Monitoring and Reporting Requirements

For Small Business Utilization Goals

The Principal Investigator:

By signing off the Small Business Subcontracting Plan cover letter, agrees to monitor and make progress toward the federally mandated small business utilization goals throughout the course of the project.

Demonstrates reasonable efforts to purchase from small businesses and make progress toward meeting the utilization goals.

Seeks recommendations for appropriate small business vendors to meet target utilization goals from the Supplier Diversity Program Coordinator.

The Contract Administrator or the Project's Administrative Support:

Assists the PI by providing periodic updates on whether the project spending includes purchases for goods and services from small and disadvantaged businesses in the mandated subcategories.

Monitors spend and maintains records of when and why the project team has not been able to purchase from small businesses as stated in the Small Business Subcontracting Plan. The Small Business Utilization Form, available on the Small Business Subcontracting Forms webpage (button in the navigation bar above) is a suggested template for monitoring small business spend.

In cooperation with the PI, contacts the Supplier Diversity Program Coordinator for recommendations on potential small business vendors to be used.

Whenever a proposal to alter the contract is to be submitted, which can include adding an additional phase, extending the date, or increasing the contract dollar amount, contacts the Supplier Diversity Program Coordinator to determine if a modified Small Business Subcontracting Plan is required.  

If a plan is required, works with the PI and Coordinator to provide the required documentation. 

The Supplier Diversity Program Coordinator:

Offers potential small business vendor information for the project team’s consideration

Files required federal agency reports, which are called:

  • Individual Subcontract Reports (ISR) for each contract
  • Summary Subcontract Reports (SSR) to each federal agency to show all contract spending under current contracts with that agency. 
See extract of the Subcontract Report page of the Individual Subcontracting Report where the Small Business Subcontracting goals from the Subcontracting Plan and the percentages and dollar amount that have been spent are indicated. In this example no money has yet been spent.
 
These reports are due one month after the last day of the period of reporting:
  1. April 30th for the period of October 1st of the prior year through March 31st of the current year
  2. October 1st for the period of October 1st of the prior year through September 30th of the current year. 
IMPORTANT NOTE:  

If the project has spent zero dollars in any of the required subcategories, the PI must provide an explanation for why there has been no progress to the Coordinator.  The PI must also describe the efforts that will be made to use small businesses before the next reporting period.

The Coordinator then adds this information to the electronic report. must explain the actions to be taken to remedy the lack of progress and work with the project team to do so as part of the report. 

 
 
 

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