81 FR 70697 - Information Collection Request Sent to the Office of Management and Budget (OMB) for Approval; National Park Service Concessions

DEPARTMENT OF THE INTERIOR
National Park Service

Federal Register Volume 81, Issue 198 (October 13, 2016)

We (National Park Service, NPS) have sent an Information Collection Request (ICR) to OMB for review and approval. We summarize the ICR below and describe the nature of the collection and the estimated burden and cost. This information collection is scheduled to expire on November 30, 2016. We may not conduct or sponsor and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. However, under OMB regulations, we may continue to conduct or sponsor this information collection while it is pending at OMB.

[Federal Register Volume 81, Number 198 (Thursday, October 13, 2016)]
[Notices]
[Pages 70697-70700]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-24751]


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DEPARTMENT OF THE INTERIOR

National Park Service

[NPS-WASO-BSD-CONC-22120; PPWOBSADC0, PPMVSCS1Y.Y00000 (177)]


Information Collection Request Sent to the Office of Management 
and Budget (OMB) for Approval; National Park Service Concessions

AGENCY: National Park Service, Interior.

ACTION: Notice; request for comments.

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SUMMARY: We (National Park Service, NPS) have sent an Information 
Collection Request (ICR) to OMB for review and approval. We summarize 
the ICR below and describe the nature of the collection and the 
estimated burden and cost. This information collection is scheduled to 
expire on November 30, 2016. We may not conduct or sponsor and a person 
is not required to respond to a collection of information unless it 
displays a currently valid OMB control number. However, under OMB 
regulations, we may continue to conduct or sponsor this information 
collection while it is pending at OMB.

DATES: You must submit comments on or before November 14, 2016.

ADDRESSES: Send your comments and suggestions on this information 
collection to the Desk Officer for the Department of the Interior at 
OMB-OIRA at (202) 395-5806 (fax) or [email protected] 
(email). Please provide a copy of your comments to Madonna L. Baucum, 
Information Collection Clearance Officer, National Park Service, 12201 
Sunrise Valley Drive, Mail Stop 242, Reston, VA 20192; or 
[email protected] (email). Please include ``1024-0029'' in the 
subject line of your comments. You may review the ICR online at http://www.reginfo.gov. Follow the instructions to review Department of the 
Interior collections under review by OMB.

FOR FURTHER INFORMATION CONTACT: To request additional information 
about this ICR, contact Brian P. Borda, Chief, Commercial Services 
Program, National Park Service, 1201 I Street NW., Washington, DC 20005 
(mail), (202) 513-7156 (phone), or [email protected] (email).

SUPPLEMENTARY INFORMATION: 

I. Abstract

    Private businesses under contract to the National Park Service (we, 
NPS) manage food, lodging, tours, whitewater rafting, boating, and many 
other recreational activities and amenities in more than 100 national 
parks. These services gross more than $1 billion every year and provide 
jobs for more than 25,000 people during peak season.
    The regulations at 36 CFR part 51 primarily implement Title IV of 
the National Parks Omnibus Management Act of 1998 (54 U.S.C., Sec.  
101911 et seq., also referred to as Pub. L. 105-391), which provides 
legislative authority, policies, and requirements for the solicitation, 
award, and administration of NPS concession contracts.
    Furthermore, 54 U.S.C., Sec.  101911 et seq. provides that ``all 
proposed concession contracts shall be awarded by the Secretary to the 
person, corporation or other entity submitting the best proposal, as 
determined by the Secretary through a competitive

[[Page 70698]]

selection process. Such competitive process shall include simplified 
procedures for small, individually-owned, concessions contracts.''
    We collect the following information associated with the 
administration of concessions:
     Description of how respondent will conduct operations to 
minimize disturbance to wildlife; protect park resources; and provide 
visitors with a high quality, safe, and enjoyable visitor experience.
     Organizational structure and history and experience with 
similar operations.
     Details on violations or infractions and how they were 
handled.
     Financial information and demonstration that respondent 
has credible, proven track record of meeting obligations.
Concessioner Annual Financial Report (Forms 10-356, 10-356A, and 10-
356B)
    The Concessioner Annual Financial Report provides concessioner 
financial information as required by each concession contract. This 
information is necessary to comply with the requirements placed on the 
Secretary of the Interior by Congress. Title IV, Section 407 of the 
National Parks Omnibus Management Act of 1998 (Pub. L. 105-391) 
requires that ``a concessions contract shall provide for payment to the 
Government of a franchise fee or other such monetary consideration as 
determined by the Secretary, upon consideration of the probable value 
to the concessioner of the privileges granted by the particular 
contract involved. Such probable value shall be based upon a reasonable 
opportunity for net profit in relation to capital invested and the 
obligations of the contract.'' 36 CFR part 51, subpart I requires that 
concession contracts ``provide for payment to the Government of a 
franchise fee or other monetary consideration as determined by the 
Director upon consideration of the probable value to the concessioner 
of the privileges granted by the contract involved.'' In order to 
verify the accuracy of the report and payments of franchise fees, 
concessioners with gross receipts of over $1 million are required to 
have financial statements audited by an independent certified public 
accountant and have them express an opinion on the financial 
statements. Concessioners with gross receipts between $500,000 and $1 
million must have a review opinion by an independent accountant, a 
lesser requirement and burden.
    Form 10-356, ``Concessioner Annual Financial Report'', is an 
accumulation of various financial statements commonly used by industry 
for reporting in conformance with generally accepted accounting 
principles. The information provides a comprehensive view of the 
concessioner's financial situation at the end of its fiscal year and 
the concessioner's activity over the preceding year. Careful analysis 
provides an effective tool in the decision making process and for the 
tracking of concessioner and Government contractual obligations for 
payments and maintenance and construction requirements. The financial 
information being collected is necessary to provide insight into and 
knowledge of the concessioner's operation so that this authority can be 
exercised and franchise fees can be determined in a timely manner and 
without an undue burden on the concessioner. We collect the following 
information:
     Cover sheet provides identifying information and the 
concessioner's certification as to the accuracy of the accompanying 
report.
     Schedule A is an income statement summarizing the 
financial activity (gross receipts, expenses, and net income) of the 
period being reported on.
     Schedule A-1 is a worksheet for calculating the 
comprehensive income.
     Schedule B is a worksheet for calculating the franchise 
fee.
     Schedule C is a balance sheet comparing the sources 
(liabilities and equity) with the uses (assets) of the capital of the 
company at the end of the fiscal year.
     Schedule D is a detail of the fixed assets reported on the 
balance sheet with a special listing of possessory interest or 
leasehold improvement assets (potential obligations of the Government).
     Schedule E is a statement of cash flows.
     Schedule F is space reserved for explanatory notes to the 
report.
     Schedule G is a breakdown of gross receipts by major 
departments.
     Schedule H is a detail of departmental income and 
expenses.
     Schedule I is a detail of general and administrative 
expenses.
     Schedule J lists ownership and compensation to officers 
and owners.
     Schedule K details the additions and disposals of fixed 
assets during the year.
     Schedule L is a supporting schedule for any amounts that 
need further explanation or detail.
     Schedule M contains various operational statistics 
commonplace for the major services provided in parks.
     Schedule P provides an accounting for those concessioners 
who have a contractual repair and maintenance reserve requirement.
     Schedule Q lists the projects from that reserve.
    Form 10-356A, ``Concessioner Annual Financial Report (For 
Concessioners with Gross Receipts Less than $500,000)''--In an attempt 
to reduce administrative burden, concessioners with gross receipts 
under $500,000 submit only a shorter report (Form 10-356A). This 
``short form'' is a simplified income statement, balance sheet, and 
operation statistics. Concessioners with gross receipts under $250,000 
do not have to submit the balance sheet.
    Form 10-356B, ``Concessioner Annual Financial Report (For 
Concessioners with Special Accounts and Utility Add-ons)''--A limited 
number of concessioners have special accounts in lieu of franchise fees 
or rate add-ons to offset high costs for unique operations. To reduce 
administrative burden, additional schedules for reporting on these 
unique contract inclusions are provided in a separate form. The 
additional schedules include:
     Schedule N provides an accounting for those concessioners 
who have Special Accounts.
     Schedule O lists expenditures from Special Accounts.
     Schedule R provides an accounting for those concessioners 
who have approved rate add-ons.
Proposals for Concession Opportunities
    The public solicitation process begins with the issuance of a 
prospectus to invite the general public to submit proposals for the 
contract. The prospectus describes the terms and conditions of the 
concession contract to be awarded, the procedures to be followed in the 
selection of the best proposal, and the information that must be 
provided.
    We collect the following information from every offeror.
     Offeror's Transmittal Letter. This letter identifies the 
name of the entity offering a proposal to operate a concession contract 
and that entity's contact information.
     Certificate of Business Entity Offeror. This form 
identifies the type of entity for the offeror, such as corporation, 
Limited Liability Company, partnership, etc.
     Business Organization Information Form for Corporation, 
Limited Liability Company, Partnership or Joint Venture. This
     Business Organization Information Form for Individual or 
Sole Proprietorship. This

[[Page 70699]]

     Business History Information Form. We request information 
about the offeror's business history to understand any adverse history 
that could impact future operations under a concession contract.
     Credit Report. We request offerors submit a credit report 
so that we can understand the offeror's credit history and any risks of 
contracting with the entity.
    In addition to this standard information, we also collect 
additional information in narrative and form format. The amount of 
information or degree of detail requested varies widely, depending upon 
the size and scope of the business opportunity. For example, a much 
greater amount of detailed information would be required for a multi-
unit lodging and food service operation (such as that at Yellowstone), 
than would be required for a small firewood sales operation. This 
additional information includes the following which coincide with the 
five principal selection factors:
     Proposals to protect, conserve and preserve resources of 
the park. These proposals respond to specific resource management 
objectives and issues at the park and contract in question.
     Proposals to provide necessary and appropriate visitor 
services at reasonable rates. These proposals respond to specific 
visitor service questions at the park and contract in question.
     The experience and related background of the offeror, 
including past performance and expertise of the offeror in providing 
the same or similar visitor services as those to be provided under the 
draft concession contract.
     The financial capability of the offeror to carry out its 
proposal. In particular, we ask for projected financials including 
initial investments, startup expenses, income statement, operating 
assumptions, cash flow statement, recapture of investments, and all 
associated assumptions.
     The amount of the proposed minimum franchise fee and other 
forms of financial consideration.
    We use all of the information provided to objectively evaluate 
offers received for a particular business opportunity, assure that the 
park resources will be adequately protected, and determine which 
offeror will provide the best service to visitors.
Amendments
    In accordance with 36 CFR 51.15, an offeror may not amend or 
supplement a proposal after the submission date unless requested by the 
Director to do so and the Director provides all offerors that submitted 
proposals a similar opportunity to amend or supplement their proposals. 
Permitted amendments must be limited to modifying particular aspects of 
proposals resulting from a general failure of offerors to understand 
particular requirements of a prospectus or a general failure of 
offerors to submit particular information required by a prospectus.
    In accordance with 36 CFR 51.32, if the Director determines that a 
proposal other than the responsive proposal submitted by a preferred 
offeror is the best proposal submitted for a qualified concession 
contract, then the Director must advise the preferred offeror of the 
better terms and conditions of the best proposal and permit the 
preferred offeror to amend its proposal to match them. An amended 
proposal must match the better terms and conditions of the best 
proposal. If the preferred offeror amends the proposal within the time 
period allowed, and the Director determines that the amended proposal 
matches the better terms and conditions of the best proposal, then the 
Director must select the preferred offeror for award of the contract.
Appeals
    Regulations at 36 CFR 51.47 state that any person may appeal to the 
Director, a determination that a concessioner is not a preferred 
offeror for the purposes of a right of preference in renewal and that 
the appeal must specify the grounds for the appeal. If the appellant 
does not identify the specific grounds on which it objects to the 
Director's initial preferred offeror determination, the Director could 
make a final determination without fully understanding the appellant's 
concerns or without taking into consideration important information the 
appellant may wish to submit in support of its position.
Request To Construct a Capital Improvement
    In accordance with 36 CFR 51.54, a request for approval to 
construct a capital improvement must include appropriate plans and 
specifications for the capital improvement. The request must also 
include an estimate of the total construction cost of the capital 
improvement. The estimate of the total construction cost must specify 
all elements of the cost in such detail as is necessary to permit the 
Director, NPS to determine that they are elements of construction cost. 
The approval requirements of this and other sections of 36 CFR part 51 
also apply to any change orders to a capital improvement project and to 
any additions to a structure or replacement of fixtures.
Construction Report
    In accordance with 36 CFR 51.55, a concessioner obtaining a 
leasehold surrender interest must submit a construction report to the 
NPS. The construction report must be supported by actual invoices of 
the capital improvement's construction cost together with, if requested 
by the NPS, a written certification from a certified public accountant 
(CPA). The construction report must document, and any requested 
certification by the certified public accountant must certify, that all 
components of the construction cost were incurred and capitalized by 
the concessioner in accordance with Generally Accepted Accounting 
Principles (GAAP), and that all components are eligible direct or 
indirect construction costs. Invoices for additional construction costs 
of elements of the project that were not completed as of the date of 
substantial completion may subsequently be submitted to the Director 
for inclusion in the project's construction cost.
Application To Sell or Transfer Concession Operation
    36 CFR part 51, subpart J, provides that a concessioner must obtain 
NPS approval to assign, sell, convey, grant, contract for, or otherwise 
transfer: Any concession contract; any rights to operate under or 
manage the performance of a concession contract as a subconcessioner or 
otherwise; any controlling interest in a concessioner or concession 
contract; or any leasehold surrender interest or possessory interest 
obtained under a concession contract. The amount and type of 
information to be submitted varies with the type and complexity of the 
proposed transaction. Information includes, but is not limited to:
     Instruments proposed to implement the transaction.
     Narrative description of the proposed transaction.
     Opinion of counsel that the proposed transaction is lawful 
under all applicable Federal and State laws.
     Statement as to the existence and nature of any litigation 
relating to the proposed transaction.
     Description of the management qualifications, financial 
background, and financing and operational plans of any proposed 
transferee.
     Description of all financial aspects of the proposed 
transaction.
     Prospective financial statements (proformas).

[[Page 70700]]

     Schedule that allocates in detail the purchase price (or, 
in the case of a transaction other than an asset purchase, the 
valuation) of all assets assigned or encumbered. In addition, the 
applicant must provide a description of the basis for all allocations 
and ownership of all assets.
Recordkeeping
    In accordance with 36 CFR 51.98, a concessioner (and any 
subconcessioner) must keep and make available to NPS, records for the 
term of the concession contract and for 5 years after the termination 
or expiration of the concession contract.

II. Data

    OMB Control Number: 1024-0029.
    Title: National Park Service Concessions, 36 CFR 51.
    Service Form Numbers: NPS Forms 10-356, 10-356A, 10-356B, 10-357A, 
10-357B, 10-358, 10-359A, and 10-359B.
    Type of Request: Revision of a currently approved collection.
    Description of Respondents: Individuals, businesses, and nonprofit 
organizations.
    Respondent's Obligation: Required to obtain or retain a benefit.
    Frequency of Collection: On occasion for proposals, amendments, and 
appeals; annually for financial reports; and ongoing for recordkeeping.
    Estimated Nonhour Cost Burden: $425,000.

----------------------------------------------------------------------------------------------------------------
                                                 Total annual                                      Total annual
                   Activity                        responses      Completion time per response     burden hours
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Concessioner Annual Financial Report
  Form 10-356, ``Concessioner Annual Financial             150  15 hours........................           2,250
   Report''.
  Form 10-356A, ``Concessioner Annual                      350  4 hours.........................           1,400
   Financial Report (For Concessioners with
   Gross Receipts Less than $500,000)''.
  Form 10-356B, ``Concessioner Annual                       30  2 hours.........................              60
   Financial Report (For Concessioners with
   Special Accounts and Utility Add-ons)''.
Proposals for Concession Opportunities
  Large Concession............................              30  240 hours.......................           7,200
  Small Concession............................              60  80 hours........................           4,800
Amendments....................................               1  1 hour..........................               1
Appeals.......................................               1  30 minutes......................               1
Request To Construct a Capital Improvement
  Large Projects..............................              31  16 hours........................             496
  Small Projects..............................              89  8 hours.........................             712
Construction Report
  Large Project...............................              31  56 hours........................           1,736
  Small Project...............................              89  24 hours........................           2,136
Application To Sell or Transfer a Concession                20  80 hours........................           1,600
 Operation.
Recordkeeping
  Large Concessions...........................             150  800 hours.......................         120,000
  Small Concessions...........................             350  50 hours........................          17,500
                                               -----------------------------------------------------------------
    Totals....................................           1,382  ................................         159,892
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III. Comments

    On November 10, 2015, we published in the Federal Register (80 FR 
69695) a Notice of our intent to request that OMB approve the 
collection of information associated with soliciting, awarding, and 
administering NPS concessions. We solicited comments for 60 days ending 
on January 11, 2016. We received one comment in response to the Notice:
    Comment: A current concessioner commented that it is time consuming 
and expensive to have the Annual Financial Report reviewed by an 
accountant and then sent back to the concessioner before being 
submitted. The commenter recommended providing an upfront form that the 
accountant could fill out and submit without extra steps.
    NPS Response: We have historically provided the electronic forms on 
our Web site, and continue to do so. Some concessioners that work with 
accountants have their accountants submit the forms directly to the 
NPS, as the commenter suggested. This will continue to be allowed, so 
we will not take any action. In addition, in conjunction with updates 
to the forms, we are proposing to simplify the submission process by 
allowing concessioners or their accountants to email the electronic AFR 
form as an attachment.
    We again invite comments concerning this information collection on:
     Whether or not the collection of information is necessary, 
including whether or not the information will have practical utility;
     The accuracy of our estimate of the burden for this 
collection of information;
     Ways to enhance the quality, utility, and clarity of the 
information to be collected; and
     Ways to minimize the burden of the collection of 
information on respondents.
    Comments that you submit in response to this notice are a matter of 
public record. Before including your address, phone number, email 
address, or other personal identifying information in your comment, you 
should be aware that your entire comment, including your personal 
identifying information, may be made publicly available at any time. 
While you can ask OMB in your comment to withhold your personal 
identifying information from public review, we cannot guarantee that it 
will be done.

    Dated: October 7, 2016.
Madonna L. Baucum,
Information Collection Clearance Officer, National Park Service.
[FR Doc. 2016-24751 Filed 10-12-16; 8:45 am]
 BILLING CODE 4310-EH-P