Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SF1408 Pre-Award Survey of Prospective Contractor - Accounting System	Form	Modified	Available
Form SF1407 Pre-Award Survey of Prospective Contractor - Financial Capability	Form	Modified	Available
Form SF1406 Pre-Award Survey of Prospective Contractor - Quality Assurance	Form	Modified	Available
Form SF1405 Pre-Award Survey of Prospective Contractor - Production	Form	Modified	Available
Form SF1404 Pre-Award Survey of Prospective Contractor - Technical	Form	Modified	Available
Form SF1403 Pre-Award Survey of Prospective Contractor - General	Form	Modified	Available
Form SF1403 Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Repair queued
9000-0011 PRA Supporting Statement Part A 08.22.2023.docx	Supporting Statement A	Uploaded 2023-08-28	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - Accounting System
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - Financial Capability
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - Quality Assurance
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - Production
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - Technical
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified	Pre-Award Survey of Prospective Contractor - General
36397	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	Form	Modified

ICR Details

OMB Control No: 9000-0011	ICR Reference No: 202308-9000-003
Status: Active	Previous ICR Reference No: 202011-9000-002
Agency/Subagency: FAR	Agency Tracking No:
Title: Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/17/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/28/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2026	36 Months From Approved	01/31/2024
Responses	168	0	107
Time Burden (Hours)	4,032	0	2,568
Cost Burden (Dollars)	270,144	0	146,376

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Abstract: 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 or obtain sufficient information to establish 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 readily available to the contracting officer, it is obtained through a preaward survey conducted by the contract administration office or another organization designated by the agency to conduct the surveys. The necessary data is collected from available data or through plant visits, phone calls, and correspondence in detail commensurate with the dollar value and complexity of the procurement. This clearance covers the information that prospective contractors must provide to ensure proper completion of the following preaward survey forms prescribed by the FAR: ● SF 1403 Preaward Survey of Prospective Contractor (General) ● SF 1404 Preaward Survey of Prospective Contractor (Technical) ● SF 1405 Preaward Survey of Prospective Contractor (Production) ● SF 1406 Preaward Survey of Prospective Contractor (Quality Assurance) ● SF 1407 Preaward Survey of Prospective Contractor (Financial Capability) ● SF 1408 Preaward Survey of Prospective Contractor (Accounting System)

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 39849	06/20/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 58277	08/25/2023
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)	SF1406, SF1407, SF1405, SF1408, SF1403, SF1404	Pre-Award Survey of Prospective Contractor - General ,   Pre-Award Survey of Prospective Contractor - Technical ,   Pre-Award Survey of Prospective Contractor - Production ,   Pre-Award Survey of Prospective Contractor - Quality Assurance ,   Pre-Award Survey of Prospective Contractor - Financial Capability ,   Pre-Award Survey of Prospective Contractor - Accounting System

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ICR Summary of Burden

table that charts list 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	168	107	0	61	0	0
Annual Time Burden (Hours)	4,032	2,568	0	1,464	0	0
Annual Cost Burden (Dollars)	270,144	146,376	0	123,768	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: There are no program changes. The FAR requirements remain the same. This extension includes adjustments to the public and Government burden estimates based on the following: ● The estimated number of respondents and responses per year is based on the historical average of FPDS data for the three most recent fiscal years (2020 through 2022) for the General Services Administration. ● The estimated cost per hour is based on use of the calendar year 2023 OPM GS wage rate for the rest of the United States.

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Annual Cost to Federal Government: $540,288

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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Common Form ICR:  Yes

Description/Changes for Common Form Usage: 

Approved RCFs using this ICR

table that charts list of RCF

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
DOT/OST	202405-2105-001CF	PreAward Survey Forms (Standard Forms 1403, 1404, 1405, 1406,1407, and 1408)	Active	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)
AID	202310-0412-001CF	Preaward Survey Forms (Standard Forms 1403, 1404, 1405, 1406, 1407, and 1408)	Active	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)
VA	202310-2900-002CF	Preaward Survey Forms (Standard Forms 1403, 1404, 1405, 1406, 1407, and 1408)	Active	Preaward Survey Forms (SFs 1403, 1404, 1405, 1406, 1407, and 1408)

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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: 08/28/2023

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