Small Business Plan Template.docx

Small Business Subcontracting Plan

March 28, 2025

Firm:

Address:

Contract Administering Office:

Project Title: AE Multi-Disciplined Engineering and Design Services MATOC Contract Number: W9127N-22-R-0028 Key Contacts:

· Responsible Contract Specialist: Joseph B. Jarvis – joseph.b.jarvis@usace.army.mil

· Responsible Contracting Officer: Cory R. Pfenning – cory.r.pfenning@usace.army.mil

In accordance with Public Laws 95-507, 99-661 Section 1207, 100-180 Section 806, 102-396 Section 9077, the contract clauses citing FAR 52.219-8 and 52.219-9, and DFAR 219.703, DFAR 219.704, and AFAR 219.704, submit the following Subcontracting Plan for the utilization of Small (SB), Small Disadvantaged (SDB), Women-Owned Small (WOSB), HUBZone Small (HSB), Veteran-Owned Small (VOSB) and Service-Disabled Veteran-Owned Small (SDVOSB) Businesses.

Percentage Goals for Project (expressed in terms of percentages of total planned subcontracting dollars, for the above classifications of Small Businesses):

Table 1: Subcontracting Percentages

Total Percent Outsource Con

% of total contract

Small Business (SB)

Disadvantaged SB

Women Owned SB

HUBZone SB

Veteran Owned SB

Service Disabled VOSB

Dollar Goals for Project: (corresponding to the percentages shown in Table 1).

Rev 9.19.17

Table 2: Subcontracting Dollars

Bid Amount

Total Outsourcing

Allocation

Small Business (SB)

Disadvantaged SB

Women Owned SB

HUBZone SB

Veteran Owned SB

Service Disabled VOSB

A discussion of the considerations made in setting these goals follows.

Principal Types of Supplies and Services to be Subcontracted.

The _____________ Group is optimistic as to the potential for outsourcing to various classes of Small Businesses associated with the dredging contract in Oregon and Washington. _____________’s corporate and project staff, as well as the crew of the derrick barge Morty, are knowledgeable about the project, the location, and the community. _____________ will be reliant on local resources, subcontractors, and suppliers for a large range of products and services. Historically, _____________’s opportunities are in the following areas:

· Subcontracting of dredging services or rental of marine equipment, purchases of fuel and other consumables, engineering support relating to project survey and control, disposal management, trawling operations, and expenses considered to be project overhead, such as site security, janitorial services, office rental and supplies, housing and subsistence, etc.

A review of the scope of work and needs for project operations and staffing at the project site indicate opportunities in several areas, including:

· Preparation and Mobilization

· Fuel & lube oil

· Operating supplies/materials for floating & land-based equipment, crews, and miscellaneous equipment

· Heavy and miscellaneous equipment rentals

· Regulatory compliance/environmental protection, water quality monitoring and testing, etc.

· Land and hydrographic survey

· Office rental, supplies, other expenses

· Docking & marina facilities

· Repair facilities

· Machine shop/fabrication & repair

· Welding supplies

· Housing & subsistence

· Miscellaneous _____________ anticipates that the following supplies and services will be obtainable from small businesses certifying as one or more of the following socio-economic groups:

Rev 9.19.17

Prep/Mob Equipment

Fuel & Lube Oil

Operating Supplies

Heavy & Misc. Equipment Rental

Regulatory Compliance & Protection

Endangered Species Monitoring

Land and Hydrograpic Surveys

Office Rental, related expenses

Docking & Marina Facilities

Repair Facilities

Machine Shop, Fabrication

Welding Supplies

Miscellaneous

Methods Used to Develop Project Goals.

_____________ reviews several factors to establish its Dollar and Percentage Goals, including:

· Required Scope of Work

· Means and Methods for _____________ execution of required scope

· Project Cost Estimate

· Need for externally sourced equipment, supplies, services, etc.; and

· Alternatives to Self-Performance Typically, _____________ reviews the requirements for project compliance and success and compares them against its own resources, experience, and expertise. This gap analysis, when quantified via cost estimates and quotes and proposals received, represents the starting point for development of a project-specific Small Business Subcontracting Plan.

_____________’s initial approach is to quantify specific requirements for supply and subcontracting which _____________ is unable to fulfill via its own capabilities. _____________ then reviews the possibilities for outsourcing supplies and services which _____________ has the capability of providing on its own. To increase benefits to the Owner and to increase the potential for achieving subcontracting program goals, major purchasing decisions will be subject to a “make or buy” comparison, which analyzes whether _____________ can achieve greater efficiency by making the necessary items in-house or by purchasing them from an outside source. Although _____________ is not a manufacturer, such opportunities exist on a dredging project when it entails the option to subcontract a portion of dredging or disposal operations.

Methods Used to Identify Potential Sources for Solicitation Purposes The method used to identify potential sources for solicitation is as follows:

Updating Vendor List. In the past, _____________’s corporate focus has been on work in the entire Western area of the United States, and its current vendor list has likewise been focused on subcontractors and suppliers based in the Western U. S. _____________ has been fortunate to have worked in the Gulf Coast and East Coast on a number of projects during the last five years and has built these projects with the assistance of critical local resources. These resources will fulfill requirements including essential, but non-complex services and supplies needed to sustain operations at the jobsite. Among these are housing and subsistence, office furnishings and supplies, janitorial services, and occasionally, plumbing, and electrical contracting services.

It has been _____________’s experience that many small businesses are not aware of, or have not exercised, their right to register with the registration or certification services which might be available to them, and which _____________ might use to perform Internet-based searches. Often, _____________ finds that Federal contracts are not considered a significant opportunity for such businesses, in comparison with state or local contract opportunities.

In the relative absence of effective Contractor-for-Vendor and Vendor-for-Contractor searches, Duta’s procedure often relies on locating and identifying suppliers in such categories during the preconstruction phase, as project staff are dispatched to the jobsite.

This is an especially important approach when the technical capabilities of a supplier or subcontractor must be determined, through inspection of facilities or conduct of interviews before an order is placed.

Outreach and Qualification. If _____________ is satisfied with the performance of a supplier or subcontractor, it will continue to utilize their services when opportunity permits, as a matter of recognition, reward, and efficiency. However, there is always a need to expand the vendor database. All prospective small business suppliers and subcontractors will be treated without regard to previous history or lack thereof, to assure equitable opportunity for participation in the acquisition.

_____________’s outreach efforts are composed of multiple elements, including:

Posting of opportunities on various websites, including SubNet and the _____________ website

· Searching government databases for all small business categories by trade/NAICS/PSC codes

· Market research by trade and region

· Internet-based searches of relevant supplier/subcontractor listings

· Membership/participation lists, business promotion & economic development organizations

· Advertisements in industry/trade/local media

· Inquiries, local Chambers of Commerce, professional & business associations

· Personal Referrals

· Requests for quotes, existing vendor lists; and

· Additions to vendor lists, tradeshow contacts, unsolicited announcements, etc.

_____________ reaches out to subcontractors and suppliers who can service the needs of a dredging project, which requires over the water work and the operation of heavy machinery by union crews.

Internet-based resources _____________ has used in the past (and will continue to use) include, but are not limited to the following:

· System for Award Management (SAM): (https://www.sam.gov/portal/public/SAM/)

· SBA: http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

· SBA HUBZone (http://www.sba.gov/hubzone/)

· Minority Business Development Agency, US Department of Commerce (www.mbda.gov)

· National Center for American Indian Enterprise Development (www.ncaied.org/)

· Department of General Services (http://www.dgs.ca.gov)

· Compliance News (www.ComplianceNews.com)

· HUBZone Contractors National Council (http://www.hubzonecouncil.org/)

· Elite DVBE Network (www.elitedvbe.org) During contact with new, potential suppliers or subcontractors, _____________ focuses on their ability to qualify more than on documentation of status. Although _____________ do not undertake to obtain SBA or other certifications on behalf of suppliers or subcontractors, _____________ does provide encouragement and guidance in their efforts to do so.

While _____________ makes every effort to utilize qualified, as opposed to certified, suppliers or subcontractors to achieve plan goals, there are occasions where it must select a supplier or subcontractor who does not satisfy plan goals. This might occur when _____________ is unable to match project schedules for utilization of crews and equipment. It might also occur if a supplier or subcontractor appears unable to meet contract specifications. _____________’s review process includes the evaluation of all rejected _____________s, the reasons for their rejection and comparison to _____________s that are selected for the portion of work in question. Findings are discussed with the appropriate small business concerns, where applicable: SB, SDB, WOSB, HSB, VOSB and SDVOSB, and seek to negotiate for successful resolution. Lack of bonding, availability of insurance, or financial qualification are not a consideration in rejection of any bid submitted. Incentives _____________ provides include (but are not limited to) joint check agreements, progress payments and bonding premiums.

Inclusion of Indirect Costs.

Indirect costs have not been included in establishing subcontracting goals.

Administration of Subcontracting Program. _____________’s Plan Administrators and contact information include:

Specific duties administering the Subcontracting Plan include, but are not limited, to the following:

Coordination with purchasing staff and project management to achieve and/or exceed program and project goals. This may be accomplished in various ways including, but not limited to:

· Review of Subcontracting Plan requirements

· Searches for specific subcategories of Supplier/Subcontractor

· Searches for Specific types of supplies or services

· Searches in specified geographical areas; and

· Analysis of spending patterns to target areas of need or opportunities Documentation of Good Faith and Outreach, Pre-bid Attendance, etc.

· Outreach Goals / Efforts

· Request for Advertisement

· Agency Contact Request

· Invitations to Bid (Subs / Vendors)

· Phone Log

· Subcontractor / Vendor Solicitation Log (Tracking Form)

· Development & maintenance of bidder’s lists Training of _____________’s Corporate and Project staff and personnel, including motivation, plan requirements, company procedures. A Specimen copy of _____________’s procedures is attached as Exhibit 2.

Attendance at workshops, seminars & trade fairs conducted by or on behalf of the following small business concerns: SB, SDB, WOSB, HSB, VOSB, and SDVOSB; and general cooperation with staff of small business concerns: SB, SDB, WOSB, HSB, VOSB, and SDVOSB or their representatives.

Equitable Opportunity for Competition.

For _____________ to provide equitable opportunities to all Small Business suppliers and subcontractors, it has recently initiated the posting of specific project opportunities on its website. In addition to posting of the opportunity, this new means of outreach allows _____________ to communicate information of importance to potential suppliers and subcontractors, with the intent of facilitating the most responsive quotes and proposals possible, from all interested parties, thereby allowing _____________ to:

· List project-specific opportunities for supply and subcontracting

· Post project plans, specifications and addenda, which allows interested parties to review the scope and requirements associated with the outsourcing opportunities _____________ has identified.

· Post project-specific instructions for interested parties including:

· Deadline to submit scope of interest and price proposals

· Ability to provide insurance and bonds (for critical subcontracting tasks)

· Submittal of Small Business Certifications, or ability to certify

· Status as a union subcontractor

· Submittal of references, other evidence of ability to respond

· _____________ procurement policies, procedures and requirements. Among these are included:

· Normal commercial terms and conditions, including notice of penalties and remedies for misrepresentation of SB, SDB, WOSB, HSB, VOSB, and SDVOSB status.

· Requirements for small business subcontracting plans, where required (See Assurances, below) Such information provides _____________’s procurement process with the transparency necessary to ensure opportunities are as equitable as possible, overcoming past difficulties, while minimizing the possibility of misunderstandings which have affected _____________’s ability to make the fullest use of certified and qualified small businesses concerns.

Assurances All subcontractors, except small business concerns, that receive subcontracts more than $750,000 ($1,500,000 in the case of construction of a public facility) that offer further subcontracting opportunities will be required to adopt a small business subcontracting plan like this one. Such plans will be reviewed and monitored to assure that all minimum requirements of an acceptable subcontracting plan have been satisfied. To this end, _____________ agrees that the contract clauses entitled “Utilization of Small Business Concerns” and “Small Business Subcontracting Plan” (identified as FAR 52.219-8 and 52.219-9, respectively), as set forth in the Contract specifications, will be included in all subcontracts.

Furthermore, _____________ agrees that it:

(i) will make a good faith effort pursuant to FAR 19.704(a)(12) to acquire articles, equipment, supplies, services, or materials, or obtain the performance of construction work from the small business concerns that it 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.

(ii) will pay its small business subcontractors pursuant to FAR 19.704(a)(15) on time and in accordance with the terms and conditions of the subcontract and notify the contracting officer if _____________ pays a reduced or an untimely payment to a small business subcontractor.

(iii) will cooperate in any studies or surveys as may be required.

(iv) will submit periodic reports so that the Government can determine the extent of _____________’s compliance with this subcontracting plan.

(v) will include subcontracting data for each order when reporting subcontracting achievements for indefinite- delivery, indefinite-quantity contracts intended for use by multiple agencies.

(vi) will submit the Individual Subcontract Report (ISR) and the Summary Subcontract Report (SSR), in accordance with FAR requirements using the Electronic Subcontracting Reporting System as follows:

(A) submit the ISR semi-annually during contract performance for the periods ending March 31 and September 30. _____________ will also submit a report for each contract within 30 days of contract completion. _____________ understands that reports are due 30 days after the close of each reporting period, unless otherwise directed by the contracting officer. _____________ also understands that 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. If a contracting officer rejects an ISR, _____________ will submit a revised ISR within 30 days of receiving the notice of the ISR rejection.

(B) submit the SSR annually by October 30 for the twelve-month period ending September 30. If an SSR is rejected, _____________ will submit a revised SSR within 30 days of receiving the notice of SSR rejection.

(vii) will ensure that _____________’s subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS.

(viii) will provide its prime contract number, its Unique Entity Identifier (UEI), and the e-mail address of _____________’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.

(ix) will require each subcontractor with a subcontracting plan provide the prime contract number, its own unique entity identifier, 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.

(x) will provide the Contracting Officer with a written explanation if _____________ fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work pursuant to FAR 19.704(a)(13) and that this explanation will be submitted to the contracting office within 30 days of contract completion.

(xi) will not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor pursuant to FAR 19.704(a)(14).

xii) will, if it is the prime contractor, provide past performance evaluations to small business subcontractors according to five-scale rating system identified in FAR 42.1503 within 15 days of a request therefor, provided such request is made within 30 days of _____________’s contract completion date.

Records Records will be kept, both to assist in the future utilization of small business, and to comply with Owner requirements. _____________ will maintain records of all statements of interest, quotes and other forms of solicitation to provide leads as a particular need arises. Such records will include certifications and solicitations from individual _____________s interested in doing business with _____________ and will include documentation to substantiate the bases for choice of one supplier or subcontractor over another.

_____________ will maintain at least the following types of records to document compliance with its subcontracting plans and the underlying intent:

· Source lists, guides, and other data identifying small business concerns (SB, SDB, WOSB, HSB, VOSB, and SDVOSB) offering products or services of benefit to _____________ and its contract performance.

· The names of all organizations, agencies, and associations contacted for referrals to SB, SDB, WOSB, HSB, VOSB, and SDVOSB _____________s, along with lists of companies contacted and records of attendance at conferences, seminars, and trade fairs where additional sources were developed.

· Records of internal guidance and encouragement provided to buyers through workshops, seminars, training, etc. and monitoring performance to evaluate compliance with the program’s requirements.

· Logs and records of responses to contacts, including, but not limited to name, company, telephone number, products or services offered, quotes, and certification(s).

· Records on all subcontract solicitations resulting in an award of more than the simplified acquisition threshold (as defined in FAR 2.101), on a contract-by- contract basis, indicating whether SB, SDB, WOSB, HSB, VOSB, and SDVOSB _____________s were solicited, and if not, why not; together with reasons for the failure of solicited SB, SDB, WOSB, HSB, VOSB, and SDVOSB _____________s to receive a subcontract award.

· Records of outreach efforts made in addition to the above, and responses received.

· Records of subcontract award data to include subcontractor’s name and address, to be kept on a contract-by- contract basis.

· Records of internal motivational and training meetings held for the guidance and encouragement of purchasing personnel, together with records of all monitoring activities performed for compliance evaluation.

To effectively implement this plan to the extent consistent with efficient contract performance, _____________ shall perform the following functions:

(1) Assist 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 by arranging solicitations, time for the preparation of bids, quantities, specifications, and delivery schedules to facilitate the participation by such concerns. Where _____________’s lists of potential small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small, disadvantaged business, and women-owned small business subcontractors are excessively long, reasonable effort shall be made to give all such small business concerns an opportunity to compete over a period.

(2) Provide adequate and timely consideration of the potentialities of 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 in all "make-or-buy" decisions.

(3) Counsel and discuss subcontracting opportunities with representatives of 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 _____________s.

(4) Con_____________ that a subcontractor representing itself as a HUBZone small business concern is identified as a certified HUBZone small business concern by accessing the Dynamic Small Business Search database.

(5) 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 a goal contained in _____________'s subcontracting plan.

(6) 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, _____________ must inform each unsuccessful small business subcontract offeror in writing of the name and location of the apparent successful offeror prior to award of the contract.

IV. Internal Guidance. A copy of _____________’s Corporate Policy is attached. This formal commitment by _____________ to utilize the various subcategories of small businesses dates from 2001. Since then, _____________ has employed a variety of means to achieve its subcontracting goals on specific projects, including assignment of project staff on projects in remote areas to locate, qualify, and recruit the various subcategories of Small Businesses _____________ requires.

_____________’s performance against plan is reviewed through the process of semiannual reports, tied to submittal of project specific ISR reports and SSR Summary reports. These reports are distributed internally with comments and recommendations, where called for.

[signature page follows]

I, Harry K. Stewart, a designated officer of The _____________ Group, do hereby state that this _____________ agrees to carry out the Government’s policy to afford every practicable opportunity for Small Business concerns to participate in the performance of this contract consistent with its efficient performance.

___________________ President, CEO

US ARMY CORPS OF ENGINEERS, PORTLAND DISTRICT (SIGNATURE OF CONTRACTING OFFICER)

As required by DFARS 219.705-4, a small, disadvantaged business goal of less than 5% must be approved by one level above the Contracting Officer (if applicable).

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