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Contract No. DE-SC0012704Section J Appendix HModification No. 0182APPENDIX HFY2021 SMALL BUSINESS SUBCONTRACTING PLANApplicable to the Operations ofBrookhaven National Laboratory

FY2021 SMALL BUSINESS SUBCONTRACTING PLANContractor:Brookhaven Science Associates, LLC.Brookhaven National Laboratory,P.O. Box 5000Upton, New York 11973-5000(631) 344-8000Mary Rogers(631) [email protected] and Operation of BNL 3,858,031,595.15 (through mod 0174)Contractor Address:City/State/Zip:Company Phone:Point of Contact:POC Phone:POC E-mail:Contract Number:Item/Service:Total Amount of Contract (IncludingOptions):Period of Contract Performance:I.01/05/2015 to 01/04/2025Type of PlanIndividual Contract Plan – An Individual Contract Plan means a subcontracting plan thatcovers the entire contract period (including option periods), applies to a specific contract, andhas goals that are based on the offer’s planned subcontracting in support of the specific contractexcept that indirect costs incurred for common or joint purposes may be allocated on a proratedbasis to the Contract.II.Goalsa. BSA has established separate dollar and percentage goals for small business (SB) (includingAlaska Native Corporations [ANC] and Indian Tribes), small disadvantaged business (SDB- including ANCs and Indian Tribes), women-owned small business (WOB), HUBZonesmall business (HUB), service-disabled veteran-owned small business (SDVOB) andveteran-owned small business (VOB) concerns (hereafter referred to the six small businesscategories) as subcontractors, as specified in FAR 19.704.1.The total estimated dollar value of all planned subcontracting (to all types ofbusiness concerns) under this contract, is 205,000,000.2. The following percentage goals (expressed in terms of a percentage of total plannedsubcontracting dollars) and associated dollars are applicable to the contract citedabove and will be pursued on a best efforts basis consistent with good commercialpractices and best value assessments.(i) Total estimated dollar value and percent of planned subcontracting with SmallBusiness (SB) (including ANCs and Indian Tribes): 102,500,000 and 50%.(ii) Total estimated dollar value and percent of planned subcontracting with SmallDisadvantaged Business (SDB)/8(a) (including ANCs and Indian Tribes): 10,250,000 and 5%.1

(iii)Total estimated dollar value and percent of planned subcontracting with WomanOwned Small Business (WOB): 10,250,000 and 5%.(iv) Total estimated dollar value and percent of planned subcontracting withHistorically Underutilized Small Business (HUBZone): 6,150,000 and 3%.(v) Total estimated dollar value and percent of planned subcontracting with ServiceDisabled Veteran-Owned Small Business (SDVOB): 6,150,000 and 3%.(vi) Total estimated dollar value and percent of planned subcontracting with VeteranOwned Small Business (VOB): 6,150,000 and 3%.Small BusinessCategorySBSDBWOBHUBZoneVOBSDVOBBSA DollarCommitment 102,500,000 10,250,000 10,250,000 6,150,000 6,150,000 6,150,000BSA PercentCommitment50%5%5%3%3%3%The following is an indication of the supplies and services to be subcontracted under this Contract,the six categories of small business (including ANCs and Indian Tribes) and large tionR&DServicesMaterials & SuppliesElectricalIT (Computer)Equipment (Major)SBXXXXXXXXSDBWOB HUBXXXXXXXXXXXXXXSDVOBVOBXXXXXXXXXXLBXXXXXXXXb. The goals for the six small business categories are based on consultations with the DOE.Potential suppliers will be identified using BSA’s current vendor base, and variousdirectories including: System for Award Management (SAM), the DOE-OSDBU SmallBusiness Contacts Database, Women’s Chamber of Commerce, New York U.S. SmallBusiness Administration Long Island, New York U.S. Small Business Administration, TheSuffolk County Women’s Business Enterprise Coalition (SCWBEC), The ProcurementTechnical Assistance Center’s (PTAC) Database, the Small Business AdministrationSmall Business Development Center (SBA-SBDC) databases, and sharing the smallbusiness databases from the other DOE National Labs, etc. The areas to be subcontractedto each target small business group have been determined by historic references and currentneeds. Capabilities to provide goods and services are determined on an individual basis.2

c. Timely Payment to Subcontractors:BSA will ensure timely payment of amounts due pursuant to the terms of its subcontractswith the six small business concerns. BSA will use Small Business Set Asides to supportthe small business goals stated above.d. Small Business Set-Asides Types:1. Small Business Set-Aside:Each acquisition of supplies or services with an anticipated dollar value exceeding theMicro-Purchase Limit but not over the Simplified Acquisition Threshold (FAR 2.101)will be reserved exclusively for small business concerns and shall be set aside for smallbusiness unless there is not a reasonable expectation of obtaining offers from two ormore responsible small business concerns that are competitive in terms of marketprices, quality, and delivery.2. Construction Set-Asides:Acquisition of construction estimated to cost 4 million or less, including newconstruction, and repair and alteration of structures, shall be a small business set-aside.For acquisition in excess of 4 million, small business will be considered on a case-bycase basis.III. Sole Source Procurements:BSA may award contracts on a sole-source basis to these types of small Businesses:a. Small Business Administration (SBA) certified 8(a) small businesses; in accordance withFAR 19.805 (2) for purchases valued at: (A) 7.5 million or less for 8(a) small businesswithin North American Industry Classification System (NAICS) codes for manufacturingor 4.5 million or less for small business within any other NAICS codes. There will be nolimit on the anticipated value of contracts awarded on a sole-source basis to ANC; andb. SBA certified Historically Underutilized Small Businesses (HUB) Zone small businessesin accordance with FAR 19.1306 (2) for purchases valued at: (A) 7.5 million or less forHUBZone small business within North American Industry Classification System (NAICS)codes for manufacturing or 4.5 million or less for HUBZone small business within anyother NAICS codes. There will be no limit on the anticipated value of contracts awardedon a sole-source basis to ANC; andc. Service-Disabled Veteran-Owned Small Business (SDVOB) small businesses inaccordance with FAR 19.1406 (2) sole-source awards to service-disabled veteran-ownedsmall business concerns for 7 million or less for requirement within the NAICS codes formanufacturing; or 4 million for a requirement within any other NAICS codes. There willbe no limit on the anticipated value of contracts awarded on a sole-source basis to ANC.d. Set Asides to Small Business for procurements less than the Simplified AcquisitionThreshold (SAT).3

To further facilitate Brookhaven National Laboratory Small Business Program, BSA will,without further documentation to the file, and based on its unilateral decision, utilize theoption of making awards without competition up to the simplified acquisition threshold tosmall business concerns;e. A Protégé under a DOE Prime Contractor Mentor-Protégé Program can be awarded acontract on a noncompetitive basis, without the need for a sole source justification for anyvalue.f. Indirect costs have not been included in the dollar and percentage subcontracting goalsstated above.IV.Program AdministratorThe Contractor’s subcontracting program administrator is:Name:Mary RogersTitle:Small Business Liaison OfficerAddress: Brookhaven National LaboratoryProcurement & Property Management DivisionBuilding 902BUpton, New York 11973Telephone:(631) 344-3251Email: [email protected]:General overall responsibility for Brookhaven Science Associates (BSA)subcontracting program, i.e., developing, preparing, and executing subcontracting plans andmonitoring performance relative to the requirements of this particular plan. These dutiesinclude, but are not limited to, the following activities:a. Developing and promoting laboratory-wide policy initiatives that demonstrate BSA’ssupport for awarding contracts and subcontracts to the six small business categories.b. Making arrangements for the utilization of various sources for the identification of the sixsmall business categories through some of the following resources: System for AwardManagement (SAM), the DOE-OSDBU Small Business Contacts Database, GSA Officeof Small Business, Women’s Chamber of Commerce Database, the Procurement TechnicalAssistance Center’s Database, the SBA-SBDC databases, sharing the Small Businessdatabases from the other DOE National Labs, the National Minority Business Directory,etc. This effort will be focused on identification of reliable, competitive suppliers in theareas where achieving small business goals has been a challenge.c. Ensuring small businesses are made aware of subcontracting opportunities and basicprerequisites for the preparation of a responsive bid.d. Conducting or arranging for training for procurement personnel regarding the intent andimpact of Public Law 95-507 on purchasing procedures.4

e. Supporting the Procurement and Property Management Division Manager (PPM) andCompliance Manager in randomly reviewing procurements to ensure the maximumpossible participation of the six small business categories.f. Monitoring the over 750,000 ( 1,500,000 for construction) large business subcontractors’performance and making suggestions for the utilization of small business, whereapplicable, so that any adjustments necessary to achieve the subcontracting plan goals canbe made.g. Preparing, inputting and submitting timely subcontracting reporting through the eSRS andMOSRC.h. Coordinating BSA’s activities during compliance reviews by Federal agencies.i. Assuring the integrity of supplier information by reviewing the Representations andCertifications, ensuring that supplier NAICS codes and socioeconomic classifications areincluded in the descriptions of new suppliers.V.Equitable OpportunityBSA will ensure that small businesses have an equitable opportunity to compete forsubcontracts. The various efforts include, but are not limited to, the following activities:(i) Utilization of the Internet to obtain new sources.a. Internal efforts to guide and encourage purchasing personnel:(i) Presenting workshops, seminars, and/or training programs including training in the useof the SAM.(ii) Establishing, maintaining, and using small business source lists, guides, and other datafor soliciting subcontracts, and encouraging procurement staff to utilize this data.(iii) Monitoring activities to evaluate compliance with the subcontracting plan.b. Outreach efforts to promote small business development will include:(i) Maintaining an annual list of outreach events and activities to attend and participate in.(ii) Providing contact information for 8(a) and HUB-Zone small businesses to assist themin achieving SBA certification.(iii) Maintaining an internal Small Business Policy.(iv) Participating in DOE Small Business Program Manager conference calls.VI.Flow-Down Clauses5

BSA will continue to include the provisions under FAR 52.219-8, "Utilization of SmallBusiness Concerns”, in all subcontracts that offer further subcontracting opportunities. BSAwill also require all subcontractors, except small business concerns and foreign suppliers, thatreceive subcontracts in excess of 750,000 ( 1,500,000 for construction) to adopt a plan thatcomplies with the requirements of the clause at FAR 52.219-9, "Small Business SubcontractingPlan."These plans will be reviewed against the provisions of Public Law 95-507 to assure that allminimum requirements of an acceptable subcontracting plan have been satisfied. Theacceptability of percentage goals will be determined on a case-by-case basis depending on thesupplies/services involved, the availability of the six potential small business categories andprior experience. Once approved and implemented, plans will be monitored through thesubmission of periodic reports, and/or, as time and availability of funds permit, periodic visitsto subcontractors’ facilities to review applicable records and subcontracting program progress.VII.Reporting and CooperationBSA will (1) cooperate in any studies or surveys that may be required by the contractingagency or the Small Business Administration; (2) submit any periodic reports required underits Prime Contract, such as utilization reports, which show compliance with the subcontractingplan; (3) submit timely "Subcontracting Report for Individual Contracts," (ISR) and"Summary Subcontract Report," (SSR) in accordance with the instructions identified on theeSRS website (; (4) and ensure that large business subcontractors withsubcontracting plans provide electronic input to the eSRS as required.Reporting PeriodOct 1 – Mar 31Apr 1 – Sep 30Oct 1 – Sep 30MonthlyVIII.Report TypeISRISRSSRMOSRCDue Date04/3010/3110/3120th of each monthDocument RetentionRecords will be maintained to demonstrate the procedures adopted to comply with therequirements and goals in the subcontracting plan. These records will include, but not belimited to, the following:a. A list of sources, guides and other data used to identify suppliers and vendors.b. Documents to support internal guidance and encouragement, provided to buyers through:(i) Workshops, seminars, training programs(ii) Monitoring of activities to evaluate compliancec. The procurement files for all subcontract solicitations over the Simplified AcquisitionThreshold will contain AMS-Form-002 which indicates for each solicitation whether smallbusinesses were solicited, and if any of the solicited the small business concerns received6

a subcontract award, as well as a justification for not soliciting small businesses or failureto award a subcontract to a solicited small business.d. Representations and Certifications InformationIX.(i)8(a) certification approvals through copies of their SBA certification letter(ii)Confirmation of HUB-Zone certification will be verified by searching thecompanies profile in the System for Award Management (SAM) database.Mentor-Protégé ProgramBSA agrees to establish and implement an official DOE approved “Mentor-Protégé” inaccordance with U.S. Department of Energy acquisition regulation (DEAR Part 19). TheSmall Business Liaison Officer is the individual designated to administer this program.X.Description of Good Faith EffortBSA intends to use all reasonable and good faith efforts as described in this Plan to award thestated percentages of the final actual subcontract base amount to the six small businessesconcerns. The following steps will be taken:a. Issue and promulgate company-wide policy statements in support of small businesses.Develop written procedures and work instructions and assign specific responsibilitiesregarding requirements of the applicable Public Law.b. Review specific procurement actions for possible acquisition from eligible smallbusinesses.c. Demonstrate continuing management interest and involvement in support of this effortthrough such actions as regular reviews of progress.d. Train and motivate the procurement personnel regarding the need for the support of smallbusinesses.e. Assist small businesses by helping with questions on solicitations, quantities,specifications, and delivery requirements.f. Counsel and discuss subcontracting opportunities with small businesses.g. Execute Service Agreements, Teaming Agreements, and Basic Ordering Agreements withsmall business from the six qualified small business categories, as required, in an attemptto ensure availability and usage of subcontractor personnel to support work efforts whenrequired.h. Establish and maintain a categorized list of potential subcontractors, including name,address, telephone number, email address, product/service sold, initials of the Buyer and/or7

Contract Specialist lead given to, and identification of the social economic small businesscategory.This FY2020 subcontracting plan was submitted by:12/09/2020Date:Signature:Lynn McKnightManagerProcurement and Property Management DivisionApproval:10 Dec 2020Date:Signature:Katrina B. PorterContracting OfficerU.S. Department of EnergyBrookhaven Site Office8

- including ANCs and Indian Tribes), women-owned small business (WOB), HUBZone small business (HUB), service-disabled veteran-owned small business (SDVOB) and veteran-owned small business (VOB) concerns (hereafter referred to the six small business cate

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