Amend_1_ES_Competitive_RFP_SOL-519-16-000004.pdf

SOL-519-16-000004

EL SALVADOR COMPETITIVE PROJECT

Amendment 1

General:

1) On page 41, Section F, DELIVERABLES OR PERFORMANCE, F1.1 Reports Submittal, last bullet is deleted in its entirety and substituted with the following:

Upon the call of the COR, Contractor may be required to translate named (Exhibit A) report(s) from English to Spanish, for five-years of performance. Distribution for the translated report is the same as for its parent English report.

2) On Page 168, Section K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER

STATEMENT OF BIDDERS, is hereby being modified to ADD the following:

K.13 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

The Offeror has reviewed the solicitation (Sections B through J of which will become the contract) and [ ] agrees to the terms and conditions set forth therein; or [ ] has the following exceptions (continue on a separate attachment page, if necessary):

K.14 AUTHORIZED NEGOTIATORS

The Offeror represents that the following persons are authorized to negotiate on its behalf with

USAID in connection with this request for proposals (list names, titles, and telephone numbers of the authorized negotiators).

Name Title Telephone Number

K.15 SIGNATURE

By signature hereon, or on an offer incorporating these Representations, Certifications, and

Other Statements of Offerors, the Offeror certifies that they are accurate, current, and complete, and that the Offeror is aware of the penalty prescribed in 18 U.S.C. 1001 for making false statements in offers.

Solicitation No._________________________________

Offer/Proposal No._______________________________

Date of Offer____________________________________

Name of Offeror_________________________________

Typed Name and Title_____________________________

Signature _________________________ Date________

3) On Page 178, Section L, L.7 PROPOSAL SUBMISSION, (d) is deleted in its entirety and substituted with the following:

(d) Number of hard copies. 1 (one) hard copy of the cost proposal must be delivered one week later by June 2, 2016 at 4:00 p.m. local time to the following address:

USAID/El Salvador

Regional Office of Acquisition and Assistance

Attn: Natalie Thunberg

Urb. y Blvd Santa Elena Sur

Antiguo Cuscatlán, La Libertad

El Salvador

Technical Proposal: N/A. Only electronic submissions

4) On Page 180, Section L, L.8 INSTRUCTIONS FOR THE PREPARATION OF THE

TECHNICAL PROPOSAL, (a) General, No. (5) Is hereby deleted in its entirety and substituted with the following:

(5) Additional Annexes to Technical Proposal:

Annex A: Executive Summary (1 page);

Annex B: Draft 1st Year Work Plan (including Time-line);

Annex C: CVs (3-page limit per resume)

Annex D: Table for Prime and Major Subcontractors

Annex E: SF 294 Subcontracting Reports

Annex F: Past Performance Information

Annex G: Sub-Contracting Plan (template attached)

Annex H: Monitoring and Evaluation Plan and matrix (5 pages)

Annex I: Sustainability Plan (2 pages)

5) On Page 182, Section L, L.9-INSTRUCTIONS FOR THE PREPARATION OF THE COST

PROPOSAL (b) instructions, the word CLIN is deleted throughout this section and substituted with the word LINE ITEM.

6) On Page 149, Section J, LIST OF DOCUMENTS, EXHIBITS AND OTHER

ATTACHMENTS, List of Website Links; is hereby amended to add the following:

National Policy for Development, Diversification and Productive Transformation.

http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador

7) On Page 151, Section J, ATTACHMENTS, is amended to add the following:

ATTACHMENT J.7: Subcontracting Plan Template

8) In response to questions received, from potential offferors, please find USAID/El Salvador’s responses on Annex A to this RFA Amendment 1:

http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador

ANNEX A- QUESTIONS AND ANSWERS

1) Under a CPFF completion type-contract, the fixed fee is paid monthly, however the inclusion of clauses B.10 and L.9 xiii implies that fee under this contract will be paid on a payment schedule. Can USAID please confirm how the fixed fee will be paid under the contract?

ANSWER:

Payment of Fixed Fee will be paid on a payment schedule (See FAR 16.306(d) Cost Plus

Fixed Fee); per Section B.10 in the RFP the Contractor must submit a Fixed Fee payment schedule in accordance with FAR 52.216-8 Fixed Fee.

2) Section C.5.9 Grants Under Contracts states that USAID will provide up to $11 million for grants under contracts to support two initiatives. Would USAID confirm that the contractor can propose grants in addition to this $11 million grants pool for other types of initiatives?

No, the contractor may not propose grants in addition to the $11 million ceiling.

3) Section C6.2.2 Required Qualifications for the Deputy Chief of Party USAID notes that a

Master’s Degree is required for this position. May we substitute years of experience for a

Master's Degree for the DCOP position?

No, a Master’s Degree is required for the COP and DCOP positions.

4) In Section F1.1 Reports Submittal, the contractor may be required to translate report(s) from English to Spanish, reimbursable up to a ceiling of $5,000.00 for five- years of performance. Based on our experience, this figure may be low over five- years of performance. Can USAID confirm that most reports will not be translated into Spanish?

The $5,000.00 has been deleted from Section F 1.1 and the RFP amended accordingly.

5) Section C.3.1.1.2, page 17: Expected results include, "at least two additional

CDMYPES.... MSMEs benefitted by the two CDMYPES will have to increase new sales by at least five percent during the first year." Would USAID please confirm that the sales increase will occur in the first year after the new CDMYPES are incorporated, which may not necessarily mean that the sales increases occur in the first year of the El Salvador

Competitive project?

Yes, the MSMEs 5 percent sales increase will have to occur after the first year of assistance provided by the new CDMYPE. There should be a baseline measured on sales of MSMEs before they receive assistance from the new CDMYPE.

6) Section C.6, page 31: Could USAID please clarify if an offeror is required to submit the language proficiency certificate for key personnel as part of the proposal, as it is not mentioned on page 182 under the Personnel and Management Plan?

No, offerors are not required to submit the language proficiency certificate for key personnel. However, as stated in section H.1, page 55, USAID reserves the right to test language proficiency of key personnel proposed.

7) Section C3.2.1, p20 - Are there any types of limitations on working with state owned financial institutions (e.g. Banco Hipotecario and Bandesal) under Objective 2

Component 1 Access to Finance? If so, can USAID please provide guidance?

There are no limitations; Banco Hipotecario is a commercial bank and provides direct lending to MSMEs, but BANDESAL is a second tier bank (development bank) and does not provide direct lending to MSMEs. Offerors will also have to consider that USAID cannot provide guarantees to government banks under the Development Credit Authority

(DCA)

8) Section 3.2.2, p.21: The Grants Fund established under Component 2 is described as being established “to provide up to $10 million to non-US NGOs allied with municipalities to help municipal competitiveness committees..."? Would USAID consider expanding the purpose of this Grants Fund to also include grants (either in cash or in kind) directly to municipalities?

No, in accordance with the approvals provided in ADS 303; this project only contemplates providing GUC’s to Non-government organizations (NGOs.)

9) Section C.6, p.31 – For qualifications for the COP and DCOP, would USAID consider equivalent experience in lieu of a Master’s Degree?

No, a Master’s Degree is required for the COP and DCOP positions.

10) Section L.8(a), p.180: Would USAID please confirm that offerors do not need to submit

Annex A: Executive Summary twice, i.e. first at the opening to the Technical Approach, and then also in the Annexes as Annex A?

The Executive Summary (1 page) has to be submitted only once in Annex A

11) Section L.3. (7) (d), page 174.: USAID states that “Proposals in response to this solicitations will be valid for the number of days specified on the solicitation cover sheet”, however USAID does not give the expiration on the cover. Could USAID please clarify what the proposal validity is for this solicitation?

The RFP does not include an offer expiration date, the offeror can propose one.

12) Section L.8. (a), page 180: The Executive Summary (one page): Section L has this listed in two locations, one within the technical outline and again under annexes. May offerors place it as an unnumbered page preceding the Technical Approach?

ANSWER

The Executive Summary (1 page) has to be submitted only once in Annex A, please note that Section L.8 states: (1) Executive Summary (1 page, counted as Annex A)

13) Section L.8. (a), page 180: Annex G Subcontracting Plan - is this the small business subcontracting plan? If so, would this belong in the cost proposal, rather than in the technical proposal? If it is meant as a more general explanation of subcontracting arrangements and roles and responsibilities, please clarify how this differs from the table requested in Annex D.

The Subcontracting Plan must be submitted as part of the Technical Proposal- Annex G per Section L.8

14) Section L.8. (a), page 180: Annex C. CVs are these requested only for Key Personnel or for all named long-term professional personnel? Does the 3-page limit to individual CVs apply to non-key long term professional personnel or just to key personnel?

CVs are required only for Key Personnel

15) Section L.8. (a), page 180: (4) Contractor Performance Information (counted as Annex F) please clarify where this is to be placed. Is it to immediately follow the Personnel and

Management Plan and precede all other annexes to the technical proposal (placing them out of alphabetical order) or is it to follow Annex E and precede Annex G?

Contractor Performance Information (Annex F) shall be included following Annex E and before Annex G.

16) Section L.8. (a) page 180: Could USAID please describe and clarify what information is anticipated from an offeror to provide under the technical proposal Annex D: Table for

Prime and Major Subcontractors?

Annex D: Table for Prime and Major Contractors shall include three columns with the next information: 1) organizations proposed, 2) description of capabilities and key experience, and 3) their role in the El Salvador Competitive Project.

17) Section L.8. (2) page 181: At the end of the 2 nd paragraph under (2) Technical Approach, USAID asks that an offeror provide the first-year work plan outline with specific and clear objectives and target outcomes, while on page 180 under the Section L.8.(a), Draft st Year Work Plan including timeline is the Annex B. Could USAID please confirm the draft 1 st year work plan is an annex and should not be part of the technical approach 28 page limit?

Draft 1 st Year Work Plan shall be included only in Annex B and will not be counted in the 28 page limit.

18) Section L.8. (2) page 181: Under the technical approach, USAID asks bidders to submit a sustainability plan (2 pages) and a monitoring and evaluation plan and matrix (5 pages), which are not listed in the annexes on page 180 under the Section L.8.(a). Please confirm these two narratives are annexes and are not included in page limit for the technical approach.

Two Annexes have been added in Section L.8 and reflected in RFP amendment No. 1:

Annex H: Monitoring and Evaluation Plan and matrix (5 pages)

Annex I: Sustainability Plan (2 pages)

19) Section L.8. (3) page 182: Could USAID please confirm key personnel LOCs are not included in 3-page limit CVs?

Key Personnel Letters of Commitment (LOCs) are in addition to the three-page CV’s.

20) Section L.8. (3) page 182: The last sentence of the 2 nd paragraph states: “Offerors should also include information in this section on what consultant services will be required over the life of the project”. Could USAID please clarify if information on consultant services should be included in Annex C or within the Personnel and Management Plan?

Information on consultant services shall be included in (3) Personnel and Management

Plan.

21) Section L.8. (3), page 182: States that "The proposal must emphasize synergies and complementarities among the project's components and describe the roles and responsibilities of proposed sub-contractors/sub-grantees." Could USAID please confirm that the roles and responsibilities of proposed sub-contractors/sub-grantees should be outlined in Annex D?

Yes, roles and responsibilities of sub-contractors/sub-grantees shall be included in Annex

D.

22) Section L.8.(4) last line on page 182: The RFP states: “(a) The offeror (including all partners of a joint venture) must provide performance information for itself, the contractor teaming arrangements, if any, and each major subcontractor.” Could USAID please clarify what qualifies as a “teaming arrangement”?

By teaming arrangements we mean special arrangements or agreements made by the contractor to form a consortium of institutions to implement the project. These institutions may be partners, prime contractors, or major sub-contractors.

23) Section L.8. (4), page 183: states that "for all projects listed above that are not in CPARS

(emphasis added), provide a list of the contact names,... explanation of relevance to the proposed acquisition and a description of performance to include:..." May offerors provide this information and description for projects that are in CPARs to facilitate

USAID's evaluation of the relevance of past performance references provided?

Yes

24) Section L.9 (c) (2), page 185: USAID please confirm that an offeror is only required to submit the summary and detailed budget with narrative for itself and any major subcontractor.

The Offeror and major subcontractors must submit a detailed budget narrative that supports item for item the cost estimates proposed in its detailed budget. For the purposes of the business proposal, a “Major subcontractor(s)” are those subcontractors whose costs exceed 20 percent of the contract value or who are otherwise defined by the prime to be essential to successful project implementation

25) Section L.9. (d) Part 3, page 189: The RFP states that “if an offeror is not registered with

SAM, the offeror and each proposed major subcontractor must complete all representations, certifications, and other statements of offerors as required in Section K, and sign and date on the last page in the space provided”. However, there is no signature and date page provided under the Section K. Could USAID please provide one?

All offerors must be registered in SAM (See Sections L.2 and K.4). Section K has been amended to include a signature page.

26) Section L.9 (i) part 8, page 191: Could USAID please confirm letters of commitment are required only for major subcontractors?

Section L.9 (i) Part 8, states that Letters of Commitment are required for Subcontractors and Key Personnel.

27) Section L.8(a), p.180: Would USAID provide a template for Annex G: Subcontracting

Plan, to clarify what information is required to be submitted in this annex?

Subcontracting Plan template has been added to Annex G. – Included as Annex 2 to RFP amendment 1.

28) Section L.8.3, p182 of the RFP references submission of a staffing plan. May offerors submit a staffing plan in an Annex, as a comprehensive staffing plan for a project of this size will require more pages than are allocated by the RFP to the Personnel and

Management Plan?

No, the Staffing Plan shall be limited to 7 pages as stated on page 182. Annex C shall include only the CVs and reference letters.

29) Section L.8.3, p182 of the RFP requests 3 references for proposed Key Personnel. Would

USAID please confirm that reference information is not subject to the 3-page limitation on CVs?

No, it is not. Reference information is in addition to the 3-page limitation on CVs.

30) Footnote 23 in attachment J.1: Background has a link that does not connect to a document, but rather to an unrelated MINEC webpage. Would USAID please provide a link to the referenced policy or the document itself?

This is a link to a presentation of the National Policy for Development, Diversification and Productive Transformation. Also see attachment with electronic file with http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador

31) Section L.8(a, p180) – Would USAID please provide a template for Annex D: Table for

Prime and Major Subcontractors ?

Annex D: Table for Prime and Major Contractors shall include three columns with the following information: 1) organizations proposed; 2) description of capabilities and key experience; and 3) role in the El Salvador Competitive Project.

32) Sections L.8.c(3), 182 and L.9(h)(vii)(i), -191 – Letters of Commitment (LOCs) for key personnel are mentioned as being required in both the technical and cost proposals. Please confirm that letters of commitment for key personnel should accompany only the technical proposal in Annex C.

Letters of commitment are required for only the technical proposal.

33) Section L.8.b(2), p181 – The RFP requests a 5 page M&E plan and matrix as part of the technical. Would USAID permit the M&E matrix with indicators, targets, data sources, etc. to be included as an annex, not subject to a page limitation, instead?

A draft 5-page M&E Plan and matrix shall be included as an Annex. The selected

Contractor will have to submit the final M&E Plan 60 days after contract start date.

34) Section L.8.b(2), p181 –requests that offerors include a preliminary monitoring and evaluation plan and matrix but Section M does not include any evaluation criteria relating to Offeror’s proposed M&E plan. Can USAID please clarify how bidders' M&E Plans will be evaluated?

The preliminary M&E Plan and matrix is part of the technical approach and shall describe clearly the proposed indicators which must be related to the Project goals, theories of change, and intended impact. The M&E Plan will be considered under

Technical Approach, second sub-criteria: Proposes interventions that are creative, innovative, strategic, flexible, and well-defined, which are integrated into a http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador http://www.slideshare.net/Ministerio_Economia_SV/politica-nacional-de-fomento-diversificacion-y-transformacion-productiva-de-el-salvador comprehensive approach to achieve each of the objectives and deliver the expected results laid out in the Statement of Work. (10 sub-points).

35) On page 182 (Section L.8 c(3)) it states "offerors should also include information in this section on what consultant services will be required over the life of the project." Can

USAID please clarify what information on consultant services should be provided, i.e., categories of short-term technical assistance? Can USAID further confirm that this information should be included as part of Annex C, along with the key staff resumes and letters of commitment?

Offerors shall define long and short-term technical assistance that will be required by each component through the life of the project.

36) Section L.8.b. – May the offeror include a brief transmittal letter that does not count toward the page limit?

Yes, offerors may include a brief transmittal letter that does not count toward the 28 page limit.

37) Section L.7 (f) states that the technical proposal must be in Arial Font, 11-point size and in (g) states that the cost proposal must be in Times New Roman font, 12-point size.

Would you please clarify which font and font size should be used in the technical and cost proposals?

Please note that per the RFP the technical proposal must be in Arial Font 11 point size and the Budget narrative in the cost proposal in Times New Roman font 12 point size.

38) Section L.7 (i) states that proposals must be tabbed. Given that tabs can only be added to hard copy submissions, please clarify whether electronic divider pages will be acceptable.

39) Section L.7 (g) states that the format for the technical proposal must be in Word 2010.

Given that some of our documents, such as our SF 294 subcontracting reports are in PDF, would a PDF be acceptable for the electronic submission? Submitting a PDF also allows us to easily combine the various sections of the volume into a single document for submission.

Yes, the SF 294 will be accepted in pdf format. USAID is providing in Annex G a

Subcontracting Plan sample in word format.

40) In L.9 (b), the solicitation calls for cost proposals to be rolled up in summary fashion into the CLINS in Section B. However, we could not find the referenced summary of CLINS in Section B. Would USAID please clarify whether or not the cost proposal should be developed using CLINS? If the cost proposal must include CLINS, would you please provide detailed guidance on the CLIN structure?

Cost Proposals must be developed in accordance with the reference in Section B; the reference to CLINS has been amended in Section L.

41) In L.8 (b), the solicitation states that offerors will only use 8.5 inch by 11 inch paper, single-spaced pages with margins no less than one inch on each border. Would USAID consider allowing cost proposal spreadsheets to be on paper larger than 8 ½” x 11?

Cost proposal spreadsheets can be accepted in Legal Paper 8.5 x 14”. The RFP is being modified accordingly to add a requirement for 1 (one) hard copy of the cost proposal, but due one week later on June 2, 2016 at 4:00 p.m. local time.

42) In L.9 xiv. Budget Format, there is a line item for Participant Training in the table.

However, there is no guidance regarding participant training in Sub-sections L.9 i.

through xiii. Would USAID please provide the guidance paragraph for participant training?

Please refer to page 46 on the RFP for instructions on Participant Training and Section I, AIDAR Clause 752.7019 (Page78).

43) In L.8 (a) (5) Additional Annexes to Technical Proposal, Annex E includes the SF 294

Subcontracting Plan under the Technical Proposal. As the SF 294 Subcontracting Plan includes financial information, would you clarify if this should be included in the cost volume?

The Subcontracting Plan must be submitted as part of the Technical Proposal- Annex G per Section L.8

44) In Section M.2, p194 USAID states that part of the evaluation criteria for key personnel and staffing plan is “ability to implement supplemental technical assistance at the request of USAID.” Would USAID please clarify what is meant by “supplemental technical assistance”?

Please delete and disregard all references in this RFP regarding “supplemental technical assistance” – it was included in error.

45) In order to ensure fair competition for a best value determination, would USAID please confirm that offerors may not propose total costs below the estimated contract value floor of $50 million?

No, the $50 - $56 million is neither a floor nor a ceiling; instead it is a range. Our cost realism analysis will capture any potential under costing and/or unbalanced costs/prices.

46) Our hardcopy subcontracting reports, SF-294s, for the past two years total more than 800 pages and comprise more than 40 MB. In addition to the hardcopy SF-294s for projects not registered in the eSRS, we have also submitted individual subcontracting reports through the eSRS for registered projects. Instead of submitting the electronic files totaling 40 MB with 800 pages of SF-294s, may we submit 10 relevant SF-294 forms that are not duplicated on the eSRS?

47) Has a contractor performed similar work to this for the government in the past? If available, please provide the incumbent contract number.

We have two Contractors that have performed similar work in the past, the contract numbers are: Task Order No. 519-TO-10-00002 by RTI and AID-519-C-11-00002 by

Chemonics.

48) Section B.8, page 11 states: Indirect costs shall not be allowed for organizations that do not have a NICRA. To reduce the burden for US small business subcontractors of costly financial information to be submitted for proposals, could USAID please reconsider the clause allowing US small businesses that provide financial justification of indirect rates

(in lieu of a NICRA) to provide those rates as cost applications within the proposal? This would allow for a justified recouping of costs for US small business that otherwise will not have that opportunity.

No, we need an approved indirect cost rate in order to make an award.

49) Section L.13. xi. Grants Under Contracts, page 188: Could USAID please reconsider the clause by allowing making advanced payments on the GUC? Making advance payments will both, reduce the Contractor’s cost of capital and improve value to the client by reducing a fee base.

ANSWER – two part response:

a) For advance payments for the grantees: A working capital advance may be provided up to one time annually to meet liquidity needs if the grantee meets the requirements in ADS 636. Allocation of payments based on milestones should allow grantees to move forward with their activities.

b) Prime Contractors may utilize their Letter of Credit authority in order to revive 30 days advance payment for their grant work, and therefore reduce their fee for the

GUC line item in accordance with ADS 636.

ANNEX B – SUBCONTRACTING PLAN TEMPLATE

USAID SMALL BUSINESS SUBCONTRACTING PLAN TEMPLATE

(Also see Federal Acquisition Regulation 19.704 and 52.219-9)

The U.S. Agency for International Development’s Office of Small and Disadvantaged Business Utilization (OSDBU) recommends that offerors use the following format to submit proposed Individual Subcontracting Plans, including modifications. While this template has been designed to be consistent with Federal Acquisition Regulation (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 template 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. This template is not intended to replace any existing Corporate/Commercial Plan that is more extensive.

A subcontracting Plan is generally required if the estimated cost of the contract is equal to or greater than $700,000 ($1,500,000 for construction) and the contract has subcontracting possibilities. See FAR

19.702 for exemptions.

SOLICITATION NUMBER: ___________________________________________

CONTRACT VEHICLE (CHECK ONE):

STAND-ALONE CONTRACT ___

INDEFINITE DELIVERY INDEFINITE QUANTITY CONTRACT (IDIQ) ___

FEDERAL SUPPLY SCHEDULE ORDER ___

CONTRACT MODIFICATION ___

Note: Federal Acquisition Regulations to not require Subcontracting Plans for Task Orders against IDIQ contracts. Subcontracting utilization for Task Orders is reported against the base contract for IDIQ contracts.

DATE OF PLAN SUBMISSION: ________________________________________

CONTRACTOR: ____________________________________________________

ADDRESS: ________________________________________________________

STATE/ZIP CODE___________________________________________________

DUNN & BRADSTREET (DUNS) NUMBER: _____________________________

ITEM/SERVICE (Description): ________________________________________

NEW/INITIAL CONTRACT

PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY – MM/DD/YYYY):_______ - _________

Base $________________ Performance Period/Quantity ____________

$___________________ Total Contract Cost

CONTRACT MODIFICATION (if applicable)

NEW PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY –

MM/DD/YYYY):__________________

Original $___________________ Performance Period/Quantity _________

Modification $___________________ Performance Period/Quantity _________

Task Order $___________________ Performance Period/Quantity _________

$___________________ Modified Total Contract Cost

Failure to include the essential information of FAR Subpart 19.7 may be cause for either a delay in acceptance or the rejection of a bid or offer when a subcontracting plan is required. “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 requesting supplies or services required for performance of the contract or subcontract.

If assistance is needed to help locate small business sources, contact the Small Business Specialist (SBS) in OSDBU that supports the applicable USAID Bureau. The main phone number for OSDBU is (202) 567-4730.

Note: When USAID’s FY 2016 Subcontracting Goals are established, the template will be updated to provide the new goals.

USAID’s FY 2016 Subcontracting Goals are:

Small Business (SB) 20.0%

Service Disabled Veteran Owned Small Business (SDVOSB) 3.00%

Small Disadvantaged Businesses (SDB, includes Section 8(a) firms) 5.00%

Woman-Owned Small Business (WOSB) 5.00%

Historically Underutilized Business Zone Small Business (HUBZone) 3.00%

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)

[Note: Almost all plans submitted to USAID should be Individual Plans.]

_____ 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) http://www.sba.gov/

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

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

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. Utilize the “Small Business Utilization Plan Template,” Attachment A, to 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.

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: ________________________________________________________ http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm http://www.sam.gov/

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.] http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm http://www.sam.gov/

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

Reporting Period

Report Due

Due Date

Oct 1 - Mar 31

ISR

4/30

Apr 1 - Sept 30

ISR

10/30

Oct 1 - Sept 30

SSR

10/30

Oct 1 – Sep 30 Year End SDB

Report 90 days of SSR submission

Contract Completion

Final ISR

30 days after completion

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 USAID IDIQ 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:

http://www.esrs.gov/

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.

Required Signatures:

This subcontracting plan was submitted by:

Signature: __________________________________________________

Typed/Print Name: __________________________________________________

Title: __________________________________________________

Date: __________________________________________________

This plan was reviewed and approved by:

Signature: __________________________________________________

Typed/Print Name: __________________________________________________

Title: Contracting Officer

Date: __________________________________________________