[Federal Register Volume 78, Number 75 (Thursday, April 18, 2013)]
[Proposed Rules]
[Pages 23194-23199]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-09143]
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DEPARTMENT OF DEFENSE
GENERAL SERVICES ADMINISTRATION
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
48 CFR Parts 4, 12, 22, and 52
[FAR Case 2012-024; Docket 2012-0024; Sequence 1]
RIN 9000-AM49
Federal Acquisition Regulation; Commercial and Government Entity
Code
AGENCY: Department of Defense (DoD), General Services Administration
(GSA), and National Aeronautics and Space Administration (NASA).
ACTION: Proposed rule.
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SUMMARY: DoD, GSA, and NASA are proposing to amend the Federal
Acquisition Regulation (FAR) to require the use of Commercial and
Government Entity (CAGE) codes, including North Atlantic Treaty
Organization (NATO) CAGE (NCAGE) codes for foreign entities, for awards
valued at greater than the micro-purchase threshold. The CAGE code is a
five-character identification number used extensively within the
Federal Government. The proposed rule will also require offerors, if
owned or controlled by another business entity, to identify that entity
during System for Award Management (SAM) registration.
DATES: Interested parties should submit written comments to the
Regulatory Secretariat at one of the addressees shown below on or
before June 17, 2013 to be considered in the formation of the final
rule.
ADDRESSES: Submit comments in response to FAR Case 2012-024 by any of
the following methods:
Regulations.gov: http://www.regulations.gov. Submit
comments via the Federal eRulemaking portal by searching for ``FAR Case
2012-024''. Select the link ``Submit a Comment'' that corresponds with
FAR Case 2012-024. Follow the instructions provided at the ``Submit a
Comment'' screen. Please include your name, company name (if any), and
``FAR Case 2012-024'' on your attached document.
Fax: 202-501-4067.
Mail: General Services Administration, Regulatory
Secretariat (MVCB), ATTN: Hada Flowers, 1275 First Street NE., 7th
Floor, Washington, DC 20417.
Instructions: Please submit comments only and cite FAR Case 2012-
024, in all correspondence related to this case. All comments received
will be posted without change to http://www.regulations.gov, including
any personal and/or business confidential information provided.
FOR FURTHER INFORMATION CONTACT: Mr. Edward Loeb, Procurement Analyst,
at 202-501-0650 for clarification of content. For information
pertaining to status or publication schedules, contact the Regulatory
Secretariat at 202-501-4755. Please cite FAR Case 2012-024.
SUPPLEMENTARY INFORMATION:
I. Background
DoD, GSA, and NASA are proposing to revise the FAR with a new
provision to require that offerors provide their CAGE codes to
contracting officers and that, if owned or controlled by another
entity, offerors will provide, in a new provision with their
representations and certifications, the CAGE code and name of such
entity or entities. For those offerors located in the United States or
its outlying areas that register in SAM, a CAGE code is assigned as
part of the registration process. Note: The text of this proposed rule
uses the new FAR reference, SAM for CCR and ORCA, as there is a pending
FAR rule (FAR Case 2012-033, System for Award Management Name Change,
Phase 1 Implementation) which will make a global update to all of the
existing references to CCR and ORCA throughout the FAR to the SAM
designation.
If registration is not required, a CAGE code will be requested and
obtained from the Defense Logistics Agency, Logistics Information
Service. A CAGE code is not required when a condition described at FAR
4.605(c)(2) applies and the acquisition is funded by an agency other
than DoD or NASA. Offerors located outside the United States will
obtain an NCAGE from their NATO Codification Bureau or, if not a NATO
member or sponsored nation, from the NATO Maintenance and Supply Agency
(NAMSA).
The Federal procurement community continues to strive toward
greater measures of transparency and reliability of data, which
facilitates achievement of rigorous accountability of procurement
dollars and processes and compliance with regulatory and statutory
acquisition requirements, e.g., the Federal Funding Accountability and
Transparency Act of 2006 (Pub. L. 109-282, 31 U.S.C. 6101 note).
Increased transparency and accuracy of procurement data work to broaden
the Government's ability to implement fraud detection technologies
restricting opportunities for and mitigating occurrences of fraud,
waste, and abuse of taxpayer dollars.
To further the desired increases in traceability and transparency,
this rule proposes use of the unique identification that a CAGE code
provides coupled with vendor representation of ownership and owner CAGE
code. The CAGE code is a five-character identification number used
extensively within the Federal Government and will provide for
standardization across the Federal Government. This proposed rule
will--
Support successful implementation of business tools that
seek insight into Federal spending patterns across corporations;
Facilitate legal traceability in the tracking of
performance issues across corporations;
Provide insight on contractor personnel outside the United
States; and
Support supply chain traceability and integrity efforts.
II. Discussion and Analysis
A. Proposed Changes to FAR Part 4
At FAR 4.1202 a new provision for ownership or control of offeror
is added to the list of representations and certifications under FAR
52.204-8, Annual Representations and Certifications.
B. Proposed Addition of FAR Subpart 4.17--Commercial and Government
Entity Code
A new subpart is proposed to include scope, policy, and definitions
for the subpart. Offerors are required to provide
[[Page 23195]]
their CAGE code to the contracting officer and to represent if they are
owned or controlled by another business entity, unless a condition
listed at FAR 4.605(c)(2) applies and the acquisition is funded by an
agency other than DoD or NASA. The subpart also gives instruction to
contracting officers to verify the CAGE codes provided.
A definition of ``Commercial and Government Entity'' code is
provided. The definition encompasses both CAGE code, for entities
located in the United States and its outlying areas, and NCAGE code if
the code is assigned by a NATO Codification Bureau or NAMSA.
The rule proposes definitions of ownership and intends their use
only in order to determine how entities relate to one another in terms
of hierarchical relationship(s). The rule does not intend to impact or
supersede the definitions of ``contractor'' or ``ownership'' as
described in other parts of the FAR (e.g., FAR part 19 for
determination of small business size status) or other regulations
including the Small Business Administration's affiliation rules in the
Code of Federal Regulations (CFR), Title 13. DoD, GSA, and NASA expect
and encourage public comments in order to determine if these
definitions, as proposed, are understandable and straightforward.
Definitions proposed are as follows:
``Highest-level owner'' means the business entity that owns or
controls one or more business entities that own or control the offeror.
``Immediate owner'' means the business entity that has the most
direct and proximate ownership or control of the offeror.
``Owner'' means the entity, other than the offeror, that is
affiliated with the offeror through control of the offeror as described
in this definition or, in the case of a small business, as provided in
FAR part 19 and 13 CFR part 121. Business concerns, organizations, or
individuals are affiliates of each other if, directly or indirectly,
either one controls or has the power to control the other, or a third
party controls or has the power to control both. The two types of
owners are immediate owners and highest-level owners, respectively, and
these owners may be the same for some entities. Indicators of control
include, but are not limited to, interlocking management or ownership,
identity of interests among family members, shared facilities and
equipment, and the common use of employees.
C. Proposed Changes to FAR Subpart 12.3
Changes to the list of other required provisions and clauses at FAR
12.301(d) are proposed to make CAGE code reporting and maintenance
applicable to commercial items by including a new provision, FAR
52.204-XX, Commercial and Government Entity Code Reporting, and a new
clause, FAR 52.204-ZZ, Commercial and Government Entity Code
Maintenance.
D. Proposed Changes to FAR Subpart 22.10
Updates are provided to correct paragraph numbers referencing the
provision 52.204-8.
E. Proposed Additions to FAR Part 52, Solicitation, Provisions and
Contract Clauses
Two new provisions are proposed, two existing provisions are
amended, and one new clause is proposed:
Provision FAR 52.204-XX, Commercial and Government Entity Code
Reporting, requires offerors to provide their CAGE codes and contains
information on obtaining CAGE codes.
Provision FAR 52.204-YY, Ownership or Control of Offeror, calls for
offerors to identify if they are owned or controlled by another entity
and to provide the legal name and CAGE code of such entity, if
identified.
The proposed rule will amend FAR 52.204-8, Annual Representations
and Certifications, by including the new provision FAR 52.204-YY,
Ownership or Control of Offeror, and FAR 52.212-3, Offeror
Representations and Certifications--Commercial Items, by including
definitions and ownership or control representations.
Clause FAR 52.204-ZZ, Commercial and Government Entity Code
Maintenance, provides instructions to contractors to maintain accurate
CAGE information in the CAGE file and to inform their contracting
officer if their CAGE code changes.
III. Executive Orders 12866 and 13563
Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess
all costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). E.O.
13563 emphasizes the importance of quantifying both costs and benefits,
of reducing costs, of harmonizing rules, and of promoting flexibility.
This is not a significant regulatory action and, therefore, was not
subject to review under Section 6(b) of E.O. 12866, Regulatory Planning
and Review, dated September 30, 1993. This rule is not a major rule
under 5 U.S.C. 804.
IV. Regulatory Flexibility Act
DoD, GSA, and NASA do not expect this rule to have a significant
economic impact on a substantial number of small entities within the
meaning of the Regulatory Flexibility Act 5 U.S.C. 601, et seq.
However, an Initial Regulatory Flexibility Analysis (IRFA) has been
performed and it is summarized as follows:
This rule would affect offerors that currently do not have a
CAGE code and/or are owned by another entity. This proposed rule
would require those offerors without a CAGE code and that do not
register through SAM, to request and obtain a CAGE code. In FY2011,
awards were made to 2,154 unique vendors that were not required to
register through SAM. Of these, 741 were small business vendors. In
addition, the proposed rule requires offerors to represent that, if
owned or controlled by another entity, they have entered the CAGE
code and the legal name of that entity. The Federal Government
estimates that it received offers from 413,808 unique vendors in
FY2011. Approximately 275,872 of these offers were by unique small
businesses and it is estimated that this number of small businesses
will be required to respond to the proposed ownership provision.
The Regulatory Secretariat has submitted a copy of the IRFA to the
Chief Counsel for Advocacy of the Small Business Administration. A copy
of the IRFA may be obtained from the Regulatory Secretariat. DoD, GSA,
and NASA invite comments from small business concerns and other
interested parties on the expected impact of this rule on small
entities.
DoD, GSA, and NASA will also consider comments from small entities
concerning the existing regulations in subparts affected by this rule
consistent with 5 U.S.C. 610. Interested parties must submit such
comments separately and should cite 5 U.S.C 610 (FAR Case 2012-024), in
correspondence.
V. Paperwork Reduction Act
The Paperwork Reduction Act (44 U.S.C. chapter 35) applies. The
proposed rule contains information collection requirements.
Accordingly, the Regulatory Secretariat has submitted a request for
approval of a new information collection requirement concerning
Commercial and Government Entity Code (FAR Case 2012-024) to the Office
of Management and Budget.
[[Page 23196]]
A. Annual Reporting Burden
Public reporting burden for this collection of information is
estimated to average .25 hours per response to request a CAGE code, .5
hours per response to request an NCAGE code, and .5 hours per response
for ownership reporting. These estimates include time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. The estimates were developed using FY2011
Federal procurement data.
The annual reporting burden to obtain CAGE codes is estimated as
follows:
Respondents required to obtain a CAGE code: 1,134.
Number of responses per respondent: 1.
Total annual responses: 1,134.
Preparation hours per response: .25.
Subtotal response hours: 284.
Respondents required to obtain an NCAGE code: 1,020.
Number of responses per respondent: 1.
Total annual responses: 1,020.
Preparation hours per response: .5.
Subtotal response hours: 510.
Total CAGE response burden hours: 794 hours.
The annual reporting burden is estimated as follows to respond to
ownership provision 52.204-YY requirements:
Respondents: 413,808.
Responses per respondent: 1.
Total annual responses: 413,808.
Preparation hours per response: .5.
Total response burden hours: 206,904.
The combined total of the CAGE hours and the ownership provision
hours are 207,698 response burden hours.
B. Request for Comments Regarding Paperwork Burden
Submit comments, including suggestions for reducing this burden,
not later than June 17, 2013 to: FAR Desk Officer, OMB, Room 10102,
NEOB, Washington, DC 20503, and a copy to the General Services
Administration, Regulatory Secretariat Division (MVCB), ATTN: Hada
Flowers, 1275 First Street NE., 7th Floor, Washington, DC 20417.
Public comments are particularly invited on: whether this
collection of information is necessary for the proper performance of
functions of the FAR, and 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.
Requesters may obtain a copy of the supporting statement from the
General Services Administration, Regulatory Secretariat (MVCB), ATTN:
Hada Flowers, 1275 First Street NE., 7th floor, Washington, DC 20417.
Please cite OMB Control Number 9000-0185, Commercial and Government
Entity Code in all correspondence.
List of Subjects in 48 CFR Parts 4, 12, 22, and 52
Government procurement.
Dated: April 15, 2013.
Laura Auletta,
Director, Office of Governmentwide Acquisition Policy, Office of
Acquisition Policy, Office of Governmentwide Policy.
Therefore, DoD, GSA, and NASA propose amending 48 CFR parts 4, 12,
22, and 52 as set forth below:
0
1. The authority citation for 48 CFR parts 4, 12, 22, and 52 continues
to read as follows:
Authority: 40 U.S.C. 121(c); 10 U.S.C. chapter 137; and 51
U.S.C. 20113.
PART 4--ADMINISTRATIVE MATTERS
0
2. Amend section 4.1202 by--
0
a. Removing from the introductory paragraph ``Central Contractor
Registration'' and adding ``System for Award Management'' in its place;
0
b. Redesignating paragraphs (e) through (bb) as paragraphs (f) through
(cc), respectively; and
0
c. Adding a new paragraph (e).
The added text reads as follows:
4.1202 Solicitation provision and contract clause.
* * * * *
(e) 52.204-YY, Ownership or Control of Offeror.
* * * * *
0
3. Add Subpart 4.17 to read as follows:
Subpart 4.17--Commercial and Government Entity Code
Sec.
4.1700 Scope of subpart.
4.1701 Definitions.
4.1702 Policy.
4.1703 Verifying CAGE codes prior to award.
4.1704 Solicitation provisions and contract clause.
Subpart 4.17--Commercial and Government Entity Code
4.1700 Scope of subpart.
This subpart prescribes policies and procedures for identification
of commercial and government entities when it is necessary to--
(a) Exchange data with another contracting activity, including
contract administration activities and contract payment activities;
(b) Exchange data with another system that requires the unique
identification of a contractor entity; or
(c) Identify when offerors are owned or controlled by another
entity.
4.1701 Definitions.
As used in this part--
Commercial and Government Entity (CAGE) code means--
(1) An identifier assigned to entities located in the United States
and its outlying areas by the Defense Logistics Agency (DLA) Logistics
Information Service to identify a commercial or government entity; or
(2) An identifier assigned by a member of the North Atlantic Treaty
Organization (NATO) or by NATO's Maintenance and Supply Agency to
entities located outside the United States and its outlying areas that
DLA Logistics Information Service records and maintains in the CAGE
master file. This type of code is known as an NCAGE code.
Highest-level owner means the business entity which owns or
controls one or more business entities that own or control the offeror.
Immediate owner means the business entity which has the most direct
and proximate ownership or control of the offeror.
Owner means the entity, other than the offeror, that is affiliated
with the offeror through control of the offeror as described in this
definition or, in the case of a small business, as provided in FAR part
19 and 13 CFR part 121. Business concerns, organizations, or
individuals are affiliates of each other if, directly or indirectly,
either one controls or has the power to control the other, or a third
party controls or has the power to control both. The two types of
owners are immediate owners and highest-level owners, respectively, and
these owners may be the same for some entities. Indicators of control
include, but are not limited to, interlocking management or ownership,
identity of interests among family members, shared facilities and
equipment, and the common use of employees.
[[Page 23197]]
4.1702 Policy.
(a) Commercial and government entity code. (1) Offerors shall
provide the contracting officer the commercial and government entity
(CAGE) code assigned to that offeror's location prior to the award of a
contract action above the micro-purchase threshold, except when--
(i) A condition listed at 4.605(c)(2) applies; and
(ii) The acquisition is funded by an agency other than DoD or NASA.
(2) The contracting officer shall include the contractor's CAGE
code in the contract and in any electronic transmissions of the
contract data to other systems, when it is provided in accordance with
paragraph (a)(1) of this section.
(b) Ownership or control of offeror. Offerors, if owned or
controlled by another business entity, shall provide the contracting
officer with the CAGE code and legal name of that business entity prior
to the award of a contract action above the micro-purchase threshold,
except when--
(1) A condition listed at 4.605(c)(2) applies; and
(2) The acquisition is funded by an agency other than DoD or NASA.
4.1703 Verifying CAGE codes prior to award.
(a) Contracting officers shall verify the offeror's CAGE code by
reviewing the entity's registration in the System for Award Management
(SAM). Active registrations in SAM have had the associated CAGE codes
verified.
(b) For entities not required to be registered in SAM, the
contracting officer shall validate the CAGE code using the CAGE code
search feature at http://www.dlis.dla.mil/cage_welcome.asp.
4.1704 Solicitation provisions and contract clause.
(a) Use the provision at 52.204-XX, Commercial and Government
Entity Code Reporting, in all solicitations, except when--
(1) A condition listed at 4.605(c)(2) applies; and
(2) The acquisition is funded by an agency other than DoD or NASA.
(b) Use the provision at 52.204-YY, Ownership or Control of
Offeror, in all solicitations, except when--
(1) A condition listed at 4.605(c)(2) applies; and
(2) The acquisition is funded by an agency other than DoD or NASA.
(c) Use the clause at 52.204-ZZ, Commercial and Government Entity
Code Maintenance, in all contracts resulting from solicitations
containing the provision at 52.204-XX.
PART 12--ACQUISITION OF COMMERCIAL ITEMS
0
4. Amend section 12.301 by revising paragraph (d) to reads as follows:
12.301 Solicitation provisions and contract clauses for the
acquisition of commercial items.
* * * * *
(d) Other required provisions and clauses. Notwithstanding
prescriptions contained elsewhere in the FAR, when acquiring commercial
items, contracting officers shall be required to use only those
provisions and clauses prescribed in this part. The provisions and
clauses prescribed in this part shall be revised, as necessary, to
reflect the applicability of statutes and executive orders to the
acquisition of commercial items.
(1) Insert the provision at 52.204-XX, Commercial and Government
Entity Code Reporting, as prescribed at 4.1704(a).
(2) Insert the clause at 52.204-ZZ, Commercial and Government
Entity Code Maintenance, as prescribed at 4.1704(c).
(3) Insert the clause at 52.225-19, Contractor Personnel in a
Designated Operational Area or Supporting a Diplomatic or Consular
Mission outside the United States, as prescribed in 25.301-4.
(4) Insert the provision at 52.209-7, Information Regarding
Responsibility Matters, as prescribed in 9.104-7(b).
* * * * *
PART 22--APPLICATION OF LABOR LAWS TO GOVERNMENT
22.1006 [Amended]
0
5. Amend section 22.1006 by--
0
a. Removing from paragraph (a)(2)(i)(C) ``52.204-8(c)(2)(iii) or (iv)''
and adding ``52.204-8(c)(2)(iv) or (v)'' in its place;
0
b. Removing from paragraph (e)(2)(i) ``52.204-8(c)(2)(iii)'' and adding
``52.204-8(c)(2)(iv)'' in its place; and
0
c. Removing from paragraph (e)(4)(i) ``52.204-8(c)(2)(iv)'' and adding
``52.204-8(c)(2)(v)'' in its place.
PART 52--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
0
6. Amend section 52.204-8 by--
0
a. Revising the date of the provision;
0
b. Redesignating paragraphs (c)(2)(i) through (c)(2)(vii) as paragraphs
(c)(2)(ii) through (c)(2)(viii), respectively; and
0
c. Adding a new paragraph (c)(2)(i).
The revised and added text reads as follows:
52.204--8 Annual Representations and Certifications.
* * * * *
Annual Representations and Certifications (Date)
* * * * *
(c)(2) * * *
------(i) 52.204-YY, Ownership or Control of Offeror. This
provision applies to all solicitations above the micro-purchase
threshold, except when a condition listed at 4.605(c)(2) applies.
* * * * *
0
7. Add section 52.204-XX to read as follows:
52.204-XX Commercial and Government Entity Code Reporting.
As prescribed in 4.1704(a), use the following provision:
Commercial and Government Entity Code Reporting (DATE)
(a) Definition. As used in this provision--
Commercial and Government Entity (CAGE) code means--
(1) An identifier assigned to entities located in the United
States and its outlying areas by the Defense Logistics Agency (DLA)
Logistics Information Service to identify a commercial or government
entity, or
(2) An identifier assigned by a member of the North Atlantic
Treaty Organization (NATO) or by NATO's Maintenance and Supply
Agency (NAMSA) to entities located outside the United States and its
outlying areas that DLA Logistics Information Service records and
maintains in the CAGE master file. This type of code is known as an
NCAGE code.
(b) The offeror shall enter its CAGE code in its offer with its
name and address or otherwise include it prominently in its
proposal. The CAGE code entered must be for that name and address.
Enter ``CAGE'' before the number. The CAGE code is required prior to
award.
(c) CAGE codes may be obtained via--
(1) Registration in the System for Award Management (SAM) at
www.sam.gov. If an offeror is located in the United States or its
outlying areas and does not already have a CAGE code assigned, the
DLA Logistics Information Service will assign a CAGE code as a part
of the SAM registration process. SAM registrants located outside the
United States and its outlying areas must obtain a NCAGE code prior
to registration in SAM (see paragraph (c)(3) of this provision).
(2) The DLA Logistics Information Service. If registration in
SAM is not required for the subject procurement, and the offeror
does not otherwise register in SAM, an offeror located in the United
States or its outlying areas may request that a CAGE code be
assigned by submitting a request at to be determined.
(3) The appropriate country codification bureau. Entities
located outside the United States and its outlying areas may obtain
a NCAGE code by contacting the Codification Bureau in the foreign
entity's country if that country is a member of NATO or a sponsored
nation. NCAGE codes may be obtained from the NAMSA if the foreign
entity's country is
[[Page 23198]]
not a member of NATO or a sponsored nation. Points of contact for
codification bureaus and NAMSA, as well as additional information on
obtaining NCAGE codes, are available at http://www.dlis.dla.mil/Forms/Form_AC135.asp.
(d) Additional guidance for establishing and maintaining CAGE
codes is available at http://www.dlis.dla.mil/cage_welcome.asp.
(e) Do not delay submission of the offer pending receipt of a
CAGE code.
(End of Provision)
0
8. Add section 52.204-YY to read as follows:
52.204-YY Ownership or Control of Offeror.
As prescribed in 4.1704(b), use the following provision:
Ownership of Control of Offeror (DATE)
(a) Definitions. As used in this provision--
Commercial and Government Entity (CAGE) code means--
(1) An identifier assigned to entities located in the United
States and its outlying areas by the Defense Logistics Agency (DLA)
Logistics Information Service to identify a commercial or government
entity, or
(2) An identifier assigned by a member of the North Atlantic
Treaty Organization (NATO) or by NATO's Maintenance and Supply
Agency (NAMSA) to entities located outside the United States and its
outlying areas that DLA Logistics Information Service records and
maintains in the CAGE master file. This type of code is known as an
NCAGE code.
Highest-level owner means the business entity that owns or
controls one or more business entities that own or control the
offeror.
Immediate owner means the business entity which has the most
direct and proximate ownership or control of the offeror.
Owner means the entity, other than the offeror, that is
affiliated with the offeror through control of the offeror as
described in this definition or, in the case of a small business, as
provided in FAR part 19 and 13 CFR part 121. Business concerns,
organizations, or individuals are affiliates of each other if,
directly or indirectly, either one controls or has the power to
control the other, or a third party controls or has the power to
control both. The two types of owners are immediate owners and
highest-level owners, respectively, and these owners may be the same
for some entities. Indicators of control include, but are not
limited to, interlocking management or ownership, identity of
interests among family members, shared facilities and equipment, and
the common use of employees.
(b) The offeror represents that it [--] is or [--] is not owned
or controlled as described in ``Owner'' definition in paragraph (a)
of this provision.
(c) If the offeror has indicated ``is'' in paragraph (b) of this
provision, enter the following information:
Immediate owner CAGE code: ----------.
Immediate owner legal name: ----------.
(Do not use a ``doing business as'' name)
Immediate owner is the same as highest-level owner: [--] Yes or
[--] No.
(d) If the offeror has indicated ``no'' in paragraph (c) of this
provision, indicating that the immediate owner is not the highest-
level owner, then enter the following information:
Highest-level owner CAGE code: ----------.
Highest-level owner legal name: ----------.
(Do not use a ``doing business as'' name)
(End of provision)
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9. Add section 52.204-ZZ to read as follows:
52.204-ZZ Commercial and Government Entity Code Maintenance.
As prescribed in 4.1704(c), use the following clause:
Commercial and Government Entity Code Maintenance (DATE)
(a) Definitions. As used in this clause--
Commercial and Government Entity (CAGE) code means--
(1) An identifier assigned to entities located in the United
States and its outlying areas by the Defense Logistics Agency (DLA)
Logistics Information Service to identify a commercial or government
entity, or
(2) An identifier assigned by a member of the North Atlantic
Treaty Organization (NATO) or by NATO's Maintenance and Supply
Agency (NAMSA) to entities located outside the United States and its
outlying areas that DLA Logistics Information Service records and
maintains in the CAGE master file. This type of code is known as an
NCAGE code.
(b) Contractors shall ensure that the CAGE code is maintained
throughout the life of the contract. For Contractors registered in
the System for Award Management (SAM), the DLA Logistics Information
Service shall only modify data received from SAM in the CAGE master
file if the contractor initiates those changes via update of its SAM
registration. Contractors undergoing a novation or change-of-name
agreement shall notify the Contracting officer in accordance with
subpart 42.12. The Contractor shall communicate any change to the
CAGE number to the contracting officer within 30 days after the
change, so that a modification can be issued to update the CAGE data
on the contract.
(c) Contractors located in the United States or its outlying
areas that are not registered in SAM shall submit written change
requests to the DLA Logistics Information Service. Requests for
changes shall be provided on a DD Form 2051, Request for Assignment
of a Commercial and Government Entity (CAGE) Code, to the address
shown on the back of the DD Form 2051. Change requests to the CAGE
master file are accepted from the entity identified by the code.
(d) Contractors located outside the United States or its
outlying areas that are not registered in SAM shall contact the
appropriate National Codification Bureau or NAMSA to request CAGE
changes. Points of contact for National Codification Bureaus and
NAMSA, as well as additional information on obtaining NCAGE codes,
are available at http://www.dlis.dla.mil/Forms/Form_AC135.asp.
(e) Additional guidance for maintaining CAGE codes is available
at to be determined.
(End of Clause)
0
10. Amend section 52.212-3 by--
0
a. Revising the date of the provision;
0
b. Removing from the introductory text of the provision ``ORCA'' and
``through (o)'' and adding ``the System for Award Management (SAM)''
and ``through (p)'' in its place, respectively;
0
c. Amending paragraph (a) by adding, in alphabetical order, the
definitions ``Highest-level owner'', ``Immediate owner'', and
``Owner'';
0
d. Removing from paragraph (b)(1) ``Online Representations and
Certifications Application (ORCA)'' and adding ``SAM'' in its place;
0
e. Revising paragraph (b)(2);
0
f. Removing from paragraph (c)(10)(i)(A) ``CCR'' and adding ``SAM'' in
its place; and
0
g. Removing from paragraph (l) ``a central contractor registration''
and adding ``the SAM'' in its place.
0
h. Adding paragraph (p).
The revised and added text reads as follows:
52.212-3 Offeror Representations and Certifications--Commercial Items.
* * * * *
Offeror Representations and Certifications--Commercial Items (DATE)
(a) * * *
Highest-level owner means the business entity which owns or
controls one or more business entities that own or control the
offeror.
* * * * *
Immediate owner means the business entity which has the most
direct and proximate ownership or control of the offeror.
* * * * *
Owner means the entity, other than the offeror, that is
affiliated with the offeror through control of the offeror as
described in this definition or, in the case of a small business, as
provided in FAR part 19 and 13 CFR part 121. Business concerns,
organizations, or individuals are affiliates of each other if,
directly or indirectly, either one controls or has the power to
control the other, or a third party controls or has the power to
control both. The two types of owners are immediate owners and
highest-level owners, respectively, and these owners may be the same
for some entities. Indicators of control include, but are not
limited to, interlocking management or ownership, identity of
interests among family members, shared facilities and equipment, and
the common use of employees.
* * * * *
(b)(1) * * *
(2) The offeror has completed the annual representations and
certifications
[[Page 23199]]
electronically via the SAM Web site accessed through https://www.acquisition.gov. After reviewing the SAM database information,
the offeror verifies by submission of this offer that the
representations and certifications currently posted electronically
at FAR 52.212-3, Offeror Representations and Certifications--
Commercial Items, have been entered or updated in the last 12
months, are current, accurate, complete, and applicable to this
solicitation (including the business size standard applicable to the
NAICS code referenced for this solicitation), as of the date of this
offer and are incorporated in this offer by reference (see FAR
4.1201), except for paragraphs ------.
[Offeror to identify the applicable paragraphs at (c) through
(p) of this provision that the offeror has completed for the
purposes of this solicitation only, if any.
These amended representation(s) and/or certification(s) are also
incorporated in this offer and are current, accurate, and complete
as of the date of this offer.
Any changes provided by the offeror are applicable to this
solicitation only, and do not result in an update to the
representations and certifications posted electronically on SAM.]
* * * * *
(p) Ownership or Control of Offeror. (Applies in all
solicitations, except when a condition listed at 4.605(c)(2) applies
and the acquisition is funded by an agency other than DoD or NASA.)
(1) The offeror represents that it [--] is or [--] is not owned
or controlled as described in ``Owner'' definition in paragraph (a)
of this provision.
(2) If the offeror has indicated ``is'' in paragraph (p)(1) of
this section, enter the following information:
Immediate owner CAGE code: ----------.
Immediate owner legal name: ----------.
(Do not use a ``doing business as'' name)
Immediate owner is the same as highest-level owner: [--] Yes or
[--] No.
(3) If the offeror has indicated ``no'' in paragraph (p)(2) of
this section, indicating that the immediate owner is not the
highest-level owner, then enter the following information:
Highest-level owner CAGE code: ----------.
Highest-level owner legal name: ----------.
(Do not use a ``doing business as'' name)
* * * * *
[FR Doc. 2013-09143 Filed 4-17-13; 8:45 am]
BILLING CODE 6820-EP-P