Attachment 4
OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION
SMALL BUSINESS SUBCONTRACTING PLAN
HHS Operating Division (OPDIV): __________________
DATE OF PLAN: ________________________________
CONTRACTOR: _________________________________________________________________
ADDRESS: _________________________________________________________________
___________________________________________________________________________
DUN & BRADSTREET NUMBER: _________________________________________________________
SOLICITATION OR CONTRACT NUMBER: __________________________________________________
ITEM/SERVICE (Description): ____________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
NEW/INITIAL CONTRACT
PERIOD OF CONTRACT PERFORMANCE (Month, Day & Year): _______________________________
Base $______________________________ Performance Period/Quantity ______________
Option 1: $______________________________ Performance Period/Quantity ______________
Option 2: $______________________________ Performance Period/Quantity ______________
Option 3: $______________________________ Performance Period/Quantity ______________
Option 4: $______________________________ Performance Period/Quantity ______________
$______________________________ Total Contract Cost
CONTRACT MODIFICATION (if applicable)
PERIOD OF CONTRACT PERFORMANCE (Month, Day & Year): _______________________________
Original base $______________________________ Performance Period/Quantity ______________
Modification $______________________________ Performance Period/Quantity ______________
Task Order $______________________________ Performance Period/Quantity ______________
$______________________________ Modified Total Contract Cost
The following outline meets the minimum requirements of section 8(d) of the Small Business Act, as
amended, and implemented by Federal Acquisition Regulations (FAR) Subpart 19.7. While this outline has
been designed to be consistent with statutory and regulatory requirements, other formats of a subcontracting
plan may be acceptable. It is not intended to replace any existing corporate/commercial plan that is more extensive.
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 calling for supplies or services
required for performance of the contract or subcontract.
If assistance is needed to locate small business sources, contact the OPDIV Small Business
Specialist (SBS) at (____) ____ - __________, the Office of Small and Disadvantaged Business Utilization (OSDBU) at (202) 690-7300, or visit the OSDBU Web site (http://www.hhs.gov/osdbu/staff.html). Also, sources may be obtained from the Central Contractor
Registration (http://www.ccr.gov) Web site.
Please note that the U.S. Department of Health and Human Services (HHS) has subcontracting goals of ____% for small business, including Alaskan Native Corporations (ANC) and Indian Tribes (hereafter referred to as SB), ____% for small disadvantaged business, including Alaskan Native Corporations (ANC) and Indian Tribes (hereafter referred to as SDB), ____% for women-owned business and economically disadvantaged women-owned business (hereafter referred to as WOSB), ____% for HUBZone business (HUBZone) and service disabled veteran-owned small business (SDVOSB) concerns for fiscal year __________. For this procurement, HHS expects all subcontracting plans to contain the following small business goals, a minimum of ____% for total SB, ____% for SDB, ____% for WOSB, ____% for HUBZone and ____% for SDVOSB concerns. These percentages shall be expressed as percentages of the total
estimated subcontracting dollars. The offeror is required to include an explanation for a category that
has zero as a goal.
1. Type of Plan (check one)
____ Individual plan (all elements developed specifically for this contract and applicable
for the full term of this contract).
____ Master plan (goals developed for this contract) all other elements standardized and approved
by a lead agency Federal Official; must be renewed every three years and contractor must
provide copy of lead agency approval.
____ Commercial products/service plan (goals are negotiated with the
initial agency on a company-wide basis rather than for individual contracts) this plan applies to the entire production of commercial service or items or a portion thereof. The contractor sells products and
services customarily used for non-government purposes. The plan is effective
during the offeror's fiscal year. The contractor must provide a copy of the initial agency
approval and must submit an annual SSR into the electronic Subcontracting Reporting System (eSRS) with a breakout of subcontracting prorated
for HHS and other Federal Agencies.
2. Goals
Below indicate dollar and percentage goals for Small Business, including Alaskan Native Corporations and Indian Tribes (SB), Small Disadvantaged
(SDB), Woman-owned and Economically Disadvantaged Woman-owned (WOSB), Historically Underutilized Business Zone
(HUBZone), Service-Disabled Veteran-owned (SDVOSB) 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.
a. Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns
under this contract is $ ____________________ (Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
b. Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES
(including SDB, WOSB, HUBZone, and SDVOSB):
(% of "a") $ ________________ and ______% (Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
c. Total estimated dollar value and percent of planned subcontracting with SMALL
DISADVANTAGED BUSINESSES:
(% of "a") $ ________________ and _______________%
(Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
d. Total estimated dollar value and percent of planned subcontracting with WOMAN-OWNED
SMALL BUSINESSES:
(% of "a") $ ________________ and _______________% (Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
e. Total estimated dollar and percent of planned subcontracting with HUBZone SMALL
BUSINESSES:
(% of "a") $ ________________ and _______________% (Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
f. Total estimated dollar and percent of planned subcontracting with SERVICE-DISABLED
VETERAN SMALL BUSINESSES:
(% of "a") $ ________________ and _______________%
(Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
g. Total estimated dollar and percent of planned subcontracting with "OTHER THAN SMALL
BUSINESSES":
(% of "a") $ ________________ and _______________% (Base Year)
FY ___ 1st Option FY ___ 2nd Option FY ___ 3rd Option FY ___ 4th Option
$____________ $____________ $____________ $____________
Notes:
1. Federal prime contract goals are:
SB equals ___%; SDB equals ___%; WOSB equals
___%; HUBZone equals ___%; and SDVOSB equals ___% may serve as objectives for
subcontracting goal development.
2. SDB, WOSB, HUBZone and SDVOSB goals are subsets of SB and should be
counted and reported in multiple categories, as appropriate.
3. If any contract has more than four options, please attach additional sheets showing
dollar amounts and percentages.
Provide a description of ALL the products and/or services to be subcontracted under this contract,
and indicate the size and type of business supplying them (check all that apply).
Products and/or Services |
Other |
Small Business |
SDB |
WOSB |
HUBZone | SDVOSB |
1 | | | | | | |
2 | | | | | | | 3 | | | | | | | 4 | | | | | | | 5 | | | | | | | 6 | | | | | | | 7 | | | | | | | 8 | | | | | | | 9 | | | | | | | 10 | | | | | | |
i. 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 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.)
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
j. Indirect costs have ____ have not ____ been included in the dollar and percentage subcontracting
goals above (check one).
k. 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 and
SDVOSB concerns.
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
3. 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?
(If NO is checked, please indicate 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 it 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 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 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 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 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 and SDVOSB small business participation; ____ yes ____ no
g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone and
SDVOSB concerns to include the Central Contractor Registration
(http://www.ccr.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 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 Section 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:___________________________________________________________________
4. Equitable Opportunity
Describe efforts the offeror will make to ensure that SB, SDB, WOSB, HUBZone 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
and SDVOSB procurement conferences and trade fairs;
4) review sources from the Central
Contractor Registration (http://www.ccr.gov);
5) review sources from the
Small Business Administration (SBA), Central
Contractor Registration (CCR); 6) consider using other sources such as the National Institutes of Health (NIH) e-Portals in Commerce, (e-PIC), (http://epic.od.nih.gov/). The NIH e-PIC is not a mandatory source; however, it may be used at the offeror's discretion; and 7) utilize newspaper and magazine ads to encourage new sources.
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 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 $500,000 ($1,000,000 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 52.212-5(e) and 52.244-6(c) the contractor is not required to include flow-down clause FAR 52.219-9 if it is subcontracting commercial items.
6. 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
its Individual Subcontract Report (ISR) and Summary Subcontract Report (SSR); and (4) ensuring that subcontractors agree to submit ISRs and SSRs. The ISR and SSR shall be submitted via the Electronic Subcontracting Report System (eSRS) Web site https://esrs.symplicity.com/index?_tab=signin&cck=1
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 |
Contract Completion |
OF-312 |
30 days after completion |
See FAR 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.
a. Submit ISR (bi-annually) for the awarding Contracting Officer's review and acceptance via the eSRS Web site.
b. Currently, SSR (annually) must be submitted for the HHS eSRS Agency Coordinator review and acceptance via the eSRS Web site. (NOTE: Log onto the OSDBU Web site to view the HHS Agency Coordinator contact: http://www.hhs.gov/osdbu/staff.html).
Note: Due to the nature and complexity of many HHS contracts, the contractor may not be required to submit its subcontracting reports through the eSRS. The HHS Agency Coordinator will confirm the contractor's submission requirements. If the contractor is required to submit paper copies, it will submit a copy to the HHS Agency Coordinator, the Contracting Officer and the appropriate SBA Commercial Market representative.
7. Record keeping
FAR 19.704(a)(11) requires a list of the types of records your company will maintain to demonstrate the procedures adopted to comply with the requirements and
goals in the subcontracting plan. The following is a recitation of the types 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. SB, SDB, WOSB, HUBZone and SDVOSB source lists, guides and other data identifying
such vendors;
b. Organizations contacted in an attempt to locate SB, SDB, WOSB, HUBZone and
SDVOSB sources;
c. On a contract-by-contract basis, records on all subcontract solicitations over $100,000, which
indicate for each solicitation (1) whether SB, SDB, WOSB, HUBZone and/or SDVOSB
concerns were solicited, if not, why not and the reasons solicited concerns did not receive
subcontract awards;
d. Records to support other outreach efforts, e.g., contacts with minority and small business trade
associations, attendance at small and minority business procurement conferences and trade fairs;
e. Records to support internal guidance and encouragement provided to buyers through (1)
workshops, seminars, training programs, incentive awards; and (2) monitoring performance to
evaluate compliance with the program and requirements; and
f. On a contract-by-contract basis, records to support subcontract award data including the name,
address, and business type and size of each subcontractor. (This item is not required on a
contract–by–contract basis for company or division-wide commercial plans.)
g. Other records to support your compliance with the subcontracting plan: (Please describe)
______________________________________________________________________________
______________________________________________________________________________
8. Timely Payments to Subcontractors
FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of
amounts due pursuant to the terms of your subcontracts with small business concerns, 8(a), SDB, women-owned small business, HUBZone and service disabled veteran-owned
small business concerns.
Your company has established and uses such procedures: ____ yes ____ no
9. Description of Good Faith Effort
Maximum practicable utilization of small, 8(a), small disadvantaged, women-owned, HubZone small and service disabled veteran owned 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. In order to demonstrate your compliance with a good faith effort to
achieve the small, SBD, WOSB, HubZone and SDVOSB small business subcontracting goals, outline the steps your company plans to
take. These steps will be negotiated with the contracting officer prior to approval of the plan.
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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SIGNATURE PAGE
Signatures Required:
This subcontracting plan was submitted by:
Signature: ___________________________________________________
Typed Name: ________________________________________________
Title: _______________________________________________________
Date: _______________________________________________________
This plan was reviewed by:
Signature: ___________________________________________________
Typed Name: ________________________________________________
Title: Contracting Officer Date: ____________________________
This plan was reviewed by:
Signature: ___________________________________________________
Typed Name: ________________________________________________
Title: Small Business Specialist Date: __________________________
This plan was reviewed by:
Signature: ___________________________________________________
Typed Name: ________________________________________________
Title: Small Business Administration Procurement Center Representative
Date: _______________________________________________________
Is Accepted By:
OPDIV: ___________________________________________________
Typed Name: ________________________________________________
Title: _______________________________________________________
Date: _______________________________________________________
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