[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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