Award Types: Principal Investigators can be awarded either:
- A prime contract with the agency, requiring that a Small Business Subcontracting Plan be submitted to the agency -or-
- A subcontract from another institution or company which has been awarded a prime contract. That prime contractor is also federally mandated to obtain a Small Business Subcontracting Plan from UC Berkeley
PI's and Contract Administrators must work with the Supplier Diversity Program Coordinator to create a Small Business Subcontractng Plan with small business utilization goals.
- Refer to Federal Acquisition Regulations (FAR Part 19) for the specific requirements
- See the Small Business Subcontracting Plan Forms webpage for the specific documents to be completed.
Types of small businesses to be used for federally funded projects (for specific information about the categories below, see the sba.gov website.)
- Women-Owned Small Businesses (WOSB) - Effective February 4, 2011, SBA began the Women-Owned Small Business Federal Contract Program.
- Small Disadvantaged Businesses (SDB)
- Veteran-Owned Small Businesses (VOSB)
- Service Disabled Veteran-Owned Small Businesses (SDVOSB)
- HUBZone businesses (HUBZone SB)
- Historically Black Colleges and Universities/Minority Institutions (HBCU/MI – required only for DoD, NASA, and Cost Guard contracts )
- Alaska Native Corporations (ANCs) and Indian Tribes that have not been certified by the Small Business Administration as small disadvantaged businesses
- Alaska Native Corporations (ANCs) and Indian Tribes that are not small businesses.
Federal Small Business Subcontracting Plan Process
The Principal Investigator: Communicates with the Supplier Diversity Program Coordinator and the Contract Administrator to determine how the project can best meet the small business utilization goals. Provides to the Coordinator:
1. Copy of the agency proposal including Statement of Work
2. An accurate summary budget including the following line items which the Supplier Diversity Program Coordinator must include on the Small Business Subcontracting Plan:
- Materials and supplies
- Equipment
- Travel
- Salaries & benefits
- Tuition/fees (if any)
- Indirect Costs
3. The Small Business Subcontracting Plan Worksheet - includes descriptions and dollar amounts for materials and supplies, equipment over $5,000, and travel to be purchased from small businesses.
The Contract Administrator:
1. Works with the Principal Investigator(s) to create a summary budget and small business documentation as described above, so that the Supplier Diversity Program Coordinator can then make the case for the specific types of items that can be sourced from small business vendors.
2. Forwards the budget and small business information to the Supplier Diversity Program Coordinator, at least two weeks in advance of the date the plan is due to the Sponsored Projects Office.
The Supplier Diversity Program Coordinator:
Prepares and emails the following to Sponsored Projects for submission to the Federal Agency:
- The letter to the Principal Investigator explaining the responsibilities of the PI to monitor use of small businesses and make progress toward the small business subcontracting goals.
- The Master Small Business Subcontracting Notice to the agency describing UC Berkeley's responsibilities to monitor and make progress toward the goals.
- Addendum A: an Excel worksheet stating the Small Business Subcontracting Goals in percentages and dollars.
- Addendum B: the list of potential small business vendors which the project team has identified for the purchase of materials and supplies, equipment over $5,000, and travel services.