Submission for OMB Review; Information Regarding Responsibility Matters, 55719-55722 [2013-22016]
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The proposed order contains
provisions designed to prevent
TRENDnet from engaging in the future
in practices similar to those alleged in
the complaint.
Part I of the proposed order prohibits
TRENDnet from misrepresenting (1) the
extent to which TRENDnet or its
products or services maintain and
protect the security of covered device
functionality or the security, privacy,
confidentiality, or integrity of any
covered information; and (2) the extent
to which a consumer can control the
security of any covered information
input into, stored on, captured with,
accessed, or transmitted by a covered
device.
Part II of the proposed order requires
TRENDnet to establish and implement,
and thereafter maintain, a
comprehensive security program to (1)
address security risks that could result
in unauthorized access to or use of the
functions of covered devices, and (2)
protect the security, confidentiality, and
integrity of covered information,
whether collected by respondent or
input into, stored on, captured with,
accessed or transmitted through a
covered device. The security program
must contain administrative, technical,
and physical safeguards appropriate to
TRENDnet’s size and complexity, nature
and scope of its activities, and the
sensitivity of the information collected
from or about consumers. Specifically,
the proposed order requires TRENDnet
to:
(1) Designate an employee or
employees to coordinate and be
accountable for the security program;
(2) identify material internal and
external risks to the security of covered
devices that could result in
unauthorized access to or use of covered
device functionality, and assess the
sufficiency of any safeguards in place to
control these risks;
(3) identify material internal and
external risks to the security,
confidentiality, and integrity of covered
information that could result in the
unauthorized disclosure, misuse, loss,
alteration, destruction, or other
compromise of such information,
whether such information is in
TRENDnet’s possession or is input into,
stored on, captured with, accessed, or
transmitted through a covered device,
and assess the sufficiency of any
safeguards in place to control these
risks;
(4) consider risks in each area of
relevant operation, including but not
limited to (a) employee training and
management; (b) product design,
development and research; (c) secure
software design, development, and
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testing; and (d) review, assessment, and
response to third-party security
vulnerability reports;
(5) design and implement reasonable
safeguards to control the risks identified
through risk assessments, including but
not limited to reasonable and
appropriate software security testing
techniques, such as: (a) Vulnerability
and penetration testing; (b) security
architecture reviews; (c) code reviews;
and (d) other reasonable and
appropriate assessments, audits,
reviews, or other tests to identify
potential security failures and verify
that access to covered information is
restricted consistent with a user’s
security settings;
(6) regularly test or monitor the
effectiveness of the safeguards’ key
controls, systems, and procedures;
(7) develop and use reasonable steps
to select and retain service providers
capable of maintaining security
practices consistent with the order, and
require service providers by contract to
establish and implement, and thereafter
maintain, appropriate safeguards; and
(8) evaluate and adjust its information
security program in light of the results
of testing and monitoring, any material
changes to TRENDnet’s operations or
business arrangement, or any other
circumstances that it knows or has
reason to know may have a material
impact on its security program.
Part III of the proposed order requires
TRENDnet to obtain, within the first one
hundred eighty (180) days after service
of the order and on a biennial basis
thereafter for a period of twenty (20)
years, an assessment and report from a
qualified, objective, independent thirdparty professional, certifying, among
other things, that: (1) It has in place a
security program that provides
protections that meet or exceed the
protections required by Part II of the
proposed order; and (2) its security
program is operating with sufficient
effectiveness to provide reasonable
assurance that the security of covered
device functionality and the security,
confidentiality, and integrity of covered
information is protected.
Part IV of the proposed order requires
TRENDnet to notify consumers whose
cameras were affected by the breach that
their IP cameras had a flaw that allowed
third parties to access their live feeds
without inputting login credentials; and
provide instructions to such consumers
on how to remove this flaw. In addition,
TRENDnet must provide prompt and
free support with clear and prominent
contact information to help consumers
update and/or uninstall their IP
cameras. TRENDnet must provide this
support via a toll-free, telephonic
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55719
number and via electronic mail for two
(2) years.
Parts V through IX of the proposed
order are reporting and compliance
provisions. Part V requires TRENDnet to
retain documents relating to its
compliance with the order for a fiveyear period. Part VI requires
dissemination of the order now and in
the future to all current and future
principals, officers, directors, and
managers, and to persons with
responsibilities relating to the subject
matter of the order. Part VII ensures
notification to the FTC of changes in
corporate status. Part VIII mandates that
TRENDnet submit a compliance report
to the FTC within 60 days, and
periodically thereafter as requested. Part
IX is a provision ‘‘sunsetting’’ the order
after twenty (20) years, with certain
exceptions.
The purpose of this analysis is to
facilitate public comment on the
proposed order. It is not intended to
constitute an official interpretation of
the proposed complaint or order or to
modify the order’s terms in any way.
By direction of the Commission.
Richard C. Donohue,
Acting Secretary.
[FR Doc. 2013–22070 Filed 9–10–13; 8:45 am]
BILLING CODE 6750–01–P
DEPARTMENT OF DEFENSE
GENERAL SERVICES
ADMINISTRATION
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
[OMB Control No. 9000–0174; Docket 2012–
0076; Sequence 64]
Submission for OMB Review;
Information Regarding Responsibility
Matters
Department of Defense (DOD),
General Services Administration (GSA),
and National Aeronautics and Space
Administration (NASA).
ACTION: Notice of request for public
comments regarding an extension, with
changes, to an existing OMB
information clearance.
AGENCY:
Under the provisions of the
Paperwork Reduction Act, the
Regulatory Secretariat 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 regarding
Information Regarding Responsibility
Matters. A notice was published in the
SUMMARY:
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Federal Register / Vol. 78, No. 176 / Wednesday, September 11, 2013 / Notices
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Federal Register at 78 FR 18593, on
March 27, 2013. One comment was
received.
DATES: Submit comments on or before
October 11, 2013.
ADDRESSES: Submit comments
identified by Information Collection
9000–0174, Information Regarding
Responsibility Matters, by any of the
following methods:
• Regulations.gov: https://
www.regulations.gov. Submit comments
via the Federal eRulemaking portal by
searching the OMB control number.
Select the link ‘‘Submit a Comment’’
that corresponds with ‘‘Information
Collection 9000–0174, Information
Regarding Responsibility Matters’’.
Follow the instructions provided at the
‘‘Submit a Comment’’ screen. Please
include your name, company name (if
any), and ‘‘Information Collection 9000–
0174, Information Regarding
Responsibility Matters’’ on your
attached document.
• Fax: 202–501–4067.
• Mail: General Services
Administration, Regulatory Secretariat
(MVCB), 1800 F Street NW., 2nd Floor,
Washington, DC 20405–0001. ATTN:
Hada Flowers/IC 9000–0174,
Information Regarding Responsibility
Matters.
Instructions: Please submit comments
only and cite Information Collection
9000–0174, Information Regarding
Responsibility Matters, in all
correspondence related to this
collection. Submit comments regarding
this burden estimate or any other aspect
of this collection of information,
including suggestions for reducing this
burden to: FAR Desk Officer, OMB,
Room 10102, NEOB, Washington, DC
20503. All comments received will be
posted without change to https://
www.regulations.gov, including any
personal and/or business confidential
information provided.
FOR FURTHER INFORMATION CONTACT: Ms.
Cecelia L. Davis, Procurement Analyst,
Office of Governmentwide Acquisition
Policy, at (202) 219–0202 or
Cecelia.davis@gsa.gov.
SUPPLEMENTARY INFORMATION:
A. Purpose
This information collection is
necessary to: (a) Determine the
responsibility of prospective
contractors; and (b) ensure that
contractors maintain for accuracy and
completeness, their integrity and
performance information upon which
responsibility determinations rely.
Section 872 of the Duncan Hunter
National Defense Authorization Act of
2009 (Pub. L. 110–417), enacted on
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October 14, 2008, required the
development and maintenance of an
information system that contains
specific information on the integrity and
performance of covered Federal agency
contractors and grantees. The Federal
Awardee Performance and Integrity
Information System (FAPIIS) was
developed to address these
requirements. FAPIIS provides users
access to integrity and performance
information from the FAPIIS reporting
module in the Contractor Performance
Assessment Reporting System (CPARS),
as well as proceedings information and
suspension/debarment information from
the Central Contractor Registration
(CCR) and the Excluded Parties List
System (EPLS) functions in the System
for Award Management (SAM).
The provision at FAR 52.209–7
requires that for each solicitation where
the resultant contract value is expected
to exceed $500,000, the offeror responds
in paragraph (b) as to whether or not it
has active Federal contracts and grants
that total greater than $10,000,000. Only
if the offeror responds affirmatively is
there any further FAPIIS-related
information collection requirement.
The clause at FAR 52.209–9 applies to
solicitations where the resultant
contract value is expected to exceed
$500,000 and to contracts in which the
contractor indicated in paragraph (b) of
the provision at 52.209–7 that it has
current active Federal contracts and
grants with total values greater than
$10,000,000. Paragraph (a) of the clause
at 52.209–9 requires the contractor to
update responsibility information on a
semiannual basis, throughout the life of
the contract, by posting the information
in the System for Award Management
(SAM).
B. Discussion and Analysis
1. The Analysis of the Public Comment
Is Summarized as Follows
a. Necessity of the Information
Collection Requirement
Comment: According to the
respondent, agencies should be seeking
to create savings by reducing or
eliminating such information collection
requirements. However, the respondent
did not challenge the propriety of this
underlying information collection
requirement.
Response: The provision at FAR
52.209–7 requires that for each
solicitation where the resultant contract
value is expected to exceed $500,000,
the offeror responds in paragraph (b) as
to whether it has, or has not, active
Federal contracts and grants that total
greater than $10,000,000. Only if the
offeror responds affirmatively is there
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any further FAPIIS-related information
collection requirement. The clause at
FAR 52.209–9 applies to solicitations
where the resultant contract value is
expected to exceed $500,000 and to
contracts in which the offeror has
indicated in paragraph (b) of the
provision at 52.209–7 that it has current
active Federal contracts and grants with
total values greater than $10,000,000.
Paragraph (a) of the clause at 52.209–9
requires the contractor to update
responsibility information on a
semiannual basis, throughout the life of
the contract, by posting the information
in the CCR. These requirements are
necessary. There are no aspects of this
requirement that can be reduced or
eliminated without negatively
impacting the ability of the Government
to assess contractor responsibility,
investigate and address potential
criminal actions, and protect the
Government’s interests in maintaining
the integrity of the acquisition process.
b. OMB Approval To Extend the
Approval of This Information Collection
Requirement.
Comment: The respondent
commented that the extension of the
information collection would violate the
fundamental purposes of the Paperwork
Reduction Act because the analysis
significantly underestimates the
paperwork burden imposed by this
requirement and has therefore not
provided sufficient justification for the
requested extension. The respondent
further stated that the agency and OMB
should assess the need to extend this
information collection requirement in
the context of assessing the total
information collection burden. The
respondent further commented that the
‘‘collective burden of compliance’’
required of the Government acquisition
community annually totals over 30
million hours. According to the
respondent, the collective burden
greatly exceeds the agency’s estimates
and outweighs any potential utility of
the extension.
Response: The criteria for extension of
an information collection requirement
must be based primarily on the need
and use for the required information. It
is essential for contractors to report
responsibility requirements, regardless
the number of responses. If the agencies
have determined that the information is
essential to protect the interests of the
Government, then the extension should
be approved.
c. Accuracy of Data Estimates
Comment: The respondent
commented that the agency did not
accurately estimate the public burden,
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challenging that the agency’s
methodology for calculating the burden
is insufficient and inadequate and does
not reflect the total burden. The
respondent stated that—
• With regard to the number of
unique vendors with contracts valued
over $500,000 and the number of
proposals received per solicitation,
FPDS data was used and the respondent
considers the estimate of .1 hours per
initial response to be reasonable.
• However, the respondent is unclear
as to why the Agencies abandoned this
approach when estimating the number
of unique vendors with total current,
active Federal contracts and grants with
total values greater than $10,000,000. If
actual data is unavailable, the Agencies
are required to do more than just
declare, ‘‘It is estimated.’’ The total
burden hour estimates for the latter
information collection requirement
(506,313 hours) seems reasonable, but as
the agencies have not provided a
‘‘specific, objectively supported
estimate of burden’’ or clear explanation
of its methodology, the exact burden
estimate is unclear and the allocation is
confusing. According to the notice’s
text, ‘‘[The Agencies] have used an
average burden estimate of 100 hours to
enter the company’s data into the Web
site. This time estimate also includes
the average annual recordkeeping time
necessary per respondent to maintain
the company’s information internally.’’
However, the table then contradicts the
text by assigning the 100 hours to the
‘‘recordkeeping burden’’ and then
recognizing that entering the data will
also take additional time, especially as
the data must be entered into the new
System Awards Management (SAM)
system. According to the respondent,
any change within SAM requires at least
one hour of time: Even one update will
force the respondent to confirm the
accuracy of every page, i.e. scroll down
to the bottom and agree to every screen.
Response: The respondent found the
overall burden estimate to be
reasonable. However, based on Fiscal
Year (FY) 2012 data, and in consultation
with subject matter experts, the
Councils have increased the burden
hours for the initial input of data into
SAM (.5 hours to 1 hour), and separated
out the data to be input under the
provision 52.209–7 from the subsequent
6-month updates under 52.209–9 and
the required recordkeeping hours. This
re-evaluation resulted in a slight
adjustment from the data previously
published in the Federal Register at 78
FR 18593, on March 27, 2013.
The Councils take this process
seriously. In this particular instance, the
burden was prepared using the burden
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hour’s method taking into consideration
the time, effort and financial resources
put on the entity submitting the
information. This includes reviewing
instructions; using technology to collect,
process, and disclose information;
adjusting existing practices to comply
with requirements; searching data
sources; completing and reviewing the
response; and transmitting or disclosing
information. The estimated hours must
also be viewed as an average between
the hours that a simple disclosure by a
very small business might require and
the much higher numbers that might be
required for a very complex disclosure
by a major corporation. Also, it must be
noted that the burden includes
estimated hours only for those actions
which a company would not undertake
in the normal course of business.
d. Timing of Request for Extension
Comment: The respondent noted that
this information collection is soliciting
comments during an emergency
extension period OMB granted in March
2013. The respondent reiterated OMB’s
comment that the agencies should have
in place an internal planning process so
that completion of the public
notification and comment period
required by 5 CFR 1320 occurs prior to
an information collection’s expiration
date. Regular order allows the agencies
and the public to have a meaningful and
on-the-record dialogue on information
collection extensions.
Response: There are over 100
information collection requirements that
require periodic renewal, of which more
than half expired in FY 2013. Although
ideally it is preferable to complete the
renewal process prior to expiration, an
emergency extension may be necessary
in order to allow the public the
opportunity for input into the process.
e. The Collective Burden of Compliance
Comment: The respondent objects to
the overall collective burden imposed
by the Government on all respondents.
Response: The Councils cannot
effectively address the broad allegations
with regard to the accuracy and utility
of the entire collective burden imposed
on all Federal acquisitions. The
Councils can only effectively address
each individual information collection
requirement that is under consideration
for OMB approval. The Councils
constantly review information
collection requirements imposed by
FAR regulations for ways to reduce the
burdens and still achieve the objectives
of the regulations, whether based on
policy or statute.
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55721
2. Annual Reporting Burden
This information collection reflects a
slight adjustment from what was
published in the Federal Register at 78
FR 18593, on March 27, 2013, for the
number of respondents required to
comply with the requirements of FAR
52.209–7 and FAR 52.209–9. This
change is primarily due to a reevaluation based on consultations with
subject matter experts and updated data
retrieved from the Federal Procurement
Data System (FPDS).
For FAR 52.209–7, FY 2012 FPDS
indicates that there were 26,327 contract
awards. The Government estimates that
there was an average of 3 responses per
solicitation, resulting in approximately
79,000 offers (26,327 × 3, rounded). Of
the approximate 79,000 offers, the
Government estimates that an average of
five responses annually will be received
by 15,800 unique vendors (79,000/5).
Consequently, it was determined that
the FY 2012 FPDS data was a sufficient
baseline for estimating the number of
respondents. It is therefore estimated
that approximately 15,800 respondents,
1,090 of which will not receive an
award (15,800 ¥ 14,710), would need to
comply with the applicable provision
for this information collection. The
Government further estimates that one
third of the unique vendors (5,250)
submitting offers may answer the first
question affirmatively, and then will
have to enter data into the FAPIIS.
For FAR 52.209–9, FY 2012 FPDS
indicates that there were 26,327 contract
awards to 14,710 unique vendors.
Approximately one-third (4,900) of
those unique vendors may answer the
first question (from FAR 52.209–7)
affirmatively. Consequently, it was
determined that for FAR 52.209–9, the
FY 2012 FPDS data was a sufficient
baseline for estimating the number of
respondents per year (4,900) that would
need to comply with FAR 52.209–9.
The estimate number of responses per
respondent is based on an estimated
average of the total number of responses
for FAR 52.209–7 and FAR 52.209–9
divided by the estimated number of
respondents. In discussions with subject
matter experts, it was determined that
an estimated number of responses per
respondent of 5.95 was sufficient for
this information collection.
a. FAR 52.209–7:
(i) Initial Response:
Estimated number of respondents: .......
Est. number of responses per respondent per year: ........................................
15,800
Total annual responses (rounded): .......
Estimated hours per response: ..............
79,000
0.1
Total response burden hours: ................
7,900
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Federal Register / Vol. 78, No. 176 / Wednesday, September 11, 2013 / Notices
(ii) Additional Response:
Estimated number of respondents: .......
Est. number of responses per respondent per year: ........................................
5,250
Estimated number of responses: ...........
Estimated hours per response: ..............
5,250
×1
Estimated response burden hours: ........
Total response burden hours for FAR
52.209–7: .............................................
5,250
×1
13,150
b. FAR 52.209–9:
Estimated number of respondents: .......
Est. number of responses per respondent per year: ........................................
4,900
Total annual responses (rounded): .......
Estimated hours per response: ..............
Regulatory Secretariat (MVCB), 1800 F
Street NW., 2nd Floor, Washington, DC
20405–0001, telephone (202) 501–4755.
Please cite OMB Control No. 9000–0174,
Information Regarding Responsibility
Matters, in all correspondence.
Dated: September 5, 2013.
Karlos Morgan,
Acting Director, Federal Acquisition Policy
Division, Office of Governmentwide
Acquisition Policy, Office of Acquisition
Policy, Office of Governmentwide Policy.
9,800
0.5
×2
Total response burden hours for FAR
52.209–9: .............................................
4,900
c. Total (a. + b.):
Total number of respondents: ...............
Responses per respondent: ....................
15,800
× 5.95
Total responses: ......................................
Hours per response: ...............................
94,050
.19
Total response burden hours: ................
18,050
3. Annual Recordkeeping Burden
Number of recordkeepers: .....................
Hours per recordkeeper: ........................
5,250
× 100
Total recordkeeping burden hours: .......
525,000
C. Public Comments
Public comments are particularly
invited on: Whether this collection of
information is necessary for the proper
performance of functions of the 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,
[FR Doc. 2013–22016 Filed 9–10–13; 8:45 am]
BILLING CODE 6820–EP–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Centers for Disease Control and
Prevention
[30Day–13–0215]
Agency Forms Undergoing Paperwork
Act Review
The Centers for Disease Control and
Prevention (CDC) publishes a list of
information collection requests under
review by the Office of Management and
Budget (OMB) in compliance with the
Paperwork Reduction Act (44 U.S.C.
Chapter 35). To request a copy of these
requests, call (404) 639–7570 or send an
email to omb@cdc.gov. Send written
comments to CDC Desk Officer, Office of
Management and Budget, Washington,
DC or by fax to (202) 395–5806. Written
comments should be received within 30
days of this notice.
Proposed Project
Application form and related forms
for the operation of the National Death
Index (NDI), (OMB No. 0920–0215,
Expiration 11/30/13)—Extension—
National Center for Health Statistics
(NCHS), Centers for Disease Control and
Prevention (CDC).
Background and Brief Description
The purpose of this request is to
obtain OMB approval to extend the data
collection for Application form and
related forms for the operation of the
National Death Index (NDI), OMB No.
0920–0215, expires 11/30/2013. Section
306 of the Public Health Service Act (42
U.S.C.), as amended, authorizes that the
Secretary of Health and Human
Services, acting through NCHS, shall
collect statistics on the extent and
nature of illness and disability of the
population of the United States.
The NDI is a national data base
containing identifying death record
information submitted annually to
NCHS by all the state vital statistics
offices, beginning with deaths in 1979.
This request is for approval of forms
used to request searches against the NDI
file to obtain the states and dates of
death and the death certificate numbers
of deceased study subjects. The NDI
Application Form is provided to all
investigators who express an interest in
the NDI. The Application Form is
completed and submitted only by those
investigators who actually decide to
apply for use of the NDI services. The
Request for a Repeat NDI File Search is
used by those NDI users who already
have an approved application on file.
This form is used by researchers when
they have additional study subjects that
need to be identified as deceased. The
final form used is the User Data
Transmittal Format. The researcher uses
this from when transmitting their data
file to the NDI staff.
Using the NDI Plus service,
researchers have the option of also
receiving cause of death information for
deceased subjects, thus reducing the
need to request copies of death
certificates from the states. The NDI
Plus option currently provides the
International Classification of Disease
(ICD) codes for the underlying and
multiple causes of death for the years
1979–2010. Health researchers must
complete administrative forms in order
to apply for NDI services, and submit
records of study subjects for computer
matching against the NDI file. A threeyear clearance is requested. There is no
cost to respondents except for their
time. The total estimated annual burden
hours are 182.
TABLE 1—ESTIMATED ANNUALIZED BURDEN TABLE
Number of
respondents
emcdonald on DSK67QTVN1PROD with NOTICES
Type of respondent
Form type
Health Researcher/Investigator .....................
Health Researcher/Investigator .....................
Health Researcher/Investigator .....................
Application Form ...........................................
Repeat Request Form ...................................
Data Transmittal Form ..................................
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50
70
120
11SEN1
Average
burden/
response
(in hours)
Number of
responses/
respondent
1
1
1
2.5
18/60
18/60
]]>Agencies
[Federal Register Volume 78, Number 176 (Wednesday, September 11, 2013)]
[Notices]
[Pages 55719-55722]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-22016]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
[OMB Control No. 9000-0174; Docket 2012-0076; Sequence 64]
Submission for OMB Review; Information Regarding Responsibility
Matters
AGENCY: Department of Defense (DOD), General Services Administration
(GSA), and National Aeronautics and Space Administration (NASA).
ACTION: Notice of request for public comments regarding an extension,
with changes, to an existing OMB information clearance.
-----------------------------------------------------------------------
SUMMARY: Under the provisions of the Paperwork Reduction Act, the
Regulatory Secretariat 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 regarding
Information Regarding Responsibility Matters. A notice was published in
the
[[Page 55720]]
Federal Register at 78 FR 18593, on March 27, 2013. One comment was
received.
DATES: Submit comments on or before October 11, 2013.
ADDRESSES: Submit comments identified by Information Collection 9000-
0174, Information Regarding Responsibility Matters, by any of the
following methods:
Regulations.gov: https://www.regulations.gov. Submit
comments via the Federal eRulemaking portal by searching the OMB
control number. Select the link ``Submit a Comment'' that corresponds
with ``Information Collection 9000-0174, Information Regarding
Responsibility Matters''. Follow the instructions provided at the
``Submit a Comment'' screen. Please include your name, company name (if
any), and ``Information Collection 9000-0174, Information Regarding
Responsibility Matters'' on your attached document.
Fax: 202-501-4067.
Mail: General Services Administration, Regulatory
Secretariat (MVCB), 1800 F Street NW., 2nd Floor, Washington, DC 20405-
0001. ATTN: Hada Flowers/IC 9000-0174, Information Regarding
Responsibility Matters.
Instructions: Please submit comments only and cite Information
Collection 9000-0174, Information Regarding Responsibility Matters, in
all correspondence related to this collection. Submit comments
regarding this burden estimate or any other aspect of this collection
of information, including suggestions for reducing this burden to: FAR
Desk Officer, OMB, Room 10102, NEOB, Washington, DC 20503. All comments
received will be posted without change to https://www.regulations.gov,
including any personal and/or business confidential information
provided.
FOR FURTHER INFORMATION CONTACT: Ms. Cecelia L. Davis, Procurement
Analyst, Office of Governmentwide Acquisition Policy, at (202) 219-0202
or Cecelia.davis@gsa.gov.
SUPPLEMENTARY INFORMATION:
A. Purpose
This information collection is necessary to: (a) Determine the
responsibility of prospective contractors; and (b) ensure that
contractors maintain for accuracy and completeness, their integrity and
performance information upon which responsibility determinations rely.
Section 872 of the Duncan Hunter National Defense Authorization Act
of 2009 (Pub. L. 110-417), enacted on October 14, 2008, required the
development and maintenance of an information system that contains
specific information on the integrity and performance of covered
Federal agency contractors and grantees. The Federal Awardee
Performance and Integrity Information System (FAPIIS) was developed to
address these requirements. FAPIIS provides users access to integrity
and performance information from the FAPIIS reporting module in the
Contractor Performance Assessment Reporting System (CPARS), as well as
proceedings information and suspension/debarment information from the
Central Contractor Registration (CCR) and the Excluded Parties List
System (EPLS) functions in the System for Award Management (SAM).
The provision at FAR 52.209-7 requires that for each solicitation
where the resultant contract value is expected to exceed $500,000, the
offeror responds in paragraph (b) as to whether or not it has active
Federal contracts and grants that total greater than $10,000,000. Only
if the offeror responds affirmatively is there any further FAPIIS-
related information collection requirement.
The clause at FAR 52.209-9 applies to solicitations where the
resultant contract value is expected to exceed $500,000 and to
contracts in which the contractor indicated in paragraph (b) of the
provision at 52.209-7 that it has current active Federal contracts and
grants with total values greater than $10,000,000. Paragraph (a) of the
clause at 52.209-9 requires the contractor to update responsibility
information on a semiannual basis, throughout the life of the contract,
by posting the information in the System for Award Management (SAM).
B. Discussion and Analysis
1. The Analysis of the Public Comment Is Summarized as Follows
a. Necessity of the Information Collection Requirement
Comment: According to the respondent, agencies should be seeking to
create savings by reducing or eliminating such information collection
requirements. However, the respondent did not challenge the propriety
of this underlying information collection requirement.
Response: The provision at FAR 52.209-7 requires that for each
solicitation where the resultant contract value is expected to exceed
$500,000, the offeror responds in paragraph (b) as to whether it has,
or has not, active Federal contracts and grants that total greater than
$10,000,000. Only if the offeror responds affirmatively is there any
further FAPIIS-related information collection requirement. The clause
at FAR 52.209-9 applies to solicitations where the resultant contract
value is expected to exceed $500,000 and to contracts in which the
offeror has indicated in paragraph (b) of the provision at 52.209-7
that it has current active Federal contracts and grants with total
values greater than $10,000,000. Paragraph (a) of the clause at 52.209-
9 requires the contractor to update responsibility information on a
semiannual basis, throughout the life of the contract, by posting the
information in the CCR. These requirements are necessary. There are no
aspects of this requirement that can be reduced or eliminated without
negatively impacting the ability of the Government to assess contractor
responsibility, investigate and address potential criminal actions, and
protect the Government's interests in maintaining the integrity of the
acquisition process.
b. OMB Approval To Extend the Approval of This Information Collection
Requirement.
Comment: The respondent commented that the extension of the
information collection would violate the fundamental purposes of the
Paperwork Reduction Act because the analysis significantly
underestimates the paperwork burden imposed by this requirement and has
therefore not provided sufficient justification for the requested
extension. The respondent further stated that the agency and OMB should
assess the need to extend this information collection requirement in
the context of assessing the total information collection burden. The
respondent further commented that the ``collective burden of
compliance'' required of the Government acquisition community annually
totals over 30 million hours. According to the respondent, the
collective burden greatly exceeds the agency's estimates and outweighs
any potential utility of the extension.
Response: The criteria for extension of an information collection
requirement must be based primarily on the need and use for the
required information. It is essential for contractors to report
responsibility requirements, regardless the number of responses. If the
agencies have determined that the information is essential to protect
the interests of the Government, then the extension should be approved.
c. Accuracy of Data Estimates
Comment: The respondent commented that the agency did not
accurately estimate the public burden,
[[Page 55721]]
challenging that the agency's methodology for calculating the burden is
insufficient and inadequate and does not reflect the total burden. The
respondent stated that--
With regard to the number of unique vendors with contracts
valued over $500,000 and the number of proposals received per
solicitation, FPDS data was used and the respondent considers the
estimate of .1 hours per initial response to be reasonable.
However, the respondent is unclear as to why the Agencies
abandoned this approach when estimating the number of unique vendors
with total current, active Federal contracts and grants with total
values greater than $10,000,000. If actual data is unavailable, the
Agencies are required to do more than just declare, ``It is
estimated.'' The total burden hour estimates for the latter information
collection requirement (506,313 hours) seems reasonable, but as the
agencies have not provided a ``specific, objectively supported estimate
of burden'' or clear explanation of its methodology, the exact burden
estimate is unclear and the allocation is confusing. According to the
notice's text, ``[The Agencies] have used an average burden estimate of
100 hours to enter the company's data into the Web site. This time
estimate also includes the average annual recordkeeping time necessary
per respondent to maintain the company's information internally.''
However, the table then contradicts the text by assigning the 100 hours
to the ``recordkeeping burden'' and then recognizing that entering the
data will also take additional time, especially as the data must be
entered into the new System Awards Management (SAM) system. According
to the respondent, any change within SAM requires at least one hour of
time: Even one update will force the respondent to confirm the accuracy
of every page, i.e. scroll down to the bottom and agree to every
screen.
Response: The respondent found the overall burden estimate to be
reasonable. However, based on Fiscal Year (FY) 2012 data, and in
consultation with subject matter experts, the Councils have increased
the burden hours for the initial input of data into SAM (.5 hours to 1
hour), and separated out the data to be input under the provision
52.209-7 from the subsequent 6-month updates under 52.209-9 and the
required recordkeeping hours. This re-evaluation resulted in a slight
adjustment from the data previously published in the Federal Register
at 78 FR 18593, on March 27, 2013.
The Councils take this process seriously. In this particular
instance, the burden was prepared using the burden hour's method taking
into consideration the time, effort and financial resources put on the
entity submitting the information. This includes reviewing
instructions; using technology to collect, process, and disclose
information; adjusting existing practices to comply with requirements;
searching data sources; completing and reviewing the response; and
transmitting or disclosing information. The estimated hours must also
be viewed as an average between the hours that a simple disclosure by a
very small business might require and the much higher numbers that
might be required for a very complex disclosure by a major corporation.
Also, it must be noted that the burden includes estimated hours only
for those actions which a company would not undertake in the normal
course of business.
d. Timing of Request for Extension
Comment: The respondent noted that this information collection is
soliciting comments during an emergency extension period OMB granted in
March 2013. The respondent reiterated OMB's comment that the agencies
should have in place an internal planning process so that completion of
the public notification and comment period required by 5 CFR 1320
occurs prior to an information collection's expiration date. Regular
order allows the agencies and the public to have a meaningful and on-
the-record dialogue on information collection extensions.
Response: There are over 100 information collection requirements
that require periodic renewal, of which more than half expired in FY
2013. Although ideally it is preferable to complete the renewal process
prior to expiration, an emergency extension may be necessary in order
to allow the public the opportunity for input into the process.
e. The Collective Burden of Compliance
Comment: The respondent objects to the overall collective burden
imposed by the Government on all respondents.
Response: The Councils cannot effectively address the broad
allegations with regard to the accuracy and utility of the entire
collective burden imposed on all Federal acquisitions. The Councils can
only effectively address each individual information collection
requirement that is under consideration for OMB approval. The Councils
constantly review information collection requirements imposed by FAR
regulations for ways to reduce the burdens and still achieve the
objectives of the regulations, whether based on policy or statute.
2. Annual Reporting Burden
This information collection reflects a slight adjustment from what
was published in the Federal Register at 78 FR 18593, on March 27,
2013, for the number of respondents required to comply with the
requirements of FAR 52.209-7 and FAR 52.209-9. This change is primarily
due to a re-evaluation based on consultations with subject matter
experts and updated data retrieved from the Federal Procurement Data
System (FPDS).
For FAR 52.209-7, FY 2012 FPDS indicates that there were 26,327
contract awards. The Government estimates that there was an average of
3 responses per solicitation, resulting in approximately 79,000 offers
(26,327 x 3, rounded). Of the approximate 79,000 offers, the Government
estimates that an average of five responses annually will be received
by 15,800 unique vendors (79,000/5). Consequently, it was determined
that the FY 2012 FPDS data was a sufficient baseline for estimating the
number of respondents. It is therefore estimated that approximately
15,800 respondents, 1,090 of which will not receive an award (15,800 -
14,710), would need to comply with the applicable provision for this
information collection. The Government further estimates that one third
of the unique vendors (5,250) submitting offers may answer the first
question affirmatively, and then will have to enter data into the
FAPIIS.
For FAR 52.209-9, FY 2012 FPDS indicates that there were 26,327
contract awards to 14,710 unique vendors. Approximately one-third
(4,900) of those unique vendors may answer the first question (from FAR
52.209-7) affirmatively. Consequently, it was determined that for FAR
52.209-9, the FY 2012 FPDS data was a sufficient baseline for
estimating the number of respondents per year (4,900) that would need
to comply with FAR 52.209-9.
The estimate number of responses per respondent is based on an
estimated average of the total number of responses for FAR 52.209-7 and
FAR 52.209-9 divided by the estimated number of respondents. In
discussions with subject matter experts, it was determined that an
estimated number of responses per respondent of 5.95 was sufficient for
this information collection.
a. FAR 52.209-7:
(i) Initial Response:
Estimated number of respondents:............................. 15,800
Est. number of responses per respondent per year:............ x 5
----------
Total annual responses (rounded):............................ 79,000
Estimated hours per response:................................ 0.1
----------
Total response burden hours:................................. 7,900
[[Page 55722]]
(ii) Additional Response:
Estimated number of respondents:............................. 5,250
Est. number of responses per respondent per year:............ x 1
----------
Estimated number of responses:............................... 5,250
Estimated hours per response:................................ x 1
----------
Estimated response burden hours:............................. 5,250
Total response burden hours for FAR 52.209-7:................ 13,150
b. FAR 52.209-9:
Estimated number of respondents:............................. 4,900
Est. number of responses per respondent per year:............ x 2
----------
Total annual responses (rounded):............................ 9,800
Estimated hours per response:................................ 0.5
----------
Total response burden hours for FAR 52.209-9:................ 4,900
c. Total (a. + b.):
Total number of respondents:................................. 15,800
Responses per respondent:.................................... x 5.95
----------
Total responses:............................................. 94,050
Hours per response:.......................................... .19
----------
Total response burden hours:................................. 18,050
3. Annual Recordkeeping Burden
Number of recordkeepers:..................................... 5,250
Hours per recordkeeper:...................................... x 100
----------
Total recordkeeping burden hours:............................ 525,000
C. Public Comments
Public comments are particularly invited on: Whether this
collection of information is necessary for the proper performance of
functions of the 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 (MVCB), 1800 F Street NW., 2nd
Floor, Washington, DC 20405-0001, telephone (202) 501-4755. Please cite
OMB Control No. 9000-0174, Information Regarding Responsibility
Matters, in all correspondence.
Dated: September 5, 2013.
Karlos Morgan,
Acting Director, Federal Acquisition Policy Division, Office of
Governmentwide Acquisition Policy, Office of Acquisition Policy, Office
of Governmentwide Policy.
[FR Doc. 2013-22016 Filed 9-10-13; 8:45 am]
BILLING CODE 6820-EP-P
