Small or Disadvantaged Business Subcontracting Plan Form

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					            SMALL/DISADVANTAGED BUSINESS SUBCONTRACTING PLAN
OFFEROR IDENTIFICATION
Date
Contractor Legal name: "Arizona Board of Regents acting for and on behalf of Arizona State
           University" Organization name "Arizona State University"
Address    Office for Research and Sponsored Projects Administration
           PO Box 876011, Tempe, Arizona 85287-6011
Sponsor:                                      Solicitation:
Service



Period of Contract Performance (Including Options)
               Base Period                              Option Period(s)
1 TYPE OF PLAN
  Individual Contract Plan. This plan covers the entire contract period (including option periods, if applicable),
  applies to this specific contract, and has goals that are based on the offeror's planned subcontracting in support
  of the specific contract.

2 GOALS
  Targeted dollar value allocations to small business (SB), veteran-owned small business (VOSB), service-
  disabled veteran-owned small business (SDVO), small disadvantaged business (SDB), women-owned small
  business (WOSB), HUBZone small business (HUB) (collectively referred to as qualified small business
  categories) based on Federal Agency goals and as specified in FAR 19.704.
                                                                                                              Dollar
                                                                                                Percentage
                                                                                                              Value
   A Total estimated dollar value of all planned subcontracting with all types of concerns           100% $100,000
     (small and large businesses, non-profit entities, educational institutions) under this
     contract:

   B Total estimated dollar value of planned subcontracting with "other than small                     65%    $65,000
     businesses" (OTSB, i.e., large businesses, state and local governments, non-profit
     organizations, and educational institutions, foreign entities) (Percent of "A" will auto
     populate):

   C Total estimated dollar value of planned subcontracting with ALL qualified and self-              35%     $35,000
     certified SMALL BUSINESSES (SB, VOSB, SDVO, SDB, WOSB, HUBZone,
     Including Alaska Native Corporation and Indian tribes) (% of "A" will auto populate):
                                                                                                  Sponsor
                                                                                                  Target
   D Total estimated dollar value of planned subcontracting with entities designated as               5.0%
                                                                                                Percentages
                                                                                                               $1,750
     SMALL BUSINESS (% of "C"):

   E Total estimated dollar value of planned subcontracting with VETERAN OWNED                        3.0%     $1,050
     SMALL BUSINESS (% of C):
 F Total estimated dollar value of planned subcontracting with SERVICE-DISABLED                 1.0%       $350
   VETERAN-OWNED SMALL BUSINESS (% of "C"):

 G Total estimated dollar value of planned subcontracting with SMALL                            2.0%       $700
   DISADVANTAGED BUSINESS (% of "C"):

 H Total estimated dollar value of planned subcontracting with WOMEN-OWNED                      3.0%     $1,050
   SMALL BUSINESS (% of "C"):

 I Total estimated dollar value of planned subcontracting with Small Business                   1.0%       $350
   Administration-designated HUBZone SMALL BUSINESS (% of "C"):



 J Description of all services and/or products to be subcontracted under this contract and types of businesses
   supplying them:
   Service/Product                SB      VOSB SDVO SDB WOSB HUB LB/OTSB Exempt

   Travel                        x          x                   x         x
   Laboratory materials/supplies
   Laboratory services
   Equipment warranty/repair
   Subcontractor


 K Description of the method used to develop the subcontracting goals




   In research contracts the majority of supplies and services are highly technical; these types of technical
   goods and services are rarely provided by small businesses. Arizona State University is committed to
   increasing the overall participation of small/disadvantaged businesses that contract and subcontract with
   the University in every facet of University business. The ASU commitment is not limited to the relatively
   small number of Federal research contracts requiring formal small business subcontracting plans. The ASU
   Small Business and Diversity Initiatives unit within the Purchasing Department invests considerable time in
   identifying and classifying vendors that meet the Federal definition of the various small business categories
   referenced throughout this document. Throughout the life of the contract ASU will continue to identify
   potential vendors in the various small business categories.


 L Indirect costs have NOT been included in the dollar and percentage subcontracting goals stated
   above.
 M If indirect costs have been included, explain the method used to determine the proportionate share of such
   costs to be allocated as subcontract to small, veteran-owned small, service-disabled/veteran-owned small,
   small disadvantaged, women-owned small and HUBZone small businesses. Not applicable

3 PROGRAM ADMINISTRATOR
 Administrator:
           Chester R. Yancy
           Manager of Small Business & Diversity Initiatives
            Arizona State University; PO Box 875212; Tempe, Arizona 85287-5212
            480-965-6778     Chester.Yancey@ASU.edu

Duties:
Chester Yancy, Manager of Small Business & Diversity Initiatives, has overall responsibility for the
contractor's subcontracting program such as developing, preparing and executing 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 university-wide policy initiatives that demonstrate the university's support for
    awarding contracts and subcontracts to small, veteran-owned small, service-disabled/veteran-owned small,
    small disadvantaged, women-owned small and HUBZone small businesses; and ensure that small, veteran-
    owned small, service-disabled/veteran-owned, small disadvantaged, women-owned small and HUBZone
    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, veteran-owned small, service-disabled/veteran-owned
  small, small disadvantaged, women-owned small and HUBZone 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,
  veteran-owned small, service-disabled/veteran-owned small, small disadvantaged, women-owned small and
  HUBZone small business concerns within State Purchasing Laws and Regulations.
E Make arrangements for the utilization of various sources for the identification of small, veteran-owned
  small, service-disabled/veteran-owned small, small disadvantaged, women-owned small and HUBZone
  small business concerns such as the SBA's Procurement Marketing and Access Network Pro-Net, the
  National Minority Purchasing Council Vendor Information Service, the Office of Minority Business Data
  Center in the Department of Commerce, National Association of Women Business Owner vendor
  Information Service, and the facilities of local small business, minority and women associations, and contact
  with Federal agencies' Small Business Program Managers.
F Overseeing the establishment and maintenance of contract and subcontract award records.
G Attending or arranging for the attendance of university representative(s) at Small Business Opportunity
  Workshops, Minority and Women Business Enterprise Seminars, Trade Fairs, Procurement Conferences,
  etc.
H Ensure small, veteran-owned small, service-disabled/veteran-owned small, small disadvantaged, women-
  owned small and HUBZone small business concerns are made aware of subcontracting opportunities and
  how to prepare responsive bids to the university.
I Conducting or arranging for the conducting of training for purchasing personnel regarding the intent and
  impact of Public Law 95-507 on purchasing procedures.
J Monitoring the university's performance and making any adjustments necessary to achieve the subcontract
K plan goals.and submitting (in a timely manner) the required subcontract reports.
  Preparing
L Coordinating the university's activities during the conduct of compliance reviews by Federal agencies.
M Reviewing solicitations to remove statements, clauses, etc., which may tend to restrict or prohibit small,
  veteran-owned small, service-disabled/veteran-owned small, small disadvantaged, women-owned small and
  HUBZone small business concerns participation, where possible.
  N Ensuring that the university documents its reasons for not selecting low bids submitted by small, veteran-
    owned small, service-disabled/veteran-owned small, small disadvantaged, women-owned small and
    HUBZone small business concerns.
  O Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.
  P Ensuring that historically Black colleges and universities and minority institutions shall be afforded
    Other duties: Manages Arizona State University
  Q maximum practicable opportunity (if applicable). Supplier Diversity Program

4 Equitable Opportunity
 The contractor agrees to ensure that small, veteran-owned small, service-disabled/veteran-owned small, small
  A Outreach efforts to obtain small and
 disadvantaged, women-ownedsources: HUBZone small business concerns (various SB categories) will have
 an equitable opportunity to compete for subcontracts. The various efforts include, but are not limited to, the
     (i) Contacting various SB categories trade associations. ASU is an active member of Grand Canyon
 following activities:
     Minority Supplier Development Council, Women's Business Development Center, Greater Phoenix Black
     Chamber, and Arizona Hispanic Chamber.
     (ii) Contacting small business development organizations, e.g., Small Business Administration, Women's
     Business Development Center, Grand Canyon Minority Supplier Development Council, Great Phoenix
     Chamber of Commerce.
    (iii) Attending procurement conferences and trade fairs targeting various SB categories. ASU participates
    and has booths at the Grand Canyon Minority Supplier Development Council, National Center for
    American Enterprises Development Center, Reservation Economic Summit in Las Vegas and other trade
    shows in the United States.
    (iv) Requesting potential sources from the Small Business Administration's Pro-Net System.
    (v) Utilizing newspaper and magazine ads to encourage new sources.
  B Internal efforts to guide and encourage purchasing personnel:
    (i) Presenting workshops, seminars, and training programs.
    (ii) Establishing, maintaining, and using source lists, guides, and other data for soliciting subcontracts from
    various SB categories. to evaluate compliance with the subcontracting plan.
    (iii) Monitoring activities
  C Additional efforts: University's Supplier Diversity Program, Annual NMSDC Conference and Trade Show
    (October); Diverse Supplier Vendor Show (May).

5 FLOW-DOWN CLAUSE
 The contractor agrees to include the provisions under FAR 52.219-8, "Utilization of Small Business Concerns,
 veteran-owned small, service disabled/veteran-owned small, small disadvantaged, women-owned small and
 HUBZone small business concerns" in all subcontracts that offer further subcontracting opportunities. All
 subcontractors, except small business concerns, that receive subcontracts in excess of $650,000 ($1,000,000
 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, "Small
 Business Plan" (FAR 19.704 (a)).

6 REPORTING AND COOPERATION
  The contractor gives assurance of
  (1) cooperation in any studies or surveys that may be required by the contracting agency or the Small
  Business Administration;
  (2) submission of periodic reports which show compliance with the subcontracting plan;
  (3) submission of ISR (eSRS), "Subcontracting Report for Individual Contracts," and ISR (eSRS), "Summary
  Subcontract Report," in accordance with the instructions on the forms.
    Reporting Period             Report Due          Due Date
    Oct 1 - March 31             ISR (eSRS)            30-Apr
     Apr 1 - Sep 30              ISR (eSRS)            30-Oct
     Oct 1 - Sep 30              ISR (eSRS)            30-Oct

7 RECORDKEEPING
  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
  are not limited to, the following:
   A If the prime contractor is not using Pro-Net as its source for small, veteran owned small, service-disabled/
     veteran-owned small, small disadvantaged, women-owned small and HUBZone small business concerns,
     list the names of guides and other data identifying such vendors.
   B Organizations contacted in an attempt to locate small, veteran-owned small, service-disabled/veteran-
     owned small, small disadvantaged, women-owned small and HUBZone small business sources.
   C On a contract-by-contract basis, records on all subcontract solicitations over $100,000 which indicate for
     each solicitation (1) whether small business 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-
     disadvantaged veteran-owned small business concerns were solicited, and if not, why not; (4) whether
     small disadvantaged business concerns were solicited, and if not, why not; (5) whether women-owned
     small businesses were solicited, and if not, why not; (6) whether HUBZone small businesses were
     solicited, and if not, why not, and (7) reason for failure of solicited small, veteran-owned small, service-
     disabled/veteran-owned small, small disadvantaged, women owned small and HUBZone small business
     concerns to receive the subcontract award.
  D Records to support other outreach efforts, e.g., contact with minority, small, and HUBZone small business
    trade associations, attendance at minority and women-owned small 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.
  F On a contract-by-contract basis, records to support subcontract award data including the name, address
    and business size of each subcontractor.
  G Additional records: The University produces a quarterly report of spend in Arizona with minority-owned,
    woman-owned, and other diverse and under-utilize businesses

This Subcontracting plan is submitted by:
  Signature:

  Typed Name:
  Title:
  Date Prepared:
  Phone/Email:

  Principal Investigator Approval: Required at award
  Signature:

  Typed Name:
  Date:
  Phone/Email:

  Agency Approval: Required at award
  Signature:
Type Name:
Title:
Date:
Phone/Email:
                                         menu or list with check box: apr-sep, oct-mar, format spell
              eSRS reporting period:                                out
                           File date:

                                                 Current Goal:                Actual Goal:
                                                   % Total % Total             % Total
                                        Whole      SubC      Contract Whole    SubC
      Project specific SB v LB          Dollars Awards Value          Dollars Awards
                                        link values from Plan

2a.   = small business (SB)(2GoalsB)
2b.   = large business (LB) (2GoalsI)
2c.   TOTAL

                                                 Current Goal:                Actual Goal:
                                                   % Total % Total             % Total
                                        Whole      SubC      Contract Whole    SubC
                                        Dollars Awards Value          Dollars Awards
                                        link values from Plan

3     = SDB
4     = WOSB
      HBCU/MI (Required for DOD,
5     NASA, CoastGuard)
6     = HUB
7     = VOSB
8     = SDVO
9     = ANCs (SB)                               0         0         0          0          0
10    = ANCs (LB)                               0         0         0          0          0
t-mar, format spell        menu or list with check box: apr-sep, oct-mar, format spell
                                                      out


Actual Goal:                       Current Goal:                Actual Goal:
           % Total                   % Total % Total             % Total % Total
           Contract       Whole      SubC      Contract Whole    SubC      Contract
           Value          Dollars Awards Value          Dollars Awards Value
                          link values from Plan




Actual Goal:                       Current Goal:                Actual Goal:
           % Total                   % Total % Total             % Total % Total
           Contract       Whole      SubC      Contract Whole    SubC      Contract
           Value          Dollars Awards Value          Dollars Awards Value
                          link values from Plan




                      0          0          0         0          0          0            0
                      0          0          0         0          0          0            0

				
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