1.0 THE FAA MENTOR-PROTEGE PROGRAM

1.1 SCOPE

1.2 DEFINITIONS

1. SOCIALLY, AND ECONOMICALLY DISADVANTAGED BUSINESSES (SEDB), as used in the Mentor-Protege Program, means small business concerns owned and controlled by socially and economically disadvantaged individuals as defined by the Acquisition Management System (AMS).
2. HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) means institutions determined by the U.S. Secretary of Education to meet the requirements of 34 CFR 608.2 and listed therein.
3. MINORITY EDUCATIONAL INSTITUTIONS (MI) means institutions verified by the U.S. Secretary of Education to meet the criteria set forth in 34 CFR 637.4. MIs include Hispanic-serving institutions as defined by 20 USC 1059c(b)(1).
4. WOMEN-OWNED SMALL BUSINESSES (WO), as used in the Mentor-Protege Program, means a small business where ownership and controlling interest (at least 51%) in the company is held by a women.
5. HIGH-TECH: As used herein , means research and/or development efforts that are within or advances the state-of-the-art in technology discipline and are performed primarily by professional engineering, scientists, and highly skilled and trained technicians or specialists.
6. SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESS (SDVSB) is a small business concern that is 51% owned and controlled by a service disabled veteran(s).

1.3 NON-AFFILIATION

1.4 GENERAL POLICY

1. Eligible large businesses (not included on the "Debarred" list) approved as mentor firms will enter into agreements with eligible entities as defined in Section 1.2 as protege. Mentors will provide appropriate developmental assistance to enhance the capabilities of protege to perform as prime contractors and/or subcontractors. Eligible small business prime contractors (not included on the "Debarred" list) and that are capable of providing developmental assistance may be approved as mentors. Protege may participate in the program in pursuit of a prime contract or as subcontractors under the mentor`s prime contract with the FAA.
2. Eligible mentor firms, which have received approval by FAA to participate in the program pursuant to Section 1.10 may enter into agreements with protege firms.
3. Mentor-Protege activity will be available to any type of contract deemed appropriate by the FAA.

1.5 INCENTIVES FOR MENTOR PARTICIPATION

1. Mentors may receive additional evaluation points (for Mentor-Protege Program participation) toward the award of contracts during the evaluation of competitive offers.
2. Mentors may receive credit toward attaining subcontracting goals contained in their FAA subcontracting plan(s) for Mentor-Protege participation.
3. Costs incurred by a mentor to provide developmental assistance (i.e., technical or managerial) described in Section 1.12 are allowable as indirect costs (appropriate documentation shall be provided) unless the contract contains a line item specifically for the Mentor-Protege Program. A ceiling on allowable developmental costs shall be established at time of contract award.
4. Procurements may be set-aside exclusively for competition among firms that are participants in the FAA Mentor-Protege Program.

1.6 MEASUREMENT OF PROGRAM SUCCESS

1. An increase in the quality of the technical capabilities of the protege firm.
2. An increase in the number, dollar value and percentage of subcontracts awarded to proteges by mentor firms under FAA contracts since the date of entry into the program.
3. An increase in the number and dollar value of contract and subcontract awards to protege firms since the time of their entry into the program (under FAA contracts, contracts awarded by other Federal agencies and under commercial contracts);
4. An increase in the number and dollar value of subcontracts awarded to a protege firm by its mentor firm under other agency contracts;
5. An increase in subcontracting with protege firms in industry categories where they have not traditionally participated within the mentor firm`s activity.

1.7 MENTOR FIRMS

1. Large or small firms eligible for receipt of federal contracts may apply.
2. Mentors will be encouraged to identify and select:
• A broad base of firms including HBCU, MI, SEDB, SDVSB and WO small businesses that are high-tech, aviation oriented entities whose core competencies support the FAA`s mission to provide a safe, secure, and efficient global aerospace system that contributes to national security; and
• proteges in addition to firms with whom they have established business relationships.
3. The following firms are currently participating under FAA`s Mentor-Protege program as mentors:

1.8 PROTEGE FIRMS

1. For selection as a protege, a firm must be:
• Eligible as defined in Section 1.2(a), (b), (c), (d) or (e);
• Certified as small in the North American Industry Classification System (NAICS) code for the services or supplies to be provided by the protege under its prime contract or subcontract; and
• Eligible for receipt of government contracts.
2. A protege firm may declare to a mentor firm that it meets the requirements set forth in paragraph (a) of this section. Mentor firms may rely in good faith on written business declarations (See Appendix D in the AMS) by potential proteges as evidence of eligibility to participate.
3. Proteges may have multiple mentors. Proteges participating in Mentor-Protege programs in addition to the FAA program should maintain a system for preparing separate reports of mentoring activity for each agency`s program.

1.9 SELECTION OF PROTEGE FIRMS

1. Mentor firms will be solely responsible for selecting protege firms. The mentor is encouraged to identify and select the types of protege firms listed in Section 1.7 (b).
2. Mentors may have multiple proteges. However, the FAA reserves the right to limit the total number of proteges participating under the Mentor-Protege Program for each mentor firm.
3. The selection of protege firms by mentor firms may not be protested, except as in paragraph (d) of this section.
4. Any dispute regarding the size or eligibility status of an entity selected by a mentor to be a protege shall be referred solely to the FAA`s Small Business Development Office (SBDO), AJA-8 for resolution.

1.10 APPLICATION AND AGREEMENT PROCESS FOR MENTOR FIRMS TO PARTICIPATE IN THE PROGRAM

1. Firms interested in becoming an approved mentor participant must submit a corporate capabilities statement and a letter to the FAA SBDO requesting approval to participate in the Mentor-Protege Program. Subsequently, the approved mentor firm must submit a written Mentor Protege Agreement to the SBDO when solicited by the FAA. The Mentor-Protege Agreement will be evaluated on the extent to which the company plans to provide developmental assistance. The information required in Section 1.10 (b) and (c) must be submitted, original and two copies, to be considered for approval of the Mentor-Protege Agreement.
2. A proposed mentor must submit the following information to the FAA SBDO:
• The number of proposed Mentor-Protege arrangements;
• Data on total number of dollars of subcontracts awarded under FAA prime contracts within the past 2 years and the number and dollar value of such subcontracts awarded to entities defined as proteges;
• Information on the proposed types of developmental assistance and estimated costs associated with the proposed assistance. For each proposed Mentor-Protege relationship include information on the company`s ability to provide developmental assistance to the identified protege firm and how that assistance will potentially increase contracting and subcontracting opportunities for the protege firm, including contracting and subcontracting opportunities in industry categories where these entities are not dominant in the company`s current business base.
3. The Mentor-Protege agreement must contain:

   • Name and address of mentor and protege firm(s) and a point of contact within both firms who will oversee the agreement;
   • Procedures for the mentor firm to notify the protege firm, SBDO, and the contracting officer, in writing, at least 30 days in advance of the mentor firm`s intent to voluntarily withdraw from the program;
   • Procedures for a protege firm to notify the mentor firm in writing at least 30 days in advance of the protege firm`s intent to voluntarily terminate the Mentor-Protege agreement. The mentor shall notify the SBDO and the contracting officer immediately upon receipt of such notice from the protege;
   • A description of the type of developmental program that will be provided by the mentor firm to the protege firm, to include a description of the subcontract work, and a schedule for providing assistance and criteria for evaluation of the protege’s developmental success;
   • A listing of the number and types of subcontracts to be awarded to the protege firm;
   • Program participation term;
   • Termination procedures;
   • Plan for accomplishing work should the agreement be terminated; and
   • Other terms and conditions, as appropriate

1.11 FAA REVIEW AND APPROVAL OF Mentor-Protege APPLICATION AND AGREEMENT

1. The information specified in Section 1.10 is reviewed by FAA Team (SBDO, the responsible Integrated Product Team (IPT)/Product Team (PT)). The review will be completed no later than 30 days after receipt by the FAA Team. FAA SBDO will provide a copy of the submitted information to the cognizant FAA IPT/PT for a parallel review and concurrence.
2. Upon agreement approval, the mentor may implement the developmental assistance program.
3. An approved agreement will be incorporated into the mentor or protege firm`s contract or memorandum of understanding with the FAA. It should be added to the subcontracting plan in contracts which contain such a plan.
4. If the application is disapproved the mentor may provide additional information for reconsideration. The review of any supplemental material will be completed within 30 days after receipt by the SBDO. Upon finding deficiencies that the FAA considers correctable, the SBDO will notify the mentor and request information to be provided within 30 days that may correct the deficiencies.

1.12 DEVELOPMENTAL ASSISTANCE

1.13 OBLIGATION

1. Mentor or protege firms may voluntarily withdraw from the program as mutually agreed by both the mentor and protege firms. However, in no event shall such withdrawal impact the program mission and contract requirements under the prime contract.
2. Mentor and protege firms shall submit a "lessons learned" evaluation to the FAA SBDO at the conclusion of their effort

1.14 INTERNAL CONTROLS

1. The FAA SBDO in conjunction with the IPT/PT will manage the program. Internal controls will be established by FAA SBDO to achieve the stated program objectives (by serving as checks and balances against undesired actions or consequences) such as:
• Reviewing and evaluating mentor applications for realism, validity, and accuracy of provided information;
• Reviewing semi-annual progress reports submitted by mentors and proteges on protege development to measure protege progress against the master plan contained in the approved agreement; and
• Site visits where Mentor-Protege activity is on-going.
2. FAA may terminate Mentor-Protege agreements if FAA determines that such actions are in the FAA`s best interest. These actions shall be approved by the FAA Team. FAA will terminate an agreement or exclude a particular entity by sending a written notice to the affected party specifying the action being taken and the effective date of that action. Termination of an agreement does not constitute a termination of the subcontract between the mentor and the protege. A plan for accomplishing the subcontract effort should the agreement terminate shall be submitted with the agreement in accordance with Section 1.10(c).

1.15 REPORTS

1. Semi-annual reports shall be submitted by the mentor to the FAA Mentor-Protege Program Manager, FAA SBDO.
2. Proteges shall submit semi-annual reports, to the FAA SBDO, on program progress as it pertains to their Mentor-Protege agreement.
3. The FAA SBDO will submit semi-annual reports to the cognizant contracting officer regarding participating prime contractor`s performance in the program.

1.16 PROGRAM REVIEW

1.17 SOLICITATION PROVISION AND CONTRACT GUIDANCE

1. The contracting officer should insert Clause 3.6.1-9 FAA Mentor-Protege Program, in all screening information requests and contracts with subcontracting plans or in the case of small business set-asides exceeding $550,000 ($1,000,000 for construction) that offer subcontracting opportunities.
2. The contracting officer should insert Clause 3.6.1-10, Evaluation of Contractor Participation in the Mentor-Protege Program, in all solicitations containing Clause 3.6.1-9, FAA Mentor-Protege Program and 3.6.1-4 Small, Small Disadvantaged and Women-Owned Small Business Subcontracting Plan.
3. The contracting officer shall insert Clause 3.6.1-11, Mentor Requirements and Evaluation, in contracts where the prime contractor is a participant in the FAA Mentor-Protege Program.

3.6.1-9 FAA MENTOR-PROTEGE PROGRAM

FAA Mentor-Protege Program

3.6.1-10 EVALUATION OF CONTRACTOR PARTICIPATION IN THE FAA MENTOR-PROTEGE PROGRAM

3.6.1-11 MENTOR REQUIREMENTS AND EVALUATION

Insert the following provision:

1. The purpose of the FAA Mentor-Protege Program is for FAA Mentors to provide developmental assistance to qualifying proteges. Eligible proteges include Historically Black Colleges and Universities, Minority Institutions, Service-Disabled Veteran-Owned Small Businesses, Small Socially and Economically Disadvantaged Business concerns including women-owned small businesses, as those terms are defined herein.
2. FAA will evaluate the contractor`s performance through the Performance Evaluation process. The evaluation will consider the following:
• Specific actions taken by the contractor, during the evaluation period, to increase the participation of proteges as suppliers to the Federal Government;
• Specific actions taken by the contractor, during the evaluation period, to develop the technical and corporate administrative expertise of a protege as defined in the agreement;
• To what extent the protege has met the developmental objectives in the agreement; and
To what extent the mentor firm`s participation in the Mentor-Protege Program resulted in the protege receiving competitive contract(s) and subcontract(s) from private firms and agencies other than the FAA.
3. Semi-annual reports shall be submitted by the mentor to the FAA Mentor-Protege Program Manager (FAA SBDO) to include information as outlined.
4. The mentor shall notify the SBDO and the Integrated Product Team/Product Team, in writing, at least 30 days in advance of the mentor firm`s intent to voluntarily withdraw from the program or upon receipt of a protege’s notice to withdraw from the Program.
5. Mentor and protege firms shall submit a "lessons learned" evaluation to the FAA`s SBDO at the conclusion of their effort. At the conclusion of each year in the Mentor-Protege program, the prime contractor and protege, as appropriate, will formally brief the FAA Mentor-Protege Program Manager, the technical program manager, and the contracting officer during the formal program review regarding program accomplishments as pertains to the approved agreement.