Attachment 5 Sample Subcontracting Plan

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ATTACHMENT – SUBCONTRACTING PLAN

- S A M P L E -

SUBCONTRACTING PLAN

SUBCONTRACTING PLAN SUBMITTED IN ACCORDANCE WITH PUBLIC LAW 95-507 (THE

FOLLOWING FORMAT IS ESTABLISHED IN ACCORDANCE WITH FAR 52.219-9(d)(1) THROUGH (d)(11) AND INCLUDES THE REQUIRED STATUTORY ELEMENTS AS DESCRIBED IN FAR

19.704. IT ALSO INCLUDES ADDITIONAL REQUIREMENTS OF THE DFARS 219.704 AND

AFARS 5119.704. EVALUATION OF THE SUBCONTRACTING PLAN BY THE GOVERNMENT WILL

BE AS PRESCRIBED IN FAR 19.705 (AND ITS SUPPLEMENTS).

DO NOT JUST ADDRESS THE FOLLOWING ISSUES IN SHORT; FOLLOW THE GUIDANCE OF FAR

52.219-9 IN ITS ENTIRETY. FOR EXAMPLE, PARAGRAPH 11 BELOW ASKS FOR A

DISCUSSION OF RECORDS; THE PLAN SHOULD ADDRESS ALL RECORDS AS DESCRIBED IN FAR

52.219-9(d)(11)(i) THROUGH (vi).

IN ACCORDANCE WITH FAR 19.704 IF THE CONTRACT CONTAINS OPTIONS, THE CUMULATIVE

VALUE OF THE BASIC CONTRACT AND ALL OPTIONS IS CONSIDERED IN DETERMINING

WHETHER A SUBCONTRACTING PLAN IS NECESSARY. ONCE IT HAS BEEN DECIDED IF A

PLAN IS NECESSARY, THE SUBCONTRACTING PLAN SHALL CONTAIN SEPARATE PARTS, ONE

FOR THE BASIC CONTRACT AND ONE FOR EACH OPTION. IN OTHER WORDS, IT IS

NECESSARY TO ADDRESS PLANNED SUBCONTRACTING DOLLARS AND PERCENTAGES OF TOTAL

TO BE AWARDED TO SMALL, SMALL DISADVANTAGED, HUBZONE SMALL, WOMEN-OWNED SMALL,

VETERAN-OWNED SMALL, SERVICE-DISABLED VETERAN-OWNED SMALL, HISPANIC SERVICING

INSTITUTIONS AND TRIBAL COUNCIL UNIVERSITIES, HBCU/MIs, AND QUALIFIED

NONPROFIT AGENCIES FOR THE BLIND AND OTHER SEVERELY DISABLED SEPARATELY FOR

THE BASIC CONTRACT PERIOD AND EACH OPTION YEAR. THEREFORE, PARAGRAPHS 1 AND 2

BELOW MUST BE PREPARED SEPARATELY FOR THE BASE YEAR AND EACH OPTION YEAR. ALL

OTHER PARTS OF THE SUBCONTRACTING PLAN ONLY NEED TO BE ADDRESSED ONCE.

IF THE SUBCONTRACTING PLAN'S PROPOSED SUBCONTRACTING GOALS DO NOT MEET THE

CORPS OF ENGINEERS' SUBCONTRACTING GOALS, THE SUBCONTRACTING PLAN MUST BE

SUBMITTED WITH A FULL EXPLANATION OF THE REASONS FOR THE LESSER GOALS

ESTABLISHED BY THE PLAN. A SMALL DISADVANTAGED BUSINESS GOAL OF LESS THAN

FIVE PERCENT MUST BE APPROVED ONE LEVEL ABOVE THE CONTRACTING OFFICER (DFARS

219.705-4).

PROJECT TITLE: _________________________________________________

RFP/IFB NO.: _________________ CONTRACT NO.: _________________

CONTRACTOR NAME: _______________________________________________

DIVISION: ______________________________________________________

INDIVIDUAL COMPLETING THIS PLAN: _______________________________

TELEPHONE NO.: _________________________________________________

1. Goals, expressed in terms of percentages of total planned subcontracting dollars, for the use 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 as subcontractors. The offeror shall include all

Attachment 5 W91238-10-B-0005

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subcontracts that contribute to contract performance, and may include a proportionate share of products and services that are normally allocated as indirect costs. In accordance with 43 U.S.C. 1626:

(i) Subcontracts awarded to an ANC or Indian tribe shall be counted towards the subcontracting goals for small business and small disadvantages business (SDB) concerns, regardless of the size or Small Business Administration certification status of the ANC or Indian tribe.

(ii) Where one or more subcontractors are in the subcontract tier between the prime contractor and the ANC or Indian tribe, the ANC or Indian tribe shall designate the appropriate contractor(s) to count the subcontract towards its small business and small disadvantaged business subcontracting goals.

(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 Contrator.

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 Contractor, and the subcontractors in between the prime Contractor 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.

Corps of Engineers Subcontracting Percentage Goals: Goals

Small Business _______% 70.0%

Small Disadvantaged Business _______% 6.2%

Women-Owned Small Business _______% 7.0%

HUBZone Small Business _______% 9.8%

Veteran-Owned Small Business _______% 3.0%

Service-Disabled Veteran-Owned

Small Business _______% 0.9%

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2. A statement of—

(i) Total dollars planned to be subcontracted for an individual contract plan; or the offeror’s total projected sales, expressed in dollars, and the total value of projected subcontracts to support the sales for a commercial plan;

(ii) Total dollars planned to be subcontracted to small business concerns (including ANC and Indian tribes);

(iii) Total dollars planned to be subcontracted to veteran-owned small business concerns;

(iv) Total dollars planned to be subcontracted to service-disabled veteran-owned small business;

(v) Total dollars planned to be subcontracted to HUBZone small business concerns;

(vi) Total dollars planned to be subcontracted to small disadvantaged business concerns (including ANCs and Indian tribes); and

(vii) Total dollars planned to be subcontracted to women-owned small business concerns.

Total Cost of Prime Contract: $____________

Total Dollars to be Subcontracted $____________ _______%*

To Small Business $____________ _______%**

To Small Disadvantaged Business $____________ _______%**

To Women-Owned Small Business $____________ _______%**

To HUBZone Small Business $____________ _______%**

To Service-Disabled Veteran-owned

Small Business $____________ _______%**

NOTES: * Calculate percentage of Total Dollars to be Subcontracted to Total Cost of Prime Contract ** Calculate subcontracted dollars to each group to Total Dollars to be Subcontracted, NOT TO Total Cost of Prime Contract.

PLANNED SUBCONTRACTING INCLUDES ALL PLANNED EXPENDITURES. TOTAL

ESTIMATED COST TO SUBCONTRACTORS AND GOALS MUST BE ESTABLISHED EVEN IF

THE CONTRACT IS OF THE INDEFINITE-DELIVERY TYPE.

SUBCONTRACTS AWARDED TO SMALL DISADVANTAGED BUSINESSES, HUBZONE SMALL

BUSINESSES, WOMEN-OWNED SMALL BUSINESSES, VETERAN-OWNED SMALL

BUSINESSES, SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSES, HISPANIC

SERVICING INSTITUTIONS, AND TRIBAL COUNCIL UNIVERSITIES, HBCU/MIs, AND

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QUALIFIED NONPROFIT AGENCIES FOR THE BLIND AND OTHER SEVERELY DISABLED

COUNT TOWARD THE OVERALL SMALL BUSINESS GOAL. HBCU/MIs ARE COUNTED AS A

SUBSET OF THE SMALL DISADVANTAGED GOAL. THE CORPS OF ENGINEERS HAS NOT

BEEN ASSIGNED A SET GOAL FOR HUBZONE SMALL BUSINESS, HISPANIC SERVICING

INSTITUTION AND TRIBAL COUNCIL UNIVERSITIES, HBCU/MIs OR QUALIFIED

NONPROFIT AGENCIES FOR THE BLIND AND OTHER SEVERELY DISABLED.

IN ACCORDANCE WITH DFARS 219.703, QUALIFIED NONPROFIT AGENCIES FOR THE

BLIND AND OTHER SEVERELY DISABLED THAT HAVE BEEN APPROVED BY THE

COMMITTEE FOR PURCHASE FROM PEOPLE WHO ARE BLIND OR SEVERELY DISABLED

UNDER THE JAVITS-WAGNER-O'DAY (41 U.S.C. 46-48) ARE ELIGIBLE TO

PARTICIPATE IN THE PROGRAM AS A RESULT OF 10 U.S.C. 2410d AND SECTION

9077 OF PUB. L. 102-396 AND SIMILAR SECTIONS IN SUBSEQUENT DEFENSE

APPROPRIATIONS ACTS. UNDER THIS AUTHORITY SUBCONTRACTS AWARDED TO SUCH

ENTITIES MAY BE COUNTED TOWARD THE PRIME CONTRACTORS SMALL BUSINESS

SUBCONTRACTING GOAL.

3. A description of the principal types of supplies and services to be subcontracted, and an identification of the types planned for subcontracting to --

(i) Small business concerns,

(ii) Veteran-owned small business concerns;

(iii) Service-disabled veteran-owned small business concerns;

(iv) HUBZone small business concerns;

(v) Small disadvantaged business concerns, and

(vi) Women-owned small business concerns.

4. (4) A description of the method used to develop the subcontracting goals in paragraph 1 above.

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5. (5) A description of the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the Central Contractor Registration database (CCR), veterans service organizations, the National Minority Purchasing Council Vendor Information Service, the Research and Information Division of the Minority Business Development Agency in the Department of Commerce, or small, HUBZone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information contained in CCR as an accurate representation of a concern’s size and ownership characteristics for the purposes of maintaining a small, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business source list. Use of CCR as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

6. A statement as to whether or not the offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with --

(i) Small business concerns (including ANC and Indian tribes);

(ii) Veteran-owned small business concerns;

(iii) Service-disabled veteran-owned small business concerns;

(iv) HUBZone small business concerns;

(v) Small disadvantaged business concerns (including ANC and Indian tribes);

and

(vi) Women-owned small business concerns.

7. The name of the individual employed by the offeror who will administer the offeror's subcontracting program and a description of the duties of the individual.

Name: ______________________________________________________

Title and Telephone Number: ________________________________

Address: ___________________________________________________

City, State and Zip Code: __________________________________

Duties (Attachment may be used):

8. Describe the efforts the offeror will make to assure that small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns have an equitable opportunity to compete for subcontracts.

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9. I do herewith assure that this concern will include the clause at FAR 52.219-8 entitled "Utilization of Small Business Concerns" in all subcontracts which offer further subcontracting opportunities and will require all subcontractors (except small business concerns) who receive subcontracts in excess of $500,000 ($1,000,000 for construction of any public facility) to adopt a plan similar to the plan agreed to by this concern and in consonance with the FAR clause 52.219-9.

10. I also assure that this concern will (i) Cooperate in any studies or surveys as may be required; (ii) Submit periodic reports so that the Government can determine the extent of compliance by the offeror with the subcontracting plan; (iii) Submit the Individual Subcontracting Report (ISR) and/or the Summary Subcontract Report (SSR), in accordance with the paragraph (l) of this clause using the Electronic Subcontracting Reporting System (eSRS) at http://esrs.gov. The reports shall provide information on subcontract awards to small business concerns, veteran-owned small business concerns, service-disabled veteran-owned small business concerns, HUBZone small business concerns, small disadvantaged business concerns, women-owned small business concerns, and Historically Black Colleges and Universities and Minority Institutions. Reporting shall be in accordance with this clause, or as provided in agency regulations; (iv) Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS; (v) Provide its prime contract number, its DUNS number, and the e-mail address of the Government or Contractor official responsible for acknowledging or rejecting the reports, to all first-tier subcontractors with subcontracting plans so they can enter this information into the eSRS when submitting their reports; and (vi) Require that each subcontractor with a subcontracting plan provide the prime contract number, its own DUNS number, and the e-mail address of the Government or Contractor official responsible for acknowledging or rejecting the reports, to its subcontractors with subcontracting plans.

11. Provide a description of the types of records the offeror will maintain to demonstrate procedures which have been adopted to comply with the requirements and goals set forth in the plan, including the establishment of source lists; and a description of its efforts to locate small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns and award subcontracts to them. The records shall include at least the following (on a plant-wide or company-wide basis, unless otherwise indicated):

(i) Source lists (e.g., CCR), 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.

(ii) 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.

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(iii) Records on each subcontract solicitation resulting in an award of more than $100,000, indicating --

(A) Whether small business concerns were solicited and if not, why not;

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

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

(D) Whether HUBZone small business concerns were solicited and, if not, why not;

(E) Whether small disadvantaged business concerns were solicited and if not, why not;

(F) Whether women-owned small business concerns were solicited and if not, why not; and

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

(iv) Records of any outreach efforts to contact --

(A) Trade associations;

(B) Business development organizations;

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

(D) Veterans service organizaions.

(v) Records of internal guidance and encouragement provided to buyers through --

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

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

(vi) 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.

12. Discuss the extent to which the offeror has historically been successful in complying with the requirements of the clauses at FAR 52.219-8, Utilization of Small Business Concerns, and 52.219-9, Small Business Subcontracting Plan, in establishing realistic yet challenging goals and show evidence of ability to achieve the goals. Information addressing past performance on DoD contracts evidencing achievement of established subcontracting goals will be

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in the form of Standard Forms 294 and 295 (attach these to this plan).

Offerors who have had no prior Department of Defense contracts from which to assess past performance will not be penalized. Those who have had prior DoD contracts must provide the SF 294s and 295s on past DoD contracts.

(Signature)

(Title of Corporate Officer)