Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-1, 9.105-1, 9.106-1 thru 9.106-4

Forms and Documents

Document Name	Status
Form SF 1403 Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-1, 9.105-1, 9.106-1 thru 9.106-4 Form	Modified
9000-0011 Supporting Statement 4.25.2017.doc Supporting Statement A	2017-05-10

IC Document Collections

IC ID	Document Title	Status
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-1, 9.105-1, 9.106-1 thru 9.106-4 Form	Modified

ICR Details

OMB Control No: 9000-0011	ICR Reference No: 201705-9000-001
Status: Active	Previous ICR Reference No: 201210-9000-003
Agency/Subagency: FAR	Agency Tracking No:
Title: Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-1, 9.105-1, 9.106-1 thru 9.106-4
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/15/2017
	Date Received in OIRA: 05/10/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2020	36 Months From Approved	07/31/2017
Responses	3,720	0	1,771
Time Burden (Hours)	89,280	0	42,504
Cost Burden (Dollars)	4,106,880	0	0

---

Abstract: To protect the Government's interest and to ensure timely delivery of supplies 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 or surveying activity responsible for the plant and/or the geographic area in which the plant is located. The necessary data is collected by the contract administration office or a cognizant surveying activity from available data or through plant visits, phone calls, and correspondence and entered on Standard Forms 1403, 1404, 1405, 1406, 1407, and 1408 in detail commensurate with the dollar value and complexity of the procurement. In accordance with Federal Acquisition Regulation (FAR) 9.106-1, Conditions for preaward surveys, preaward surveys are normally required only when the information on hand or readily available to the contracting officer, including information from commercial sources is not sufficient to make a determination regarding responsibility. Preaward surveys are discouraged for fixed priced contracts at or below the simplified acquisition threshold, and contracts involving the acquisition of commercial items, unless circumstances justify the survey's cost. In addition, if a prospective contractor is debarred, suspended, or ineligible, surveying activities shall not proceed with the preaward survey unless specifically requested to do so by the contracting officer (FAR 9.106-1(c)).

---

Authorizing Statute(s): None

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 78594	11/08/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 21544	05/09/2017
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-1, 9.105-1, 9.106-1 thru 9.106-4	SF 1403, SF 1408, SF 1406, SF 1404, SF 1405, SF 1407	Preaward Survey of Prospective Contractor (General) ,   Preaward Survey of Prospective Contractor (Technical) ,   Preawrd Survey of Prospective Contractor Production ,   Preaward Survey of Prospective Contractor Quality Assurance ,   Preaward Survey of Prospective Contractor Financial Capability ,   Preaward Survey of Prospective Contractor Accounting System

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	3,720	1,771	0	1,949	0	0
Annual Time Burden (Hours)	89,280	42,504	0	46,776	0	0
Annual Cost Burden (Dollars)	4,106,880	0	0	4,106,880	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Federal Procurement Data System for FY 2015 showed a total of 24,791 contracts awarded Governmentwide that were over the $150,000 simplified acquisition threshold, and for which commercial acquisition procedures were not used. Preaward surveys would only be needed if the firm had not previously been a Government contractor. The estimate for preaward surveys is 15% of the total or 3,719. There is a very small increase in the burden from the last extension due to a slight increase in the total awarded contracts.

---

Annual Cost to Federal Government: $7,104,760

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/10/2017

---