DHHS MODELSMALL, SMALL DISADVANTAGED AND …



SUBCONTRACTING PLAN FOR SMALL BUSINESSAND SMALL DISADVANTAGED BUSINESS CONCERNS(SUBMITTED IN ACCORDANCE WITH PUBLIC LAW 95-507)DATE OF PLAN:XX/XX/XXXXCONTRACTOR:North Carolina State University ADDRESS: Office of Sponsored Programs2701 Sullivan Drive, Suite 240Campus Box 7514Raleigh, NC 27695-7514DUNN & BRADSTREET NUMBER: 042092122SOLICITATION OR CONTRACT NUMBER: REFERENCES: FAR 19.705 AND 52.219-9ITEM/SERVICE (Description): Research Project entitled: “XXXX" NC State University File Number: XXXX-XXXXPrincipal Investigator and Plan Administrator: XXXXXDescription: This project proposes XXXXXXXProposed Total Contract Dollar Value: $XXPerformance Period: XX/XX/XXXX (or date of contract award) through XX/XX/XXX (extended appropriately based on delay of contract XXXX once fully executed).TOTAL MODIFICATION AMOUNT, IF APPLICABLE?? $ N/ATOTAL TASK ORDER AMOUNT, IF APPLICABLE $ N/AThe North Carolina State University will comply with Public Law 95-507 as is interpreted through the Federal Acquisition Regulation subpart 19.7. Consistent with North Carolina State Statutes, sound business practices and the efficient performance of the prime contract requirements, every effort will be made to assist small business concerns and small business concerns owned by socially and economically disadvantaged individuals, and businesses controlled by women. Such suppliers will be afforded a fair and equitable opportunity to furnish needed materials, supplies, services, and equipment items that will be required to accomplish the objectives of this prime contract. 1. Type of Plan (check one)XX Individual plan (all elements developed specifically for this contract and applicable for the full term of this contract).2. GoalsBase Year GoalsTotal estimated dollar value of ALL planned subcontracting for the Base Year if NC State’s proposal for the Base Year is fully funded, i.e., with ALL types of concerns under this contract is $XX (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is fully funded at $XX or higher for the Base Year) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XXX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)**Option Year 1 GoalsTotal estimated dollar value of ALL planned subcontracting for Option Year 1 if NC State University’s original proposal for Option Year 1 is fully funded, i.e., with ALL types of concerns under this contract is $ (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is funded at $XX or higher of Option Year 1) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)**Base Year 2 GoalsTotal estimated dollar value of ALL planned subcontracting for Option Year 2 if NC State University’s original proposal for Option Year 2 is fully funded, i.e., with ALL types of concerns under this contract is $XX (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”)$ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is funded at $XX or higher for Option Year 2) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)**Option Year 3 GoalsTotal estimated dollar value of ALL planned subcontracting for Option Year 3 if NC State University’s original proposal for Option Year 3 is fully funded, i.e., with ALL types of concerns under this contract is $XX (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”)$ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is funded at $XX or higher for Option Year 3) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)**Option Year 4 GoalsTotal estimated dollar value of ALL planned subcontracting for Option Year 4 if NC State University’s original proposal for Option Year 4 is fully funded, i.e., with ALL types of concerns under this contract is $XX (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”)$ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is funded at $XX or higher for Option Year 4) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)**Overall/Total GoalsTotal estimated dollar value of ALL planned subcontracting if NC State University’s original proposal is fully funded, i.e., with ALL types of concerns under this contract is $XX (b + h = a)Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, and VOSB): (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES:(% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ 0 or 0 % Total estimated dollar value and percent of planned subcontracting with WOMANOWNED SMALL BUSINESSES: (% of “a”) $ 0 or 0.% Total estimated dollar and percent of planned subcontracting with HUBZone SM BUS: $ 0 or 0 % Total estimated dollar and percent of planned subcontracting with VETERAN SMALL BUSINESSES* (0% of “a”) $ 0 or 0%. Total estimated $ and percent of planned subcontracting with “OTHER THAN SM BUS”: $XX (provided NC State University’s proposal is funded at $XX or higher) or approximately XX% of this award amount will be subcontracted to other universities as required by the BAA structure in order to XX (This total includes Sole Source Subcontracts and Sole Source Analysis work with the universities referenced below on the basis of scientific expertise.)*** The classification system used for reporting business status under the North Carolina State Historically Underutilized Business Program (See 2.1.) includes totally separate, incompatible categories, so NC State University has no ability to record any purchases against Federal standard classifications.**Note: NC State University is subcontracting approximately XX% of its proposed award amount to other universities with the required expertise in order to comply with the BAA’s structure of XX. NC State University does not have any line items for materials & supplies, equipment, printing nor printing services in which to seek small business nor small disadvantaged business subcontracting opportunities with. The University will investigate the possibility of subcontracting with small business and small disadvantaged businesses if the University’s budget changes in manner that would support this type of subcontracting opportunities. If NC State University is able to locate subcontracting opportunities, the following items will be appropriately addressed:The University will ensure that it will “establish procedures to ensure the timely payment of amounts due pursuant to the terms of [its] subcontracts with small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns” as required by FAR 19.702.The University will include “a statement as to whether or not [NC State University] included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with 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” as required by FAR 19.704(a)(6) and FAR 52.219-9(d)(6). The current subcontractors listed below all utilized their full and federally negotiated indirect cost rates in their cost proposals to NC State University.Provide a description of ALL the products and/or services to be subcontracted under this contract.Product/ServiceOtherSBSDBSWOBHUBZoneSBVOSBNOTE: The value of other potential subcontracts (other than the collaborators described above) under this award is a de minimis amount and rendering non-collaborating subcontracting opportunities in this project to be essentially zero. The institutions that will collaborate with NC State conducting this research were all selected on a sole source basis due to their expertise in the required fields/disciplines. Under FAR 52.215-2 Audit and Records – Negotiation (OCT 2010), Alternate II (Apr 1998), as prescribed in 15.209(b)(3), "For cost-reimbursement contracts with State and local Governments, educational institutions, and other nonprofit organizations, the contracting officer shall use the clause with its Alternate II." Which adds the following paragraph (h) to the basic clause: "(h) The provisions of OMB Circular No.A-133, “Audits of States, Local Governments, and Nonprofit Organizations,” (Now Uniform Guidance) apply to this contract." This plan has been prepared in order to ensure that our proposal is responsive and can be evaluated based upon its technical merit. Description of the method used to develop the subcontracting goals for HUB concerns. As an agency of the State of North Carolina, procurement at the University is governed by NC Statutes and procurement regulations published by the State Department of Administration. These procedures are used when the State Office of Purchase and Contracts is soliciting bids for purchases of large dollar value requirements as well as Term Contracts (equivalent to Requirements Type Contracts). The State’s Term Contracts are awarded covering a very wide variety of goods and services. These statewide contracts are mandatory for the University and they constitute the source selection for an estimated 90% of the routine purchases of goods and services. Procurement actions conducted by the State Office of Purchase and Contracts and those conducted by the University Purchasing Office, which are not covered by the state’s Term Contracts are still required to abide by the same policies regarding competition and use of Historically Underutilized Business, summarized below. 2.1. North Carolina State UniversityHistorically Underutilized Business Utilization PolicyNCSU is an agency of the State of North Carolina bound by NC statutes and regulations. North Carolina first implemented its Historically Underutilized Businesses (HUB) program on April 20, 1999. Historically Underutilized Businesses (HUBs) as defined in N.C. General Statutes 143-48.4, and 143-128.4 (a), and (b) are minority, women, disabled and disadvantaged owned businesses that are at least 51 percent owned and controlled by one of the aforementioned groups. The HUB Office also promotes the utilization of disabled business enterprises and non-profit work centers for the blind and severely disabled by state agencies and public entities.All state agencies track and report as directed into the HUB Office in the NC Department of Administration. NCSU is not able to submit reporting described in FAR 19.704 (a) (10). That is why we only agree to participate in studies in section 6. We have no ability to capture the information that is requested. The categories for the NC HUB program cannot provide information for the categories established by the US Small Business Administration. We do not have the authority to change state statutes and no authority or capability to create a separate purchasing system in order to comply with Federal Regulations. Description of the method used to develop the subcontracting goals for HUB concerns: As an agency of the State of North Carolina, procurement at the University is governed by NC Statutes and procurement regulations published by the State Department of Administration. These procedures are used when the State Office of Purchase and Contracts is soliciting bids for purchases of large dollar value requirements as well as Term Contracts (equivalent to Requirements Type Contracts). The State’s Term Contracts are awarded covering a very wide variety of common commercial goods and services. These statewide contracts are mandatory for the University and they constitute the source selection for an estimated 70% of the routine purchases of goods and services. Procurement actions conducted by the State Office of Purchase and Contracts and those conducted by the University Purchasing Office, which are not covered by the state’s Term Contracts are still required to abide by the same policies regarding competition and use of Historically Underutilized Business, summarized below. It is the policy of NC State University to encourage and promote the use of Historically Underutilized Businesses (HUB) in the purchasing of goods and services. The University complies with NC General Statutes No. 143-48 and 143-128 and NC Executive Orders issued by all sitting Governors since former Governor James B. Hunt first established the program on 04-20-1999. These documents define HUBs as women, minority, and disabled owned businesses, disabled business enterprises, nonprofit work centers for the blind and severely disabled. The university’s purchasing and construction management officials work with the state’s Office For Historically Underutilized Businesses to support and promote the inclusion of HUB vendors in all phases of procurement and construction. Executive Order establishes a goal of 8% of awards being made to HUB and a monthly report on the amount of purchases made to HUB. HUB Office serves as a resource to provide HUBs with assistance in doing business with the state and its agencies. The office seeks to identify capable HUBs in areas of construction, commodities and services that could do business with the State and provide accurate information to businesses. This office also directs these businesses to the agencies that could best use their products or services and serves as information resources to aid agencies and businesses in becoming more active participants in the State’s public contracting process. HUB vendors are included in bidder listings on a regular basis and are given every opportunity to compete for this University’s procurement dollar. b.NC State University operates a centralized purchasing office. The University’s purchases and contracts are subject to the supervision of the Division of Purchase and Contract of the State of North Carolina. This Division competitively awards all purchases from state agencies valued over $35,000. Purchases over $2,500 and not exceeding $35,000 are awarded by competitive bidding within the University. This Division also establishes multiple requirements type “Term Contracts” for commodities commonly used for State agencies and institutions. Both the University and the State Division of Purchase and Contract actively solicit small business concerns and small business concerns owned and controlled by socially and economically disadvantaged individuals. Both maintain computer records of all such qualified bidders. The University uses its own vendor database and the Small Business Administration’s database “Pro-Net” in fulfilling its policy requirements and meeting goals established by NC Executive Order No. 77 for support of Historically Underutilized Businesses (HUB).c.Assistance in the solicitation and helping small business and small disadvantaged business to bid on such offers is available through the State’s Office for Historically Underutilized Businesses (HUB Office). This office serves as an advocate for minority, women and disabled-owned businesses in their efforts to conduct business with the State of North Carolina. Historically Underutilized Businesses (HUBs) consist of minority, women and disabled business firms that are at least fifty-one percent owned and operated by an individual(s) of the aforementioned categories. Also included in this category are disabled business enterprises and non-profit work centers for the blind and severely disabled. The HUB Office provides vendors access to on-line vendor registration, conducts on-line HUB certification, and provides technical assistance and training on how to conduct business with government purchasing and construction arms. The HUB Office uses a World Wide Web page to promote HUB participation in state procurements. That site is . The site includes easy links for HUBs to register their business with the program and to participate in the state’s electronic procurement initiative, reviews of current state legislation effecting HUBs search tools for state agencies to find HUBs and contacts within the HUB Coordinator’s network. Further assistance to minority businesses is provided through the North Carolina Minority Business Development Agency of the Department of Commerce. Coordination and additional support is provided through the Piedmont Minorities Purchasing Council, comprised of purchasing and contract agents within the State.NCSU and the entire UNC System of 16 campuses conduct their purchasing in accordance with all state statutes and all have active HUB programs. The NCSU website includes 71 examples cataloging NC State University’s own program initiatives.3. Subcontracting Plan Administrator:a. Name:Blain Woods Title:Assistant Director, Purchasing DepartmentAddress:North Carolina State UniversityAdministrative Services I BuildingCampus Box 7212Raleigh, NC 27695-7212Telephone:919-515-6885b.The Subcontracting Plan administrator’s duties are as follows:1) To assure that small and small disadvantaged business concerns will have an equitable opportunity (fair share) to compete for subcontracts consistent with North Carolina statutes and the efficient performance of this contract.2) To assure that a best effort is made to meet or exceed the goals set forth in this plan.3) To establish and maintain source lists of Small and Small Disadvantaged Business concerns which are capable or potentially capable of providing the desired goods and services through the Division of Purchase and Contract of the State of North Carolina.4) To actively seek out such small business concerns through the State of North Carolina HUB Program.5) To maintain records to reflect performance of subcontracts of this plan.6) To use the published web sites for location and selection of subcontractors.7) To assure that individuals of such concerns are given counsel to assist them in doing business under the contract.4. Equitable Opportunitya)As an agency of the State of North Carolina, procurement at the University is governed by NC Statutes and procurement regulations published by the State Department of Administration. These procedures are used when the State Office of Purchase and Contracts is soliciting bids for purchases of large dollar value requirements as well as Term Contracts (equivalent to Requirements Type Contracts). The State’s Term Contracts are awarded covering a very wide variety of goods and services. These statewide contracts are mandatory for the University and they constitute the source selection for an estimated 70% of the routine purchases of goods and services. Procurement actions conducted by the State Office of Purchase and Contracts and those conducted by the University Purchasing Office, which are not covered by the state’s Term Contracts are still required to abide by the same policies regarding competition as well as promoting the use of Historically Underutilized Business.b)NC State University operates a centralized purchasing office. The University’s purchases and contracts are subject to the supervision of the Division of Purchase and Contract of the State of North Carolina. This Division competitively awards all purchases from state agencies valued over $50,000 and $500,000 for UNC System Schools. Purchases over $5,000 and not exceeding $500,000 are awarded by competitive bidding within the University. This Division also establishes multiple requirements type “Term Contracts” for commodities commonly used for State agencies and institutions. Both the University and the State Division of Purchase and Contract actively solicit small business concerns and small business concerns owned and controlled by socially and economically disadvantaged individuals. Both maintain computer records of all such qualified bidders. The University uses the Division of Purchase and Contract’s Interactive Purchasing System (IPS) as its vendor database and the Small Business Administration’s database “Pro-Net” in fulfilling its policy requirements and meeting goals established by NC Executive Order No. 77 for support of Historically Underutilized Businesses (HUB).c)It is the University’s intent in conjunction with the State Office of Historically Underutilized Business to assist small business concerns and small business concerns owned and controlled by socially and economically disadvantaged individuals to the maximum extent practicable consistent with sound business practices, NC Purchasing Statutes and with the efficient performance of our contract requirements. We intend to give such business concerns a fair and equitable opportunity to compete for business when consistent with our contractual obligations. We pledge to make a concerted effort to locate such concerns to ensure an equitable opportunity in competing for subcontracts that we anticipate awarding in the performance of this contract.d)The Division of Purchase and Contract of the State of North Carolina oversees policy compliance for University Purchasing. The State Division handles any routine procurement over $500,000. These are awarded using competitive bidding in accordance with NC Statutes. The University uses competitive bidding to award purchases between $5,000 and $500,000. The Division of Purchase and Contract actively solicits business concerns that qualify under NC’s HUB Program, including small business concerns owned and controlled by socially and economically disadvantaged individuals. The Division maintains a searchable record of all such qualified bidders. 5. Flow Down ClauseThe University agrees to incorporate FAR 52.2198, “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 $700,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.2199, “Small Business Subcontracting Plan.” 6. Reporting and CooperationThe contractor gives assurance of cooperation in any studies or surveys that may be required; and submission of periodic reports on Historically Underutilized Business purchasing activity as requested to demonstrate compliance with the subcontracting plan. Contractor also hereby provides assurances that the offeror will submit Standard Form 294 Subcontracting Report for Individual Contracts as applicable by the subcontract report for Individual Contracts as described in FAR 52.219-9(d)(10), and 19.704(a)(11).SIGNATURESThis individual type subcontracting plan is submitted by North Carolina State UniversitySignature: _______________________________________ Date:_____________Typed Name: XXXTitle:XXX, Sponsored Programs officeAccepted By:Agency________________________________Contracting Officer Signature:________________________________ Date: _________Typed Name: ______________________________________________ ................
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