________________________

Typed Name: ___________________________________

Title: ___________________________________

Phone Number: ___________________________________

Agency Small Business Review:

Typed Name: ___________________________________

Signed: ___________________________________ Date Reviewed: ________________ Deputy for Small Business

U. S. Small Business Administration Review1:

Typed Name: ___________________________________

Signed: ___________________________________ Date Reviewed: ________________ Procurement Center Representative

Small Business Administration

Contracting Officer Approval:

Typed Name: ___________________________________

Signed: ___________________________________ Date Reviewed: ________________ Contracting Officer

1 By statute, SBA does not approve or disapprove a subcontracting plan; rather, SBA’s comments are advisory, and the contracting officer approves or disapproves the plan.