Federal Acquisition Regulation; Commercial and Government Entity Code, 23194-23199 [2013-09143]
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Federal Register / Vol. 78, No. 75 / Thursday, April 18, 2013 / Proposed Rules
Bureau at 202–418–0530 (voice), 202–
418–0432 (tty).
9. Availability of Documents.
Comments, reply comments, and ex
parte submissions will be publicly
available online via ECFS. These
documents will also be available for
public inspection during regular
business hours in the FCC Reference
Information Center, which is located in
Room CY–A257 at FCC Headquarters,
445 12th Street SW., Washington, DC
20554. The Reference Information
Center is open to the public Monday
through Thursday from 8:00 a.m. to 4:30
p.m. and Friday from 8:00 a.m. to 11:30
a.m.
Federal Communications Commission.
Kimberly A. Scardino,
Chief, Telecommunications Access Policy
Division, Wireline Competition Bureau.
[FR Doc. 2013–09154 Filed 4–17–13; 8:45 am]
BILLING CODE 6712–01–P
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
I. Background
Department of Defense (DoD),
General Services Administration (GSA),
and National Aeronautics and Space
Administration (NASA).
ACTION: Proposed rule.
AGENCY:
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
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SUMMARY:
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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: https://
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 https://
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:
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
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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 fivecharacter 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
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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.
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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
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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.
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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.
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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
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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:
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
2. Amend section 4.1202 by—
■ a. Removing from the introductory
paragraph ‘‘Central Contractor
Registration’’ and adding ‘‘System for
Award Management’’ in its place;
■ b. Redesignating paragraphs (e)
through (bb) as paragraphs (f) through
(cc), respectively; and
■ 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.
*
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*
■ 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.
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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.
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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
https://www.dlis.dla.mil/
cage_welcome.asp.
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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.
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52.204—8 Annual Representations and
Certifications.
PART 12—ACQUISITION OF
COMMERCIAL ITEMS
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]
5. Amend section 22.1006 by—
■ 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;
■ 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
■ 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
6. Amend section 52.204–8 by—
a. Revising the date of the provision;
■ b. Redesignating paragraphs (c)(2)(i)
through (c)(2)(vii) as paragraphs
(c)(2)(ii) through (c)(2)(viii),
respectively; and
■ c. Adding a new paragraph (c)(2)(i).
The revised and added text reads as
follows:
■
■
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*
*
*
*
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.
*
*
*
*
*
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
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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 https://www.dlis.dla.mil/Forms/
Form_AC135.asp.
(d) Additional guidance for establishing
and maintaining CAGE codes is available at
https://www.dlis.dla.mil/cage_welcome.asp.
(e) Do not delay submission of the offer
pending receipt of a CAGE code.
(End of Provision)
Immediate owner is the same as highestlevel 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 highestlevel owner, then enter the following
information:
Highest-level owner CAGE code: _____.
Highest-level owner legal name: _____.
(Do not use a ‘‘doing business as’’ name)
8. Add section 52.204–YY to read as
follows:
(End of provision)
■ 9. Add section 52.204–ZZ to read as
follows:
52.204–YY
Offeror.
52.204–ZZ Commercial and Government
Entity Code Maintenance.
■
Ownership or Control of
sroberts on DSK5SPTVN1PROD with PROPOSALS
As prescribed in 4.1704(b), use the
following provision:
As prescribed in 4.1704(c), use the
following clause:
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 highestlevel 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)
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 changeof-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
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Sfmt 4702
available at https://www.dlis.dla.mil/Forms/
Form_AC135.asp.
(e) Additional guidance for maintaining
CAGE codes is available at to be determined.
(End of Clause)
■ 10. Amend section 52.212–3 by—
■ a. Revising the date of the provision;
■ 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;
■ c. Amending paragraph (a) by adding,
in alphabetical order, the definitions
‘‘Highest-level owner’’, ‘‘Immediate
owner’’, and ‘‘Owner’’;
■ d. Removing from paragraph (b)(1)
‘‘Online Representations and
Certifications Application (ORCA)’’ and
adding ‘‘SAM’’ in its place;
■ e. Revising paragraph (b)(2);
■ f. Removing from paragraph
(c)(10)(i)(A) ‘‘CCR’’ and adding ‘‘SAM’’
in its place; and
■ g. Removing from paragraph (l) ‘‘a
central contractor registration’’ and
adding ‘‘the SAM’’ in its place.
■ 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 highestlevel 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
E:\FR\FM\18APP1.SGM
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Federal Register / Vol. 78, No. 75 / Thursday, April 18, 2013 / Proposed Rules
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 highestlevel 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 highestlevel 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
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
sroberts on DSK5SPTVN1PROD with PROPOSALS
48 CFR Parts 1834, 1841, 1846, 1851
and 1852
RIN 2700–AE01
NASA FAR Supplement Regulatory
Review No. 1
National Aeronautics and
Space Administration.
ACTION: Proposed rule.
AGENCY:
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Jkt 229001
NASA is updating the NASA
FAR Supplement (NFS) with the goal of
eliminating unnecessary regulation,
streamlining overly burdensome
regulation, clarifying language, and
simplifying processes where possible.
This proposed rule is the first in a series
and includes updates and revisions to
five NFS parts. On January 18, 2011,
President Obama signed Executive
Order 13563, Improving Regulations
and Regulatory Review, directing
agencies to develop a plan for a
retrospective analysis of existing
regulations. The revisions to this rule
are part of NASA’s retrospective plan
under EO 13563 completed in August
2011.
DATES: Interested parties should submit
comments to NASA at the address
below on or before June 17, 2013 to be
considered in formulation of the final
rule.
ADDRESSES: Interested parties may
submit comments, identified by RIN
number 2700–AE01 via the Federal
eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
Comments may also be submitted to
Leigh Pomponio via email at
leigh.pomponio@NASA.gov. NASA’s
full plan can be accessed at: https://www.
nasa.gov/pdf/581545main_Final%20
Plan%20for%20Retrospective%20
Analysis%20of%20Existing%20
Regulations.pdf.
FOR FURTHER INFORMATION CONTACT:
Leigh Pomponio, NASA, Office of
Procurement, email: leigh.pomponio@
NASA.gov.
SUPPLEMENTARY INFORMATION:
SUMMARY:
A. Background
The NASA FAR Supplement (NFS) is
codified at 48 CFR 1800. Periodically,
NASA performs a comprehensive
review and analysis of the regulation,
makes updates and corrections, and
reissues the NASA FAR Supplement.
The last reissue was in 2004. The goal
of the review and analysis is to reduce
regulatory burden where justified and
appropriate and make the NFS content
and processes more efficient and
effective, faster and simpler, in support
of NASA’s mission. Consistent with
Executive Order 13563, Improving
Regulations and Regulatory Review,
NASA is currently reviewing and
revising the NFS with an emphasis on
streamlining and reducing burden. Due
to the volume of the regulation, the
revisions to the regulation will be made
in increments. This proposed rule is the
first of three expected rules which
together will constitute the NFS update
PO 00000
Frm 00038
Fmt 4702
Sfmt 4702
23199
and reissue. This rule includes revisions
to parts 1834, 1841, 1846, 1851, and
1852 of the NFS. Further, this rule
provides notice that no regulatory
changes will be made to parts 1814,
1815 (exclusive of subpart 1815.4),
1818, 1822, 1824, and 1843.
NASA analyzed the existing
regulation to determine whether any
portions should be modified,
streamlined, expanded, or repealed.
Special emphasis was placed on
identifying and eliminating or
simplifying overly burdensome
processes that could be streamlined
without jeopardizing Agency mission
effectiveness. Additionally, NASA
sought to identify current regulatory
coverage that is not regulatory in nature,
and to remove or relocate such coverage
to internal guidance. In addition to
substantive changes, this rule includes
administrative changes necessary to
make minor corrections and updates.
Specifically, the changes in this rule are
summarized as follows:
Part 1815: No regulatory changes to
Part 15 but note that two corresponding
clauses are revised. The pre-proposal
clause at 1852.215–77 is revised to add
additional information on security
information required for attendance at
conferences at NASA field locations.
The clause entitled Proposal Page
Limitations at 1852.215–81 is revised to
clarify the maximum acceptable
proposal page counts.
Part 1834:
1. Administrative changes are made to
policy on Earned Value Management
System which correct nomenclature and
Web site references.
2. In Notice of Earned Value
Management System provision at
1852.234–1, a requirement is added for
offerors to provide a matrix that
correlates each guideline in ANSI/EIA
748 (current version at time of
solicitation) to the corresponding
process in the offeror’s written
management procedures; the rule also
updates Web site and references in the
provision.
3. In Earned Value Management
System clause at 1852.234–2,
administrative changes are made to
correct nomenclature and add a Web
site reference.
Part 1841: Subpart 1841.5—
Solicitation Provision and Contract
Clauses, is deleted in its entirety. Clause
text at 1852.241–70, Renewal of
Contract, is removed. The prescription
and clause are removed because the
clause at FAR 52.217–9 is sufficient to
provide for a contract extension or
renewal. A NASA-unique clause to
address extension and renewal in a
utility contract is not necessary.
E:\FR\FM\18APP1.SGM
18APP1
]]>Agencies
[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]
=======================================================================
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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: https://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 https://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 https://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 https://www.dlis.dla.mil/Forms/Form_AC135.asp.
(d) Additional guidance for establishing and maintaining CAGE
codes is available at https://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)
0
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 https://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
