Notice2024-20270
Agency Information Collection Activities: Post-Contract Award Information; OMB Control No. 1600-0003
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 9, 2024
Issuing agencies
Homeland Security Department
Abstract
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.
Full Text
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<title>Federal Register, Volume 89 Issue 174 (Monday, September 9, 2024)</title>
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[Federal Register Volume 89, Number 174 (Monday, September 9, 2024)]
[Notices]
[Pages 73110-73113]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-20270]
[[Page 73110]]
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DEPARTMENT OF HOMELAND SECURITY
[Docket Number DHS 2024-0031]
Agency Information Collection Activities: Post-Contract Award
Information; OMB Control No. 1600-0003
AGENCY: Department of Homeland Security (DHS).
ACTION: 60-Day notice and request for comments.
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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 November 8,
2024. This process is conducted in accordance with 5 CFR 1320.1
ADDRESSES: You may submit comments, identified by docket number Docket
# DHS-2024-0031, at:
[cir] Federal eRulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Please follow the instructions for submitting comments.
Instructions: All submissions received must include the agency name
and docket number Docket # DHS-2024-0031. All comments received will be
posted without change to <a href="http://www.regulations.gov">http://www.regulations.gov</a>, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
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 Office of Management
and Budget (OMB) Control No. 1600-0003 was approved through May 31,
2025, by OMB, and it 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
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
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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 <a href="http://www.esrs.gov">www.esrs.gov</a>.
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.
Form 700-26, Other Transaction Agreement (Required for the 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)) The offeror submit an
Employer Identification Number, as well as the business' name, address
and title. Offerors must also identify the authorized business
representative's personal name and must include a signature.
Form 700-23, Other Transaction Agreement Modification (Required for
the purposes of modifying other transaction agreements entered into
pursuant to 6 U.S.C. 391, 6 U.S.C. 596(1), and 49 U.S.C. 106(l)(6)) The
respondent must 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.
DHS is seeking to renew this collection, and revise it to:
(1) Remove HSAR Clause 3052.204-70, Security requirements for
unclassified information technology resources, from this OMB Control
Number. The clause was made obsolete by final rule, Homeland Security
Acquisition Regulation; Safeguarding of Controlled Unclassified
Information, issued on June 21, 2023.
(2) Add the provisions and contract clauses under previously
approved OMB Control Number 1601-0023, Safeguarding of Controlled
Unclassified Information and Notification and Credit Monitoring
Requirements for Personally Identifiable Information Incidents, to this
OMB Control Number, in order to consolidate the collections. The
clauses that will be transferred to this OMB Control Number are as
follows:
3052.204-72 Safeguarding of Controlled Unclassified Information.
(Included in solicitations and contracts where contractor and/or
subcontractor employees will have access to controlled unclassified
information (CUI) or CUI will be collected or maintained on behalf of
the agency. The basic clause with its alternate is included in
solicitations and contracts when Federal information systems, which
include contractor information systems operated on behalf of the
agency, are used to collect, process, store, or transmit CUI.) Under
the basic clause, contractors and subcontractors are required to:
Provide adequate security to protect CUI from unauthorized access
and disclosure;
Report all known or suspected incidents to the Component Security
Operations Center (SOC), or the DHS Enterprise SOC if the Component SOC
is not available, in accordance with 4300A Sensitive Systems Handbook
Attachment F Incident Response (i.e., incidents involving personally
identifiable information (PII) or sensitive PII (SPII) must be reported
within 1 hour of discovery; all other incidents shall be reported
within 8 hours of discovery).
Provide full access and cooperation for all activities determined
by the Government to be required to ensure an effective incident
response, including providing all requested images, log files, and
event information to facilitate rapid resolution of incidents;
Certify and confirm the sanitization of Government and Government-
Activity related files and information, and submit the certification to
the Contracting Officer's Representative (COR) and Contracting Officer
in accordance with the template provided in NIST Special Publication
800-88, Guidelines for Media Sanitization, Appendix G; and
Insert this clause in all subcontracts and require subcontractors
to include this clause in all lower tier subcontracts when
subcontractor employees will
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have access to CUI; CUI will be collected or maintained on behalf of
the agency by a subcontractor; or a subcontractor information system(s)
will be used to process, store, or transmit CUI.
Under the alternate, contractors and subcontractors are prohibited
from collecting, processing, storing, or transmitting CUI within a
Federal information system until an Authority to Operate (ATO) has been
accepted and signed by the Component or Headquarters CIO, or designee.
Additionally, contractors and subcontractors are required to:
Complete and submit security authorization (SA) documentation in
accordance with DHS Policy Directive 4300A Information Technology
System Security Program, Sensitive Systems (Version 13.3, February 13,
2023), or any successor publication; and the Security Authorization
Process Guide, including templates;
Have an independent third party validate the security and privacy
controls in place for the information system;
Renew the ATO every three (3) years unless otherwise specified in
the ATO letter;
Support random, periodic reviews by the Department to ensure that
the security requirements contained in the contract are being
implemented and enforced; and
Comply with Federal reporting and information system continuous
monitoring requirements as defined in the Fiscal Year (FY) 2021 DHS
Information Security Performance Plan, or successor publication.
3052.204-73 Notification and Credit Monitoring Requirements for
Personally Identifiable Information Incidents. (Included in
solicitations and contracts where contractor and/or subcontractor
employees have access to personally identifiable information (PII))
Contractors must have in place procedures and the capability to notify
any individual whose PII and/or sensitive PII (SPII) was under the
control of the contractor or resided in the contractor information
system at the time of the incident not later than 5 business days after
being directed to notify individuals, unless otherwise approved by the
Contracting Officer. Additionally, contractors are required to provide
credit monitoring services to individuals whose PII or SPII was under
the control of the contractor or resided in the information system at
the time of the incident for a period beginning the date of the
incident and extending not less than 18 months from the date the
individual is notified.
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; (4) to
implement adequate security measures to safeguard CUI and to facilitate
improved incident reporting to DHS; (5) to provide DHS with an
understanding of the contractor's plan to recruit, train, and develop a
diverse, high-performing workforce from underserved communities; and
(6) to otherwise ensure firms are performing in the 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.
As the information collection is governed by FAR, HSAR and certain
procurement statutes, usability testing is limited to ensuring the use
of plain language, no duplicate/superfluous collection and electronic
submission. DHS found the following:
Plain language is used in the applicable clauses and the forms. DHS
encourages DHS Components to require only the minimum post-award
contract information essential to proper protection of the Government's
interests and compliance with regulation, e.g., contractor performance
evaluation. The information collected from the public under this
request complements but does not duplicate vendor information available
to the Government-wide acquisition community through Integrated Award
Environment (IAE) systems, including the System for Award Management
(SAM). The SAM is the official U.S. Government system that consolidated
the capabilities of the Central Contractor Registration (CCR), the
Online Representations and Certifications Application (ORCA), the
Excluded Parties List System (EPLS) and the Past Performance
Information Retrieval System (PPIRS). To ensure the information
collected under this collection isn't duplicative, DHS Office of the
Chief Procurement Officer: (1) monitors the acquisition processes and
procedures of the various DHS Components; (2) reviews proposed and
published changes to the FAR; and (3) provides one location for the
final review and approval of all proposed acquisition regulations for
DHS. Respondents may submit requested information electronically,
through email or facsimile to the specified Government point of
contact. Contractors will utilize their own computers to provide the
required information to the Government point of contact.
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. Additionally,
having an HSAR clause to address the safeguarding of CUI will greatly
reduce the proliferation of Department, Component, or buying office-
level
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requirements that offerors now respond to in a variety of different and
non-standard ways. Failure to collect this information may result in
the compromise of CUI hampering the Department's ability to carry out
its mission.
Executive Order 13985, titled ``Advancing Racial Equity and Support
for Underserved Communities Through the Federal Government'' requires
federal agencies to assess equity throughout their organizations,
including equity through procurements. As part of its assessment and
action planning, DHS identified that equity in procurements could be
enhanced by ensuring that DHS's contractors have in place DEIA Plans
which demonstrates the contractor's commitment to fairness regarding
DEIA. Failure to collect a DEIA Plan would prohibit DHS from
understanding the contractor's plan to recruit, train, and develop a
diverse, high-performing workforce from underserved communities.
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 in response to Item 12 above are
based upon definitive contract award data reported by DHS and its
Components, as well as DHS FPDS data for FY 2022. No program changes
occurred; however, the burden was adjusted to reflect an increase in
the number of respondents within DHS for FY 2022 in the amount of
11,075, as well as an increase in the average hourly wage rate. The
burden hours also decreased by a total of 14 hours with the removal of
HSAR Clause 3052.204-70, ``Security requirements for unclassified
information technology resources'', that was made obsolete by the DHS
rulemaking, ``Homeland Security Acquisition Regulation; Safeguarding of
Controlled Unclassified Information, issued on June 21, 2023''.
Finally, the burden has increased as a result of consolidating OMB
Control Number 1601-0023 under this OMB Control Number, 1600-0003. The
average burden per response for the clauses increased by 7.8 hours,
from 6.2 hours to 14 hours; thereby increasing the total annual burden
hours by 970,549 hours.
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-Contract Award Information.
OMB Number: 1600-0003.
Frequency: Annually.
Affected Public: Contractor.
Number of Respondents: 26,726.
Estimated Time per Respondent: 77,196.
Total Burden Hours: 1,061,361.
Robert Dorr,
Executive Director, Business Management Directorate.
[FR Doc. 2024-20270 Filed 9-6-24; 8:45 am]
BILLING CODE 9112-FL-P
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