[Federal Register Volume 78, Number 176 (Wednesday, September 11, 2013)]
[Notices]
[Pages 55719-55722]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-22016]
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DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
[OMB Control No. 9000-0174; Docket 2012-0076; Sequence 64]
Submission for OMB Review; Information Regarding Responsibility
Matters
AGENCY: Department of Defense (DOD), General Services Administration
(GSA), and National Aeronautics and Space Administration (NASA).
ACTION: Notice of request for public comments regarding an extension,
with changes, to an existing OMB information clearance.
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SUMMARY: Under the provisions of the Paperwork Reduction Act, the
Regulatory Secretariat will be submitting to the Office of Management
and Budget (OMB) a request to review and approve an extension of a
previously approved information collection requirement regarding
Information Regarding Responsibility Matters. A notice was published in
the
[[Page 55720]]
Federal Register at 78 FR 18593, on March 27, 2013. One comment was
received.
DATES: Submit comments on or before October 11, 2013.
ADDRESSES: Submit comments identified by Information Collection 9000-
0174, Information Regarding Responsibility Matters, by any of the
following methods:
Regulations.gov: http://www.regulations.gov. Submit
comments via the Federal eRulemaking portal by searching the OMB
control number. Select the link ``Submit a Comment'' that corresponds
with ``Information Collection 9000-0174, Information Regarding
Responsibility Matters''. Follow the instructions provided at the
``Submit a Comment'' screen. Please include your name, company name (if
any), and ``Information Collection 9000-0174, Information Regarding
Responsibility Matters'' on your attached document.
Fax: 202-501-4067.
Mail: General Services Administration, Regulatory
Secretariat (MVCB), 1800 F Street NW., 2nd Floor, Washington, DC 20405-
0001. ATTN: Hada Flowers/IC 9000-0174, Information Regarding
Responsibility Matters.
Instructions: Please submit comments only and cite Information
Collection 9000-0174, Information Regarding Responsibility Matters, in
all correspondence related to this collection. Submit comments
regarding this burden estimate or any other aspect of this collection
of information, including suggestions for reducing this burden to: FAR
Desk Officer, OMB, Room 10102, NEOB, Washington, DC 20503. All comments
received will be posted without change to http://www.regulations.gov,
including any personal and/or business confidential information
provided.
FOR FURTHER INFORMATION CONTACT: Ms. Cecelia L. Davis, Procurement
Analyst, Office of Governmentwide Acquisition Policy, at (202) 219-0202
or [email protected].
SUPPLEMENTARY INFORMATION:
A. Purpose
This information collection is necessary to: (a) Determine the
responsibility of prospective contractors; and (b) ensure that
contractors maintain for accuracy and completeness, their integrity and
performance information upon which responsibility determinations rely.
Section 872 of the Duncan Hunter National Defense Authorization Act
of 2009 (Pub. L. 110-417), enacted on October 14, 2008, required the
development and maintenance of an information system that contains
specific information on the integrity and performance of covered
Federal agency contractors and grantees. The Federal Awardee
Performance and Integrity Information System (FAPIIS) was developed to
address these requirements. FAPIIS provides users access to integrity
and performance information from the FAPIIS reporting module in the
Contractor Performance Assessment Reporting System (CPARS), as well as
proceedings information and suspension/debarment information from the
Central Contractor Registration (CCR) and the Excluded Parties List
System (EPLS) functions in the System for Award Management (SAM).
The provision at FAR 52.209-7 requires that for each solicitation
where the resultant contract value is expected to exceed $500,000, the
offeror responds in paragraph (b) as to whether or not it has active
Federal contracts and grants that total greater than $10,000,000. Only
if the offeror responds affirmatively is there any further FAPIIS-
related information collection requirement.
The clause at FAR 52.209-9 applies to solicitations where the
resultant contract value is expected to exceed $500,000 and to
contracts in which the contractor indicated in paragraph (b) of the
provision at 52.209-7 that it has current active Federal contracts and
grants with total values greater than $10,000,000. Paragraph (a) of the
clause at 52.209-9 requires the contractor to update responsibility
information on a semiannual basis, throughout the life of the contract,
by posting the information in the System for Award Management (SAM).
B. Discussion and Analysis
1. The Analysis of the Public Comment Is Summarized as Follows
a. Necessity of the Information Collection Requirement
Comment: According to the respondent, agencies should be seeking to
create savings by reducing or eliminating such information collection
requirements. However, the respondent did not challenge the propriety
of this underlying information collection requirement.
Response: The provision at FAR 52.209-7 requires that for each
solicitation where the resultant contract value is expected to exceed
$500,000, the offeror responds in paragraph (b) as to whether it has,
or has not, active Federal contracts and grants that total greater than
$10,000,000. Only if the offeror responds affirmatively is there any
further FAPIIS-related information collection requirement. The clause
at FAR 52.209-9 applies to solicitations where the resultant contract
value is expected to exceed $500,000 and to contracts in which the
offeror has indicated in paragraph (b) of the provision at 52.209-7
that it has current active Federal contracts and grants with total
values greater than $10,000,000. Paragraph (a) of the clause at 52.209-
9 requires the contractor to update responsibility information on a
semiannual basis, throughout the life of the contract, by posting the
information in the CCR. These requirements are necessary. There are no
aspects of this requirement that can be reduced or eliminated without
negatively impacting the ability of the Government to assess contractor
responsibility, investigate and address potential criminal actions, and
protect the Government's interests in maintaining the integrity of the
acquisition process.
b. OMB Approval To Extend the Approval of This Information Collection
Requirement.
Comment: The respondent commented that the extension of the
information collection would violate the fundamental purposes of the
Paperwork Reduction Act because the analysis significantly
underestimates the paperwork burden imposed by this requirement and has
therefore not provided sufficient justification for the requested
extension. The respondent further stated that the agency and OMB should
assess the need to extend this information collection requirement in
the context of assessing the total information collection burden. The
respondent further commented that the ``collective burden of
compliance'' required of the Government acquisition community annually
totals over 30 million hours. According to the respondent, the
collective burden greatly exceeds the agency's estimates and outweighs
any potential utility of the extension.
Response: The criteria for extension of an information collection
requirement must be based primarily on the need and use for the
required information. It is essential for contractors to report
responsibility requirements, regardless the number of responses. If the
agencies have determined that the information is essential to protect
the interests of the Government, then the extension should be approved.
c. Accuracy of Data Estimates
Comment: The respondent commented that the agency did not
accurately estimate the public burden,
[[Page 55721]]
challenging that the agency's methodology for calculating the burden is
insufficient and inadequate and does not reflect the total burden. The
respondent stated that--
With regard to the number of unique vendors with contracts
valued over $500,000 and the number of proposals received per
solicitation, FPDS data was used and the respondent considers the
estimate of .1 hours per initial response to be reasonable.
However, the respondent is unclear as to why the Agencies
abandoned this approach when estimating the number of unique vendors
with total current, active Federal contracts and grants with total
values greater than $10,000,000. If actual data is unavailable, the
Agencies are required to do more than just declare, ``It is
estimated.'' The total burden hour estimates for the latter information
collection requirement (506,313 hours) seems reasonable, but as the
agencies have not provided a ``specific, objectively supported estimate
of burden'' or clear explanation of its methodology, the exact burden
estimate is unclear and the allocation is confusing. According to the
notice's text, ``[The Agencies] have used an average burden estimate of
100 hours to enter the company's data into the Web site. This time
estimate also includes the average annual recordkeeping time necessary
per respondent to maintain the company's information internally.''
However, the table then contradicts the text by assigning the 100 hours
to the ``recordkeeping burden'' and then recognizing that entering the
data will also take additional time, especially as the data must be
entered into the new System Awards Management (SAM) system. According
to the respondent, any change within SAM requires at least one hour of
time: Even one update will force the respondent to confirm the accuracy
of every page, i.e. scroll down to the bottom and agree to every
screen.
Response: The respondent found the overall burden estimate to be
reasonable. However, based on Fiscal Year (FY) 2012 data, and in
consultation with subject matter experts, the Councils have increased
the burden hours for the initial input of data into SAM (.5 hours to 1
hour), and separated out the data to be input under the provision
52.209-7 from the subsequent 6-month updates under 52.209-9 and the
required recordkeeping hours. This re-evaluation resulted in a slight
adjustment from the data previously published in the Federal Register
at 78 FR 18593, on March 27, 2013.
The Councils take this process seriously. In this particular
instance, the burden was prepared using the burden hour's method taking
into consideration the time, effort and financial resources put on the
entity submitting the information. This includes reviewing
instructions; using technology to collect, process, and disclose
information; adjusting existing practices to comply with requirements;
searching data sources; completing and reviewing the response; and
transmitting or disclosing information. The estimated hours must also
be viewed as an average between the hours that a simple disclosure by a
very small business might require and the much higher numbers that
might be required for a very complex disclosure by a major corporation.
Also, it must be noted that the burden includes estimated hours only
for those actions which a company would not undertake in the normal
course of business.
d. Timing of Request for Extension
Comment: The respondent noted that this information collection is
soliciting comments during an emergency extension period OMB granted in
March 2013. The respondent reiterated OMB's comment that the agencies
should have in place an internal planning process so that completion of
the public notification and comment period required by 5 CFR 1320
occurs prior to an information collection's expiration date. Regular
order allows the agencies and the public to have a meaningful and on-
the-record dialogue on information collection extensions.
Response: There are over 100 information collection requirements
that require periodic renewal, of which more than half expired in FY
2013. Although ideally it is preferable to complete the renewal process
prior to expiration, an emergency extension may be necessary in order
to allow the public the opportunity for input into the process.
e. The Collective Burden of Compliance
Comment: The respondent objects to the overall collective burden
imposed by the Government on all respondents.
Response: The Councils cannot effectively address the broad
allegations with regard to the accuracy and utility of the entire
collective burden imposed on all Federal acquisitions. The Councils can
only effectively address each individual information collection
requirement that is under consideration for OMB approval. The Councils
constantly review information collection requirements imposed by FAR
regulations for ways to reduce the burdens and still achieve the
objectives of the regulations, whether based on policy or statute.
2. Annual Reporting Burden
This information collection reflects a slight adjustment from what
was published in the Federal Register at 78 FR 18593, on March 27,
2013, for the number of respondents required to comply with the
requirements of FAR 52.209-7 and FAR 52.209-9. This change is primarily
due to a re-evaluation based on consultations with subject matter
experts and updated data retrieved from the Federal Procurement Data
System (FPDS).
For FAR 52.209-7, FY 2012 FPDS indicates that there were 26,327
contract awards. The Government estimates that there was an average of
3 responses per solicitation, resulting in approximately 79,000 offers
(26,327 x 3, rounded). Of the approximate 79,000 offers, the Government
estimates that an average of five responses annually will be received
by 15,800 unique vendors (79,000/5). Consequently, it was determined
that the FY 2012 FPDS data was a sufficient baseline for estimating the
number of respondents. It is therefore estimated that approximately
15,800 respondents, 1,090 of which will not receive an award (15,800 -
14,710), would need to comply with the applicable provision for this
information collection. The Government further estimates that one third
of the unique vendors (5,250) submitting offers may answer the first
question affirmatively, and then will have to enter data into the
FAPIIS.
For FAR 52.209-9, FY 2012 FPDS indicates that there were 26,327
contract awards to 14,710 unique vendors. Approximately one-third
(4,900) of those unique vendors may answer the first question (from FAR
52.209-7) affirmatively. Consequently, it was determined that for FAR
52.209-9, the FY 2012 FPDS data was a sufficient baseline for
estimating the number of respondents per year (4,900) that would need
to comply with FAR 52.209-9.
The estimate number of responses per respondent is based on an
estimated average of the total number of responses for FAR 52.209-7 and
FAR 52.209-9 divided by the estimated number of respondents. In
discussions with subject matter experts, it was determined that an
estimated number of responses per respondent of 5.95 was sufficient for
this information collection.
a. FAR 52.209-7:
(i) Initial Response:
Estimated number of respondents:............................. 15,800
Est. number of responses per respondent per year:............ x 5
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Total annual responses (rounded):............................ 79,000
Estimated hours per response:................................ 0.1
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Total response burden hours:................................. 7,900
[[Page 55722]]
(ii) Additional Response:
Estimated number of respondents:............................. 5,250
Est. number of responses per respondent per year:............ x 1
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Estimated number of responses:............................... 5,250
Estimated hours per response:................................ x 1
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Estimated response burden hours:............................. 5,250
Total response burden hours for FAR 52.209-7:................ 13,150
b. FAR 52.209-9:
Estimated number of respondents:............................. 4,900
Est. number of responses per respondent per year:............ x 2
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Total annual responses (rounded):............................ 9,800
Estimated hours per response:................................ 0.5
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Total response burden hours for FAR 52.209-9:................ 4,900
c. Total (a. + b.):
Total number of respondents:................................. 15,800
Responses per respondent:.................................... x 5.95
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Total responses:............................................. 94,050
Hours per response:.......................................... .19
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Total response burden hours:................................. 18,050
3. Annual Recordkeeping Burden
Number of recordkeepers:..................................... 5,250
Hours per recordkeeper:...................................... x 100
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Total recordkeeping burden hours:............................ 525,000
C. Public Comments
Public comments are particularly invited on: Whether this
collection of information is necessary for the proper performance of
functions of the FAR, and whether it 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.
Obtaining Copies of Proposals: Requesters may obtain a copy of the
information collection documents from the General Services
Administration, Regulatory Secretariat (MVCB), 1800 F Street NW., 2nd
Floor, Washington, DC 20405-0001, telephone (202) 501-4755. Please cite
OMB Control No. 9000-0174, Information Regarding Responsibility
Matters, in all correspondence.
Dated: September 5, 2013.
Karlos Morgan,
Acting Director, Federal Acquisition Policy Division, Office of
Governmentwide Acquisition Policy, Office of Acquisition Policy, Office
of Governmentwide Policy.
[FR Doc. 2013-22016 Filed 9-10-13; 8:45 am]
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