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)).
The Federal Procurement Data System 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.
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:
(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;
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.
Form SF-1404 Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-2 thru -4
9000-0011, Supporting Statement (110713) rev.doc
Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408) FAR Sections Affected 9.106-2 thru -4