SMALL BUSINESS SUBCONTRACTING PLAN



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SMALL BUSINESS SUBCONTRACTING PLAN

Contractor: George Mason University

Address: 4400 University Drive

Fairfax, VA 22030

Solicitation or Contract Number: _____________

Item/Service: _________________________

Total Amount or Contract (Including options) $ ________

Period of Contract Performance (DAY/MO/YR.) Current Period: __________

* 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. "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: Select only one of the following, listing the total estimated dollar value of all planned subcontracting, including sub-recipients and vendors/suppliers who will provide supplies/equipment/goods and/or services (to all types of business concerns, both large and small)

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

Total value of projected subcontracts (both large and small businesses)

• Master Plan (Goals developed for this contract; all other elements standard; must be renewed every year.)

• Commercial 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.) - (version-8/03).

2. GOALS:

State separate dollar and percentage goals, expressed in terms of percentages of total available subcontracting dollars, for the use of small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, women-owned small business, Alaskan Native Corporations (ANC), and Indian Tribe 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.)

Answers (a)-(j) below are given in the following table:

a) Total estimated dollar value and percent of planned subcontracting with small businesses (including ANC’s, Indian Tribes, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business concerns):

$_________ and __________% (% of "a")

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

$_________ and __________% (% of "b")

c) Total estimated dollar value of all planned subcontracting 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; i.e., the sum of a and b above:

$_________ and __________% (% of "c")

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

$_________ and __________% (% of "d")

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

$_________ and __________% (% of "e")

f) Total estimated dollar value and percent of planned subcontracting with HUBZone small businesses:

$_________ and __________% (% of "f")

g) Total estimated dollar value and percent of planned subcontracting with small disadvantaged businesses:

$_________ and __________% (% of "g")

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

$_________ and __________% (% of "h")

i) Total estimated dollar value and percent of planned subcontracting with Alaskan Native Corporations:

$_________ and __________% (% of "i")

j) Total estimated dollar value and percent of planned subcontracting with Indian Tribes: $_________ and __________% (% of "j")

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 in the spaces below (Item 1. – 9.): i.e., OTHER THAN SMALL BUSINESS (OTHER, e.g., LARGE BUSINESS), SMALL BUSINESS (SB), VETERAN-OWNED SMALL BUSINESS (VOSB), SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESS (SD/VOSB), HUBZONE SMALL BUSINESS (Hubz), SMALL DISADVANTAGED BUSINESS (SDB), ALASKAN NATIVE CORPORATION (ANC), INDIAN TRIBES (IT), AND WOMEN-OWNED SMALL BUSINESS (WOSB):

(Products/Services by business type:

1. LB/Other:

2. SB:

3. SDB:

4. WOSB:

5. Hubz:

6. VOSB:

7. SD/VOSB:

8. ANC:

9. IT:

4. A DESCRIPTION OF THE METHOD USED TO DEVELOP SUBCONTRACTING GOALS:

George Mason University derives its small, minority-owned (small disadvantaged), and woman-owned business goals based on goals set by the Commonwealth of Virginia through Executive Order 33 () and through its small business administrative agent, the Department of Small Business and Supplier Diversity (). The goals for this proposal were developed by the Principle Investigator/Contract Administrator based on their review of product, or services that will be acquired in support of this contract.

5. A DESCRIPTION OF THE METHOD USED TO IDENTIFY POTENTIAL SOURCES FOR SOLICITATION PURPOSES:

Among the sources available to George Mason University to identify potential small business subcontractors were: vendor lists developed and maintained by the George Mason University, Virginia’s Department of Small Business and Supplier Diversity certified SWaM vendor files, The Small Business Administration and the National Minority Supplier Development Council’s (NMSDC) certified vendor database and The contract administrator’s industry knowledge of available sources for this subcontract.

SBA plus Disabled Veterans Service Organizations

6. INDIRECT COSTS HAVE ________ OR HAVE NOT ____ been included in the dollar and percentage subcontracting goals stated above. (Check one above.)

If indirect costs have been included, explain the method used in determining the proportionate share of indirect costs to be incurred with small businesses (including Alaskan Native Corporations and Indian Tribes) veteran-owned small business, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business concerns.

__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

7. PROGRAM PLAN ADMINISTRATOR

The following employee(s) will carry out this subcontracting plan.

Name:

Title:

Address:

Telephone No:

This individual’s specific duties, as they relate to this subcontracting plan are as follows:

The development, preparation, and execution of this individual subcontracting plan, and for monitoring performance relative to contractual subcontracting requirements contained in this plan, and including, but not limited to:

*The review of available bidders lists of SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT, WOSB concerns

* Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.

* Monitoring attainment of proposed goals.

* Preparing and submitting required periodic subcontracting reports.

* Coordinating contractor’s activities during the conduct of compliance reviews by Federal agencies.

* Coordinating the conduct of contractor’s activities

* Additions to the duties specified above are as follows (insert additional duties as necessary):

8. EQUITABLE OPPORTUNITY:

The following good faith efforts will be taken to assure that SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT to include HBCU/Miss, and WOSB concerns will have an equitable opportunity to compete for subcontract.

a. General Outreach efforts will include:

The George Mason Purchasing staff regularly communicates with representatives of SWaM businesses to encourage them to register with George Mason University and to educate these firms on how to do business with the University. Firms are invited to address the buying staff during regular staff meetings to present business and marketing information. The University regularly contacts potential vendors regarding the benefits of becoming certified by identifying non-certified suppliers and encouraging them to complete the certification process with DMBE.

George Mason University actively engages in outreach, networking opportunities, supplier development, and other events for the SWaM supplier community. These events include those sponsored by Department of Small Business and Supplier Diversity, and VASCUPP. George Mason University takes an active role in planning annual VASCUPP SwamFest , including hosting, programming and providing financial support for this event.

b. Sources will be identified from the Central Contractor Registration (CCR), Dynamic Small Business Search (), SBA and the Virginia Department of Small Business and Supplier Diversity).

c. Small, SDVO, VOSB, HUBZone SB, SDB, ANC, IT and WOSB concern source lists, guides and other data identifying SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT and WOSB concerns will be utilized, as appropriate, by the contract administrator in soliciting subcontracts.

d. Describe the extent to which offeror (contractor) plans to restrict competition to HBCU/MIs:

George Mason University does not plan to restrict competition to HBCU/MIs.

e. Additions to the above listed efforts are as follows:

George Mason University strives to purchase goods, services, and construction in the most efficient and economical means feasible. Factors that are important to our mission of teaching and research include: timeliness of transaction processing and delivery, quality, price reasonableness, and the diversity of our supplier base. We look to create long-term relationships with suppliers through use of term contracts where the opportunity exists.

9. FLOW-DOWN CLAUSE:

The offeror (contractor) agrees that Federal Acquisition Regulation clause 52.219-8 entitled “Utilization of Small Business Concerns” will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors, except SB concerns, who receive subcontracts in excess of $700,000 will be required to adopt and comply with a subcontracting plan similar to the plan required by Federal Acquisition Regulation 52.219-9, entitled “Small, Business Subcontracting Plan.” Such plans will be reviewed by comparing them with the provisions of P.L. 95-507 and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies/services involved, the availability of potential small, SDVO, VOSB, HUBZone small, small disadvantaged and women-owned small business subcontractors, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontracting program participants.

10. REPORTING & COOPERATION

The offeror (contractor) agrees to

i) Cooperate in any studies or surveys as may be required

ii) Submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance by the bidder (contractor) with the subcontracting plan and with the clause entitled “Utilization of Small Business Concerns” contained in the contract.

iii) Include subcontracting data for each order when reporting subcontracting achievements for indefinite-delivery, indefinite-quantity contracts with individual subcontracting plans where the contract is intended for use by multiple agencies.

iv) The contractor agrees to submit the “Individual Subcontracting Report” (ISR) in accordance with the instructions in the “Electronic Subcontracting Reporting System” (eSRS) at . Regardless of the effective date of this contract, the report shall be submitted for the entire life of the contract within thirty (30) days after the close of each reporting period.

v) Provide 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) The contractor shall submit the “Summary Subcontracting Report” (SSR) in accordance with the instructions in eSRS. The SSR of DOD awards shall be submitted within thirty (30) days after the close of each reporting period to the Administrating Contracting Officer. The first report that includes this contract shall be submitted after the first full reporting period of this contract in addition to any fractional part of the previous period in which this contract became effective.

| | | |

|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 |Year End SDB Report |30 days after completion |

11. RECORD KEEPING:

The offeror (contractor) agrees that it will maintain at least the following types of records to document compliance with this subcontracting plan,

a. Source list, guides, and other data identifying SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT and WOSB concerns.

b. Organizations contacted to locate SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT and WOSB concerns.

c. On a contract-by-contract basis, records on all subcontract solicitations over $150,000, indicating for each solicitation (1) whether SB concerns were solicited, and if not, why not; (2) whether SDVO concerns were solicited, and if not, why not; (3) whether VOSB concerns were solicited, and if not, why not; (4) whether HUBZone SB concerns were solicited, and if not, why not; (5) whether SDB concerns were solicited, and if not, why not; (6) whether ANC were solicited, and if not, why not, and (7) whether IT were solicited, and if not, why not, and (8) whether WOSB concerns were solicited, and if not, why not, and (9) reasons for the failure of solicited SB, SDVO, VOSB, HUBZone SB, SDB, ANC, IT, and WOSB concerns to receive the subcontract award.

d. Records of any outreach efforts to contact (1) Trade Associations; (2) Business development organizations; (3) Conference and trade fairs to locate small, HUBZONE small, small disadvantaged, and women-owned small business sources; and (4) Veterans service organizations.

e. Other records to support your compliance with the subcontracting plan (Please describe below if you have other records to support compliance):

12. DESCRIPTION OF GOOD FAITH EFFORT:

The following steps will be taken to demonstrate compliance with a good faith effort in achieving small business subcontracting goals:

a. The offeror (contractor) agrees that it will make a good faith effort 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. Responding to a request for a quote does not constitute use in preparing a bid or proposal. The Offeror used a small business concern in preparing the bid or proposal if–

i. (i) The Offeror identifies the small business concern as a subcontractor in the bid or proposal or associated small business subcontracting plan, to furnish certain supplies or perform a portion of the subcontract; or

ii. (ii) The Offeror used the small business concern's pricing or cost information or technical expertise in preparing the bid or proposal, where there is written evidence of an intent or understanding that the small business concern will be awarded a subcontract for the related work if the Offeror is awarded the contract.

b. Assurances that the Contractor will provide the Contracting Officer with a written explanation if the Contractor fails to acquire articles, equipment, supplies, services or materials or obtain the performance of construction work. This written explanation must be submitted to the Contracting Officer within 30 days of contract completion.

c. Assurances that the Contractor will not prohibit a subcontractor from discussing with the Contracting Officer any material matter pertaining to payment to or utilization of a subcontractor.

d. Assurances that the offeror will pay its small business subcontractors on time and in accordance with the terms and conditions of the underlying subcontract, and notify the contracting officer when the prime contractor makes either a reduced or an untimely payment to a small business subcontractor.

Responsibility for the execution of this subcontracting plan (Principal Investigator (PI) Signs Here):

Signature_______________ ____________________

Typed/Print Name:

Title:

Date:

This plan was reviewed by:

Signature:

Typed/Print Name:

Title:

Date:

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Office of Sponsored Programs

4400 University Drive, MS 4C6, Fairfax, Virginia 22030

Phone: 703-993-2988; Fax: 703-993-2296

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