Document ID: DOT-OST-2011-0189-0001
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: U.S. DOT Mentor Protege Pilot Program
Posted Date: 2011-11-04T04:00Z

[Federal Register Volume 76, Number 214 (Friday, November 4, 2011)]
[Notices]
[Pages 68521-68523]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-27916]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket Number DOT-OST-2011-0189]

Agency Information Collection Activities: Request for Comments; 
Clearance of a New Information Collection; U.S. DOT Mentor 
Prot[eacute]g[eacute] Pilot Program

AGENCY: Office of the Secretary (OST), (DOT).

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, Public 
law 104-13 (44 U.S.C. 3501 et seq) this notice announces the 
information collection request on Mentor Prot[eacute]g[eacute] Pilot 
Program annual report form, and the Mentor Prot[eacute]g[eacute] Pilot 
Program evaluation form.
    DOT's Mentor-Prot[eacute]g[eacute] Pilot Program enhances the 
capability of disadvantaged 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 
disadvantaged businesses. The program is administered by the DOT OST 
Office of Small and Disadvantaged Business Utilization (OSDBU).

Purpose

    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 U.S. Department of Transportation (DOT) is implementing a 
Mentor-Prot[eacute]g[eacute] Pilot Program that encourages agreements 
between large and small business prime contractors and eligible small 
business prot[eacute]g[eacute]s.
    Small business concerns include 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.

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 in an effort to establish a 
Mentor-Prot[eacute]g[eacute] relationship.
    5. Mentor-Prot[eacute]g[eacute] agreements should be for up to 24 
months.
    6. The duration of this pilot program will be for two years.

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 and dollar value of contract and 
subcontract awards to prot[eacute]g[eacute] firms since the time of 
their entry into the program.

[[Page 68522]]

    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 at 
the conclusion of 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.

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 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 mission.

Mentor-Protege Agreement Process

    Firms interested in becoming a mentor firm should submit copy of a 
signed mentor-prot[eacute]g[eacute] agreement for each mentor-
prot[eacute]g[eacute] relationship to DOT OSDBU for review. 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 .
    (4) Other terms and conditions, as appropriate
    (5) 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.
    (6) OSDBU will review a Mentor Prot[eacute]g[eacute] agreement no 
later than 30 days after receipt.
    (7) 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.

DATES: Written comments should be submitted by January 3, 2012.

FOR FURTHER INFORMATION CONTACT: Leonardo San Roman, Small Business 
Specialist, Procurement Assistance Division, Office of Small and 
Disadvantaged Business Utilization, U.S. Department of Transportation, 
1200 New Jersey Ave SE., Room W56-497, Washington, DC 20590. Telephone: 
1-(800) 532-1169 or (202) 366-1930, by email: mentorprotege@dot.gov. or 
visit our Web site at http://www.osdbu.dot.gov.

SUPPLEMENTARY INFORMATION:

[[Page 68523]]

    Title: U.S. DOT Mentor Prot[eacute]g[eacute] Pilot program.
    OMB Control Number: This is a proposed new information collection.
    Forms: Mentor Prot[eacute]g[eacute] pilot program annual report; 
and Mentor Prot[eacute]g[eacute] pilot program evaluation form.
    Type of Review: New Information Collection.
    Affected Public: Prime contractors and small businesses 
participating in DOT's Mentor Prot[eacute]g[eacute] Pilot Program.
    Respondents: Approximately 20.
    Frequency: One-time.
    Estimated Average Burden Per Response: 1 hour.
    Estimated Total Annual Burden Hours: 20 hours.

Abstract

    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 information collected will be from prime contractors and small 
business owners. The information collected will be used by DOT OSDBU to 
determine whether or not the type of technical assistance provided to 
the prot[eacute]g[eacute] was in accordance with Mentor-
Prot[eacute]g[eacute] agreement.

Abstract

    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 information collected will be from prime contractors and small 
business owners, and it will be used by DOT OSDBU to determine Mentor-
Prot[eacute]g[eacute] program success and recommendations to the pilot 
program.

    Authority:  49 U.S.C. Section 332(4).

    Issued in Washington, DC on October 11, 2011.
Brandon Neal,
Director, Office of Small and Disadvantaged Business Utilization.
[FR Doc. 2011-27916 Filed 10-27-11; 8:45 am]
BILLING CODE 4910-9X-P