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)

Page Range		78594-78595
FR Document		2016-26948

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 Issue 216 (Tuesday, November 8, 2016)

[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.

-----------------------------------------------------------------------

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

78594 Federal Register / Vol. 81, No. 216 / Tuesday, November 8, 2016 / Notices

DEPARTMENT OF DEFENSE information provided. To confirm $150,000 simplified acquisition
receipt of your comment(s), please threshold (SAT) or will involve the
GENERAL SERVICES check www.regulations.gov, acquisition of commercial items (see
ADMINISTRATION approximately two to three days after Part 12); the contracting officer should
submission to verify posting (except not request a preaward survey unless
NATIONAL AERONAUTICS AND allow 30 days for posting of comments circumstances justify its cost.
SPACE ADMINISTRATION submitted by mail). Using parameters identified above a
[OMB Control No. 9000–0011; Docket 2016– FOR FURTHER INFORMATION CONTACT: Ms. Federal Procurement Data System
0053; Sequence 35] Cecelia L. Davis, Procurement Analyst, (FPDS) ad hoc report was completed
Office of Governmentwide Acquisition identifying that in Fiscal Year (FY) 2015
Information Collection; Preaward Policy, GSA, 202–219–0202 or email an estimated total of 24,791 contracts
Survey Forms (Standard Forms 1403, cecelia.davis@gsa.gov. were awarded Governmentwide that
1404, 1405, 1406, 1407, and 1408) were over the SAT, and for which
SUPPLEMENTARY INFORMATION:
commercial acquisition procedures were
AGENCY: Department of Defense (DOD), A. Purpose not used. Of that number, it is estimated
General Services Administration (GSA), that preaward surveys were completed
and National Aeronautics and Space To protect the Government’s interest
and to ensure timely delivery of items for 15 percent, or 3,719 of the 24,791
Administration (NASA). contracts that were awarded. Of the six
of the requisite quality, contracting
ACTION: Notice of request for comments Standard Forms (1403, 1404, 1405,
officers, prior to award, must make an
regarding an extension to an existing 1406, 1407, and 1408), we estimated
affirmative determination that the
OMB clearance. that Standard Form 1403 is used most
prospective contractor is responsible,
i.e., capable of performing the contract. frequently because it is a general form
SUMMARY: Under the provisions of the and accounts for 30 percent or 1,116
Paperwork Reduction Act, the Before making such a determination, the
contracting officer must have in his times, Standard Forms 1404 and 1407
Regulatory Secretariat Division will be account for 15 percent or 558 times,
submitting to the Office of Management possession or must obtain information
sufficient to satisfy himself that the Standard Form 1408 accounts for 20
and Budget (OMB) a request to review percent or 744 times, and Standard
and approve an extension of a prospective contractor: (i) Has adequate
financial resources, or the ability to Forms 1405 and 1406 account 10
previously approved information percent or 372 times.
collection requirement concerning obtain such resources; (ii) is able to
comply with required delivery After consultation with subject matter
preaward survey forms (Standard Forms experts, it was determined that the time
1403, 1404, 1405, 1406, 1407, and schedule; (iii) has a satisfactory record
of performance; (iv) has a satisfactory required to prepare and complete the
1408). Standard Forms is estimated at 24 hours
record of integrity; and (v) is otherwise
DATES: Submit comments on or before qualified and eligible to receive an per response. Because preaward survey
January 9, 2017. award under appropriate laws and data is generally used for multiple
ADDRESSES: Submit comments regulations. If such information is not in contracts awarded within a 12 month
identified by Information Collection the contracting officer’s possession, it is period, it is estimated that only one (1)
9000–0011, Preaward Survey Forms, obtained through a preaward survey response would be reported annually
(Standard Forms 1403, 1404, 1405, conducted by the contract per respondent per form.
1406, 1407, and 1408) by any of the administration office responsible for the Standard Form 1403—Preaward Survey
following methods: plant and/or the geographic area in of Prospective Contractor (General)
• Regulations.gov: http:// which the plant is located. The
www.regulations.gov. Submit comments Respondents: 1,116.
necessary data is collected by contract Responses Annually: 1.
via the Federal eRulemaking portal by administration personnel from available
searching the OMB control number. Total Responses: 1,116.
data or through plant visits, phone calls, Hours per Response: 24.
Follow the instructions provided at the and correspondence. This data is Total Burden Hours: 26,784.
‘‘Submit a Comment’’ screen. Please entered on Standard Forms 1403, 1404,
include your name, company name (if 1405, 1406, 1407, and 1408 in detail Standard Form 1404—Preaward Survey
any), and ‘‘Information Collection 9000– commensurate with the dollar value and of Prospective Contractor Technical
0011, Preaward Survey Forms, complexity of the procurement. These Respondents: 558.
(Standard Forms 1403, 1404, 1405, standard forms are not cumulative. The Responses Annually: 1.
1406, 1407, and 1408)’’ on your attached surveying activity completes only the Total Responses: 558.
document. applicable standard form(s) necessary to Hours per Response: 24.
• Mail: General Services determine contractor responsibility in Total Burden Hours: 13,392.
Administration, Regulatory Secretariat each case.
Division (MVCB), 1800 F Street NW., Standard Form 1405—Preaward Survey
Washington, DC 20405. ATTN: Ms. B. Annual Reporting Burden of Prospective Contractor Production
Flowers/IC 9000–0011. There are no Governmentwide Respondents: 372.
Instructions: Please submit comments systems for collecting the number of Responses Annually: 1.
only and cite Information Collection preaward surveys completed in a fiscal Total Responses: 372.
9000–0011, Preaward Survey Forms, year as preaward surveys are only
mstockstill on DSK3G9T082PROD with NOTICES

Hours per Response: 24.
(Standard Forms 1403, 1404, 1405, required in limited circumstances where Total Burden Hours: 8,928.
1406, 1407, and 1408), in all information for the prospective
correspondence related to this contractor cannot be obtained by the Standard Form 1406—Preaward Survey
collection. Comments received generally contracting officer to make an of Prospective Contractor Quality
will be posted without change to http:// affirmative statement of responsibility. Assurance
www.regulations.gov, including any Further, if the contemplated contract Respondents: 372.
personal and/or business confidential will have a fixed price at or below the Responses Annually: 1.

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Federal Register / Vol. 81, No. 216 / Tuesday, November 8, 2016 / Notices 78595

Total Responses: 372. DEPARTMENT OF DEFENSE will be posted without change to http://
Hours per Response: 24. www.regulations.gov, including any
GENERAL SERVICES personal and/or business confidential
Total Burden Hours: 8,928. ADMINISTRATION information provided. To confirm
Standard Form 1407—Preaward Survey receipt of your comment(s), please
of Prospective Contractor Financial NATIONAL AERONAUTICS AND check www.regulations.gov,
SPACE ADMINISTRATION approximately two to three days after
Capability
[OMB Control No. 9000–0182]; Docket No. submission to verify posting (except
Respondents: 558. 2016–0053; Sequence 32] allow 30 days for posting of comments
Responses Annually: 1. submitted by mail).
Submission for OMB Review; Privacy FOR FURTHER INFORMATION CONTACT: Mr.
Total Responses: 558. Training Charles Gray, Procurement Analyst,
Hours per Response: 24. Office of Governmentwide Acquisition
AGENCY: Department of Defense (DOD),
Total Burden Hours: 13,392. General Services Administration (GSA), Policy, at telephone 703–795–6328 or
and National Aeronautics and Space via email to charles.gray@gsa.gov.
Standard Form 1408—Preaward Survey
Administration (NASA). SUPPLEMENTARY INFORMATION:
of Prospective Contractor Accounting
ACTION: Notice of request for comments A. Purpose
System
regarding a new OMB clearance.
Respondents: 744. The Privacy Act of 1974, (5 U.S.C.
SUMMARY: Under the provisions of the 552a) prescribes fair information
Responses Annually: 1. Paperwork Reduction Act, the practices for the collection,
Total Responses: 744. Regulatory Secretariat Division will be maintenance, use, and dissemination of
Hours per Response: 24. submitting to the Office of Management personal information by Federal
and Budget (OMB) a request for agencies. Consistent with the provisions
Total Burden Hours: 17,856. approval of an information collection of the Privacy Act of 1974, OMB
C. Public Comments requirement regarding privacy training. Circular A–130, ‘‘Managing Information
A notice was published in the Federal as a Strategic Resource,’’ and other OMB
Public comments are particularly Register at 76 FR 63896 on October 14, memoranda, this rule specifically
invited on: Whether this collection of 2011, as part of a proposed rule under addresses the recordkeeping and
information is necessary for the proper FAR Case 2010–013. Two public reporting associated with FAR clause
performance of functions of the Federal comments were received on the 52.224–XX, ‘‘Privacy Training.’’ The
Acquisition Regulations (FAR), and information collection. clause is used in solicitations and
whether it will have practical utility; DATES: Submit comments on or before contracts whenever contract
whether our estimate of the public December 8, 2016. performance requires the employees of
burden of this collection of information ADDRESSES: Submit comments regarding the contractor (or the employees of
is accurate, and based on valid this burden estimate or any other aspect subcontractors) to have access to
assumptions and methodology; ways to of this collection of information, personally identifiable information (PII),
enhance the quality, utility, and clarity including suggestions for reducing this including access to a system of records
of the information to be collected; and burden to: Office of Information and on individuals or entails the design,
ways in which we can minimize the Regulatory Affairs of OMB, Attention: development, maintenance, or the
Desk Officer for GSA, Room 10236, operation of a system of records on
burden of the collection of information
NEOB, Washington, DC 20503. individuals. The recordkeeping effort
on those who are to respond, through
Additionally submit a copy to GSA by involves maintenance of training
the use of appropriate technological completion documentation by
any of the following methods:
collection techniques or other forms of • Regulations.gov: http:// contractors; the reporting covers
information technology. www.regulations.gov. Submit comments submission of the training completion
Obtaining Copies of Proposals: via the Federal eRulemaking portal by documentation to the contracting officer
Requesters may obtain a copy of the searching the OMB control number upon request. It is anticipated that the
information collection documents from 9000–0182. Select the link ‘‘Comment Government would request this
the General Services Administration, Now’’ that corresponds with documentation only rarely.
Regulatory Secretariat Division (MVCB), ‘‘Information Collection 9000–0182, B. Discussion and Analysis
1800 F Street NW., Washington, DC Privacy Training’’. Follow the
20405, telephone 202–501–4755. Please instructions provided on the screen. DoD, GSA, and NASA provided
cite OMB Control Number 9000–0011, Please include your name, company notification of the applicability of the
Preaward Survey Forms (Standard name (if any), and ‘‘Information Paperwork Reduction Act and requested
Forms 1403, 1404, 1405, 1406, 1407, Collection 9000–0182, Privacy approval for a new information
Training’’ on your attached document. collection requirement as part of FAR
and 1408), in all correspondence.
• Mail: General Services Case 2010–013, published at 76 FR
Dated: November 3, 2016. Administration, Regulatory Secretariat 63896, on October 14, 2011. Two
Lorin S. Curit, Division (MVCB), 1800 F Street NW., respondents commented on the annual
Washington, DC 20405. ATTN: Ms. burden estimate.
mstockstill on DSK3G9T082PROD with NOTICES

Director, Federal Acquisition Policy Division,
Office of Government-wide Acquisition Flowers/IC 9000–0182, Privacy Comment: The respondents stated
Policy, Office of Acquisition Policy, Office Training. that the annual burden estimate with
of Government-wide Policy. Instructions: Please submit comments respect to the public’s Paperwork
[FR Doc. 2016–26948 Filed 11–7–16; 8:45 am] only and cite Information Collection Reduction Act reporting burden was
BILLING CODE 6820–EP–P
9000–0182, Privacy Training, in all understated. The respondents believed
correspondence related to this that (a) requiring contractors to conduct
collection. Comments received generally their own privacy training and (b)

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Document Created: 2018-02-14 08:23:55
Document Modified: 2018-02-14 08:23:55

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of request for comments regarding an extension to an existing OMB clearance.
Dates		Submit comments on or before January 9, 2017.
Contact		Ms. Cecelia L. Davis, Procurement Analyst, Office of Governmentwide Acquisition Policy, GSA, 202-219-0202 or email [email protected]
FR Citation		81 FR 78594

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

DEPARTMENT OF DEFENSEGENERAL SERVICES ADMINISTRATIONNATIONAL AERONAUTICS AND SPACE ADMINISTRATION

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

DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION