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   <concept id="DFARS_PGI_204.1870-2"
            outputclass="4"
            ditaarch:DITAArchVersion="1.2"
            class="- topic/topic concept/concept ">
      <title class="- topic/title ">
         <ph props="autonumber" class="- topic/ph ">PGI 204.1870-2</ph> Maintenance of the CAGE file.</title>
      <conbody class="- topic/body  concept/conbody ">
         <p class="- topic/p ">The following information and procedures are provided
to assist contracting officers.</p>
         <p outputclass="List1" class="- topic/p ">(a) <i class="+ topic/ph hi-d/i ">Assignment of CAGE codes for entities
located in the United States or its outlying areas</i>.</p>
         <p outputclass="List2" class="- topic/p ">(1) CAGE codes are assigned per legal entity
at individual physical addresses (i.e., the same entity at the same
physical address will not be assigned two or more CAGE codes). The
only exception to this rule is when an entity has a registration
in the SAM with multiple EFT addresses identified by multiple DUNS+4
numbers. In this case, each DUNS+4 number record is assigned a separate
CAGE code to assist in correct processing of payments.</p>
         <p outputclass="List2" class="- topic/p ">(2) CAGE codes are not assigned to mailing
addresses; a physical address shall be provided. Neither U.S. Post
Office boxes nor addresses that can be identified as belonging to
commercial mail and/or shipping provider locations will be accepted as
physical addresses.</p>
         <p outputclass="List2" class="- topic/p ">(3) CAGE codes are not assigned to entities
where the provided physical address is identified as a short-term
virtual location, such as mobile offices, commercial packaging/mailing
facilities (e.g., UPS stores, FedEx stores), mailbox rentals and
certain business incubator locations if the majority of the operations
are not performed from that incubator location. A sole proprietor,
partnership, corporate entity, or other business organization shall
have a principal place of business, even if it is a home office,
from where the business operates and record books are maintained.
In that case, a home address of an officer of the company or board
member would be required.</p>
         <p outputclass="List2" class="- topic/p ">(4) Individuals who register in SAM as
sole proprietors are assigned CAGE codes. However, there may not
be multiple CAGE codes assigned to the same location even if the
entity names are differentiated by establishing a Limited Liability Corporation
(LLC) (e.g., “John Smith” and “John Smith, LLC”). Additionally,
the standard for the legal business name for sole proprietors, driven
by Internal Revenue Service (IRS) standards, is the use of the individual’s
personal name. Any additional name used for the sole proprietorship
should be identified as a doing business as (DBA) name (e.g., “John
Smith” is the legal business name, “Smith Construction” is the DBA).</p>
         <p outputclass="List2" class="- topic/p ">(5) Authorized agents or brokers may be
assigned CAGE codes for identification and processing purposes.
A single CAGE code will be assigned to the agent or broker entity
in addition to any codes assigned to the entities represented by
the agent or broker (i.e., only one code will be assigned to a specific
agent or broker entity regardless of the number of firms represented
by that agent or broker). Codes will not be assigned to an agent
or broker in care of the entity being represented or in any way
infer that the agent or broker is a separate establishment bearing
the name of the entity represented by the agent or broker.</p>
         <p outputclass="List2" class="- topic/p ">(6) There are some cases where both the
owner of real property and a separate legal entity located at the
same address as the real property each are required to have CAGE
codes assigned. Examples are an office building owner and a tenant in
the office building, or a land owner and a company using all or
a portion of the land to farm. Additional cases exist where two
separate entities may lease office space in the same building and
both require CAGE codes. In both of these situations, the most specific
physical address will be requested (i.e., specific additions of
suites, floors, or room numbers) to distinguish between the two
entities. If no more specific physical address is able to be identified,
then documentation such as that listed in PGI 
               <xref href="#DFARS_PGI_204.1870-2"
                  base="DFARS-PGI_PGI_204.1870-2"
                  outputclass="fm:ParaNumOnly"
                  class="- topic/xref ">204.1870-2</xref>
            (c)(3)(i)(A)
will be requested to ensure that the entities are separate legal
entities.</p>
         <p outputclass="List1" class="- topic/p ">(b) <i class="+ topic/ph hi-d/i ">NCAGE code assignment for entities
located outside the United States and its outlying areas managed
via established NATO processes</i>. SAM records received by the
CAGE code system for validation shall—</p>
         <p outputclass="List2" class="- topic/p ">(1) Include an NCAGE that has been received
from the NATO Support Agency’s (NSPA’s) common database. The frequency
with which local country code bureaus update the common database
differs by the country. While most updates occur within a week,
it can take up to a month to process. The CAGE code system will
hold a validation request from SAM for three (3) days before rejecting
it because the NCAGE does not appear to exist; and</p>
         <p outputclass="List2" class="- topic/p ">(2) Include a legal business name and physical
address that matches the address on the NSPA database in order to
be validated.</p>
         <p outputclass="List1" class="- topic/p ">(c) <i class="+ topic/ph hi-d/i ">Changes of information on the CAGE
code record</i>.</p>
         <p outputclass="List2" class="- topic/p ">(1) The DLA CAGE Branch accepts written
requests for changes to CAGE files from the following sources:</p>
         <p outputclass="List3" class="- topic/p ">(i) The company, organization, or sole
proprietor entity identified by the code, if located in the United
States or its outlying areas.</p>
         <p outputclass="List4" class="- topic/p ">(A) For CAGE records for which there is
a corresponding registration in SAM, the entity shall update their
Dun &amp; Bradstreet (D&amp;B) record to begin the process and then
proceed to update and submit their SAM registration for validation.
If the update includes a change to the entity’s legal business name,
the additional steps at PGI 
               <xref href="#DFARS_PGI_204.1870-2"
                  base="DFARS-PGI_PGI_204.1870-2"
                  outputclass="fm:ParaNumOnly"
                  class="- topic/xref ">204.1870-2</xref>
            (c)(3)(i)(C)
will be necessary.</p>
         <p outputclass="List4" class="- topic/p ">(B) For CAGE records for which there is
not a corresponding registration in SAM, the entity shall use company letterhead
to request a change to their CAGE code record. Submit requests for
changes to CAGE files, when there is not a corresponding SAM record,
at https://cage.dla.mil or using a DD Form 2051 (available at http://dtic.mil/whs/directives/forms/eforms/dd2051.pdf).
The form may be emailed to cagemail@dla.mil, or a hard copy mailed to—</p>
         <p class="- topic/p ">DLA CAGE Branch</p>
         <p class="- topic/p ">74 Washington Avenue</p>
         <p class="- topic/p ">Battle Creek, MI 49037</p>
         <p class="- topic/p ">Telephone Number: toll-free 877-352-2255</p>
         <p outputclass="List3" class="- topic/p ">(ii) The Government contracting office
on agency letterhead.</p>
         <p outputclass="List3" class="- topic/p ">(iii) The Government contract administration
office on agency letterhead.</p>
         <p outputclass="List2" class="- topic/p ">(2) The DLA CAGE branch refers requests
for changes to CAGE files from entities located outside the United
States and its outlying areas as follows:</p>
         <p outputclass="List3" class="- topic/p ">(i) Entities located in a NATO or NATO-sponsored
nation shall contact their codification bureau. A listing of codification
bureaus is found at http://www.nato.int/structur/AC/135/main/links/contacts.htm.</p>
         <p outputclass="List3" class="- topic/p ">(ii) Entities located in a country that
is neither in NATO nor sponsored by NATO shall contact the NATO
Support Agency (NSPA) at ncage@nspa.nato.int or request update after
searching for their CAGE code at https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx.</p>
         <p outputclass="List2" class="- topic/p ">(3) When a request is received by DLA (either
directly or via an entity-updated SAM registration submitted for
validation) that includes a change to the entity’s legal business
name as recorded within the CAGE file, the DLA team will contact the
entity and process the request in accordance with the following
procedure:</p>
         <p outputclass="List3" class="- topic/p ">(i) If the entity indicates that it does
not hold any active federal Government contracts or any outstanding
invoices on a physically complete contract, the entity will be asked
to provide the following to DLA—</p>
         <p outputclass="List4" class="- topic/p ">(A) Signed legal documentation that confirms
the formal name change and accurately reflects the change requested. Examples
of acceptable documentation include: Articles of Incorporation,
Articles of Organization, Bill of Sale, Asset Purchase Agreement,
Secretary of State documentation, and Legal Merger or Acquisition
documentation. DLA will not accept Internal Review Service (IRS)
documentation or validation, as the IRS does not require the use
of the legal business name. Sole proprietors will need to provide
their filings for one of the following: Fictitious Business Name,
Assumed Name, Trade Style Name, or Business License. DLA may use
information found at state government websites in lieu of requesting
documentation from the entity to confirm the name if it is available;</p>
         <p outputclass="List4" class="- topic/p ">(B) Written statement that they do not
have active federal contracts or any outstanding invoices on a physically
complete contract; and</p>
         <p outputclass="List4" class="- topic/p ">(C) After receipt of the documentation
in (A) and (B), DLA will process the change. If the initial request
was received from SAM as a part of the CAGE validation process,
the processed change will be communicated back to SAM.</p>
         <p outputclass="List3" class="- topic/p ">(ii) If the entity indicates it does hold
active Federal Government contracts, the entity will be asked to
provide an indication in writing (may be provided by email) if the
change in legal business name is a result of an acquisition, merger, or
other situation related to recognition of a successor in interest
to Federal Government contracts when contractor assets are transferred,
which would necessitate a novation agreement be executed.</p>
         <p outputclass="List4" class="- topic/p ">(A) If the entity indicates that the change
in legal business name is not a result of an acquisition merger
or other situation as indicated above; the entity will be asked
to confirm, in writing (may be provided by email) that it has advised
each of the respective Government contracting officers necessary
to process name-change agreements in accordance with FAR Subpart 42.12 requirements.
Additionally, DLA will ask the entity to provide a copy of the change-of-name
agreement (see FAR 42.1205)
signed by the entity. DLA will not process a change to the CAGE file
without a copy of the signed change-of-name agreement, or confirmation
from the cognizant Government contracting officer that processing
a change to the CAGE file prior to the signed change-of-name agreement
being completed is permissible. Note that the modification action
that incorporates the change-of-name agreement into the contract
is an acceptable method of providing the change-of-name agreement.
However, if the modification is not able to be issued until the
CAGE code information is updated, the change-of-name agreement itself
will suffice.</p>
         <p outputclass="List4" class="- topic/p ">(B) If the entity indicates that the change
in legal business name is a result of an acquisition, merger, or
other situation as indicated above, DLA will request the entity
to provide the Novation Agreement that has been executed by the cognizant
Government contracting officer (see FAR 42.1204) as well as the contact
information for that contracting officer. DLA may, based on the
content of the Novation Agreement, request that the contracting
officer provide additional information regarding any Government
interest in whether CAGE codes are transferred to the successor in
interest. DLA will not process a change to the CAGE file without
a copy of the executed Novation Agreement, or confirmation from
the cognizant Government contracting officer that processing a change
to the CAGE file prior to the novation agreement being completed
is permissible. Note that the modification action that incorporates the
Novation Agreement into the contract is an acceptable method of
providing the Novation Agreement. However, if the modification is
not able to be issued until the CAGE code information is updated,
the Novation Agreement itself will suffice.</p>
         <p outputclass="List6" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">1</i>) When contacted by DLA in relation
to a name change resulting from a novation, contracting officers
shall provide DLA the following information:</p>
         <p outputclass="List7" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">i</i>) Name(s), address(es), and code(s)
of the contractor(s) transferring the original contractual rights
and obligations (transferor).</p>
         <p outputclass="List7" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">ii</i>) Name(s), address(es), and code(s)
(if any) of the entity who is the successor in interest (transferee).</p>
         <p outputclass="List7" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">iii</i>) Name(s), address(es), and
code(s) (if any) of the entity who is retaining or receiving the
rights to the technical data.</p>
         <p outputclass="List7" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">iv</i>) Description of the circumstances
surrounding the novation agreement and especially the relationship of
each entity to the other.</p>
         <p outputclass="List6" class="- topic/p ">(<i class="+ topic/ph hi-d/i ">2</i>) Note that if the name change
request was received as a part of a registration from SAM update,
and this situation applies, the update will be sent back to SAM
as rejected by CAGE validation if a copy of the executed Novation
Agreement or confirmation from the cognizant Government contracting
officer is not available within 10 business days. The entity may
resubmit the update in SAM with the changed legal name at such point
this information becomes available.</p>
         <p outputclass="List2" class="- topic/p ">(4) If the initial request was received
from SAM as a part of the CAGE validation process, a processed change
will be communicated back to SAM.</p>
         <p outputclass="List2" class="- topic/p ">(5) Note that DLA does not follow the process
outlined in (c)(3) above for minor changes in the legal business
name received from SAM during validation, such as changing an “and”
to “&amp;”; inserting or removing abbreviations, such as changing
“Co.” to “Company”; inserting or removing a space between words
in an entity’s name; or inserting or removing acronyms or wording
identifying a type of incorporated status, such as “Inc.” or “LLC”.
These changes are processed and communicated back to SAM.</p>
      </conbody>
   </concept>
</dita>
