Defense Federal Acquisition Regulation Supplement: Amendment to Mentor-Protégé Program (DFARS Case 2016-D011), 65610-65615 [2016-22574]
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(d) Reports. (1) The Contractor shall report
semiannually for the six-month periods
ending March 31 and September 30, the
information in paragraphs (d)(1)(i) through
(v) of this section within 30 days after the
end of the reporting period. Submit the
report at https://www.esrs.gov.
(i) A list of contracts covered under its
comprehensive small business
subcontracting plan, to include the
Commercial and Government Entity (CAGE)
code and Data Universal Numbering System
(DUNS) number.
(ii) The amount of first-tier subcontract
dollars awarded during the six-month period
covered by the report to covered small
business concerns, with the information set
forth separately by—
(A) North American Industrial
Classification System (NAICS) code;
(B) Major defense acquisition program, as
defined in 10 U.S.C. 2430(a);
(C) Contract number, if the contract is for
maintenance, overhaul, repair, servicing,
rehabilitation, salvage, modernization, or
modification of supplies, systems, or
equipment, and the total value of the
contract, including options, exceeds $100
million; and
(D) Military department.
(iii) Total number of subcontracts active
under the Test Program that would have
otherwise required a subcontracting plan.
(iv) Costs incurred in negotiating,
complying with, and reporting on its
comprehensive subcontracting plan.
(v) Costs avoided through the use of a
comprehensive subcontracting plan.
(2) The Contractor shall—
(i) Ensure that subcontractors with
subcontracting plans agree to submit an
Individual Subcontract Report (ISR) and/or
Summary Subcontract Report (SSR) using the
Electronic Subcontracting Reporting System
(eSRS).
(ii) Provide its contract number, its DUNS
number, and the email address of the
Contractor’s official responsible for
acknowledging or rejecting the ISR to all
first-tier subcontractors, who will be required
to submit ISRs, so they can enter this
information into the eSRS when submitting
their reports.
(iii) Require that each subcontractor with a
subcontracting plan provide the prime
contract number, its own DUNS number, and
the email address of the subcontractor’s
official responsible for acknowledging or
rejecting the ISRs to its subcontractors with
subcontracting plans who will be required to
submit ISRs.
(iv) Acknowledge receipt or reject all ISRs
submitted by its subcontractors using eSRS.
(3) The Contractor shall submit SSRs using
eSRS at https://www.esrs.gov. The reports
shall provide information on subcontract
awards to small business concerns, veteranowned small business concerns, servicedisabled veteran-owned small business
concerns, HUBZone small business concerns,
small disadvantaged business concerns, and
women-owned small business concerns.
Purchases from a corporation, company, or
subdivision that is an affiliate of the prime
Contractor or subcontractor are not included
in these reports. Subcontract award data
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reported by prime contractors and
subcontractors shall be limited to awards
made to their immediate next-tier
subcontractors. Credit cannot be taken for
awards made to lower-tier subcontractors
unless the Contractor or subcontractor has
been designated to receive a small business
or small disadvantaged business credit from
a member firm of the Alaska Native—
Corporations or an Indian tribe. Only
subcontracts involving performance in the
U.S. or its outlying areas should be included
in these reports.
(i) This report may be submitted on a
corporate, company, or subdivision (e.g.,
plant or division operating as a separate
profit center) basis, as negotiated in the
comprehensive subcontracting plan with the
Defense Contract Management Agency.
(ii) This report encompasses all
subcontracting under prime contracts and
subcontracts with the Department of Defense,
regardless of the dollar value of the
subcontracts, and is based on the negotiated
comprehensive subcontracting plan.
(iii) The report shall be submitted semiannually for the six months ending March 31
and the twelve months ending September 30.
Reports are due 30 days after the close of
each reporting period.
(iv) The authority to acknowledge receipt
or reject the SSR resides with the Defense
Contract Management Agency.
(e) The failure of the Contractor or
subcontractor to comply in good faith with
the clause of this contract entitled
‘‘Utilization of Small Business Concerns,’’ or
an approved plan required by this clause,
shall be a material breach of the contract.
(f) Liquidated damages. The Contracting
Officer designated to manage the
comprehensive subcontracting plan will
exercise the functions of the Contracting
Officer, as identified in paragraphs (f)(1)
through (4), on behalf of all DoD departments
and agencies that awarded contracts covered
by the Contractor’s comprehensive
subcontracting plan.
(1) To determine the need for liquidated
damages, the Contracting Officer will
conduct a compliance review during the
fiscal year after the close of the fiscal year for
which the plan is applicable. The Contracting
Officer will compare the approved
percentage or dollar goals to the total, actual
subcontracting dollars covered by the plan.
(2) If the Contractor has failed to meet its
approved subcontracting goal(s), the
Contracting Officer will provide the
Contractor written notice specifying the
failure, advising of the potential for
assessment of liquidated damages, and
permitting the Contractor to demonstrate
what good faith efforts have been made. The
Contracting Officer may take the Contractor’s
failure to respond to the notice within 15
working days (or longer period at the
Contracting Officer’s discretion) as an
admission that no valid explanation exists.
(3) If, after consideration of all relevant
information, the Contracting Officer
determines that the Contractor failed to make
a good faith effort to comply with the
comprehensive subcontracting plan, the
Contracting Officer will issue a final decision
to the Contractor to that effect and require the
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Contractor to pay liquidated damages to the
Government in the amount identified in the
comprehensive subcontracting plan.
(4) The Contractor shall have the right of
appeal under the clause in this contract
entitled ‘‘Disputes’’ from any final decision
of the Contracting Officer.
(g) The Contractor shall include in
subcontracts that offer subcontracting
opportunities, are expected to exceed
$700,000 ($1.5 million for construction of
any public facility), and are required to
include the clause at 52.219–8, Utilization of
Small Business Concerns—
(1) FAR 52.219–9, Small Business
Subcontracting Plan, and 252.219–7003
Small Business Subcontracting Plan (DoD
Contracts)—Basic;
(2) 52.219–9, Small Business
Subcontracting Plan, with its Alternate III,
and 252.219–7003, Small Business
Subcontracting Plan (DoD Contracts)—
Alternate I, to allow for submission of SF
294s in lieu of ISRs; or
(3) 252.219–7004, Small Business
Subcontracting Plan (Test Program), in
subcontracts with subcontractors that
participate in the Test Program described in
DFARS 219.702–70.
(End of clause)
[FR Doc. 2016–22573 Filed 9–22–16; 8:45 am]
BILLING CODE 5001–06–P
DEPARTMENT OF DEFENSE
Defense Acquisition Regulations
System
48 CFR Part 219 and Appendix I to
Chapter 2
[Docket DARS–2016–0033]
RIN 0750–AJ05
Defense Federal Acquisition
Regulation Supplement: Amendment
´ ´
to Mentor-Protege Program (DFARS
Case 2016–D011)
Defense Acquisition
Regulations System, Department of
Defense (DoD).
ACTION: Proposed rule.
AGENCY:
DoD is proposing to amend
the Defense Federal Acquisition
Regulation Supplement (DFARS) to
implement a section of the National
Defense Authorization Act for Fiscal
Year 2016 that provides amendments to
´ ´
the DoD Pilot Mentor-Protege Program.
DATES: Comments on the proposed rule
should be submitted in writing to the
address shown below on or before
November 22, 2016, to be considered in
the formation of a final rule.
ADDRESSES: Submit comments
identified by DFARS Case 2016–D011,
using any of the following methods:
Æ Federal eRulemaking Portal: https://
www.regulations.gov. Search for
SUMMARY:
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Federal Register / Vol. 81, No. 185 / Friday, September 23, 2016 / Proposed Rules
‘‘DFARS Case 2016–D011.’’ Select
‘‘Comment Now’’ and follow the
instructions provided to submit a
comment. Please include ‘‘DFARS Case
2016–D011’’ on any attached
documents.
Æ Email: osd.dfars@mail.mil. Include
DFARS Case 2016–D011 in the subject
line of the message.
Æ Fax: 571–372–6094.
Æ Mail: Defense Acquisition
Regulations System, Attn: Ms. Jennifer
Johnson, OUSD(AT&L)DPAP/DARS,
Room 3B941, 3060 Defense Pentagon,
Washington, DC 20301–3060.
Comments received generally will be
posted without change to https://
www.regulations.gov, including any
personal information provided. To
confirm receipt of your comment(s),
please check www.regulations.gov,
approximately two to three days after
submission to verify posting (except
allow 30 days for posting of comments
submitted by mail).
FOR FURTHER INFORMATION CONTACT: Ms.
Jennifer Johnson, telephone 571–372–
6100.
SUPPLEMENTARY INFORMATION:
rmajette on DSK2TPTVN1PROD with PROPOSALS
I. Background
This rule proposes to revise the
DFARS to implement section 861 of the
National Defense Authorization Act
(NDAA) for Fiscal Year (FY) 2016 (Pub.
L. 114–92). Section 861 provides several
amendments to the DoD Pilot Mentor´ ´
Protege Program (‘‘the Program’’). In
particular, section 861 provides for
contractors who participate in the
Program as mentors to report all
technical or management assistance
provided; any new awards of
´ ´
subcontracts to the protege firm,
including the value of such
subcontracts; any extensions, increases
in the scope of work, or additional,
´ ´
unreported payments to the protege
firm; the amount of any progress
payments or advance payments made to
´ ´
the protege firm for performance under
any subcontract made under the
´ ´
Program; any loans made to the protege
firm; all Federal contracts awarded to
´ ´
the mentor and protege firms as a joint
venture; any assistance the mentor firm
´ ´
obtained for the protege firm from small
business development centers
established under 15 U.S.C. 648, entities
providing procurement technical
assistance under 10 U.S.C. chapter 142,
or historically Black colleges or
universities or minority institutions of
higher education; whether the terms of
´ ´
the mentor-protege agreement have
changed; and a narrative describing the
success assistance provided under the
Program has had in addressing the
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´ ´
protege firm’s developmental needs, the
impact on DoD contracts, and
addressing any problems encountered.
These reporting requirements apply
´ ´
retroactively to mentor-protege
agreements in effect on November 25,
2015, date of enactment of the NDAA
for FY 2016. The new reporting
requirements will provide information
to DoD’s Office of Small Business
Programs to support decisions regarding
continuation of particular mentor´ ´
protege agreements.
In addition, section 861—
• Adds new eligibility criteria;
• Limits the number of mentor´ ´
´ ´
protege agreements to which a protege
firm may be a party;
• Limits the period of time during
´ ´
which a protege firm may participate in
´ ´
mentor-protege agreements under the
Program;
• Adds new elements to mentor´ ´
protege agreements addressing the
benefits of the agreement to DoD and
goals for additional awards for which
´ ´
the protege firm can compete outside
the Program;
• Removes business development
assistance using mentor firm personnel
and cash in exchange for an ownership
´ ´
interest in the protege firm from the
types of assistance that a mentor firm
´ ´
may provide to a protege firm;
• Prohibits reimbursement of any fee
assessed by the mentor firm for certain
´ ´
services provided to the protege firm
while participating in a joint venture
´ ´
with the protege firm;
• Revises the definitions of the terms
‘‘small business concern’’ and
‘‘disadvantaged small business
concern;’’
• Adds definitions for ‘‘severely
disabled individual’’ and ‘‘affiliated;’’
and
• Extends the Program for three years.
II. Discussion and Analysis
This rule proposes amendments to
DFARS subpart 219.71 and Appendix I,
and significant revisions are
summarized in the following
paragraphs:
´ ´
A. Subpart 219.71, Pilot Mentor-Protege
Program
• 219.7102, General. This section is
amended to replace the list of Program
eligibility criteria with a reference to the
eligibility criteria located in Appendix I,
section I–102.
• 219.7104, Developmental assistance
costs eligible for reimbursement or
credit. This section is amended to revise
the date by which a mentor firm must
incur costs under the Program in order
to be eligible for reimbursement or
credit toward small business
subcontracting goals.
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65611
B. Appendix I, Policy and Procedures
´ ´
for the DoD Pilot Mentor-Protege
Program
• I–100, Purpose. This section is
amended to align more closely with the
language in section 861 of the NDAA for
FY 2016.
• I–101, Definitions. This section is
amended to add the definition of
‘‘nontraditional defense contractor’’
provided in section 861, and to delete
the definition of ‘‘historically Black
college or university’’ that repeated the
definition in FAR 2.101.
• I–102, Participant eligibility. This
section is amended to revise the mentor
´ ´
and protege eligibility criteria in
accordance with section 861.
• I–103, Program duration. This
section is amended to revise the date by
´ ´
which new mentor-protege agreements
may be submitted and approved and the
date by which a mentor firm must incur
costs under the Program in order to be
eligible for reimbursement or credit
toward subcontracting goals.
´ ´
• I–104, Selection of protege firms.
This section is amended to encourage
´ ´
mentor firms to select firms as proteges
that have not received significant prime
contracts from a Federal agency. In
addition, this section is amended to
´ ´
indicate the number of mentor-protege
´ ´
agreements to which a protege firm may
be a party, and to implement the time
limitation specified in section 861 for a
´ ´
protege firm’s participation in the
Program.
• I–105, Mentor approval process.
This section is amended to reflect the
revised eligibility criteria.
´ ´
• I–107, Elements of a mentor-protege
agreement. This section is amended to
incorporate new requirements of section
861.
Æ New paragraph (e) is added to
´ ´
require assurances in mentor-protege
´ ´
agreements that the mentor and protege
firms are not affiliated as defined in
section 861. In addition, the existing
paragraph (e) is renumbered as
paragraph (f), and the existing paragraph
(f) is renumbered as paragraph (g).
Æ New paragraphs (g)(3) and (4) are
added to implement the section 861
´ ´
requirement for mentor-protege
agreements to include the following:
D A description of the quantitative
and qualitative benefits to DoD from the
agreement, if applicable; and
D Goals for additional awards for
´ ´
which the protege firm can compete
outside the Program.
• I–109, Reimbursement agreements.
This section is amended to implement
the prohibition in section 861 of
reimbursement of fees assessed by the
mentor firm for certain services
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´ ´
provided to the protege firm or
reimbursement of business development
expenses incurred by the mentor firm
while participating in a joint venture
´ ´
with the protege firm.
• I–112, Reporting requirements. This
section is amended to include the new
reporting requirements of section 861
and to specify that they apply
retroactively in accordance with
paragraph (b)(2) of section 861.
III. Applicability to Contracts at or
Below the Simplified Acquisition
Threshold and for Commercial Items,
Including Commercially Available Offthe-Shelf Items
This rule does not add any new
provisions or clauses or impact any
existing provisions or clauses.
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IV. Executive Orders 12866 and 13563
Executive Orders (E.O.s) 12866 and
13563 direct agencies to assess all costs
and benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). E.O. 13563 emphasizes the
importance of quantifying both costs
and benefits, of reducing costs, of
harmonizing rules, and of promoting
flexibility. This is not a significant
regulatory action and, therefore, was not
subject to review under section 6(b) of
E.O. 12866, Regulatory Planning and
Review, dated September 30, 1993. This
rule is not a major rule under 5 U.S.C.
804.
V. Regulatory Flexibility Act
DoD does not expect this proposed
rule to have a significant economic
impact on a substantial number of small
entities within the meaning of the
Regulatory Flexibility Act, 5 U.S.C. 601,
et seq. However, an initial regulatory
flexibility analysis has been performed
and is summarized as follows:
This rule proposes to amend the
Defense Federal Acquisition Regulation
Supplement (DFARS) to implement
section 861 of the National Defense
Authorization Act (NDAA) for Fiscal
Year (FY) 2016, which provides
amendments to the DoD Pilot Mentor´ ´
Protege Program (‘‘the Program’’).
Specifically, section 861 requires
mentor firms to report a variety of
information on the assistance they have
´ ´
provided to their protege firms, the
success this assistance has had in
´ ´
addressing the protege firm’s
developmental needs, the impact on
DoD contracts, and addressing any
problems encountered. The new
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reporting requirements apply
´ ´
retroactively to mentor-protege
agreements that were in effect on the
date of enactment of the NDAA for FY
2016 (enacted November 25, 2015). In
addition, section 861 adds new
eligibility criteria for mentor and
´ ´
protege firms; limits the period of time
´ ´
a protege firm can participate in the
Program; limits the number of mentor´ ´
´ ´
protege agreements to which a protege
can be a party; extends the Program for
three years; and makes several other
amendments.
The objectives of this rule are to
implement statutory amendments to the
Program and to provide DoD’s Office of
Small Business Programs with
information to support decisions
regarding continuation of particular
´ ´
mentor-protege agreements. The legal
basis for the amendments is section 861
of the NDAA for FY 2016.
The rule will apply to small entities
that participate in the Program. There
are currently 85 small entities
´ ´
participating in the Program as protege
firms and six small entities participating
as mentors.
The rule imposes new reporting
requirements on mentor firms,
including mentors who are small
businesses, regarding assistance they
´ ´
have provided to their protege firms and
the success this assistance has had.
´ ´
Although protege firms are not required
to submit these reports, the mentor
firms will need to obtain supporting
´ ´
information from the protege firms in
order to ascertain the success of the
assistance provided.
The rule does not duplicate, overlap,
or conflict with any other Federal rules.
DoD invites comments from small
business concerns and other interested
parties on the expected impact of this
rule on small entities.
DoD will also consider comments
from small entities concerning the
existing regulations in subparts affected
by this rule in accordance with 5 U.S.C.
610. Interested parties must submit such
comments separately and should cite 5
U.S.C. 610 (DFARS Case 2016–D011), in
correspondence.
VI. Paperwork Reduction Act
The rule contains information
collection requirements that require the
approval of the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act (44 U.S.C. chapter 35).
OMB Control Number 0704–0332,
Defense Federal Acquisition Regulation
Supplement (DFARS) Appendix I, is
currently in place for the DoD Mentor
´ ´
Protege program. This proposed rule,
DFARS Case 2016–D011, however,
requires revision of OMB 0704–0332 to
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increase the burden hours to
accommodate the increased reporting
requirements resulting from this rule.
Accordingly, DoD has submitted a
request to OMB for approval of a revised
information collection requirement as
discussed below.
A. Public Reporting Burden for This
Collection of Information is Estimated
To Average Three Hours per Response,
Including the Time for Reviewing
Instructions, Searching Existing Data
Sources, Gathering and Maintaining the
Data Needed, and Completing and
Reviewing the Collection of Information
The annual reporting burden is
estimated as follows:
Respondents: 127.
Responses per respondent: 2
approximately.
Total annual responses: 255.
Preparation hours per response: 2
hours.
Total response Burden Hours: 595.
B. Request for Comments Regarding
Paperwork Burden
Written comments and
recommendations on the proposed
information collection, including
suggestions for reducing this burden,
should be sent to Ms. Jasmeet Seehra at
the Office of Management and Budget,
Desk Officer for DoD, Room 10236, New
Executive Office Building, Washington,
DC 20503, or email Jasmeet_K._Seehra@
omb.eop.gov, with a copy to the Defense
Acquisition Regulations System, Attn:
Ms. Jennifer Johnson, OUSD (AT&L)
DPAP/DARS, Room 3B941, 3060
Defense Pentagon, Washington, DC
20301–3060. Comments can be received
from 30 to 60 days after the date of this
notice, but comments to OMB will be
most useful if received by OMB within
30 days after the date of this notice.
Public comments are particularly
invited on: Whether this collection of
information is necessary for the proper
performance of functions of the DFARS,
and will have practical utility; whether
our estimate of the public burden of this
collection of information is accurate,
and based on valid assumptions and
methodology; ways to enhance the
quality, utility, and clarity of the
information to be collected; and ways in
which we can minimize the burden of
the collection of information on those
who are to respond, through the use of
appropriate technological collection
techniques or other forms of information
technology.
To request more information on this
proposed information collection or to
obtain a copy of the proposal and
associated collection instruments,
please write to the Defense Acquisition
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Federal Register / Vol. 81, No. 185 / Friday, September 23, 2016 / Proposed Rules
Regulations System, Attn: Ms. Jennifer
Johnson, OUSD(AT&L)DPAP/DARS,
Room 3B941, 3060 Defense Pentagon,
Washington, DC 20301–3060, or email
osd.dfars@mail.mil. Include DFARS
Case 2016–D011 in the subject line of
the message.
List of Subjects in 48 CFR Parts 219 and
Appendix I to Chapter 2
Government procurement.
Jennifer L. Hawes,
Editor, Defense Acquisition Regulations
System.
Therefore, 48 CFR part 219 and
appendix I to chapter 2 are proposed to
be amended as follows:
1. The authority citation for 48 CFR
part 219 and appendix I to chapter 2
continues to read as follows:
■
Authority: 41 U.S.C. 1303 and 48 CFR
chapter 1.
PART 219—SMALL BUSINESS
PROGRAMS
219.7100
[Amended]
2. Amend section 219.7100 by—
a. Removing ‘‘Section 831’’ and
adding ‘‘section 831’’ in its place; and
■ b. Adding the phrase ‘‘, as amended
through November 25, 2015’’ to the end
of the first sentence.
■ 3. Amend section 219.7102 by—
■ a. Revising paragraph (a);
■ b. Removing paragraph (b); and
■ c. Redesignating paragraphs (c) and
(d) as paragraphs (b) and (c),
respectively.
The revision reads as follows:
■
■
219.7102
General.
*
*
*
*
*
´ ´
(a) Mentor firms and protege firms
that meet the criteria in Appendix I,
section I–102.
*
*
*
*
*
219.7103–2
[Amended]
4. Amend section 219.7103–2, in
paragraph (e)(3), by removing
‘‘219.7102(d)(1)(ii)’’ and adding
‘‘219.7102(c)(1)(ii)’’ in its place.
■
219.7104
[Amended]
5. Amend section 219.7104 by—
■ a. In paragraph (b)—
■ i. Removing ‘‘Advance agreements are
encouraged.’’;
■ ii. Removing ‘‘before October 1, 2018’’
and adding ‘‘not later than September
30, 2021’’ in its place; and
■ b. In paragraph (d), removing ‘‘before
October 1, 2018’’ and adding ‘‘not later
than September 30, 2021’’ in its place.
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■
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Appendix I to Chapter 2—Policy and
Procedures for The DOD Pilot Mentor
´ ´
Protege Program
6. Amend appendix I to chapter 2
by—
■ a. In section I–100, revising paragraph
(a);
■ b. Removing section I–101.1;
■ c. Redesignating section I–101.2 as
section I–101.1;
■ d. Adding new section I–101.2;
■ e. Revising section I–101.4;
■ f. Removing section I–101.5;
■ g. Redesignating section I–101.6 as
section I–101.5;
■ h. In the newly redesignated section I–
101.5, removing ‘‘Section’’ and adding
‘‘section’’ in its place;
■ i. Removing section I–101–7;
■ j. Redesignating section I–101.8 as
section I–101.6;
■ k. In section I–102, revising
paragraphs (a), (b), (c), and (d);
■ l. Amend section I–103 by—
■ i. In paragraph (a), removing
‘‘September 30, 2015’’ and adding
‘‘September 30, 2018’’ in its place;
■ ii. In paragraph (b), removing
‘‘September 30, 2018’’ and adding
‘‘September 30, 2021’’ in its place;
■ m. Amend section I–104 by—
■ i. Revising paragraph (a);
■ ii. In paragraph (c), removing ‘‘as
defined in I–101.5’’ ’
■ iii. In paragraph (d) removing ‘‘I–
107(f)’’ and adding ‘‘I–106(d)’’ in its
place;
■ iv. Revising paragraph (e);
■ n. Amend section I–105 by—
■ i. Revising paragraph (b)(1);
■ ii. In paragraphs (b)(2), (b)(3), (b)(4),
(b)(5), (b)(6), removing ‘‘company’s’’ and
‘‘company’’ and adding ‘‘entity’s’’ and
‘‘entity’’, respectively in each place they
appear;
■ iii. Revising paragraph (b)(7);
■ iv. Revising paragraph (c);
■ o. Amend section I–106 by—
■ i. In paragraph (d)(1)(i), removing
‘‘business development, ’’;
■ ii. In paragraph (d)(1)(iii), adding
‘‘described in I–107(g)’’ to the end of the
sentence;
■ iii. In paragraph (d)(2), removing
‘‘Award of subcontracts’’ and adding
´ ´
‘‘Award of subcontracts to the protege
firm’’ in its place;
■ iv. Removing paragraph (d)(6);
■ v. Redesignating paragraph (d)(7) as
(d)(6);
■ p. Amend section I–107 by—
■ i. In the introductory text, removing
‘‘will contain the following elements:’’
and adding ‘‘shall contain—’’ in its
place;
■ ii. Revising paragraph (b);
■ iii. In paragraph (d), removing ‘‘I–
102’’ and adding ‘‘I–102(a)’’ in its place;
■
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iv. Revising paragraphs (e), (f), and (g);
q. Amend section I–109 by—
i. Redesignating paragraph (e) as
paragraph (f);
■ ii. Adding new paragraph (e);
■ r. Amend section I–110.1, in
paragraph (a), by removing ‘‘DoD
Comprehensive Subcontracting Plan
Test Program’’ and adding ‘‘DoD Test
Program for Negotiation of
Comprehensive Small Business
Subcontracting Plans’’ in its place; and
removing ‘‘entity employing the
severely disabled’’ and adding ‘‘entity
employing severely disabled
individuals’’ in its place;
■ s. Amend section I–112.1 by—
■ i. In the section heading, removing
‘‘SF 294s’’ and adding ‘‘Standard Forms
294’’ in its place;
■ ii. In paragraph (b), removing ‘‘SDB’’
and adding ‘‘applicable’’ in its place;
and removing ‘‘I–101.3 or I–101.5’’ and
adding ‘‘I–102(b)’’ in its place;
■ t. Revise section I–112.2.
The revisions and additions read as
follows:
■
■
■
I–100 Purpose.
(a) This Appendix I to 48 CFR chapter 2
´ ´
implements the Pilot Mentor-Protege
Program (hereafter referred to as the
‘‘Program’’) established under section 831 of
Public Law 101–510, the National Defense
Authorization Act for Fiscal Year 1991 (10
U.S.C. 2302 note), as amended through
November 25, 2015. The purpose of the
Program is to provide incentives to major
DoD contractors to furnish eligible small
business concerns with assistance designed
to—
(1) Enhance the capabilities of eligible
small business concerns to perform as
subcontractors and suppliers under DoD
contracts and other contracts and
subcontracts; and
(2) Increase the participation of such
business concerns as subcontractors and
suppliers under DoD contracts, other Federal
Government contracts, and commercial
contracts.
*
*
*
*
*
I–101.2 Nontraditional defense contractor.
An entity that is not currently performing
and has not performed any contract or
subcontract for DoD that is subject to full
coverage under the cost accounting standards
prescribed pursuant to 41 U.S.C. 1502 and
the regulations implementing such section,
for at least the 1-year period preceding the
solicitation of sources by DoD for the
procurement or transaction (10 U.S.C.
2302(9)).
*
*
*
*
*
I–101.4 Severely disabled individual.
An individual who is blind or severely
disabled as defined in 41 U.S.C. 8501.
*
*
*
*
*
I–102 Participant eligibility.
(a) To be eligible to participate as a mentor,
an entity must—
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(1) Be eligible for the award of Federal
contracts;
(2) Demonstrate that it—
(i) Is qualified to provide assistance that
will contribute to the purpose of the Program;
(ii) Is of good financial health and
character; and
(iii) Is not on a Federal list of debarred or
suspended contractors; and
(3) Be capable of imparting value to a
´ ´
protege firm because of experience gained as
a DoD contractor or through knowledge of
general business operations and Government
contracting, as demonstrated by evidence
that such entity—
(i) Received DoD contracts and
subcontracts equal to or greater than $100
million during the previous fiscal year;
(ii) Is an other-than-small business, unless
a waiver to the small business exception has
been obtained from the Director, Small
Business Programs (SBP), OUSD(AT&L);
(iii) Is a prime contractor to DoD with an
active subcontracting plan; or
(iv) Has graduated from the 8(a) Business
Development Program and provides
documentation of its ability to serve as a
mentor.
(b) To be eligible to participate as a
´ ´
protege, an entity must be—
(1) A small business concern;
(2) Eligible for the award of Federal
contracts;
(3) Less than half the Small Business
Administration (SBA) size standard for its
primary North American Industry
Classification System (NAICS) code;
(4) Not owned or managed by individuals
or entities that directly or indirectly have
stock options or convertible securities in the
mentor firm; and
(5) At least one of the following:
(i) A qualified HUBZone small business
concern.
(ii) A women-owned small business
concern.
(iii) A service-disabled veteran-owned
small business concern.
(iv) An entity owned and controlled by an
Indian tribe.
(v) An entity owned and controlled by a
Native Hawaiian organization.
(vi) An entity owned and controlled by
socially and economically disadvantaged
individuals.
(vii) A qualified organization employing
severely disabled individuals.
(viii) A nontraditional defense contractor.
(ix) An entity that currently provides goods
or services in the private sector that are
critical to enhancing the capabilities of the
defense supplier base and fulfilling key DoD
needs.
(c) Mentor firms may rely in good faith on
a written representation that the entity meets
the requirements of paragraph (b) of this
section, except that a mentor firm is required
´ ´
to confirm a protege’s status as a HUBZone
small business concern (see FAR 19.703(d)).
(d) If at any time the SBA (or DoD in the
case of entities employing severely disabled
´ ´
individuals) determines that a protege is
ineligible, assistance that the mentor firm
´ ´
furnishes to the protege after the date of the
determination may not be considered
assistance furnished under the Program.
*
*
*
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*
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´ ´
I–104 Selection of protege firms.
(a) Mentor firms will be solely responsible
´ ´
for selecting protege firms that qualify under
I–102(b). Mentor firms are encouraged to
identify and select concerns that have not
previously received significant prime
contract awards from DoD or any other
Federal agency.
*
*
*
*
*
´ ´
(e) A protege firm may not be a party to
´ ´
more than one DoD mentor-protege
agreement at a time, and may only participate
in the Program during the 5-year period
´ ´
beginning on the date the protege firm enters
´ ´
into its first mentor-protege agreement.
I–105
*
Mentor approval process.
*
*
*
*
(b) * * *
(1) A statement that the entity meets the
requirements in I–102(a), specifying the
criteria in I–102(a)(3) under which the entity
is applying.
*
*
*
*
*
(7) The total dollar amount and percentage
of subcontracts that the entity awarded to
firms qualifying under I–102(b)(5)(ii) through
(viii) during the 2 preceding fiscal years.
(Show DoD subcontract awards separately.) If
the entity was required to submit a Summary
Subcontract Report (SSR) in the Electronic
Subcontracting Reporting System, the request
must include copies of the final reports for
the 2 preceding fiscal years.
*
*
*
*
*
(c) A template of the mentor application is
available at: https://www.acq.osd.mil/osbp/sb/
programs/mpp/resources.shtml.
*
*
*
*
*
´ ´
I–107 Elements of a mentor-protege
agreement.
*
*
*
*
*
(b) The NAICS code(s) that represent the
contemplated supplies or services to be
´ ´
provided by the protege firm to the mentor
firm and a statement that, at the time the
agreement is submitted for approval, the
´ ´
protege firm does not exceed the size
standard in I–102(b)(3);
*
*
*
*
*
(e) Assurances that—
(1) The mentor firm does not share,
´ ´
directly or indirectly, with the protege firm
´ ´
ownership or management of the protege
firm;
(2) The mentor firm does not have an
agreement, at the time the mentor firm enters
´ ´
into a mentor-protege agreement, to merge
´ ´
with the protege firm;
(3) The owners and managers of the mentor
firm are not the parent, child, spouse, sibling,
aunt, uncle, niece, nephew, grandparent,
grandchild, or first cousin of an owner or
´ ´
manager of the protege firm;
(4) The mentor firm has not, during the 2year period before entering into a mentor´ ´
protege agreement, employed any officer,
director, principal stock holder, managing
´ ´
member, or key employee of the protege firm;
(5) The mentor firm has not engaged in a
´ ´
joint venture with the protege firm during the
2-year period before entering into a mentor´ ´
protege agreement, unless such joint venture
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was approved by SBA prior to making any
offer on a contract;
(6) The mentor firm is not, directly or
indirectly, the primary party providing
´ ´
contracts to the protege firm, as measured by
the dollar value of the contracts; and
(7) The SBA has not made a determination
of affiliation or control;
(f) A preliminary assessment of the
´ ´
developmental needs of the protege firm;
(g) A developmental program for the
´ ´
protege firm including—
(1) The type of assistance the mentor will
´ ´
provide to the protege and how that
assistance will—
´ ´
(i) Increase the protege’s ability to
participate in DoD, Federal, and/or
commercial contracts and subcontracts; and
(ii) Increase small business subcontracting
opportunities in industry categories where
´ ´
eligible proteges or other small business
firms are not dominant in the company’s
vendor base;
´ ´
(2) Factors to assess the protege firm’s
developmental progress under the Program,
including specific milestones for providing
each element of the identified assistance;
(3) A description of the quantitative and
qualitative benefits to DoD from the
agreement, if applicable; and
(4) Goals for additional awards for which
´ ´
the protege firm can compete outside the
Program;
*
*
I–109
*
*
*
*
Reimburseable agreements.
*
*
*
*
(e) DoD may not reimburse any fee to the
mentor firm for services provided to the
´ ´
protege firm pursuant to I–106(d)(6) or for
business development expenses incurred by
the mentor firm under a contract awarded to
the mentor firm while participating in a joint
´ ´
venture with the protege firm.
*
*
*
*
*
I–112.2 Program specific reporting
requirements.
(a) Mentors must report on the progress
´ ´
made under active mentor-protege
agreements semiannually for the periods
ending March 31st and September 30th
throughout the Program participation term of
the agreement. The September 30th report
must address the entire fiscal year.
(1) Reports are due 30 days after the close
of each reporting period.
(2) Each report must include the following
data on performance under the mentor´ ´
protege agreement:
(i) Dollars obligated (for reimbursable
agreements).
(ii) Expenditures.
(iii) Dollars credited, if any, toward
applicable subcontracting goals as a result of
developmental assistance provided to the
´ ´
protege and a copy of the ISR or SF 294 and/
or SSR for each contract where
developmental assistance was credited.
(iv) Any new awards of subcontracts on a
competitive or noncompetitive basis to the
´ ´
protege firm under DoD contracts or other
contracts, including the value of such
subcontracts.
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(v) All technical or management assistance
provided by mentor firm personnel for the
purposes described in I–106(d).
(vi) Any extensions, increases in the scope
of work, or additional payments not
previously reported for prior awards of
subcontracts on a competitive or
´ ´
noncompetitive basis to the protege firm
under DoD contracts or other contracts,
including the value of such subcontracts.
(vii) The amount of any payment of
progress payments or advance payments
´ ´
made to the protege firm for performance
under any subcontract made under the
Program.
(viii) Any loans made by the mentor firm
´ ´
to the protege firm.
(ix) All Federal contracts awarded to the
´ ´
mentor firm and the protege firm as a joint
venture, designating whether the award was
a restricted competition or a full and open
competition.
(x) Any assistance obtained by the mentor
´ ´
firm for the protege firm from the entities
listed at I–106(d)(6).
(xi) Whether there have been any changes
´ ´
to the terms of the mentor-protege agreement.
(xii) A narrative describing the following:
(A) The success assistance provided under
I–106(d) has had in addressing the
´ ´
developmental needs of the protege firm.
(B) The impact on DoD contracts.
(C) Any problems encountered.
´ ´
(D) Any milestones achieved in the protege
firm’s developmental program.
(E) Impact of the agreement in terms of
capabilities enhanced, certifications received,
and technology transferred.
(3) In accordance with section 861,
paragraph (b)(2), of the National Defense
Authorization Act for Fiscal Year 2016 (Pub.
L. 114–92), the reporting requirements
specified in paragraphs (a)(2)(iv) through
(a)(2)(xii)(C) of this section apply
´ ´
retroactively to mentor-protege agreements
that were in effect on November 25, 2015.
Mentors must submit reports as described in
paragraph (a) of this section.
(4) A recommended reporting format and
guidance for its submission are available at:
https://www.acq.osd.mil/osbp/sb/programs/
mpp/resources.shtml.
´ ´
(b) The protege must provide data,
annually by October 31st, on the progress
made during the prior fiscal year by the
´ ´
protege in employment, revenues, and
participation in DoD contracts during—
(1) Each fiscal year of the Program
participation term; and
(2) Each of the 2 fiscal years following the
expiration of the Program participation term.
´ ´
(c) The protege report required by
paragraph (b) of this section may be provided
as part of the mentor report for the period
ending September 30th required by
paragraph (a) of this section.
(d) Progress reports must be submitted—
(1) For credit agreements, to the cognizant
Component Director, SBP, that approved the
agreement, and the mentor’s cognizant
DCMA administrative contracting officer; and
(2) For reimbursable agreements, to the
cognizant Component Director, SBP, the
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contracting officer, the DCMA administrative
contracting officer, and the program manager.
[FR Doc. 2016–22574 Filed 9–22–16; 8:45 am]
BILLING CODE 5001–06–P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
50 CFR Part 680
[Docket No. 160617541–6541–01]
RIN 0648–BG15
Fisheries of the Exclusive Economic
Zone Off Alaska; Bering Sea and
Aleutian Islands Crab Rationalization
Program
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Proposed rule; request for
comments.
AGENCY:
NMFS issues a proposed rule
to implement Amendment 47 to the
Fishery Management Plan for Bering
Sea/Aleutian Islands King and Tanner
Crabs (Crab FMP) and to make minor
clarifications to regulations
implementing the Crab FMP. This
proposed rule addresses how individual
processing quota (IPQ) use caps apply to
the Bering Sea Chionoecetes bairdi
Tanner crab fisheries: The eastern C.
bairdi Tanner (EBT) and the western C.
bairdi Tanner (WBT). This proposed
rule would exempt EBT and WBT IPQ
crab that is custom processed at a
facility through contractual
arrangements with the processing
facility owners from being applied
against the IPQ use cap of the
processing facility owners, thereby
allowing a facility to process more crab
without triggering the IPQ use cap. This
proposed exemption is necessary to
allow all of the EBT and WBT Class A
individual fishing quota crab to be
processed at the facilities currently
processing EBT and WBT crab, and
would have significant positive
economic effects on the fishermen,
processors, and communities that
participate in the EBT and WBT
fisheries. This proposed rule is intended
to promote the goals and objectives of
the Magnuson-Stevens Fishery
Conservation and Management Act, the
Crab FMP, and other applicable law.
DATES: Submit comments on or before
October 24, 2016.
ADDRESSES: You may submit comments
on this document, identified by NOAA–
SUMMARY:
PO 00000
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65615
NMFS–2016–0081, by any of the
following methods:
• Electronic Submission: Submit all
electronic public comments via the
Federal e-Rulemaking Portal. Go to
www.regulations.gov/
#!docketDetail;D=NOAA-NMFS-20160081 click the ‘‘Comment Now!’’ icon,
complete the required fields, and enter
or attach your comments.
• Mail: Submit written comments to
Glenn Merrill, Assistant Regional
Administrator, Sustainable Fisheries
Division, Alaska Region NMFS, Attn:
Ellen Sebastian. Mail comments to P.O.
Box 21668, Juneau, AK 99802–1668.
Instructions: Comments sent by any
other method, to any other address or
individual, or received after the end of
the comment period, may not be
considered by NMFS. All comments
received are a part of the public record
and will generally be posted for public
viewing on www.regulations.gov
without change. All personal identifying
information (e.g., name, address),
confidential business information, or
otherwise sensitive information
submitted voluntarily by the sender will
be publicly accessible. NMFS will
accept anonymous comments (enter
‘‘N/A’’ in the required fields if you wish
to remain anonymous).
Electronic copies of Amendment 47 to
the Crab FMP, the Regulatory Impact
Review/Initial Regulatory Flexibility
Analysis (RIR/IRFA) (collectively
referred to as the ‘‘Analysis’’), and the
Categorical Exclusion prepared for this
proposed action are available from
https://www.regulations.gov or from the
NMFS Alaska Region Web site at https://
alaskafisheries.noaa.gov.
The Environmental Impact Statement
(Program EIS), RIR (Program RIR), Final
Regulatory Flexibility Analysis
(Program FRFA), and Social Impact
Assessment prepared for the Crab
Rationalization Program are available
from the NMFS Alaska Region Web site
at https://alaskafisheries.noaa.gov.
FOR FURTHER INFORMATION CONTACT:
Keeley Kent, 907–586–7228.
SUPPLEMENTARY INFORMATION: NMFS
manages the king and Tanner crab
fisheries in the U.S. exclusive economic
zone of the Bering Sea and Aleutian
Islands (BSAI) under the Fishery
Management Plan for Bering Sea/
Aleutian Islands King and Tanner Crabs
(Crab FMP). The North Pacific Fishery
Management Council (Council)
prepared, and NMFS approved, the Crab
FMP under the authority of the
Magnuson-Stevens Fishery
Conservation and Management Act
(Magnuson-Stevens Act), 16 U.S.C. 1801
et seq. Regulations governing U.S.
E:\FR\FM\23SEP1.SGM
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]]>Agencies
[Federal Register Volume 81, Number 185 (Friday, September 23, 2016)]
[Proposed Rules]
[Pages 65610-65615]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-22574]
-----------------------------------------------------------------------
DEPARTMENT OF DEFENSE
Defense Acquisition Regulations System
48 CFR Part 219 and Appendix I to Chapter 2
[Docket DARS-2016-0033]
RIN 0750-AJ05
Defense Federal Acquisition Regulation Supplement: Amendment to
Mentor-Prot[eacute]g[eacute] Program (DFARS Case 2016-D011)
AGENCY: Defense Acquisition Regulations System, Department of Defense
(DoD).
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: DoD is proposing to amend the Defense Federal Acquisition
Regulation Supplement (DFARS) to implement a section of the National
Defense Authorization Act for Fiscal Year 2016 that provides amendments
to the DoD Pilot Mentor-Prot[eacute]g[eacute] Program.
DATES: Comments on the proposed rule should be submitted in writing to
the address shown below on or before November 22, 2016, to be
considered in the formation of a final rule.
ADDRESSES: Submit comments identified by DFARS Case 2016-D011, using
any of the following methods:
[cir] Federal eRulemaking Portal: https://www.regulations.gov.
Search for
[[Page 65611]]
``DFARS Case 2016-D011.'' Select ``Comment Now'' and follow the
instructions provided to submit a comment. Please include ``DFARS Case
2016-D011'' on any attached documents.
[cir] Email: osd.dfars@mail.mil. Include DFARS Case 2016-D011 in
the subject line of the message.
[cir] Fax: 571-372-6094.
[cir] Mail: Defense Acquisition Regulations System, Attn: Ms.
Jennifer Johnson, OUSD(AT&L)DPAP/DARS, Room 3B941, 3060 Defense
Pentagon, Washington, DC 20301-3060.
Comments received generally will be posted without change to https://www.regulations.gov, including any personal information provided. To
confirm receipt of your comment(s), please check www.regulations.gov,
approximately two to three days after submission to verify posting
(except allow 30 days for posting of comments submitted by mail).
FOR FURTHER INFORMATION CONTACT: Ms. Jennifer Johnson, telephone 571-
372-6100.
SUPPLEMENTARY INFORMATION:
I. Background
This rule proposes to revise the DFARS to implement section 861 of
the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2016
(Pub. L. 114-92). Section 861 provides several amendments to the DoD
Pilot Mentor-Prot[eacute]g[eacute] Program (``the Program''). In
particular, section 861 provides for contractors who participate in the
Program as mentors to report all technical or management assistance
provided; any new awards of subcontracts to the prot[eacute]g[eacute]
firm, including the value of such subcontracts; any extensions,
increases in the scope of work, or additional, unreported payments to
the prot[eacute]g[eacute] firm; the amount of any progress payments or
advance payments made to the prot[eacute]g[eacute] firm for performance
under any subcontract made under the Program; any loans made to the
prot[eacute]g[eacute] firm; all Federal contracts awarded to the mentor
and prot[eacute]g[eacute] firms as a joint venture; any assistance the
mentor firm obtained for the prot[eacute]g[eacute] firm from small
business development centers established under 15 U.S.C. 648, entities
providing procurement technical assistance under 10 U.S.C. chapter 142,
or historically Black colleges or universities or minority institutions
of higher education; whether the terms of the mentor-
prot[eacute]g[eacute] agreement have changed; and a narrative
describing the success assistance provided under the Program has had in
addressing the prot[eacute]g[eacute] firm's developmental needs, the
impact on DoD contracts, and addressing any problems encountered. These
reporting requirements apply retroactively to mentor-
prot[eacute]g[eacute] agreements in effect on November 25, 2015, date
of enactment of the NDAA for FY 2016. The new reporting requirements
will provide information to DoD's Office of Small Business Programs to
support decisions regarding continuation of particular mentor-
prot[eacute]g[eacute] agreements.
In addition, section 861--
Adds new eligibility criteria;
Limits the number of mentor-prot[eacute]g[eacute]
agreements to which a prot[eacute]g[eacute] firm may be a party;
Limits the period of time during which a
prot[eacute]g[eacute] firm may participate in mentor-
prot[eacute]g[eacute] agreements under the Program;
Adds new elements to mentor-prot[eacute]g[eacute]
agreements addressing the benefits of the agreement to DoD and goals
for additional awards for which the prot[eacute]g[eacute] firm can
compete outside the Program;
Removes business development assistance using mentor firm
personnel and cash in exchange for an ownership interest in the
prot[eacute]g[eacute] firm from the types of assistance that a mentor
firm may provide to a prot[eacute]g[eacute] firm;
Prohibits reimbursement of any fee assessed by the mentor
firm for certain services provided to the prot[eacute]g[eacute] firm
while participating in a joint venture with the prot[eacute]g[eacute]
firm;
Revises the definitions of the terms ``small business
concern'' and ``disadvantaged small business concern;''
Adds definitions for ``severely disabled individual'' and
``affiliated;'' and
Extends the Program for three years.
II. Discussion and Analysis
This rule proposes amendments to DFARS subpart 219.71 and Appendix
I, and significant revisions are summarized in the following
paragraphs:
A. Subpart 219.71, Pilot Mentor-Prot[eacute]g[eacute] Program
219.7102, General. This section is amended to replace the
list of Program eligibility criteria with a reference to the
eligibility criteria located in Appendix I, section I-102.
219.7104, Developmental assistance costs eligible for
reimbursement or credit. This section is amended to revise the date by
which a mentor firm must incur costs under the Program in order to be
eligible for reimbursement or credit toward small business
subcontracting goals.
B. Appendix I, Policy and Procedures for the DoD Pilot Mentor-
Prot[eacute]g[eacute] Program
I-100, Purpose. This section is amended to align more
closely with the language in section 861 of the NDAA for FY 2016.
I-101, Definitions. This section is amended to add the
definition of ``nontraditional defense contractor'' provided in section
861, and to delete the definition of ``historically Black college or
university'' that repeated the definition in FAR 2.101.
I-102, Participant eligibility. This section is amended to
revise the mentor and prot[eacute]g[eacute] eligibility criteria in
accordance with section 861.
I-103, Program duration. This section is amended to revise
the date by which new mentor-prot[eacute]g[eacute] agreements may be
submitted and approved and the date by which a mentor firm must incur
costs under the Program in order to be eligible for reimbursement or
credit toward subcontracting goals.
I-104, Selection of prot[eacute]g[eacute] firms. This
section is amended to encourage mentor firms to select firms as
prot[eacute]g[eacute]s that have not received significant prime
contracts from a Federal agency. In addition, this section is amended
to indicate the number of mentor-prot[eacute]g[eacute] agreements to
which a prot[eacute]g[eacute] firm may be a party, and to implement the
time limitation specified in section 861 for a prot[eacute]g[eacute]
firm's participation in the Program.
I-105, Mentor approval process. This section is amended to
reflect the revised eligibility criteria.
I-107, Elements of a mentor-prot[eacute]g[eacute]
agreement. This section is amended to incorporate new requirements of
section 861.
[cir] New paragraph (e) is added to require assurances in mentor-
prot[eacute]g[eacute] agreements that the mentor and
prot[eacute]g[eacute] firms are not affiliated as defined in section
861. In addition, the existing paragraph (e) is renumbered as paragraph
(f), and the existing paragraph (f) is renumbered as paragraph (g).
[cir] New paragraphs (g)(3) and (4) are added to implement the
section 861 requirement for mentor-prot[eacute]g[eacute] agreements to
include the following:
[ssquf] A description of the quantitative and qualitative benefits
to DoD from the agreement, if applicable; and
[ssquf] Goals for additional awards for which the
prot[eacute]g[eacute] firm can compete outside the Program.
I-109, Reimbursement agreements. This section is amended
to implement the prohibition in section 861 of reimbursement of fees
assessed by the mentor firm for certain services
[[Page 65612]]
provided to the prot[eacute]g[eacute] firm or reimbursement of business
development expenses incurred by the mentor firm while participating in
a joint venture with the prot[eacute]g[eacute] firm.
I-112, Reporting requirements. This section is amended to
include the new reporting requirements of section 861 and to specify
that they apply retroactively in accordance with paragraph (b)(2) of
section 861.
III. Applicability to Contracts at or Below the Simplified Acquisition
Threshold and for Commercial Items, Including Commercially Available
Off-the-Shelf Items
This rule does not add any new provisions or clauses or impact any
existing provisions or clauses.
IV. Executive Orders 12866 and 13563
Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess
all costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). E.O.
13563 emphasizes the importance of quantifying both costs and benefits,
of reducing costs, of harmonizing rules, and of promoting flexibility.
This is not a significant regulatory action and, therefore, was not
subject to review under section 6(b) of E.O. 12866, Regulatory Planning
and Review, dated September 30, 1993. This rule is not a major rule
under 5 U.S.C. 804.
V. Regulatory Flexibility Act
DoD does not expect this proposed rule to have a significant
economic impact on a substantial number of small entities within the
meaning of the Regulatory Flexibility Act, 5 U.S.C. 601, et seq.
However, an initial regulatory flexibility analysis has been performed
and is summarized as follows:
This rule proposes to amend the Defense Federal Acquisition
Regulation Supplement (DFARS) to implement section 861 of the National
Defense Authorization Act (NDAA) for Fiscal Year (FY) 2016, which
provides amendments to the DoD Pilot Mentor-Prot[eacute]g[eacute]
Program (``the Program''). Specifically, section 861 requires mentor
firms to report a variety of information on the assistance they have
provided to their prot[eacute]g[eacute] firms, the success this
assistance has had in addressing the prot[eacute]g[eacute] firm's
developmental needs, the impact on DoD contracts, and addressing any
problems encountered. The new reporting requirements apply
retroactively to mentor-prot[eacute]g[eacute] agreements that were in
effect on the date of enactment of the NDAA for FY 2016 (enacted
November 25, 2015). In addition, section 861 adds new eligibility
criteria for mentor and prot[eacute]g[eacute] firms; limits the period
of time a prot[eacute]g[eacute] firm can participate in the Program;
limits the number of mentor-prot[eacute]g[eacute] agreements to which a
prot[eacute]g[eacute] can be a party; extends the Program for three
years; and makes several other amendments.
The objectives of this rule are to implement statutory amendments
to the Program and to provide DoD's Office of Small Business Programs
with information to support decisions regarding continuation of
particular mentor-prot[eacute]g[eacute] agreements. The legal basis for
the amendments is section 861 of the NDAA for FY 2016.
The rule will apply to small entities that participate in the
Program. There are currently 85 small entities participating in the
Program as prot[eacute]g[eacute] firms and six small entities
participating as mentors.
The rule imposes new reporting requirements on mentor firms,
including mentors who are small businesses, regarding assistance they
have provided to their prot[eacute]g[eacute] firms and the success this
assistance has had. Although prot[eacute]g[eacute] firms are not
required to submit these reports, the mentor firms will need to obtain
supporting information from the prot[eacute]g[eacute] firms in order to
ascertain the success of the assistance provided.
The rule does not duplicate, overlap, or conflict with any other
Federal rules.
DoD invites comments from small business concerns and other
interested parties on the expected impact of this rule on small
entities.
DoD will also consider comments from small entities concerning the
existing regulations in subparts affected by this rule in accordance
with 5 U.S.C. 610. Interested parties must submit such comments
separately and should cite 5 U.S.C. 610 (DFARS Case 2016-D011), in
correspondence.
VI. Paperwork Reduction Act
The rule contains information collection requirements that require
the approval of the Office of Management and Budget (OMB) under the
Paperwork Reduction Act (44 U.S.C. chapter 35). OMB Control Number
0704-0332, Defense Federal Acquisition Regulation Supplement (DFARS)
Appendix I, is currently in place for the DoD Mentor
Prot[eacute]g[eacute] program. This proposed rule, DFARS Case 2016-
D011, however, requires revision of OMB 0704-0332 to increase the
burden hours to accommodate the increased reporting requirements
resulting from this rule. Accordingly, DoD has submitted a request to
OMB for approval of a revised information collection requirement as
discussed below.
A. Public Reporting Burden for This Collection of Information is
Estimated To Average Three Hours per Response, Including the Time for
Reviewing Instructions, Searching Existing Data Sources, Gathering and
Maintaining the Data Needed, and Completing and Reviewing the
Collection of Information
The annual reporting burden is estimated as follows:
Respondents: 127.
Responses per respondent: 2 approximately.
Total annual responses: 255.
Preparation hours per response: 2 hours.
Total response Burden Hours: 595.
B. Request for Comments Regarding Paperwork Burden
Written comments and recommendations on the proposed information
collection, including suggestions for reducing this burden, should be
sent to Ms. Jasmeet Seehra at the Office of Management and Budget, Desk
Officer for DoD, Room 10236, New Executive Office Building, Washington,
DC 20503, or email Jasmeet_K._Seehra@omb.eop.gov, with a copy to the
Defense Acquisition Regulations System, Attn: Ms. Jennifer Johnson,
OUSD (AT&L) DPAP/DARS, Room 3B941, 3060 Defense Pentagon, Washington,
DC 20301-3060. Comments can be received from 30 to 60 days after the
date of this notice, but comments to OMB will be most useful if
received by OMB within 30 days after the date of this notice.
Public comments are particularly invited on: Whether this
collection of information is necessary for the proper performance of
functions of the DFARS, and will have practical utility; whether our
estimate of the public burden of this collection of information is
accurate, and based on valid assumptions and methodology; ways to
enhance the quality, utility, and clarity of the information to be
collected; and ways in which we can minimize the burden of the
collection of information on those who are to respond, through the use
of appropriate technological collection techniques or other forms of
information technology.
To request more information on this proposed information collection
or to obtain a copy of the proposal and associated collection
instruments, please write to the Defense Acquisition
[[Page 65613]]
Regulations System, Attn: Ms. Jennifer Johnson, OUSD(AT&L)DPAP/DARS,
Room 3B941, 3060 Defense Pentagon, Washington, DC 20301-3060, or email
osd.dfars@mail.mil. Include DFARS Case 2016-D011 in the subject line of
the message.
List of Subjects in 48 CFR Parts 219 and Appendix I to Chapter 2
Government procurement.
Jennifer L. Hawes,
Editor, Defense Acquisition Regulations System.
Therefore, 48 CFR part 219 and appendix I to chapter 2 are proposed
to be amended as follows:
0
1. The authority citation for 48 CFR part 219 and appendix I to chapter
2 continues to read as follows:
Authority: 41 U.S.C. 1303 and 48 CFR chapter 1.
PART 219--SMALL BUSINESS PROGRAMS
219.7100 [Amended]
0
2. Amend section 219.7100 by--
0
a. Removing ``Section 831'' and adding ``section 831'' in its place;
and
0
b. Adding the phrase ``, as amended through November 25, 2015'' to the
end of the first sentence.
0
3. Amend section 219.7102 by--
0
a. Revising paragraph (a);
0
b. Removing paragraph (b); and
0
c. Redesignating paragraphs (c) and (d) as paragraphs (b) and (c),
respectively.
The revision reads as follows:
219.7102 General.
* * * * *
(a) Mentor firms and prot[eacute]g[eacute] firms that meet the
criteria in Appendix I, section I-102.
* * * * *
219.7103-2 [Amended]
0
4. Amend section 219.7103-2, in paragraph (e)(3), by removing
``219.7102(d)(1)(ii)'' and adding ``219.7102(c)(1)(ii)'' in its place.
219.7104 [Amended]
0
5. Amend section 219.7104 by--
0
a. In paragraph (b)--
0
i. Removing ``Advance agreements are encouraged.'';
0
ii. Removing ``before October 1, 2018'' and adding ``not later than
September 30, 2021'' in its place; and
0
b. In paragraph (d), removing ``before October 1, 2018'' and adding
``not later than September 30, 2021'' in its place.
Appendix I to Chapter 2--Policy and Procedures for The DOD Pilot Mentor
Prot[eacute]g[eacute] Program
0
6. Amend appendix I to chapter 2 by--
0
a. In section I-100, revising paragraph (a);
0
b. Removing section I-101.1;
0
c. Redesignating section I-101.2 as section I-101.1;
0
d. Adding new section I-101.2;
0
e. Revising section I-101.4;
0
f. Removing section I-101.5;
0
g. Redesignating section I-101.6 as section I-101.5;
0
h. In the newly redesignated section I-101.5, removing ``Section'' and
adding ``section'' in its place;
0
i. Removing section I-101-7;
0
j. Redesignating section I-101.8 as section I-101.6;
0
k. In section I-102, revising paragraphs (a), (b), (c), and (d);
0
l. Amend section I-103 by--
0
i. In paragraph (a), removing ``September 30, 2015'' and adding
``September 30, 2018'' in its place;
0
ii. In paragraph (b), removing ``September 30, 2018'' and adding
``September 30, 2021'' in its place;
0
m. Amend section I-104 by--
0
i. Revising paragraph (a);
0
ii. In paragraph (c), removing ``as defined in I-101.5'' '
0
iii. In paragraph (d) removing ``I-107(f)'' and adding ``I-106(d)'' in
its place;
0
iv. Revising paragraph (e);
0
n. Amend section I-105 by--
0
i. Revising paragraph (b)(1);
0
ii. In paragraphs (b)(2), (b)(3), (b)(4), (b)(5), (b)(6), removing
``company's'' and ``company'' and adding ``entity's'' and ``entity'',
respectively in each place they appear;
0
iii. Revising paragraph (b)(7);
0
iv. Revising paragraph (c);
0
o. Amend section I-106 by--
0
i. In paragraph (d)(1)(i), removing ``business development, '';
0
ii. In paragraph (d)(1)(iii), adding ``described in I-107(g)'' to the
end of the sentence;
0
iii. In paragraph (d)(2), removing ``Award of subcontracts'' and adding
``Award of subcontracts to the prot[eacute]g[eacute] firm'' in its
place;
0
iv. Removing paragraph (d)(6);
0
v. Redesignating paragraph (d)(7) as (d)(6);
0
p. Amend section I-107 by--
0
i. In the introductory text, removing ``will contain the following
elements:'' and adding ``shall contain--'' in its place;
0
ii. Revising paragraph (b);
0
iii. In paragraph (d), removing ``I-102'' and adding ``I-102(a)'' in
its place;
0
iv. Revising paragraphs (e), (f), and (g);
0
q. Amend section I-109 by--
0
i. Redesignating paragraph (e) as paragraph (f);
0
ii. Adding new paragraph (e);
0
r. Amend section I-110.1, in paragraph (a), by removing ``DoD
Comprehensive Subcontracting Plan Test Program'' and adding ``DoD Test
Program for Negotiation of Comprehensive Small Business Subcontracting
Plans'' in its place; and removing ``entity employing the severely
disabled'' and adding ``entity employing severely disabled
individuals'' in its place;
0
s. Amend section I-112.1 by--
0
i. In the section heading, removing ``SF 294s'' and adding ``Standard
Forms 294'' in its place;
0
ii. In paragraph (b), removing ``SDB'' and adding ``applicable'' in its
place; and removing ``I-101.3 or I-101.5'' and adding ``I-102(b)'' in
its place;
0
t. Revise section I-112.2.
The revisions and additions read as follows:
I-100 Purpose.
(a) This Appendix I to 48 CFR chapter 2 implements the Pilot
Mentor-Prot[eacute]g[eacute] Program (hereafter referred to as the
``Program'') established under section 831 of Public Law 101-510,
the National Defense Authorization Act for Fiscal Year 1991 (10
U.S.C. 2302 note), as amended through November 25, 2015. The purpose
of the Program is to provide incentives to major DoD contractors to
furnish eligible small business concerns with assistance designed
to--
(1) Enhance the capabilities of eligible small business concerns
to perform as subcontractors and suppliers under DoD contracts and
other contracts and subcontracts; and
(2) Increase the participation of such business concerns as
subcontractors and suppliers under DoD contracts, other Federal
Government contracts, and commercial contracts.
* * * * *
I-101.2 Nontraditional defense contractor.
An entity that is not currently performing and has not performed
any contract or subcontract for DoD that is subject to full coverage
under the cost accounting standards prescribed pursuant to 41 U.S.C.
1502 and the regulations implementing such section, for at least the
1-year period preceding the solicitation of sources by DoD for the
procurement or transaction (10 U.S.C. 2302(9)).
* * * * *
I-101.4 Severely disabled individual.
An individual who is blind or severely disabled as defined in 41
U.S.C. 8501.
* * * * *
I-102 Participant eligibility.
(a) To be eligible to participate as a mentor, an entity must--
[[Page 65614]]
(1) Be eligible for the award of Federal contracts;
(2) Demonstrate that it--
(i) Is qualified to provide assistance that will contribute to
the purpose of the Program;
(ii) Is of good financial health and character; and
(iii) Is not on a Federal list of debarred or suspended
contractors; and
(3) Be capable of imparting value to a prot[eacute]g[eacute]
firm because of experience gained as a DoD contractor or through
knowledge of general business operations and Government contracting,
as demonstrated by evidence that such entity--
(i) Received DoD contracts and subcontracts equal to or greater
than $100 million during the previous fiscal year;
(ii) Is an other-than-small business, unless a waiver to the
small business exception has been obtained from the Director, Small
Business Programs (SBP), OUSD(AT&L);
(iii) Is a prime contractor to DoD with an active subcontracting
plan; or
(iv) Has graduated from the 8(a) Business Development Program
and provides documentation of its ability to serve as a mentor.
(b) To be eligible to participate as a prot[eacute]g[eacute], an
entity must be--
(1) A small business concern;
(2) Eligible for the award of Federal contracts;
(3) Less than half the Small Business Administration (SBA) size
standard for its primary North American Industry Classification
System (NAICS) code;
(4) Not owned or managed by individuals or entities that
directly or indirectly have stock options or convertible securities
in the mentor firm; and
(5) At least one of the following:
(i) A qualified HUBZone small business concern.
(ii) A women-owned small business concern.
(iii) A service-disabled veteran-owned small business concern.
(iv) An entity owned and controlled by an Indian tribe.
(v) An entity owned and controlled by a Native Hawaiian
organization.
(vi) An entity owned and controlled by socially and economically
disadvantaged individuals.
(vii) A qualified organization employing severely disabled
individuals.
(viii) A nontraditional defense contractor.
(ix) An entity that currently provides goods or services in the
private sector that are critical to enhancing the capabilities of
the defense supplier base and fulfilling key DoD needs.
(c) Mentor firms may rely in good faith on a written
representation that the entity meets the requirements of paragraph
(b) of this section, except that a mentor firm is required to
confirm a prot[eacute]g[eacute]'s status as a HUBZone small business
concern (see FAR 19.703(d)).
(d) If at any time the SBA (or DoD in the case of entities
employing severely disabled individuals) determines that a
prot[eacute]g[eacute] is ineligible, assistance that the mentor firm
furnishes to the prot[eacute]g[eacute] after the date of the
determination may not be considered assistance furnished under the
Program.
* * * * *
I-104 Selection of prot[eacute]g[eacute] firms.
(a) Mentor firms will be solely responsible for selecting
prot[eacute]g[eacute] firms that qualify under I-102(b). Mentor
firms are encouraged to identify and select concerns that have not
previously received significant prime contract awards from DoD or
any other Federal agency.
* * * * *
(e) A prot[eacute]g[eacute] firm may not be a party to more than
one DoD mentor-prot[eacute]g[eacute] agreement at a time, and may
only participate in the Program during the 5-year period beginning
on the date the prot[eacute]g[eacute] firm enters into its first
mentor-prot[eacute]g[eacute] agreement.
I-105 Mentor approval process.
* * * * *
(b) * * *
(1) A statement that the entity meets the requirements in I-
102(a), specifying the criteria in I-102(a)(3) under which the
entity is applying.
* * * * *
(7) The total dollar amount and percentage of subcontracts that
the entity awarded to firms qualifying under I-102(b)(5)(ii) through
(viii) during the 2 preceding fiscal years. (Show DoD subcontract
awards separately.) If the entity was required to submit a Summary
Subcontract Report (SSR) in the Electronic Subcontracting Reporting
System, the request must include copies of the final reports for the
2 preceding fiscal years.
* * * * *
(c) A template of the mentor application is available at: https://www.acq.osd.mil/osbp/sb/programs/mpp/resources.shtml.
* * * * *
I-107 Elements of a mentor-prot[eacute]g[eacute] agreement.
* * * * *
(b) The NAICS code(s) that represent the contemplated supplies
or services to be provided by the prot[eacute]g[eacute] firm to the
mentor firm and a statement that, at the time the agreement is
submitted for approval, the prot[eacute]g[eacute] firm does not
exceed the size standard in I-102(b)(3);
* * * * *
(e) Assurances that--
(1) The mentor firm does not share, directly or indirectly, with
the prot[eacute]g[eacute] firm ownership or management of the
prot[eacute]g[eacute] firm;
(2) The mentor firm does not have an agreement, at the time the
mentor firm enters into a mentor-prot[eacute]g[eacute] agreement, to
merge with the prot[eacute]g[eacute] firm;
(3) The owners and managers of the mentor firm are not the
parent, child, spouse, sibling, aunt, uncle, niece, nephew,
grandparent, grandchild, or first cousin of an owner or manager of
the prot[eacute]g[eacute] firm;
(4) The mentor firm has not, during the 2-year period before
entering into a mentor-prot[eacute]g[eacute] agreement, employed any
officer, director, principal stock holder, managing member, or key
employee of the prot[eacute]g[eacute] firm;
(5) The mentor firm has not engaged in a joint venture with the
prot[eacute]g[eacute] firm during the 2-year period before entering
into a mentor-prot[eacute]g[eacute] agreement, unless such joint
venture was approved by SBA prior to making any offer on a contract;
(6) The mentor firm is not, directly or indirectly, the primary
party providing contracts to the prot[eacute]g[eacute] firm, as
measured by the dollar value of the contracts; and
(7) The SBA has not made a determination of affiliation or
control;
(f) A preliminary assessment of the developmental needs of the
prot[eacute]g[eacute] firm;
(g) A developmental program for the prot[eacute]g[eacute] firm
including--
(1) The type of assistance the mentor will provide to the
prot[eacute]g[eacute] and how that assistance will--
(i) Increase the prot[eacute]g[eacute]'s ability to participate
in DoD, Federal, and/or commercial contracts and subcontracts; and
(ii) Increase small business subcontracting opportunities in
industry categories where eligible prot[eacute]g[eacute]s or other
small business firms are not dominant in the company's vendor base;
(2) Factors to assess the prot[eacute]g[eacute] firm's
developmental progress under the Program, including specific
milestones for providing each element of the identified assistance;
(3) A description of the quantitative and qualitative benefits
to DoD from the agreement, if applicable; and
(4) Goals for additional awards for which the
prot[eacute]g[eacute] firm can compete outside the Program;
* * * * *
I-109 Reimburseable agreements.
* * * * *
(e) DoD may not reimburse any fee to the mentor firm for
services provided to the prot[eacute]g[eacute] firm pursuant to I-
106(d)(6) or for business development expenses incurred by the
mentor firm under a contract awarded to the mentor firm while
participating in a joint venture with the prot[eacute]g[eacute]
firm.
* * * * *
I-112.2 Program specific reporting requirements.
(a) Mentors must report on the progress made under active
mentor-prot[eacute]g[eacute] agreements semiannually for the periods
ending March 31st and September 30th throughout the Program
participation term of the agreement. The September 30th report must
address the entire fiscal year.
(1) Reports are due 30 days after the close of each reporting
period.
(2) Each report must include the following data on performance
under the mentor-prot[eacute]g[eacute] agreement:
(i) Dollars obligated (for reimbursable agreements).
(ii) Expenditures.
(iii) Dollars credited, if any, toward applicable subcontracting
goals as a result of developmental assistance provided to the
prot[eacute]g[eacute] and a copy of the ISR or SF 294 and/or SSR for
each contract where developmental assistance was credited.
(iv) Any new awards of subcontracts on a competitive or
noncompetitive basis to the prot[eacute]g[eacute] firm under DoD
contracts or other contracts, including the value of such
subcontracts.
[[Page 65615]]
(v) All technical or management assistance provided by mentor
firm personnel for the purposes described in I-106(d).
(vi) Any extensions, increases in the scope of work, or
additional payments not previously reported for prior awards of
subcontracts on a competitive or noncompetitive basis to the
prot[eacute]g[eacute] firm under DoD contracts or other contracts,
including the value of such subcontracts.
(vii) The amount of any payment of progress payments or advance
payments made to the prot[eacute]g[eacute] firm for performance
under any subcontract made under the Program.
(viii) Any loans made by the mentor firm to the
prot[eacute]g[eacute] firm.
(ix) All Federal contracts awarded to the mentor firm and the
prot[eacute]g[eacute] firm as a joint venture, designating whether
the award was a restricted competition or a full and open
competition.
(x) Any assistance obtained by the mentor firm for the
prot[eacute]g[eacute] firm from the entities listed at I-106(d)(6).
(xi) Whether there have been any changes to the terms of the
mentor-prot[eacute]g[eacute] agreement.
(xii) A narrative describing the following:
(A) The success assistance provided under I-106(d) has had in
addressing the developmental needs of the prot[eacute]g[eacute]
firm.
(B) The impact on DoD contracts.
(C) Any problems encountered.
(D) Any milestones achieved in the prot[eacute]g[eacute] firm's
developmental program.
(E) Impact of the agreement in terms of capabilities enhanced,
certifications received, and technology transferred.
(3) In accordance with section 861, paragraph (b)(2), of the
National Defense Authorization Act for Fiscal Year 2016 (Pub. L.
114-92), the reporting requirements specified in paragraphs
(a)(2)(iv) through (a)(2)(xii)(C) of this section apply
retroactively to mentor-prot[eacute]g[eacute] agreements that were
in effect on November 25, 2015. Mentors must submit reports as
described in paragraph (a) of this section.
(4) A recommended reporting format and guidance for its
submission are available at: https://www.acq.osd.mil/osbp/sb/programs/mpp/resources.shtml.
(b) The prot[eacute]g[eacute] must provide data, annually by
October 31st, on the progress made during the prior fiscal year by
the prot[eacute]g[eacute] in employment, revenues, and participation
in DoD contracts during--
(1) Each fiscal year of the Program participation term; and
(2) Each of the 2 fiscal years following the expiration of the
Program participation term.
(c) The prot[eacute]g[eacute] report required by paragraph (b)
of this section may be provided as part of the mentor report for the
period ending September 30th required by paragraph (a) of this
section.
(d) Progress reports must be submitted--
(1) For credit agreements, to the cognizant Component Director,
SBP, that approved the agreement, and the mentor's cognizant DCMA
administrative contracting officer; and
(2) For reimbursable agreements, to the cognizant Component
Director, SBP, the contracting officer, the DCMA administrative
contracting officer, and the program manager.
[FR Doc. 2016-22574 Filed 9-22-16; 8:45 am]
BILLING CODE 5001-06-P
