Document ID: DOT-OST-2017-0179-0001
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Office of Small and Disadvantaged Business Utilization Mentor Protege Program
Posted Date: 2018-01-17T05:00Z

[Federal Register Volume 83, Number 11 (Wednesday, January 17, 2018)]
[Notices]
[Pages 2483-2492]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-00673]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket Number: DOT-OST-2017-0179]

Agency Request for Renewal of a Previously Approved Information 
Collection: Office of Small and Disadvantaged Business Utilization 
(OSDBU) Mentor Prot[eacute]g[eacute] Program

ACTION: Notice and request for comments.

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SUMMARY: The Department of Transportation (DOT) invites public comments 
about our intention to request the Office of Management and Budget 
(OMB) approval for an information collection. The collection involves 
two reports in which DOT will use the data to measure program 
achievement to determine whether the intention of the program to assist 
small businesses getting the developmental tools required to compete 
and perform in DOT and federal procurement programs is achieved. In 
addition, DOT is seeking comments on form OST F 5020.1 (2-12), which we 
have updated with two additional questions about number of employees 
and amount of federal contracts.

DATES: Written comments should be submitted by on or before March 19, 
2018.

ADDRESSES: You may submit comments, identified by Docket No. DOT-OST-
2017-0179, through one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the online instructions for submitting comments.
     Fax: 1 (202) 493-2251.
     Mail or Hand Delivery: Docket Management Facility, U.S. 
Department of Transportation, 1200 New Jersey Avenue SE, West Building, 
Room W12-140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday 
through Friday, except on Federal holidays.

FOR FURTHER INFORMATION CONTACT: Leonardo San Rom[aacute]n, Mentor 
Prot[eacute]g[eacute] Program, U.S. Department of Transportation, 
Office of Small and Disadvantaged Business Utilization, 1200 New Jersey 
Avenue SE, Washington, DC 20590, (202) 366-1930.

SUPPLEMENTARY INFORMATION: 
    Title: U.S. DOT Mentor Prot[eacute]g[eacute] program.
    OMB Control Number: 2105-0570
    Forms: Mentor Prot[eacute]g[eacute] program annual report; and 
Mentor Prot[eacute]g[eacute] program evaluation form.
    Type of Review: Renewal.
    Affected Public: Prime contractors and small businesses 
participating in DOT's Mentor Prot[eacute]g[eacute] Program.
    Respondents: Approximately 25.
    Frequency: One-time.
    Estimated Average Burden per Response: 1 hour.
    Estimated Total Annual Burden Hours: 25 hours.
    The U.S. Department of Transportation (DOT) administers a Mentor-
Prot[eacute]g[eacute] program that encourages agreements between large 
and small business prime contractors and eligible small business 
prot[eacute]g[eacute]s.
    A small business concern includes small disadvantaged businesses, 
8(a) firms, women owned businesses, HUBZone small businesses, veteran-
owned-businesses and service disabled veteran-owned small businesses. 
The program is also designed to improve the performance of DOT 
contractors and subcontractors, foster the establishment of long-term 
business relationships between small businesses and prime contractors, 
and increase the overall number of small businesses that receive DOT 
contract and subcontract awards.

Purpose

    Mentor Prot[eacute]g[eacute] program participants must submit an 
annual report to

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document the developmental assistance and achievements. All responses 
to this collection of information are required to support the type of 
development assistance provided to the prot[eacute]g[eacute] from the 
mentor, per their Mentor-Prot[eacute]g[eacute] agreement. Also, program 
participants must submit a Mentor Prot[eacute]g[eacute] program 
evaluation form at the end of the agreement. Program participants will 
provide feedback and recommendations to DOT on program satisfaction. 
This form is a single consolidated document that is easy to read and 
understand for all program participants, including small businesses.
    In accordance with Public Law 95-507, an amendment to the Small 
Business Act and the Small Business Investment Act of 1953, OSDBU is 
responsible for the implementation and execution of the U. S. 
Department of Transportation (DOT) activities on behalf of small 
businesses, in accordance with Section 8, 15 and 31 of the Small 
Business Act (SBA), as amended. The Office of Small and Disadvantaged 
Business Utilization also administers the provisions of Title 49, of 
the United States Code, Section 332, the Minority Resource Center (MRC) 
which includes the design and carry out programs to encourage, promote, 
and assist minority entrepreneurs and businesses in getting contracts, 
subcontracts, and projects related to those business opportunities.
    The Department of Transportation (DOT) administers a Mentor 
Prot[eacute]g[eacute] Program to assist small business concerns enhance 
their capacity to compete for federal contracts. This program designed 
to motivate and encourage large business and prime contractor firms to 
provide mutually beneficial developmental assistance to small 
businesses.
    DOT's Mentor-Prot[eacute]g[eacute] Program enhances the capability 
of minority and small business owners to compete more successfully for 
federal procurement opportunities. The program encourages private-
sector relationships and expands DOT's efforts to identify and respond 
to the developmental needs of small and minority owned businesses.
    The term small business includes small disadvantaged businesses, 
women owned businesses, HUBZone small businesses, veteran-owned-
businesses and service disabled veteran-owned small businesses. The 
program is also designed to improve the performance of DOT contractors 
and subcontractors, foster the establishment of long-term business 
relationships between small businesses and prime contractors, and 
increase the overall number of small businesses that receive DOT 
contract and subcontract awards.

General Policy

    1. Eligible business prime contractors (not under a suspension or 
debarment action and not in the Excluded Parties List System (ELPS) 
database) approved as mentor firms may enter into agreements with 
eligible prot[eacute]g[eacute]s. Mentors provide appropriate 
developmental assistance to enhance the capabilities of 
prot[eacute]g[eacute]s to perform as contractors and/or subcontractors.
    2. Eligible small business prime contractors (not under a 
suspension or debarment action and not in the ELPS database) capable of 
providing developmental assistance may act as mentors.
    3. Prot[eacute]g[eacute]s may participate in the program in pursuit 
of a prime contract or as subcontractors under the mentor's prime 
contract with the Department of Transportation.
    4. Mentors and Prot[eacute]g[eacute]s are solely responsible for 
finding their counterpart. Therefore, we strongly encourage firms to 
explore existing business relationships to establish a Mentor-
Prot[eacute]g[eacute] relationship.
    5. Mentor-Prot[eacute]g[eacute] agreements should be for up to 36 
months.
    6. NON-AFFILIATION--a prot[eacute]g[eacute] will not be considered 
an affiliate of a mentor solely on the basis that the 
prot[eacute]g[eacute] has or will receive developmental assistance from 
the mentor under this program. For more information concerning size 
standards and affiliation, refer to FAR 19.101.

Incentives for Mentors

    There are no costs involved for a firm to participate in DOT's 
Mentor-Prot[eacute]g[eacute] Program. DOT does not provide direct 
reimbursement to the mentors.

Measurement of Program Success

    The overall success of the Mentor-Prot[eacute]g[eacute] Program 
will be measured by the extent to which it results in:
    a. An increase in the quality of the technical capabilities of the 
prot[eacute]g[eacute] firms.
    b. An increase in the number, dollar value and percentage of 
contracts or subcontracts awarded to prot[eacute]g[eacute]s since the 
date of entry into the program.
    c. An increase in the number of full time employees since the date 
of entry into the program.
    Annual reports should be submitted by the mentor and 
prot[eacute]g[eacute] firms to the OSDBU on program progress. Only one 
report per agreement will be submitted for review. The OSDBU will 
evaluate these reports by considering the following:
    1. Detailed actions taken by the mentor, to increase the 
participation of prot[eacute]g[eacute] as seller to the Federal 
Government;
    2. Detailed actions taken by the mentor, to develop the technical 
capabilities of a prot[eacute]g[eacute] as defined in the agreement;
    3. The degree to which the prot[eacute]g[eacute] has met the 
developmental objectives in the agreement;
    4. The degree to which the mentor firm's participation in the 
Mentor-Prot[eacute]g[eacute] Program resulted in the 
prot[eacute]g[eacute] receiving contract(s) and subcontract(s) from 
private firms, DOT or any other federal agency.
    5. In addition to the annual report, mentor and 
prot[eacute]g[eacute] firms should submit an evaluation to the OSDBU 
after the mutually agreed upon program period, or the voluntary 
withdrawal by either party from the program, whichever comes first.

Mentor Firms

    Eligibility. The mentor can be a business that has graduated from 
the 8(a) Business Development program, a firm in the transitional stage 
of the program, or a small or large business. In addition, the mentor 
must be able to show that it is currently eligible for Federal 
contracting opportunities, is not under a suspension or debarment 
action, and is not in the ELPS database. Mentors may have multiple 
prot[eacute]g[eacute]s. Mentors participating in Mentor-
Prot[eacute]g[eacute] programs from other Federal agencies should keep 
a record system to prepare separate reports of mentoring activities for 
each agency's program.

Prot[eacute]g[eacute] Firms

    (1) Eligibility. A prot[eacute]g[eacute] should be:
    (a) A Small Business (SB), HUBZone, Small Disadvantaged Business 
(SDB), Women Owned Small Business, Veteran Owned Small Business, or 
Service Disabled Veteran Owned Small Business
    (b) Able to show that it is currently eligible for Federal 
contracting opportunities, is not under a suspension or debarment 
action, and is not in the Excluded Parties List System (ELPS) database.
    (2) Prot[eacute]g[eacute]s may have multiple mentors. 
Prot[eacute]g[eacute]s participating in mentor-prot[eacute]g[eacute] 
programs in addition to the DOT program should maintain a system for 
preparing separate reports of mentoring activity for each agency's 
program.

Selection of Mentor or Prot[eacute]g[eacute] Firms

    Mentor and prot[eacute]g[eacute] firms are responsible for 
selecting their counterpart. The mentor is encouraged

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to select from a broad base of Small Businesses including SB, SDB, 
WOSB, VOSB, SDVOSB, and HUBZone firms whose core competencies support 
the Department of Transportation's missions.

Mentor-Protege Agreement Process

    Firms interested in becoming a mentor firm should submit copy of a 
signed mentor-prot[eacute]g[eacute] application for each mentor-
prot[eacute]g[eacute] relationship DOT OSDBU for approval. This will 
provide OSDBU the opportunity to evaluate the nature and extent of 
technical and managerial support, and traditional subcontracting 
support involved in the mentor-prot[eacute]g[eacute] relationship, 
enabling OSDBU to provide advice and assistance to the parties.
    The Mentor Prot[eacute]g[eacute] agreement should contain:
    (1) Name, address, phone, and email of mentor and 
prot[eacute]g[eacute] firm(s) and a point of contact within both firms 
who will oversee the agreement;
    (2) A description of the type of developmental program that will be 
provided by the mentor firm to the prot[eacute]g[eacute] firm, 
including a schedule for providing assistance, and criteria for 
evaluation of the prot[eacute]g[eacute]'s developmental success;
    (3) Program participation term not to exceed 36 months;
    (4) A clause or statement of the prot[eacute]g[eacute]'s intent and 
agreement to report its progress to the OSDBU annually for two (2) 
years after exiting the program;
    (5) Other terms and conditions, as appropriate;
    (6) Procedures for the mentor's voluntary withdrawal from the 
program including notification of the prot[eacute]g[eacute] firm and 
the OSDBU. The Mentor should provide at least 30 days' written notice 
to OSDBU before withdrawing from the program.
    (7) OSDBU will review a Mentor Prot[eacute]g[eacute] agreement no 
later than 30 days after receipt.
    (8) Following OSDBU review, the mentor may implement the 
developmental assistance program.

OSDBU Review of Mentor-Prot[eacute]g[eacute] Agreement

    (1) The agreement defines the relationship between the mentor and 
prot[eacute]g[eacute] firms only. The agreement itself does not create 
any privity of contract between the mentor or prot[eacute]g[eacute] and 
DOT.
    (2) OSDBU will review the information to ensure the mentor and 
prot[eacute]g[eacute] are both eligible for the program and provide 
appropriate advice and assistance to the firms concerning the agreement 
and its implementation.
    (3) OSDBU will notify the parties if changes in the agreement are 
advisable in order to make the agreement meet the objectives of the 
mentor-prot[eacute]g[eacute] program. The mentor and 
prot[eacute]g[eacute] should incorporate OSDBU recommendations before 
implementing the agreement.
    (4) Upon completion of the review, the mentor may implement the 
developmental assistance program.

Developmental Assistance

    The forms of developmental assistance a mentor can provide to a 
prot[eacute]g[eacute] include:

     Management, financial and/or technical assistance
     Overall business management/planning
     Cooperation on joint venture projects
     Rent-free use of facilities and/or equipment
     Temporary assignment of personnel to prot[eacute]g[eacute] 
for the purpose of training
     Any other types of mutually beneficial assistance

Internal Controls

    1. The OSDBU will oversee the program to achieve program 
objectives.
    2. OSDBU will review and evaluate mentor-prot[eacute]g[eacute] 
agreements for practicality, and accuracy of provided information.
    3. OSDBU can perform site visits where Mentor-Prot[eacute]g[eacute] 
activity is performed.
    4. OSDBU will review annual reports to measure 
prot[eacute]g[eacute] progress against the established developmental 
assistance included in the approved agreement.
    5. If OSDBU determines that the objectives of the agreement are not 
met, OSDBU may conclude the existing Mentor-Prot[eacute]g[eacute] 
agreements if it determines that such actions are in the best interest 
of the agency. The OSDBU will communicate this decision in writing, and 
will be sent to the mentor and prot[eacute]g[eacute] after approval by 
the Director, OSDBU or representative.
    For additional information related to the Mentor 
Prot[eacute]g[eacute] program, visit OSDBU's website at 
www.transportation.gov/osdbu.

    Issued in Washington, DC, on January 9, 2018.
Willis Morris,
Director, Office of Small and Disadvantaged Business Utilization.
 BILLING CODE 4910-9X-P

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[FR Doc. 2018-00673 Filed 1-16-18; 8:45 am]
 BILLING CODE 4910-9X-C