81 FR 78594 - Information Collection; Preaward Survey Forms (Standard Forms 1403, 1404, 1405, 1406, 1407, and 1408)

DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

Federal Register Volume 81, Issue 216 (November 8, 2016)

Under the provisions of the Paperwork Reduction Act, the Regulatory Secretariat Division 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).

[Federal Register Volume 81, Number 216 (Tuesday, November 8, 2016)]
[Notices]
[Pages 78594-78595]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-26948]



[[Page 78594]]

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DEPARTMENT OF DEFENSE

GENERAL SERVICES ADMINISTRATION

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

[OMB Control No. 9000-0011; Docket 2016-0053; Sequence 35]


Information Collection; 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 to an 
existing OMB clearance.

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SUMMARY: Under the provisions of the Paperwork Reduction Act, the 
Regulatory Secretariat Division 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).

DATES: Submit comments on or before January 9, 2017.

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.
     Mail: General Services Administration, Regulatory 
Secretariat Division (MVCB), 1800 F Street NW., Washington, DC 20405. 
ATTN: Ms. 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. Comments received generally will be posted without 
change to http://www.regulations.gov, including any personal and/or 
business confidential information provided. To confirm receipt of your 
comment(s), please check www.regulations.gov, approximately two to 
three days after submission to verify posting (except allow 30 days for 
posting of comments submitted by mail).

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 interest 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 possession or must obtain information sufficient to satisfy 
himself that the prospective contractor: (i) Has adequate financial 
resources, or the ability to obtain such resources; (ii) is able to 
comply with 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. Annual Reporting Burden

    There are no Governmentwide systems for collecting the number of 
preaward surveys completed in a fiscal year as preaward surveys are 
only required in limited circumstances where information for the 
prospective contractor cannot be obtained by the contracting officer to 
make an affirmative statement of responsibility. Further, if the 
contemplated contract will have a fixed price at or below the $150,000 
simplified acquisition threshold (SAT) or will involve the acquisition 
of commercial items (see Part 12); the contracting officer should not 
request a preaward survey unless circumstances justify its cost.
    Using parameters identified above a Federal Procurement Data System 
(FPDS) ad hoc report was completed identifying that in Fiscal Year (FY) 
2015 an estimated total of 24,791 contracts were awarded Governmentwide 
that were over the SAT, and for which commercial acquisition procedures 
were not used. Of that number, it is estimated that preaward surveys 
were completed for 15 percent, or 3,719 of the 24,791 contracts that 
were awarded. 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 1,116 
times, Standard Forms 1404 and 1407 account for 15 percent or 558 
times, Standard Form 1408 accounts for 20 percent or 744 times, and 
Standard Forms 1405 and 1406 account 10 percent or 372 times.
    After consultation with subject matter experts, it was determined 
that the time required to prepare and complete the Standard Forms is 
estimated at 24 hours per response. Because preaward survey data is 
generally used for multiple contracts awarded within a 12 month period, 
it is estimated that only one (1) response would be reported annually 
per respondent per form.

Standard Form 1403--Preaward Survey of Prospective Contractor (General)

    Respondents: 1,116.
    Responses Annually: 1.
    Total Responses: 1,116.
    Hours per Response: 24.
    Total Burden Hours: 26,784.

Standard Form 1404--Preaward Survey of Prospective Contractor Technical

    Respondents: 558.
    Responses Annually: 1.
    Total Responses: 558.
    Hours per Response: 24.
    Total Burden Hours: 13,392.

Standard Form 1405--Preaward Survey of Prospective Contractor 
Production

    Respondents: 372.
    Responses Annually: 1.
    Total Responses: 372.
    Hours per Response: 24.
    Total Burden Hours: 8,928.

Standard Form 1406--Preaward Survey of Prospective Contractor Quality 
Assurance

    Respondents: 372.
    Responses Annually: 1.

[[Page 78595]]

    Total Responses: 372.
    Hours per Response: 24.
    Total Burden Hours: 8,928.

Standard Form 1407--Preaward Survey of Prospective Contractor Financial 
Capability

    Respondents: 558.
    Responses Annually: 1.
    Total Responses: 558.
    Hours per Response: 24.
    Total Burden Hours: 13,392.

Standard Form 1408--Preaward Survey of Prospective Contractor 
Accounting System

    Respondents: 744.
    Responses Annually: 1.
    Total Responses: 744.
    Hours per Response: 24.
    Total Burden Hours: 17,856.

C. 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 Division (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.

    Dated: November 3, 2016.
Lorin S. Curit,
Director, Federal Acquisition Policy Division, Office of Government-
wide Acquisition Policy, Office of Acquisition Policy, Office of 
Government-wide Policy.
[FR Doc. 2016-26948 Filed 11-7-16; 8:45 am]
 BILLING CODE 6820-EP-P