Small_Business_Subcontracting_Plan_SAMPLE.pdf

Small Business Subcontracting Plan Fort Riley Road Construction Contract (W911RX-18-B-003)

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Note: Where the term contractor/offeror/bidder appears, the name of your company/institution may be substituted.

SMALL BUSINESS SUBCONTRACTING PLAN

DATE:________________________

Contractor:___________________________________________________________________

Address:______________________________________________________________________

Solicitation (Contract) No.: W911RX-15-R-0010

Program Description/Title: Fort Riley Road Construction Contract (W911RX-18-B-003)

The following, together with any attachments, is submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Law 95-507, 103-355, 105-135, Historically Underutilized Business Zone Act of 1997, and the Veterans Entrepreneurship and Small Business Development Act of 1999, P.L. 106-50 as implemented by the Federal Acquisition Regulation, the Defense Supplement thereto, Public Law 100-180 and 103-337. The following goals are required for the basic quantity (base period) and each option quantity (period) of the contract.

1. Estimated Dollar Value of Planned Subcontracting

The total estimated dollar value of all planned subcontracting (to all types of business concerns) under this contract is $_______________.

If the contract is expected to include options, goals shall be established for the base period and each option year.

2. Goals

a. The following percentage goals (expressed in terms of a percentage of total subcontracting dollars) are applicable to the solicitation (contract) cited above.

i. Large business concerns: _____% of total planned subcontracting dollars under this contract will go to subcontractors who are large business concerns.

ii. Small business concerns: ______% of total planned subcontracting dollars under this contract will go to subcontractors who are small business concerns.

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iii. Service-disabled small business (SDVOSB) concerns: ______% of total planned subcontracting dollars under this contract will go to subcontractors who are service-disabled veteran-owned small business concerns.

iv. Veteran-owned small business (VOSB) concerns : _____% of total planned subcontracting dollars under this contract will go to subcontractors who are veteran-owned small business concerns.

v. Historically Underutilized Business (HUB) Zone small business concerns ____% of total planned subcontracting dollars under this contract will go to subcontractors who are HUBZone small business concerns.

vi. Small Disadvantaged Business (SDB) concerns: ______% of total planned subcontracting dollars under this contract will go to subcontractors who are small business concerns owned and controlled by socially and economically disadvantaged individuals.

(1) Historically Black Colleges and Universities/Minority Institutions (HBCU/MI):________% of total planned subcontracting dollars under this contract will go to HBCU/MIs as identified in FAR Part 26. This percentage is included in the percentage shown under 2. (a) v., above, as a subset.

vii. Woman-Owned Small Business (WOSB) concerns: _____% of total planned subcontracting dollars under this contract will go to subcontractors who are woman-owned small business concerns.

The total percentage of planned subcontracting with small business concerns includes total dollars planned to be subcontracted with veteran-owned small, service-disabled-veteran-owned small, HUBZone small, small disadvantaged and women-owned small business concerns.

Total Dollars Planned to be Subcontracted

b. The following dollar values correspond to the percentage goals shown in 2. (a) above.

i. Total dollars planned for subcontracting to Large Business concerns:

ii. Total dollars planned to be subcontracted to Small Business concerns:

ii. Total dollars planned to be subcontracted to SDVOSB concerns:

iv. Total dollars planned to be subcontracted to VOSB concerns $____________.

v. Total dollars planned to be subcontracted to HUBZone small business concerns: $_____________.

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vi. Total dollars planned to be subcontracted to SDB concerns:

(1) Total dollars planned to be subcontracted to HBCU/MIs: $_____________.

This dollar amount is included in the amount shown at 2.b.vi.

vii. Total dollars planned to be subcontracted to WOSB concerns:

The total dollars planned for subcontracting with small business concerns includes total dollars planned to be subcontracted with HUBZone small business, small disadvantaged, women-owned small business concerns, service-disabled veteran-owned small business and veteran-owned small business.

3. Principal Products, Services and/or Outcomes

The following principal products and/or services will be subcontracted under this contract:

a. Products/services planned for subcontracting to large business concerns:

b. Products/services for subcontracting to small business concerns:

c. Products/services planned for subcontracting to SDVOSB concerns:

d. Products/services planned for subcontracting to VOSB concerns:

e. Products/services planned for subcontracting to HUBZone small business concerns:

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f. Products/services planned for subcontracting to SDB concerns:

g. Products/services planned for subcontracting to HBCU/MI concerns:

h. Products/services planned for subcontracting to WOSB concerns:

4. Description of the Method used to Develop the Subcontracting Goals

The following method was used to develop the above subcontracting goals (i.e., statement explaining how the product and service areas to be subcontracted were established, how the areas to be subcontracted were established, how the areas to be subcontracted to SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns were determined, and how SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB capabilities were determined).

5. Description of the Method used to Identify Potential Sources for Solicitation Purposes

Source lists utilized in making the determinations in paragraph 4 above are as follows:

(e.g., existing company source lists, the System for Award Management (SAM), veterans service organizations, the National Minority Purchasing Council Vendor Information Service, the Research and Information Division of the Minority Business Development Agency in the

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Department of Commerce, or small, HUBZone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information contained in SAM as an accurate representation of a concern's size and ownership characteristics for the purposes of maintaining a Small, VOSB, SDVOSB, HUBZone, SDB, and WOSB source list. Use of SAM as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities).

6. Indirect Costs

Indirect and overhead costs ____ have ____ have not been included in the goals specified in paragraphs 1 and 2 above.

If indirect and overhead costs are included, explain the method used in determining the proportionate share of indirect and overhead costs to be allocated as subcontracts to SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns and the products and services planned.

7. Subcontract Plan Administrator

The following employee will administer the subcontracting program:

Name: ________________________________________________________________________ Title: _________________________________________________________________________ Address: ______________________________________________________________________ Telephone No: __________________________Fax No:

This individual’s specific duties, as they relate to the firm’s subcontracting program, are as follows: Delete those duties that do not apply.

General overall responsibility for this company’s Small Business Program, to include the development, preparation, and execution of individual subcontracting plans, and for monitoring performance relative to contractual subcontracting requirements contained in this plan, and including, but not limited to:

* Developing and maintaining bidders’ lists of SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns from all possible sources.

* Ensuring that procurement packages are structured to permit SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns to participate to the maximum extent possible.

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* Assuring inclusion of SB, SDVOSB, VOSB, HUBZone SB, SDB and WOSB concerns in all solicitations for products or services which they are capable of providing.

* Reviewing solicitations to remove statements, clauses, etc., which may tend to restrict or prohibit SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns participation.

* Ensuring periodic rotation of potential subcontractors on bidders lists.

* Ensuring that the proposal review board documents its reason for not selecting lowest priced proposals submitted by SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns.

* Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.

* Attending or arranging for attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.

* Conducting or arranging for conduct of motivational training for purchasing personnel pursuant to the intent of P.L. 95-507.

* Monitoring attainment of proposed goals.

* Preparing and submitting required periodic subcontracting reports.

* Coordinating contractor’s activities during the conduct of compliance reviews by Federal agencies.

* Coordinating the conduct of contractor’s activities involving its small and small disadvantaged business subcontracting program.

* Additions to the duties specified above are as follows:

8. Equitable Opportunity

The following efforts will be taken to assure that SB, SDVOSB, VOSB, HUBZone SB, SDB, to include HBCU/Miss, and WOSB concerns will have an equitable opportunity to compete for subcontracts.

a. Outreach efforts will include: (Specify all that apply)

Post solicitations to the Small Business Administration’s (SBA) Sub-Net:

http://www.sba.gov/content/sub-net http://www.sba.gov/content/sub-net

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Contacts with minority and small business trade associations.

Contacts with business development organizations.

Attendance at small and minority business procurement conferences and trade fairs.

b. Sources will be identified from the SBA Dynamic Small Business Search (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm); SBA Subcontracting Opportunities Directory (http://www.sba.gov/category/navigation-structure/contracting/contracting-opportunities/sub-contracting/subcontracting-opportunities-directory) or System for Award Management (SAM)( https://www.sam.gov/portal/public/SAM/)

List other automated systems to be used:

c. The following internal efforts will be made to guide and encourage buyers:

(List all that apply)

(1) Workshops, seminars, and training programs will be conducted.

(2) Activities will be monitored to evaluate compliance with this subcontracting plan.

(3) Arrange interviews with SB/ SDVOSB/VOSB/ HUBZone SB/SDB/WOSB concerns and HBCU/MIs.

d. Small, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concern source lists, guides and other data identifying SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns will be maintained and utilized by buyers in soliciting subcontracts.

e. Describe extent to which offeror (contractor) plans to restrict competition to HBCU/MIs.

f. Additions to the above listed efforts are as follows:

9. Flowdown of Clauses

The offeror (contractor) agrees that Federal Acquisition Regulation clause 52.219-8 entitled “Utilization of Small Business Concerns” will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors, except SB concerns, who receive subcontracts in excess of $650,000 ($1.5M for construction) will be required to adopt and comply with a subcontracting plan similar to the plan required by Federal Acquisition Regulation http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm http://www.sba.gov/category/navigation-structure/contracting/contracting-https://www.sam.gov/portal/public/SAM/

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52.219-9, entitled “Small, Business Subcontracting Plan.” Such plans will be reviewed by comparing them with the provisions of P.L. 95-507 and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies/services involved, the availability of potential small, SDVOSB, VOSB, HUBZone small, small disadvantaged and women-owned small business subcontractors, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontracting program participants.

10. Reports and Surveys

The offeror (contractor) agrees to submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance by the bidder (contractor) with the subcontracting plan and with the clause entitled "Utilization of Small Business Concerns" contained in the contract.

The contractor agrees to submit an Individual Subcontracting Report (ISR) in the Electronic Subcontracting Reporting System (eSRS) in accordance with the instructions on the eSRS website at www.esrs.gov. Regardless of the effective date of this contract, the report shall be submitted for the entire life of the contract within thirty (30) days after the close of each reporting period.

The contractor shall submit a Summary Subcontracting Report (SSR) in the Electronic Subcontracting Reporting System (eSRS) in accordance with the instructions on the eSRS website at www.esrs.gov. The Summary Report of DOD awards shall be submitted within thirty

(30) days after the close of each reporting period to the Administrating Contracting Officer. The first report that includes this contract, shall be submitted after the first full reporting period of this contract in addition to any fractional part of the previous period in which this contract became effective.

The contractor shall also ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using the eSRS.

In addition the contractor shall provide its prime contract number, its DUNS number, and the e-mail address of the offeror’s official responsible for acknowledging receipt of or rejecting the ISRs to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their ISRs and shall require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the subcontractor’s official responsible for acknowledging receipt of or rejecting the ISRs, to its subcontractors with subcontracting plans.

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11. Maintenance of Records

The offeror (contractor) agrees that it will maintain at least the following types of records to document compliance with this subcontracting plan,

a. Source list, guides, and other data identifying SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns.

b. Organizations contacted to locate SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns.

c. On a contract-by-contract basis, records on all subcontract solicitations over $100,000, indicating for each solicitation (1) whether SB concerns were solicited, and if not, why not; (2) whether SDVOSB concerns were solicited, and if not, why not; (3) VOSB concerns were solicited, and if not, why not; (4) whether HUBZone SB concerns were solicited, and if not, why not; (5) SDB concerns were solicited, and if not, why not; (6) whether WOSB concerns were solicited, and if not, why not, and (6) reasons for the failure of solicited SB, SDVOSB, VOSB, HUBZone SB, SDB, and WOSB concerns to receive the subcontract award.

d. Records of any outreach efforts to contact:

(1) Trade associations;

(2) Business development organizations;

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

(4) Veterans service organizations.

e. 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.

f. 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.

Contractors having commercial plans need not comply with this requirement.

SIGNATURES:

CONTRACTOR:

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Signed:_________________________________ Date_____________________________ Typed Name:____________________________ Title:___________________________________

GOVERNMENT:

Approved by: ______________ ______________ Date: ____________________________

Procuring Contracting Officer

Copy to: SBA PCR (if applicable)