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| # Small Business Subcontracting Plans The WASC Acquisition Management Division has designed a Small Business Subcontracting Plan model outline for use when formulating such subcontracting plans are required. The suggested model outline has been designed to be consistent with the requirements of FAR Subpart 19.704 and FAR Clause 52.219-9; however, other formats may be acceptable. For information regarding the subcontracting goals of the Department, please see our SOCIO-ECONOMIC GOALS. ## SMALL BUSINESS SUBCONTRACTING PLAN MODEL OUTLINE* DATE OF PLAN: CONTRACTOR: ADDRESS: SOLICITATION/CONTRACT NUMBER: ITEM/SERVICE (Description): TOTAL CONTRACT AMOUNT (Breakout Options): $ $ Base Year Option #1 $ $ $ Option #2 Option #3 Option #4 PERIOD OF CONTRACT PERFORMANCE (Month/Date/Year): *Federal Acquisition Regulation (FAR), paragraph 19.708(b) 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. "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.) Master Plan (Goals developed for this contract; all other elements standard; must be renewed every three (3) years). The contractor must provide a copy of the lead agency approval. Commercial Products Plan (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). 2. Goals State separate dollar and percentage goals for small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns 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 of ALL planned subcontracting, i.e., with ALL types of business concerns, is: $ (100 percent) B. Total estimated dollar value and percent of planned subcontracting with Large businesses (all business concerns classified as "other than small") (% of Contract) $ And % C. Total estimated dollar value and percent of planned subcontracting with small businesses (include HUBZone small business, small disadvantaged and women-owned small businesses)(% of A.) $ And % D. Total estimated dollar value and percent of planned subcontracting with HubZone small businesses (% of Contract): $ And % E. Total estimated dollar value and percent of planned subcontracting with small disadvantaged businesses (% of A.): $ And % F. Total estimated dollar value and percent of planned subcontracting with women-owned small businesses (% of A.): $ And % G. 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 (0THER), Small Business (SM), HUBZone Small Business (HZSM), Small Disadvantaged Business (SDB), and Women-Owned Small Business (WOSB): TYPE OF BUSINESS (Check All That Apply) Subcontracting Product/Service OTHER SM HZSM SDB WOSB (Attach Additional Sheets If Necessary) H. A description of the method used to develop the subcontracting goals for small, HUBZone, small disadvantaged, and women-owned small business concerns; i.e., explain the method and state the quantitative basis (in dollars) used to establish the percentage goals; how the areas to be subcontracted to small, HUBZone, small disadvantaged, and women-owned small business concerns were determined; and how the capabilities of small, HUBZone, small disadvantaged, and women-owned small businesses were determined. Include any source lists used in the determination process. I. Indirect costs have have not been included in the dollar and percentage subcontracting goals stated above. (Check one.) J. 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, HUBZone, small disadvantaged, and women-owned small business concerns. 3. 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: Fax: 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 and demonstrate the company's support for awarding contracts and subcontracts to small, HUBZone, small disadvantaged, and women-owned small business concerns; and assure that small, HUBZone, small disadvantaged, and women-owned small business concerns 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, HUBZone, small disadvantaged, and women-owned small business concerns from all possible sources; C. Ensuring periodic rotation of potential subcontractors on bidder's lists; D. Ensuring that procurement "packages" are designed to permit the maximum possible participation of small, HUBZone, small disadvantaged, and women-owned small businesses; E. Making arrangements for the utilization of various sources for the identification of small, HUBZone, small disadvantaged, and women-owned small businesses such as the SBA's PRO-Net, 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 and 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. Ensuring small, HUBZone, small disadvantaged, and women-owned small business concerns are made aware of subcontracting opportunities and how to prepare responsive bids to the company; I. Conducting training or arranging for the 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, HUBZone, small disadvantaged, and women-owned small business; N. Other duties 4. Equitable Opportunity Describe efforts the offeror will make to ensure small, HUBZone, small disadvantaged, 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 and small business trade associations; 2. Contacting firms certified on the List of Qualified HUBZone Small Business concerns; 3. Contacting business development organizations; 4. Attending small and minority procurement conferences and trade fairs; 5. Using SBA PRO-Net to locate sources; and 6. Utilizing newspaper and magazine ads to encourage new sources. B. Internal efforts to guide and encourage purchasing personnel; 1. Presenting workshops, seminars, and training programs; 2. Establishing, maintaining, and using small, HUBZone, small disadvantaged, 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: 5. Flow-Down Clause The contractor agrees to include the provisions under FAR 52.219-8, Utilization of Small Business Concerns, in all subcontracts that offer further subcontracting opportunities. All subcontracts, except small business concerns, that receive subcontracts in excess of $500,000 ($1 Million for construction of a public facility) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, Small Business Subcontracting Plan (FAR 19.704). 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 wit the subcontracting plan; (3) submission of Standard Form (SF) 294, Subcontracting Report for Individual Contracts, and SF-295, Summary Subcontract Report, in accordance with the instructions on the forms; and (4) ensuring that large business subcontractors with subcontracting plans agree to submit Standard Forms 294 and 295. Reporting Period Report Due Due Date Oct 1- March 31 SF-294 April 15 April 1 - September 30 SF-294 October 15 October 1 - September 20 SF-295* October 15 *Contractors of civilian agencies will be required to submit the SF-295 annually as shown in this chart, unless required more often by the procuring agency. Addresses A. SF-294 to be submitted to the cognizant Contracting Officer B. SF-295 to be submitted to the cognizant Contracting Officer and Department of Commerce, Office of Small & Disadvantaged Business Utilization. 7. Record keeping 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. If the prime contractor is not using SBA PRO-Net as its source for small, HUBZone, small disadvantaged, 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, HUBZone, small disadvantaged, and women-owned small business concerns; C. On a contract-by-contract basis, records on each subcontract solicitation resulting in an award of more than $100,000 indicating; (1) whether small business concerns were solicited, and if not, why not; (2) whether HUBZone small business concerns were solicited, and if not, why not; (3) whether small disadvantaged business concerns were solicited, and if not, why not; (4) whether women-owned small business concerns were solicited, and if not, why not; and (5) if applicable, the reason that the award was not made to a small business concern; 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 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 of division-wide commercial plans.) G. Additional records: SIGNATURE PAGE This Subcontracting Plan was Submitted By: Signature: Typed Name: Title: Date Prepared: Telephone: Fax: Approved: Federal Agency: Approving Official's Signature: Typed Name: Title: Date Approved: Telephone: Fax: Last updated 08/21/00 Globe indicates a link to a non-Federal Government site Home | Acquisition Management | Director's Office | Facilities & Logistics | Financial Management | Human Resources Information Tech | Services | WASC Internal | About Us | Jobs | Search | Contact | Privacy Policy | Disclaimer | File Viewers Direct all inquiries or problems regarding the WASC Web Site to the WASC Systems Division, e-mail: WASCWebmaster@noaa.gov