Agency Information Collection Activities: Post-Award Contract, DHS Form 700-23, 700-26, 74367-74369 [2020-25621]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 85, Number 225 (Friday, November 20, 2020)]
[Notices]
[Pages 74367-74369]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-25621]


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DEPARTMENT OF HOMELAND SECURITY

[Docket Number DHS-2020-0044]


Agency Information Collection Activities: Post-Award Contract, 
DHS Form 700-23, 700-26

AGENCY: Department of Homeland Security (DHS).

ACTION: 60-Day notice and request for comments; extension without 
change of a currently approved collection, 1600-0003.

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SUMMARY: The Department of Homeland Security, will submit the following 
Information Collection Request (ICR) to the Office of Management and 
Budget (OMB) for review and clearance in accordance with the Paperwork 
Reduction Act of 1995.

DATES: Comments are encouraged and will be accepted until January 19, 
2021. This process is conducted in accordance with 5 CFR 1320.1

ADDRESSES: You may submit comments, identified by docket number Docket 
# DHS-2020-0044, at:
    [cir] Federal rulemaking Portal: https://www.regulations.gov. Please 
follow the instructions for submitting comments.
    Instructions: All submissions received must include the agency name 
and docket number Docket # DHS-2020-0044. All comments received will be 
posted without change to https://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov.

SUPPLEMENTARY INFORMATION: The Department of Homeland Security (DHS) 
collects information, when necessary, in administering public contracts 
for supplies and services. The information is used to determine 
compliance with contract terms placed in the contract as authorized by 
the Federal Property and Administrative Services Act (41 U.S.C. 251 et 
seq.), the Federal Acquisition Regulation (FAR) (48 CFR Chapter 1), and 
the Homeland Security Acquisition Regulation (HSAR) (48 CFR Chapter 
30). Respondents submit information based on the terms of the contract; 
the instructions in the contract deliverables mandatory reporting 
requirements; and correspondence from acquisition personnel requesting 
post-award contract information. The least active contracts and the 
simplest contracts will have little to no data to report. The most 
active and complex contracts, however, will contain more reporting 
requirements. DHS believes that some of this information is already 
readily available as part of a company's business processes and that 
the largest businesses use computers to compile the data. However, a 
significant amount of time is spent correlating information to specific 
contract actions and gathering information for more complex contract 
actions.
    The prior information collection request for OMB No. 1600-0003 was 
approved through May 31, 2022 by OMB, and includes the following:
     3052.204-70 Security requirements for unclassified 
information technology resources. (Required in all solicitations and 
contracts that require submission of an IT Security Plan.) This clause 
applies to all contractor systems connected to a DHS network and those 
contracts where the Contractor must have physical or electronic access 
to sensitive information contained in DHS unclassified systems. The 
contractor is asked to prepare, provide and maintain an IT Security 
Plan.
     3052.204-71 Contractor employee access. (Required when 
contractor employees require recurring access to Government facilities 
or access to sensitive info.) Contractors may be subject to background 
investigations and will have to provide information as required by the 
DHS Security Office. The information requested is in addition to the 
information requested through Standard Form (SF) 86.
     3052.205-70 Advertisements, Publicizing Awards, and 
Releases. (Required for all contracts exceeding Simplified Acquisition 
Threshold.) Contractors may have to provide copies of information 
related to advertisements and release statements to receive approval 
for publication.
     3052.209-72 Organizational Conflict of Interest, 
paragraphs (f) and (g) (Included in solicitations and contracts where a 
potential organizational conflict of interest exists and mitigation may 
be possible.) Contractors will have to provide information related to 
actual or potential conflicts of interest and a mitigation plan.
     3052.209-75 Prohibited Financial Interests for Lead System 
Integrators. (Required in solicitations and contracts for the 
acquisition of a major system when the acquisition strategy envisions 
the use of a lead system integrator or when the contractor will be the 
lead system integrator.) Contractors will have to provide information 
related to changes in financial interests.
     3052.209-76 Prohibition on Federal Protective Service 
Guard

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Services Contracts with Business Concerns Owned, Controlled, or 
Operated by an Individual Convicted of a Felony, paragraph (h). 
(Section 2 of the Federal Protective Service Guard Contracting Reform 
Act of 2008, Pub. L. 110-356, generally prohibits DHS from entering 
into a contract for guard services under the Federal Protective Service 
(FPS) guard services program with any business concern owned, 
controlled, or operated by an individual convicted of a serious 
felony.) The notification required by paragraph (h) applies to any 
contractual instrument that may result in the issuance of task orders. 
Contractors will have to provide information on any felony conviction 
of personnel who own, control or operate a business during the 
performance a contract.
     3052.215-70 Key personnel or facilities. (Required in 
solicitations and contracts when the selection for award is 
substantially based on the offeror's possession of special capabilities 
regarding personnel or facilities.) Contractors will have to provide 
notice of and documentation related to changes in key personnel for 
evaluation, including, resumes; description of the duties the 
replacement will assume; description of any change in duties and 
confirmation that such change will not negatively impact contract 
performance.
     3052.216-71 Determination of Award Fee. (Required in 
solicitations and contracts that include an award fee.) Contractor may 
submit a performance self-evaluation for each evaluation period.
     3052.217-91 Performance (USCG). (Required in sealed bid 
fixed-price solicitations and contracts for vessel repair, alteration, 
or conversion which are to be performed within the United States, its 
possessions, or Puerto Rico. Also required in negotiated solicitations 
and contracts to be performed outside the United States.) Contractor 
must request prior approval to conduct dock and sea trials.
     3052.217-92 Inspection and Manner of Doing Work (USCG). 
(Required in sealed bid fixed-price solicitations and contracts for 
vessel repair, alteration, or conversion which are to be performed 
within the United States, its possessions, or Puerto Rico. Also 
required in negotiated solicitations and contracts to be performed 
outside the United States.) Contractor must maintain complete records 
of all inspection work and shall make them available to the Government 
during performance of the contract and for 90 days after the completion 
of all work required.
     3052.217-95 Liability and Insurance (USCG). (Required in 
sealed bid fixed-price solicitations and contracts for vessel repair, 
alteration, or conversion which are to be performed within the United 
States, its possessions, or Puerto Rico. Also required in negotiated 
solicitations and contracts to be performed outside the United States.) 
Contractor shall provide evidence of the insurance and give the 
Contracting Officer written notice after the occurrence of a loss or 
damage for which the Government has assumed the risk. If any loss or 
damage will result in a claim against the Government, the contractor 
shall provide notice.
     3052.219-70 Small Business subcontracting plan reporting. 
(Generally included in solicitations and contracts that offer 
subcontracting possibilities and are expected to exceed $700,000) 
Contractors must use Electronic Subcontracting Reporting System (eSRS) 
to submit subcontracting reporting data.
     3052.219-71 DHS Mentor-Prot[eacute]g[eacute] Program. 
(Included in solicitations where subcontracting plans are anticipated) 
The amount of credit given to a contractor mentor firm for 
prot[eacute]g[eacute] developmental assistance costs must be calculated 
on a dollar for dollar basis and reported in the Summary Subcontract 
Report via the Electronic Subcontracting Reporting System (eSRS) at 
www.esrs.gov.
     3052.222-70 Strikes or Picketing Affecting Timely 
Completion of the Contract Work. (Generally included in solicitations 
and contracts) Contractor must take all reasonable and appropriate 
action to end a strike or picketing. Delay caused by a strike or by 
picketing which constitutes an unfair labor practice is not excusable 
unless the Contractor takes all reasonable and appropriate action to 
end such a strike or picketing, such as the filing of a charge with the 
National Labor Relations Board, the use of other available Government 
procedures, and the use of private boards or organizations for the 
settlement of disputes. The contractor may be required to submit 
information to the contracting officer.
     3052.222-71 Strikes or Picketing Affecting Access to a DHS 
Facility. (Generally included in solicitations and contracts) 
Contractor is responsible if strike or picketing is directed at the 
Contractor and impedes access by any person to a DHS facility. 
Contractor must take all reasonable and appropriate action to end a 
strike or picketing. The contractor may be required to submit 
information to the contracting officer.
     3052.223-70 Removal or disposal of hazardous substances--
applicable licenses and permits. (Required in solicitations and 
contracts involving the removal or disposal of hazardous waste 
material) Contractors will have to provide evidence of licenses and 
permits to perform hazardous substance removal.
     3052.223-90 Accident and Fire Reporting (USCG). (Included 
in solicitations and contracts involving the removal of hazardous waste 
material) Contractor must report incidents involving fire or accidents 
at a worksite. Contractors may provide this information using a state, 
private insurance carrier, or Contractor accident report form.
     3052.228-91 Loss of or Damage to Leased Aircraft (USCG). 
(Included in any contract for the lease of an aircraft) In the event of 
loss of or damage to an aircraft, the Government shall be subrogated to 
all rights of recovery by the Contractor against third parties for such 
loss or damage and the Contractor must promptly assign such rights in 
writing to the Government.
     3052.228-93 Risk and Indemnities (USCG). (Included in any 
contract for the lease of an aircraft) Requires the contractor to 
provide the Government with evidence of insurance.
     3052.235.70 Dissemination of Information-Educational 
Institutions. (Included in contracts with educational institutions for 
research that are not sensitive or classified) Contractors must provide 
advanced electronic copies of articles to the Government covering the 
results of research it plans to publish.
    The purpose of this collection revision is to add, for purposes of 
entering into other transaction agreements pursuant to 6 U.S.C. 391, 6 
U.S.C. 596(1), and 49 U.S.C. 106(l)(6), Form 700-26, Other Transaction 
Agreement, and Form 700-23, Other Transaction Agreement Modification. 
On the forms, respondents submit an Employer Identification Number, as 
well as the business' name, address and title. Respondents must also 
identify the authorized business representative's personal name, and 
must include a signature.
    The information requested is used by the Government's contracting 
officers and other acquisition personnel, including technical and legal 
staff, for various reasons such as (1) determining the suitability of 
contractor personnel accessing DHS facilities; (2) to ensure no 
organizational conflicts of interest exist during the performance of 
contracts; (3) to ensure the contractor maintains applicable licenses 
and permits for the removal and disposal of hazardous materials; and 
(4) to otherwise ensure firms are performing in the

[[Page 74369]]

Government's best interest. Failure to collect this information would 
adversely affect the quality of products and services DHS receives from 
contractors.
    Many sources of the requested information use automated word 
processing systems, databases, spreadsheets, project management and 
other commercial software to facilitate preparation of material to be 
submitted. With Government-wide implementation of e-Government 
initiatives, it is commonplace within many of DHS's Components for 
submissions to be electronic.
    Information collection may or may not involve small business 
contractors, depending on the particular transaction. The burden 
applied to small businesses is the minimum consistent with the 
objective of ensuring contract compliance and protecting the interest 
of the Government.
    Less frequent incidence of collecting such information as resumes 
indicating the level of contractor expertise, permits and licenses, and 
inspection reports will negatively affect the quality of products and 
services DHS receives from contractors. Potentially, contractors could 
perform on contracts without sufficient experience and expertise and 
could perform contracts with outdated licenses and negative inspection 
reports, placing the Department's operations in jeopardy. Additionally, 
less frequent collection of information related to organizational 
conflicts of interest inhibit DHS from determining the existence of 
true conflicts of interest during the performance of contracts.
    Failure to collect this information would adversely affect the 
quality of products and services DHS receives from contractors. For 
example, potentially, contractors who are lead system integrators could 
acquire direct financial interests in major systems the contractors are 
contracted to procure, which would compromise the integrity of 
acquisitions for the Department. In addition, contractors who own, 
control or operate a business providing protective guard services could 
possess felony convictions during the performance of contracts, putting 
the Department at risk. Furthermore, contractors could change key 
personnel during the performance of contracts and use less experienced 
or less qualified personnel to reduce costs, which would adversely 
affect DHS's fulfillment of its mission requirements.
    Disclosure/non-disclosure of information is handled in accordance 
with the Freedom of Information Act, other disclosure statutes, and 
Federal and agency acquisition regulations.
    The burden estimates provided above are based upon definitive 
contract award data reported by DHS and its Components to the Federal 
Procurement Data System (FPDS) for FY 2019. No program changes 
occurred; however, the burden was adjusted to reflect a decrease in the 
number of respondents within DHS for FY 2019 in the amount of 6,612, as 
well as a decrease in the average hourly wage rate.
    The Office of Management and Budget is particularly interested in 
comments which:
    1. Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    2. Evaluate the accuracy of the agency's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
    3. Enhance the quality, utility, and clarity of the information to 
be collected; and
    4. Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submissions of responses.

Analysis

    Agency: Department of Homeland Security (DHS).
    Title: Post-Award Contract.
    OMB Number: 1600-0003.
    Frequency: On occasion.
    Affected Public: Private Sector.
    Number of Respondents: 6015.
    Estimated Time per Respondent: 4.5.
    Total Burden Hours: 90,812.

Robert Dorr,
Acting Executive Director, Business Management Directorate.
[FR Doc. 2020-25621 Filed 11-19-20; 8:45 am]
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