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Federal Principal Investigators (PI) Information for Developing Small Business Plans (SBP)

Requirement

Any Federal Contract in excess of $650,000 must include a Small Business Plan unless exempt due to the of nature of the contract and as specified in the contract.

Click here for the "Basics of a Subcontracting Plan" developed by the DoD which includes FAR references, regarding:
  • Regulatory Requirements
  • When it is required, Who should use them, When is it not required
  • Types of subcontracting plans
  • Mandatory Elements Included in Subcontracting Plan
  • Categories Includes in Goals of a Subcontracting Plan

Procurement contacts for PIs

Procurement Services will assist you in developing the SBP:
  • For proposals going through the Office of Grants & Contract Management (OGCM),
    contact Michael Jessing.
  • For proposals through Sponsored Research, contact Maggie Robinson.

SBP Template

Some Federal Contracts will provide their template to use to develop the SBP: when one is not provided, please use this template.

Small Business and Diversity Approved Supplier Directory for Contract and Grants

Procurement has a Small Business and Diversity Approved Supplier List to use. All suppliers on this list are registered with the Small Business Administration and therefore properly vetted for your use. This list will continue to expand. Suppliers not listed should not be used without approval from the appropriate Sourcing Officer.

Pricing Assistance

If you need detailed pricing information in your SBP, please contact the appropriate sales person for each supplier, as listed on the Approved Supplier List. If assistance is needed, please contact the appropriate Sourcing Officer.

Monitoring Requirements

The Principal Investigators are responsible for the continued monitoring of what was budgeted on the SBP versus what is actually spent - in other words, the progress of the SBP. At least annually or quarterly the PI must compare what was put in the proposal to what is actually being spent.

Compliance

If the amounts in the SBP are not met, the Government could require Vanderbilt to return/refund the full amount of the Contract.

If it´s determined the original goals on the SBP will not be met, contact the OGCM or Sponsored Research to work with them on submitting a revised Plan as soon as possible.

Required Tracking and Reporting

The actual amount spent on the Office of Grants and Contracts Management (OGCM) SBP contracts is tracked though the Finance Department which submits the necessary files to the Government for the entire amount spent on a Federal Contract including the amount spent on Small Businesses. If necessary, they will contact the PI if they can not determine the supplier´s size/status.

For Contracts through Sponsored Research, the Office of Grants and Contracts Accounting (OGCA) submits the necessary files to the Government. Responsibility for utilizing the suppliers on the SBP resides with the PI.
 

Additional Information:

The Procurement Small Business Sourcing Officers, Michael Jessing and Maggie Robinson, are available to assist faculty and staff with their subcontracting plans. Additional information is available at the web sites listed below:

Resource Links for PIs:

  • Medical Center Compliance
  • Starbrite - Regulations relating to all medical services and research, federally funded grants, and scientific integrity can be obtained by calling 615-343-2777
  • Office of Research Compliance - Regulations relating to all medical services and research, federally funded grants, and scientific integrity can be obtained by calling 615-343-2777

Other Useful Links:

 

Be familiar with Regulations:

 

FAQ for PIs:

  1. 1. When are Small Business Plans (SBPs) required?
    Any Federal Contract in excess of $650,000 must have a SBP unless exempt due to the of nature of the contract and as specified in the contract.
  2. 2. What form do I use to develop the SBP?
    Some Federal Contracts will provide their template to use. If one is not provided, please use this template.
  3. 3. In Procurement, who could assist in developing the SBP?
    For proposals going through the Office of Grants & Contract Management (OGCM), contact Michael Jessing. For ones through Sponsored Research, contact Maggie Robinson.
  4. 4. What suppliers could be used for the SBP?
    Procurement has an Approved Supplier List to use. This list will continue to expand. Suppliers not listed should not be used without approval from the appropriate Sourcing Officer.
  5. 5. If detailed pricing information is required in the SBP, how is that obtained?
    The Approved Supplier List contains contact information for the appropriate sales person. Please contact the supplier for pricing information. If assistance is needed, please contact the appropriate Sourcing Officer
  6. 6. Who is responsible for monitoring what was budgeted on the SBP versus what is actually spent?
    The PI must continue to monitor the progress of what was put in the proposal to what is actually being spent.
  7. 7. What happens if the amounts in the SBP are not met?
    The Government could require Vanderbilt to return/refund the full amount of the Contract.
  8. 8. How is the actual amount spent on the SBP tracked?
    For Contracts though the OGCM the Finance Department submits the necessary files to the Government for the entire amount spent on a Federal Contract including the amount spent on Small Businesses. If necessary, they will contact the PI if they can not determine the supplier's size/status.

    For Contracts through Sponsored Research, the Office of Grants & Contracts Accounting (CGCA) submits the necessary files to the Government. Responsibility for utilizing the suppliers on the SBP resides with the PI.
  9. 9. What if it's determined the original goals on the SBP will not be met?
    Contact the OGCM or Sponsored Research to work with them on submitting a revised Plan.