Subcontracting_Plan_Template.pdf

APPENDIX C

SMALL BUSINESS SUBCONTRACTING PLAN

(Model OUTLINE *)

Name of Contractor:

Contractor’s Address:

Solicitation or Contract Number:________________________________

Item/Service: __________________________________________________

Total Amount or Contract (Including options) $ _________________

Period of Contract Performance (DAY, MO. & YR.)_________________

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

Further, the use of this model is not intended to waive other requirements that may be applicable under FAR 52.219-

9 or that may appear in the Government’s solicitation. "SUBCONTRACT," as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a federal government prime contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract.

1. TYPE OF PLAN (check one)

Individual Plan (All elements developed specifically for this contract and applicable for the full term of this contract, including any option periods.)

Master Plan (Goals developed for this contract; all other elements standard; must be renewed every three years)

Commercial Plan Commercial products/service plan, including goals, covers the offeror’s fiscal year and applies to the entire production of commercial items or delivery of services sold by either the entire company or a portion thereof (e.g., division, plant, or product line); this includes planned subcontracting for both commercial and Government business. In accordance with FAR 19.704(d), “A commercial plan

(as defined in FAR 19.701) is the preferred type of subcontracting plan for contractors furnishing commercial items.” (Contractor sells large quantities of off-the-shelf commodities to many

Government agencies. Plans/goals negotiated by a lead agency on a company-wide basis rather than for individual contracts. Plan effective only during the year for which it is approved. The contractor must provide a copy of the lead agency approval.)

Version: 01/2009

2. GOALS

State separate dollar and percentage goals, expressed in terms of percentages of total subcontracting dollars, for the use of small business (including Alaska Native Corporations (ANCs) and Indian tribes), veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business

(including ANCs and Indian tribes), and women-owned small business concerns as subcontractors. The offeror shall include all subcontracts that contribute to contract performance, and may include a proportionate share of products and services that are normally allocated as indirect costs in the following format. (For a contract with options, provide a separate statement for the basic contract and individual statements for each option year.)

a. Total estimated dollar value and percent of planned subcontracting with small businesses (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns): (% of "c")

$___________________ and _____________________%

b. Total estimated dollar value and percent of planned subcontracting with large businesses (all business concerns classified as "other than small"): (% of "c")

$___________________ and ____________________ %

c. Total estimated dollar value of all planned subcontracting for an individual contract plan; or the offerors total projected sales, expressed in dollars, and the total value of projected subcontracts to support the sales for a commercial plan; i.e., the sum of a and b above: $ (100 Percent)

$__________________ and ______________________%

d. Total estimated dollar value and percent of planned subcontracting with veteran-owned small businesses:

(% of "c")

$__________________ and ______________________%

e. Total estimated dollar value and percent of planned subcontracting with service-disabled veteran-owned small businesses: (% of "c")

$__________________ and _____________________ %

f. Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses: (% of "c")

$__________________and ______________________ %

g. Total estimated dollar value and percent of planned subcontracting with small disadvantaged businesses: (% of "c")

$ _____________________and _____________________ %

h. Total estimated dollar value and percent of planned subcontracting with women-owned small businesses:

(% of "c")

$_____________________ and _____________________ %

3. DESCRIPTION OF PRODUCTS AND/OR SERVICES TO BE SUBCONTRACTED:

Provide a description of all the products and/or services to be subcontracted under this contract, and indicate the types of businesses supplying them: i.e., OTHER THAN SMALL BUSINESS (OTHER, e.g., LARGE BUSINESS), SMALL BUSINESS (SB)(including ANCs and Indian tribes), VETERAN-OWNED SMALL BUSINESS (VOSB), SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESS (SD/VOSB), HUBZONE SMALL BUSINESS, SMALL DISADVANTAGED BUSINESS (SDB) (including ANCs and Indian tribes), AND WOMEN-OWNED

SMALL BUSINESS (WOSB):

(Check all that apply)

Subcontracted OTSB SB VOSB SDVOSB HUBZone SDB WOSB

(List Products and /Services to be subcontracted under “Subcontracted” in the first column)

(Attach additional sheets if necessary.)

4. A description of the method used to develop the subcontracting GOALS:

5. A description of the method used to identify potential SOURCES for solicitation purposes (e.g., whether you used existing company source lists, the Central Contractor Registration (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 business trade associations. A firm may rely on the information contained in the CCR at www.ccr.gov and select Dynamic Small Business Search as an accurate representation of a concern's size and ownership characteristics for the purposes of maintaining a small business source list. Use of the Dynamic Small Business Search as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, publicizing subcontracting opportunities) in this clause.

(Attach additional sheets if necessary.)

6. Indirect costs have ________ have not ________ been included in the dollar and percentage subcontracting goals stated above. (Check one.)

NOTE: COMMERCIAL PLANS MUST INCLUDE INDIRECT COSTS.

If indirect costs have been included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to small, veteran-owned small business, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business concerns.

7. PROGRAM ADMINISTRATOR

Name, title, position within the corporate structure, and duties and responsibilities of the employee who will administer the contractor's subcontracting program.

Name:

Title:

ADDRESS:

Telephone:

Facsimile:

http://www.ccr.gov/

E-mail:

Duties: Has general overall responsibility for the contractor's subcontracting program, i.e., developing, preparing, and executing individual subcontracting plans and monitoring performance relative to the requirements of this particular plan. These duties include, but are not limited to, the following activities:

a. Developing and promoting company-wide policy initiatives that demonstrate the company's support for awarding contracts and subcontracts to small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business; and assure that small, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small businesses are included on the source lists for solicitations for products and services they are capable of providing;

b. Developing and maintaining bidder's lists of small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and

Indian tribes), and women-owned small business concerns from all possible sources;

c. Ensuring periodic rotation of potential subcontractors on bidders lists;

d. Ensuring that procurement "packages" are designed to permit the maximum possible participation of small

(including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small businesses;

e. Make arrangements to identify small, veteran-owned small (including ANCs and Indian tribes) , service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small businesses through multiple sources such as SBA’s SUB-Net

(http://web.sba.gov/subnet/), the CCR Dynamic Small Business Search

(http://dsbs.sba.gov/dsbs/dsp_dsbs.cfm), the National Minority Purchasing Council Vendor Information

Service, the Office of Minority Business Data Center in the Department of Commerce, the facilities of local small business, minority associations, and contact with federal agencies' Small Business Specialists;

f. Overseeing the establishment and maintenance of contract and subcontract award records;

g. Attending or arranging for the attendance of company counselors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc.;

h. Ensure that small (including ANCs and Indian tribes), veteran owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns are made aware of subcontracting opportunities and how to prepare responsive bids to the company;

i. 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 on purchasing procedures;

j. Monitoring the company's performance and making any adjustments necessary to achieve the subcontract plan goals;

k. Preparing, and submitting timely, required subcontract reports;

l. Coordinating the company's activities during the conduct of compliance reviews by federal agencies;

m. Providing technical assistance; e.g., engineering, quality control, and managerial assistance to small

(including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small businesses.

n. Other duties:

8. EQUITABLE OPPORTUNITY

Describe efforts the offeror will make to ensure that small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), http://web.sba.gov/subnet/ and women-owned small business 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. Contacting minority, women's, and small business trade associations;

2. Contacting business development organizations;

3. Attending small, veteran's, minority, and women's business procurement conferences and trade fairs;

4. Locating sources from the Central Contractor Registration (CCR) Dynamic Small

Business Search;

5. Utilizing newspaper and magazine ads to encourage new sources.

6. Posting Notices of Sources Sought and/or Requests for Proposals or Requests for

Quotations on SBA’s SUB-Net.

b. Internal efforts to guide and encourage purchasing personnel:

1. Presenting workshops, seminars, and training programs;

2. Establishing, maintaining, and using small, veteran-owned small (including ANCs and Indian tribes), service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business source lists, guides, and other data for soliciting subcontracts; and 3. Monitoring activities to evaluate compliance with the subcontracting plan.

c. Additional efforts:

9. FLOW-DOWN CLAUSE

The contractor agrees to include the provisions under FAR 52.219-8, "Utilization of Small Business

Concerns," in all subcontracts over $150,000 that offer further subcontracting opportunities. All subcontractors, except small business concerns, that receive subcontracts in excess of $650,000 ($1.5 million for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, "Small Business Subcontracting Plan."(Flow-down of the subcontracting plan requirement is not applicable to subcontracts for commercial items in contracts that contain either FAR 52.212-5(e) or FAR 52.244-6(c).)

10. REPORTING AND COOPERATION

The contractor gives assurance of: (1) cooperation in any studies or surveys that may be required; (2) submission of periodic reports which show compliance with the subcontracting plan; (3) submission of the

Individual Subcontract Report (formerly Standard Form 294) and Summary Subcontract Report (formerly

Standard Form 295) via the Electronic Subcontracting Reporting System at www.esrs.gov. Ensure that large business subcontractors with subcontracting plans agree to submit the ISR and SSR.

Reporting Period Report Due Dates

Oct 1 - March 31 ISR 4/30 (all agencies)

Oct 1 - Sept 30 ISR 10/30 (all agencies)

ISR due 30 days after contract completion

Oct 1 - March 31 SSR 4/30 (for contracts with DOD and NASA)

Oct 1 - Sept 30 SSR 10/30 (all agencies)

Oct 1 – Sept 30 SSR 10/30 (commercial subcontracting plans) http://www.esrs.gov/

11. RECORDKEEPING

The following is a recitation of the type of records the contractor will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. These records will include, but not be limited to, the following:

a. If the prime contractor is not using Central Contractor Registration Dynamic Small Business Search as its source for small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business concerns, list the names of guides and other data identifying such vendors;

b. Organizations contacted in an attempt to locate small (including ANCs and Indian tribes), veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged (including

ANCs and Indian tribes), and women-owned small business sources;

c. On a contract-by-contract basis, records on each subcontract solicitation resulting in an award of more than $150,000 indicating: (1) whether small business (including ANCs and Indian tribes) concerns were solicited, and if not, why not; (2) whether veteran-owned small business concerns were solicited, and if not, why not; (3) whether service-disabled veteran-owned small business concerns were solicited, and if not, why not; (4) whether HUBZone small business concerns were solicited, and if not, why not;

(5) whether small disadvantaged business (including ANCs and Indian tribes) concerns were solicited, and if not, why not; (6) whether women-owned small business concerns were solicited, and if not, why not; and (7) if applicable, the reason that the award was not made to a small business concern;

d. Records to support other outreach efforts, e. g., trade associations, business development organizations;

conferences and trade fairs to locate small (including ANCs and Indian tribes), HUBZone small, small disadvantaged (including ANCs and Indian tribes), and women-owned small business sources; and veterans service organizations;

e. Records to support internal guidance and encouragement provided to buyers through (1) workshops, seminars, training programs, incentive awards, and (2) monitoring of activities to evaluate compliance;

and

f. On a contract-by-contract basis, records to support subcontract award data including the name, address, and business size of each subcontractor. (This item is not required on a contract-by-contract basis for company or division-wide commercial plans.)

g. Additional records:

In order to effectively implement this plan to the extent consistent with efficient contract performance, the Contractor 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 so as to facilitate the participation by such concerns. Where the

Contractor’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 of time.

(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 firms.

(4) Confirm that a subcontractor representing itself as a HUBZone small business concern is identified as a certified

HUBZone small business concern by accessing the Central Contractor Registration (CCR) database or by contacting

SBA.

(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 of a goal contained in the Contractor’s subcontracting plan.

This subcontracting plan was submitted by:

Signature: ______________________________

Typed Name: ______________________________

Title: ______________________________

Date Prepared: __________________________

Phone Number: __________________________

Facsimile Number: _______________________

SADBUS Recommendation: _____________________________/Date________

SBA Review/advisory comments

Agency: U.S. Small Business Administration

Signature: _______________________________

Typed Name:

Title: SBA Procurement Center Representative

Date Reviewed:___________________________

Phone Number:

Facsimile Number:

Contracting Officer Approval: ______________________/Date________

SBLO Handbook: 06//15/2010

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