[Federal Register Volume 78, Number 222 (Monday, November 18, 2013)]
[Notices]
[Pages 69086-69088]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-27450]
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DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
[OMB Control No. 9000-0011: Docket 2010-0083; Sequence 22]
Federal Acquisition Regulation; Submission for OMB Review;
Preaward Survey Forms (Standard Forms 1403, 1404, 1405, 1406, 1407, and
1408)
AGENCY: Department of Defense (DOD), General Services Administration
(GSA), and National Aeronautics and Space Administration (NASA).
ACTION: Notice of request for comments regarding an extension, with
changes, to an existing OMB 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 concerning
preaward survey forms (Standard Forms 1403, 1404, 1405, 1406, 1407, and
1408). A notice was published in the Federal Register at 78 FR 38341,
on June 26, 2013. One comment was received.
DATES: Submit comments on or before December 18, 2013.
ADDRESSES: Submit comments identified by Information Collection 9000-
0011, Preaward Survey Forms, (Standard Forms 1403, 1404, 1405, 1406,
1407, and 1408) 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. Follow the instructions provided at the ``Submit a
Comment'' screen. Please include your name, company name (if any), and
``Information Collection 9000-0011, Preaward Survey Forms, (Standard
Forms 1403, 1404, 1405, 1406, 1407, and 1408)'' on your attached
document.
[[Page 69087]]
Fax: 202-501-4067.
Mail: General Services Administration, Regulatory
Secretariat (MVCB), 1800 F Street NW., Washington, DC 20405. ATTN: Hada
Flowers/IC 9000-0011.
Instructions: Please submit comments only and cite Information
Collection 9000-0011, Preaward Survey Forms, (Standard Forms 1403,
1404, 1405, 1406, 1407, and 1408), in all correspondence related to
this collection. 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, GSA, 202-219-0202
or email [email protected].
SUPPLEMENTARY INFORMATION:
A. Purpose
To protect the Government's interests and to ensure timely delivery
of items of the requisite quality, contracting officers, prior to
award, must make an affirmative determination that the prospective
contractor is responsible, i.e., capable of performing the contract.
Before making such a determination, the contracting officer must have
in his or her possession or must obtain information sufficient to be
satisfied that the prospective contractor: (i) Has adequate financial
resources, or the ability to obtain such resources; (ii) is able to
comply with the required delivery schedule; (iii) has a satisfactory
record of performance; (iv) has a satisfactory record of integrity; and
(v) is otherwise qualified and eligible to receive an award under
appropriate laws and regulations. If such information is not in the
contracting officer's possession, it is obtained through a preaward
survey conducted by the contract administration office responsible for
the plant and/or the geographic area in which the plant is located. The
necessary data is collected by contract administration personnel from
available data or through plant visits, phone calls, and
correspondence. This data is entered on Standard Forms 1403, 1404,
1405, 1406, 1407, and 1408 in detail commensurate with the dollar value
and complexity of the procurement. These standard forms are not
cumulative. The surveying activity completes only the applicable
standard form(s) necessary to determine contractor responsibility in
each case.
B. Discussion and Analysis
The analysis of the public comments is summarized as follows:
1. 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: FAR 9.106-1 requires that preaward surveys be completed
only when the information on hand or readily available to the
contracting officer, including information from sources other than the
offeror, is not sufficient to make a determination regarding
responsibility. While not all of these requirements are necessary in
all cases, some are required regularly, thus preventing their reduction
or elimination without negatively impacting the ability of the
Government to assess contractor responsibility and protect the
Government's interests in maintaining the integrity of the acquisition
process.
2. 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
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.
3. Accuracy of data estimates.
Comment: The respondent questioned the estimated number of
respondents (3,540), and how the estimated number of respondents was
derived. In addition, the respondent apparently understood the renewal
request to say that ``preaward surveys are never justified under this
information collection.'' Further, the respondent asked that ``OMB
insist that the Agencies provide the actual number of responses
received annually.''
Response: The respondent's comment that the information collection
renewal request stated that preaward surveys are never justified
fundamentally misunderstood the submission. While the conduct of a
preaward survey is unnecessary unless other information sources are
inadequate for a determination of the firm's responsibility in
accordance with the requirements of FAR subpart 9.1, when a preaward
survey is conducted, it is the Government that bears the burden of the
effort. The Government's work in conducting a preaward survey is not
the subject of this information collection, so it is not addressed in
the supporting documents. That does not mean, however, that there is no
such effort or that there are no preaward surveys. The information
collection is focused solely on the time that a firm's employees must
take to complete one or more of the forms at issue.
With regard to the estimate of 3,540 respondents, that number was
clearly stated to be an estimate, not an actual number. We are unable
to provide an actual number, because that information is not available
through the Federal Procurement Data System (FPDS), nor is it collected
in any single location.
However, the basis used for the estimate has been reconsidered due
to the comment. Initially, we estimated that 30 percent of the
contracts awarded in Fiscal Year 2012 (according to FPDS statistics)
that were over the simplified acquisition threshold and that did not
use FAR part 12 commercial acquisition procedures had a preaward survey
conducted and therefore required the firm to complete at least one of
the standard forms included in the information collection request. Upon
reconsideration, it became obvious that a preaward survey would only be
needed if the firm had not previously been a Government contractor. The
revised estimate is that only 15 percent of such awards are first-time
Government contract awards. This reduces the basis of the estimate from
3,540 contracts to 1,771 contracts.
4. 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
[[Page 69088]]
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: 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.
5. 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.
C. Annual Reporting Burden
A preaward survey would be needed only if the firm had not
previously been a Government contractor and therefore had no record of
past performance. The data from FPDS for FY 2012 showed a total of
11,805 contracts awarded Governmentwide that were over the $150,000
simplified acquisition threshold, and for which commercial acquisition
procedures were not used. Initially, we estimated that preaward surveys
were completed for 30 percent of the total or 3,540. After
reconsideration, it became obvious that a preaward survey would only be
needed if the firm had not previously been a Government contractor. The
revised estimate is that only 15 percent of awards will potentially
require a preaward survey. The estimate is reduced from 3,540 contracts
to 1,771 contracts. Of the six Standard Forms (1403, 1404, 1405, 1406,
1407, and 1408), we estimated that Standard Form 1403 is used most
frequently because it is a general form and accounts for 30 percent or
531 times, Standard Forms 1404 and 1407 account for 15 percent or 266
times, Standard Form 1408 accounts for 20 percent or 354 times, and
Standard Forms 1405 and 1406 account 10 percent or 177 times.
Standard Form 1403--Preaward Survey of Prospective Contractor (General)
Respondents: 531.
Responses Annually: 1.
Total Responses: 531.
Hours per Response: 24.
Total Burden Hours: 12,744.
Standard Form 1404--Preaward Survey of Prospective Contractor Technical
Respondents: 266.
Responses Annually: 1.
Total Responses: 266.
Hours per Response: 24.
Total Burden Hours: 6,384.
Standard Form 1405--Preaward Survey of Prospective Contractor
Production
Respondents: 177.
Responses Annually: 1.
Total Responses: 177.
Hours per Response: 24.
Total Burden Hours: 4,248.
Standard Form 1406--Preaward Survey of Prospective Contractor Quality
Assurance
Respondents: 177.
Responses Annually: 1.
Total Responses: 177.
Hours per Response: 24.
Total Burden Hours: 4,248.
Standard Form 1407--Preaward Survey of Prospective Contractor Financial
Capability
Respondents: 266.
Responses Annually: 1.
Total Responses: 266.
Hours per Response: 24.
Total Burden Hours: 6,384.
Standard Form 1408--Preaward Survey of Prospective Contractor
Accounting System
Respondents: 354.
Responses Annually: 1.
Total Responses: 354.
Hours per Response: 24.
Total Burden Hours: 8,496.
D. Public Comments
Public comments are particularly invited on: Whether this
collection of information is necessary for the proper performance of
functions of the Federal Acquisition Regulations (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.,
Washington, DC 20405, telephone 202-501-4755.
Please cite OMB Control Number 9000-0011, Preaward Survey Forms
(Standard Forms 1403, 1404, 1405, 1406, 1407, and 1408), in all
correspondence.
Karlos Morgan,
Acting Director, Federal Acquisition Policy Division, Office of
Government-wide Acquisition Policy, Office of Acquisition Policy,
Office of Government-wide Policy.
[FR Doc. 2013-27450 Filed 11-15-13; 8:45 am]
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