System for Award Management Non-Federal User Guide

Table of Contents

1      Welcome to SAM

1.1       What is SAM?

1.2       The Federal Procurement World of the Past and Future

1.3       Who Should Use SAM?

1.4       Public User Capability

1.5       Navigating SAM

2      User Account Management in SAM

2.1       Types of Accounts

2.1.1       Individual User Account

2.2       Account States

2.2.1       Active

2.2.2       Inactive

2.2.3       Deactivated

2.3       Features of an Individual Account

2.3.1      My SAM Page

2.3.2      Account Settings

2.3.3      Data Access

2.3.4      Accessing Your Saved Searches

3      SAM User Roles

3.1       Roles

3.1.1      Entity Registration Viewer

3.1.2      Entity Registration Representative

3.1.3      Reporter

3.1.4      Entity Administrator

3.2       Managing Your Roles

3.2.1      Migrating a Legacy Account to SAM

3.2.2      Requesting a Role with an Entity

3.2.3      Managing Roles with an Existing Entity

3.2.4      Managing Invitations to Accept Roles from an Administrator

3.2.5      Accepting an Invitation to Join SAM

4      Entity Management Registration

4.1       Who Registers in SAM Entity Management?

4.1.1      What You Need Before Getting Started

4.2       Determining your Purpose of Registration

4.3       Registering Your Entity if you are interested in Federal Assistance Awards Only

4.3.1      Entering Core Data

4.3.2      Entering Points of Contact (POC)

4.3.3      Submitting Your Registration

4.4       Registering Your Entity if you are interested in Federal Contracts

4.4.1      Entering Core Data

4.4.2      Entering Assertions

4.4.3      Entering Representations and Certifications

4.4.4      Entering Points of Contact (POCs)

4.4.5      SBA Supplemental Page

4.4.6      Submitting Your Registration

4.5       Status Indicators For Your Registrations

4.5.1      SAM Status Tracker

4.6       Maintaining Your Entity's Data

4.6.1      Printing and Saving Your Entity's Record

4.6.2      Downloading Your Active SAM Registrations (XML)

4.6.3      Your Responsibilities

4.6.4      Editing Your Entity's Data

4.6.5      Data Received From External Sources

4.7       Deactivating an Entity Registration

5      Administrator Roles

5.1       Entity Administrators

5.1.1      Becoming an Administrator in SAM

5.2       Managing Entity Users

5.2.1      Inviting Users to Your Entity

5.2.2      Managing Existing Users

5.2.3      Managing Role Requests

5.2.4      Managing Hierarchy Registration Requests

6      Search

6.1       Accessing Search

6.2       Advanced Search

6.3       Entity Search

6.3.1      Viewing Records

6.4       Exclusion Search

6.4.1      Exclusions Overview

6.4.2      Advanced Search – Exclusion Records

6.4.3       Viewing Record History

6.5       Disaster Response Registry Search

6.6       Downloading Search Results

6.7       Saving and Running Search Queries

7      SAM Help

7.1       SAM Help Pages

7.2       SAM Assistant Tool

8      About SAM

8.1       About Pages

9      BioPreferred Report

9.1       Reporting

9.2       Required Data

9.3       Accessing BioPreferred Functionality

9.4       Creating BioPreferred Reports

9.5       Editing BioPreferred Reports

9.6       BioPreferred Reporting Period

10    Service Contract Report (SCR)

10.1      Reporting Requirements

10.2       Transmission of Contract Action Reports from FPDS to SAM

10.3       SCR Required Data

10.4       Accessing SCR Functionality

10.5       Creating SCRs

10.6       Editing/Deleting SCRs

      Appendix A - Acronym List

      Appendix B - Glossary

1 Welcome to SAM

1.1 What is SAM?

The General Service Administration’s (GSA) Office of the Integrated Aquisition Environment (IAE) is consolidating the government-wide acquisition and award support systems into one new system: the System for Award Management (SAM). SAM is streamlining processes, eliminating the need to enter the same data multiple times, and consolidating hosting to make the process of doing business with the government more efficient.

1.2 The Federal Procurement World of the Past and Future

Automation of the federal procurement and awards processes has evolved over time through development of systems to perform individual steps in the process. Paper-based systems and business processes were automated as the internet became widely available. These systems were adopted across the Federal Government and are now managed under one organization. The Integrated Aquisition Environment (IAE) manages these systems and their system capabilities have been organized around six key functional areas.

Table 1.1:  IAE Functional Areas

Functional Area

Capabilities

Legacy Systems

Entity* Management

Register/Update Entity core data

Manage certifications / representations

CCR/FedReg – Central Contractor Registration/Federal Agency Registration

ORCA – Online Representations and Certifications Application

Award Management

Post solicitation and award data

Maintain government-wide contract award data

Manage government-wide subcontractor data

FBO – Federal Business Opportunities

FPDS-NG – Federal Procurement Data System-Next Generation

eSRS/FSRS – Electronic Subcontracting Reporting System/FFATA Subaward Reporting System

Wage Data

Access wage determinations

WDOL – Wage Determinations Online

Performance Information

Manage/maintain past performance information

Manage exclusion list

PPIRS/CPARS/FAPIIS – Past Performance Information Retrieval System

EPLS – Excluded Parties List System

Assistance Program Catalog

Create/maintain assistance program catalog

CFDA – Catalog of Federal Domestic Assistance

Support

Provide security/access control

Provide reporting/communications support

Provide internal controls

*For the purposes of this capability area, Entity refers to prime contractors, organizations or individuals applying for assistance awards, those receiving loans, sole proprietors, corporations, partnerships, and any Federal Government agencies desiring to do business with the government.

SAM is being developed in phases. Phase 1, released in July 2012, included the capabilities found previously in Central Contractor Registration (CCR)/Federal Agency Registration (FedReg), Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS).

1.3 Who Should Use SAM?

SAM is used by anyone interested in the business of the Federal Government, including:

  • Entities (contractors, federal assistance recipients, and other potential award recipients) who need to register to do business with the government, look for opportunities or assistance programs, or report subcontract information;
  • Government contracting and grants officials responsible for activities with contracts, grants, past performance reporting and suspension and debarment activities;
  • Public users searching for government business information.

1.4 Public User Capability

SAM includes information of various sensitivity levels. Public data is available to search and view without having to login or register for a SAM account. Information that was previously publicly available in the legacy systems has been moved to SAM—and will remain publicly available in SAM. Public users that want to save their searches must register for a SAM user account.

1.5 Navigating SAM

SAM provides a standardized format across all web content pages making it easy to navigate and find information. There are several persistent areas in SAM.gov that can be found in the same location on every page of the system.

  • Banner – Found across the top of each SAM.gov page. You can use the banner to log in or out of the system, access the Login.gov FAQs page, and access the SAM homepage.
  • Navigation Bar – Each page in SAM.gov contains a main navigation bar along the top of the screen. The tabs navigate you to your SAM Homepage, Search Records, Data Access, Check Status (for the SAM Status Tracker), About, and Help pages.
  • Back Button – While navigating through SAM.gov, the back button on your web browser is disabled. To move from page to page, you will need to use either the navigation bar or the “Previous” button.

Figure 1.1: SAM Navigation

The Navigation Bar allows you to access different sections of SAM.

  • HOME / MY SAM – Once you login to SAM, HOME changes to MY SAM. The MY SAM navigation link gives you access to all the actions you may perform based on your user role.
  • SEARCH RECORDS – allows you to perform quick or advanced full text searches with or without an account. Without an account, you will only be able to see publicly available information.
  • DATA ACCESS – provides details for accessing SAM data via Pipe-Delimited downloads. It provides access to various types of extracts in three subsections: Public Extracts, EM (Entity Management Extracts), and Exclusions Interfaces. This section also includes General Data Access Information. For more information, see the Data Access User Guide under the Help Section – User Guides.
  • CHECK STATUS – allows you to quickly check an entity's registration status in SAM by entering a DUNS Number or CAGE Code. The SAM Status Tracker will show you the status of the entity associated with that DUNS Number or CAGE Code, as well as tell you what steps are left to complete based on why they are registering.
  • “ABOUT” – provides key information about SAM, news and announcements that may provide valuable information for you, and contact information associated with SAM.
  • HELP – provides useful information on SAM such as User Guides, FAQs, informational videos, and external resources. This should be the first place to check if you have any SAM related questions.

On most pages in SAM, you will find a Navigation Panel on the left side of the page.

► The Navigation Panel contains a list of links to help you navigate to different pages within that SAM tab. For example, if you are on the Help tab, the Navigation Panel allows you to navigate to FAQs, User Guides, International Registrants, Demonstration Videos, and Exclusions Information.

Figure 1.2: SAM Left Navigation Panel

left nav panel

2 User Account Management in SAM

In this section you can learn about the different types of accounts in SAM, how to create an account, and what you can do with a SAM account. You can also read about the permissions that you can have in SAM. Before reading on, note that mandatory fields are marked with an asterisk (*) to help you understand what data is required.

NOTE: To further increase security and deter fraud, SAM.gov is partnering with Login.gov to implement multi-factor authentication for registered SAM.gov users. Effective June 29, 2018, when you go to SAM.gov and log in, you will be asked to create a Login.gov user account. Your current SAM.gov username and password will no longer work.

2.1 Types of Accounts

There are two types of SAM accounts: individual accounts and system accounts. In most cases, an individual account is probably what you need.

An individual account:

  • Contains your own user information.
  • May stay with you even when your role in your organization or the permissions you need to do your job change.
  • Just because you have an account does not mean you can create or edit records, to do those activities you must have roles with an entity. With an account, Federal Government employees can also request access to view sensitive data through search or extracts.

A system account:

  • Represents a particular information technology (IT) system.
  • Is primarily for systems which need to automate the pull of SAM data through extracts or web services.
  • Is useful if multiple users in your organization need to access the same extract or web service.

The sections below focus on individual accounts. System accounts are discussed in more detail in the Data Access User Guide, which can be found on the Help> User Guide> Full User Guides page.

2.1.1 Individual User Account

When creating an individual account, there is only a minimal amount of information that you must enter.While you can provide additional information, you are only required to enter:

  • Your First Name
  • Your Last Name
  • Country (select your option from the dropdown list provided)
  • Phone Number
  • Username
  • Your security question responses

Username: This unique identifier will be permanently associated with your SAM account. Once chosen, it may not be changed. SAM account usernames may never be reused, so once an account with a username is created, no other account may ever use that username, even if the account with that username is deactivated. The username must be between six and thirty-five characters. It may contain letters, numbers, and certain special characters: the period, the @ symbol, the underscore, or the hyphen. Special characters may not be entered consecutively and the username cannot contain spaces. Lastly, the username cannot begin or end with a special character and cannot be all numeric.

An individual account, and therefore a username, can move with you when you leave an organization if you or the organization you were originally associated with allows this (your access and roles will not transfer). It is for this reason that we recommend that you not use your email as your username. Your organization may impose certain guidelines regarding your selection of a username, such as the use of a prefix. Please refer to your internal processes to determine if this applies to you.

Email Address:The email address will be pre-populated based on the account you created and authenticated via login.gov. This field will NOT be editable. To change the email address, you will need to update your login.gov account. This email address serves as a primary means of communicating with you for features such as notifications, alerts, and policy changes. A given email address may only be associated with one username at a time. If you have more than one email address, you should use the one that is most closely associated with your job function when you create your login.gov account. For example, if you are using SAM as a representative of your work-place, you should use the employer-provided email address from that entity if possible. This will help easily identify you as a member of that entity, which can help when making requests and performing other functions requiring administrator involvement.

If your email address changes for any reason, you should immediately update your login.gov account. The SAM account email address will automatically be updated the next time you log in. Failure to do so may prevent you from receiving alerts and notifications.

If your email address changes for any reason, you should immediately update your SAM user profile. Failure to do so may prevent you from accessing your SAM account if you should ever forget your username or password.

2.1.1.1 Creating an Individual User Account

To create a new SAM user account, follow these steps:

  • Select Log In on the SAM homepage. Complete all required authentication steps via login.gov. Note that the email address you use to create and authenticate your login.gov account will be your SAM Individual User email address. You will NOT be able to edit this email address in SAM.
    • Once you complete the login.gov authentication, select Continue to return back to SAM.
    • Figure 2.1: Create an Account

    • On the Create an Account -> Choose Account Type page, you can find more information on individual and system accounts. Become familiar with the differences. If you determine that an individual account is appropriate, select Create Individual Account in the Individual Account Details section.
    • Figure 2.2: Choose Account Type

      choose account

    • The first account creation page is titled Create Individual Account: User Information. Enter the information that pertains to you. Complete the security questions and answers. NOTE: Answers to security questions are not case sensitive. These provide an alternate method of validating your identity in certain scenarios (such as if you don’t have access to your email account). When complete, select Next.
    • On the summary screen, review the answers provided. If you need to change anything, select Edit. Once you’ve confirmed that all the data is accurate, select Submit.
    • Once you submit, your individual account will automatically be active. You do not need to take any further action. You will receive a confirmation email from SAM.gov.

    2.2 Account States

    There are several different states that your account can be in. Read below to find out more information on the different states.

    2.2.1 Active

    The Active state is the normal state for your account. In this state, you can login to SAM and perform all necessary functions.

    2.2.2 Inactive

    Your account can become Inactive either after an extensive period of user inactivity, or if you choose to manually deactivate the account. If you have roles, those roles will be removed, and SAM will notify your administrator(s). To prevent the account from becoming inactive, you should log in to SAM at least once every 13 months (395 days).

    2.2.3 Deactivated

    Only the SAM Help Desk can shut down or permanently deactivate your account. When this happens, you will be unable to login and must contact the SAM Help Desk to reactivate your account.

    2.3 Features of an Individual Account

    While many of SAM’s features are available to the public without a SAM account, there are a number of benefits to creating an individual account. When you create an account, SAM considers you an Authenticated User. This means that you have an account but you do not have any roles yet. See below for the functionality you can access.

    2.3.1 My SAM Page

    When you login to SAM, the first page that you see is your My SAM page. This is the centralized location for all the functionality you need access to in SAM. When you are logged into your account, you can always access this page by selecting the My SAM tab in the navigation bar.

    Figure 2.3 is an example of a My SAM page for an individual user without any extra permissions.

    Figure 2.3: My SAM Page

    SAM homepage

    On the left side of the page are your navigation links. These give you access to the functionality you need to do your job. Each header contains a list of processes and pages. Select on a header to see the links underneath. As you acquire roles in SAM, you will gain access to additional links. The sections below will cover the links that individual accounts have access to on their My SAM page.

    2.3.2 Account Settings

    If you need to update any of your account information, select Edit User Information underneath the My Account Settings header on your My SAM page.

    Figure 2.4: User Information

    user info

    ►You can change any information in your user profile except your username and email address.

    2.3.2.1 Deactivating or Reactivating an Account

    If you know you will not use SAM in any capacity in the future or if you do not wish to maintain your SAM account, you may choose to deactivate your SAM account. When you do this, all roles that are associated with your account will be permanently removed, and your account will be placed in an inactive status. To do this:

    • From the navigation panel on the left side of the screen, choose Account Settings, then Deactivate Account.
    • You may optionally specify a reason for the deactivation to assist the SAM Program Office in its administrative efforts. Select Next.
    • Confirm that you wish to deactivate your account by selecting Deactivate. This will complete the process.

    To reactivate your account, see Inactive accounts.

    2.3.3 Data Access

    All users have access to public data. If you need access to additional data not available to you presently, you can request access by completing a Data Access Request form. All requests for data must be approved by the SAM Program Management Office (PMO). You can see your data access options underneath the Data Access header on your My SAM page. For more information, see the Data Access User Guide.

    2.3.4 Accessing your Saved Searches

    With an individual account, you can save searches that you perform in SAM to run them again in the future. To access your saved searches, on your My SAM page, select General from the sub-navigation menu and then select My Saved Queries. For more information, see Search.

    3 SAM User Roles

    SAM is a roles based system. Roles allow you to access additional functionality in SAM and perform actions on behalf of an entity. Just because you have an account does not mean you can perform certain functions.

    As you read this user guide (and navigate the site), keep in mind that the term entity is used generically to mean anything that you can have a role with and perform an action on behalf of in SAM. There are several types of entities in SAM; however, they are generally grouped into two categories: non-federal government and Federal Government. This user guide specifically looks at non-federal government entities and thus will be deemed “entities” moving forward.

    Entities in SAM include businesses, organizations, state governments, local governments, tribal governments, and foreign governments. For an entity to exist in SAM, it must have an Entity Management registration (also referred to as an entity registration). An Entity Management registration is the registration that makes you eligible for contracts or grants and Federal assistance awards. An entity cannot make roles available to its employees without an Entity Management registration.

    Entities have an organizational hierarchy; depending on your role, you may be able to perform actions on behalf of children entities in your organization’s hierarchy. For instance, if you are assigned an administrator role at the highest level entity in your hierarchy, you can assign roles at any lower level entities in the hierarchy.

    Note: SAM constructs organizational hierarchies based on information provided from Dun and Bradstreet (D&B). If there are any updates needed to your organization’s hierarchy, please contact D&B directly. Customers located within the United States, including Puerto Rico and the U.S. Virgin Islands, can contact D&B at govt@dnb.com or 1-866-705-5711. All other customers should contact D&B at SAMhelp@dnb.com..

    Depending on which roles you have, you can:

    • Create/edit/delete your entity’s contract or grant and Federal assistance registration.
    • Assign/remove users’ roles with your entity. NOTE: The Administrator Role in SAM has a robust set of permissions that they can perform for their entity. These permissions are detailed and further explained here.

    You can have multiple roles in SAM and you can also have roles with multiple entities. However as a general rule, you cannot have roles with both Federal Government entities and non-federal government entities.

    3.1 Roles

    Below are the roles that are available with non-federal government entities. While the bulk of the entities that roles are assigned to are businesses or organizations, they are also relevant to state and local governments, tribal governments, and foreign governments who wish to be eligible for contracts and/or grants with the U.S. Federal Government.

    3.1.1 Entity Registration Viewer

    As the Entity Registration Viewer, you can:

    • View (but not update) your entity’s entire Entity Management registration.
    • Search public data
    • Save search results

    ►Formerly View Only User in CCR

    You can request this role, or your Entity Administrator can assign it to you. Please check your organization’s policies.

    3.1.2 Entity Registration Representative

    As the Entity Registration Representative, you can access all the functionality that an Entity Registration Viewer can access, as well as additional functionality. You can:

    • View your entity’s entire Entity Management registration.
    • Update and renew your entity’s Entity Management registration.
    • Search public data.
    • Save search results.
    • Create/update/delete Service Contract Reports (SCR) and BioPreferred Reports

    ►Formerly “Maintenance User” in CCR

    You can request this role, or your Entity Administrator can assign it to you. Please check your organization’s policies.

    3.1.3 Reporter

    As the Reporter, you are primarily responsible for maintaining your entity’s report data for the purpose of annual roll-up reporting requirements. You can:

    • Create/update/delete Service Contract Reports (SCR) and BioPreferred Reports
    • View (but not update) limited data for your entity’s Entity Management registration.

    You can request this role, or your Entity Administrator can assign it to you. Please check your organization’s policies.

    3.1.4 Entity Administrator

    As the Entity Administrator, you can access the same functionality that your entity’s users (Entity Registration Representative, Reporter, and Entity Registration Viewer) can access and you can also manage users. You can:

    • View your entity’s entire Entity Management registration. This includes any entities underneath you in your organization’s hierarchy.
    • Update and renew your entity’s Entity Management registration. You can update an Entity Management registration for your entity and any entities below you in your organization’s hierarchy.
    • Deactivate your entity’s Entity Management registration.
    • Create/update/delete Service Contract Reports (SCR) and BioPreferred Reports.
    • Manage and assign which users have roles with your entity.
    • Approve or reject hierarchy registration requests.

    ►Formerly “Administrator” in CCR

    You can request this role, or your Entity Administrator can assign it to you. Please check your organization’s policies.

    Since an Entity Administrator can access the functionality of all its users, you do not need to assign the other roles for your entity if you so wish.

    Note: The first user to register a non-federal government entity in SAM is automatically assigned the Entity Administrator role.

    3.2 Managing Your Roles

    With an individual account, you have the ability to manage your own roles. Although you cannot grant yourself roles in the system without an administrator’s approval, you can:

  • Request roles with a new entity
  • Request additional roles with an entity
  • Remove your own roles
  • Respond to invitations to join new entities

3.2.1 Migrating a Legacy Account to SAM

Please note, as of October 2017, users will no longer be able to migrate legacy accounts. If you require access to an existing entity registration, you will need to request a role from the existing entity administrator. To complete the role request for an existing entity registration:

  • If you haven’t already done so you will need to create a new user account in SAM. Select Log In on the SAM homepage and complete creating a new account. For more information, see Creating an Account.
  • Once you have created an individual SAM account, login to your account and select My User Roles from the sub-navigation menu and then select Request Role with New Entity. Please be prepared to provide either the DUNS Number of Legal Business Name of the entity with which you're requesting roles.
  • Once you complete the role request, a notification will be sent to the entity's administrator.

If there is no entity administrator, or the administrator is unresponsive, please contact the Federal Service Desk (FSD) for additional help:

Table 3.2:  Federal Service Desk

FEDERAL SERVICE DESK

URL

www.fsd.gov

Hours

8am – 8pm (Eastern Time)

U.S. Calls

866-606-8220

International Calls

334-206-7828

DSN

866-606-8220

3.2.2 Requesting a Role with an Entity

This section covers how you can request roles with an entity that you do not currently have roles with. If you already have roles with an entity but you want to request additional roles see Managing Roles with an Existing Entity

►Each entity has its own internal rules regarding how roles are assigned. Some entities may want an administrator to invite you to join instead of you requesting roles. Check with your organization to determine if you should request a role.

To request a role in SAM with an entity:

  • Select My User Roles from the sub-navigation menu on the My SAM Page, then select Request Role with New Entity.
  • You will be asked if you are a user from a U.S. Federal Government entity. Select No. If you already have a role with an entity in SAM, the answer will be pre-selected based on your current role. Once you select your answer, select Next.
  • Search by either DUNS or Name.
    • The Data Universal Numbering System (DUNS) number is a unique 9-digit number that is administered by Dun and Bradstreet (D&B) and assigned to the physical location of your entity. This unique entity identifier is a required data element for all registrants in SAM.
  • Enter your search criteria and select Next. SAM searches for registrations which match your search terms.
  • Figure 3.1: Searching for an Entity by DUNS or Name

    search for entity

  • The results are displayed on a new page. If you did not find the right entity, enter a different search term.
  • Select the radio button next to the correct result and select Next. Before selecting Next, review the selected entity carefully to ensure that this is the right entity.

Figure 3.2: Entity Selection

entity selection

When you select Next, SAM checks to ensure that you can request roles with that entity. You may not send a role request to join a new entity if:

  • You already have an existing role with this entity. If you already have roles with an entity you can manage them by selecting the My Roles link from your My SAM page. If you need any additional roles, you will need to request that role via the My Roles process.
  • You have a pending role request for any roles with this entity. An administrator must approve or reject your request before you can submit another request.
  • You have a pending invitation to join this entity. To accept an invitation, select the “Invitations” link on your “My SAM” page.

If you can request a role with this entity, SAM displays the roles that you can request.

  • Select the check box next to the roles you wish to request on the Assign Roles page.
  • The selected role appears on the User's Roles list.

Note: Roles are grouped hierarchically, which means that certain roles with more authority (the parent role) will automatically include the rights of other roles (children roles) with lesser authority. Select the “+” to see all the roles underneath that role.

Figure 3.3: Selecting User Roles

select user roles

  • To remove a role from the request, uncheck the role on the Role Pick List.
  • Enter a reason for the request. The more descriptive you are with this information, the better your system administrator can judge if you should have this role.
  • Select Next to review your request on the Summary page.
  • Select Edit to modify any information.
  • Select Submit to send the request to the appropriate administrator for approval. An administrator can now approve or reject your request. You will receive an email notifying you of the administrator’s decision.

3.2.3 Managing Roles with an Existing Entity

Once you have a role with an entity, you can request additional roles or remove your roles from the entity.

  • Select My User Roles from the sub-navigation menu on your My SAM Page, then select My Roles.
  • Figure 3.4: My Roles

    My roles

  • Under the entity list, you will see all entities to which you have roles. Select an entity to see your roles and the status of the roles under User Role Details.
    • Approved - Roles that you currently have.
    • Pending - Roles that you have requested but have not yet been approved by an administrator.
    • Inherited - If you were granted a role that had a series of sublevel roles automatically associated with it, you will see these roles listed as Inherited. You will often see this if you have an administrator role.
  • To add or remove roles with an entity, select the entity and select Manage My Roles with this Entity. This opens the Roles with Current Entity page. NOTE: You will not be able to modify your roles with an entity if you have a role request with the entity that is pending approval by an administrator. You can, however, disassociate yourself from the entity.

Figure 3.5: Roles with Current Entity

roles with current entity

On your Roles with Current Entity page you can modify your roles with the selected entity. You can also view more information about the entity such as name and address by selecting Entity Information.

►The roles in the Role Pick List are the roles that you can have with this entity. When you open the page, the roles that you currently have with this entity will already be selected.

►The User's Roles list displays the roles that you currently have and/or are requesting.

To request an additional role:

  • Select any role from the Role Pick List to add it to your User's Roles List.
  • Complete the Reason for Request field if you are requesting additional roles. Select Next.

To remove a role:

  • Deselect it from your Role Pick List, and it disappears from your User’s Roles list. Select Next.

Note: Before removing a role, check with your entity to confirm your entity’s role management process. Some entities may wish to have administrators remove your roles.

After adding or removing a role, you will be taken to the “Entity Information” page to verify you are editing your roles with the correct entity. Select Next after verifying the updates are correct.

On the Summary page, review the role changes that you have made and select Submit.

►If you requested additional roles, your role requests will be sent to your administrators for approval.

►If you removed any roles, those roles are immediately removed for this entity.

In certain cases, you may wish to disassociate from an entity (i.e. remove all your roles from an entity). You may want to do this if you no longer work for an entity. Before doing this, check with your entity administrator to confirm your entity’s role management process.

To disassociate yourself from an entity:

  • Disassociate yourself by either deselecting every role that you have with this entity or select Disassociate in the corner of the page.
  • The Disassociate from Entity page opens and you are given the option to provide a reason for the disassociation. Select “Submit” to confirm the change. Your roles are now removed.
  • Select Done to return to your My SAM page.

3.2.4 Managing Invitations to Accept Roles from an Administrator

You can also gain roles in SAM by accepting invitations from administrators. To act on an invitation, select Invitations under the My User Roles header of your My SAM page.

Figure 3.6: My User Roles - Invitations

Here you will see a list of all your invitations. Select View to act on a specific invitation. You can either accept or reject the invitation. If there are multiple roles in the invitation, you must either accept or reject the entire invitation, which includes all the specified roles.

  • To reject the invitation, select Reject and Submit. This will delete the invitation and inform the inviting administrator of your decision.
  • To accept the invitation, select Accept. The roles become active and you are taken to a Confirmation page. The system will inform the inviting administrator of your decision.

3.2.5 Accepting an Invitation to Join SAM

It is possible for an administrator to invite you to join an entity even if you do not have a SAM account. When you receive a SAM invitation email, follow the instructions provided.

Figure 3.7: Invitation to SAM Email

You will need to proceed to SAM, select Log In, and complete creating/authenticating your account via login.gov. Once you return to SAM, you should navigate to My User Roles, select Invitations, and view the invitation you need to review. The process is the same as the normal account creation process except you’ll already have a role invitation available.

4 Entity Management Registration

4.1 Who Registers in SAM Entity Management?

The Entity Management functional area of SAM, formerly Central Contractor Registration (CCR), Online Representations and Certifications (ORCA), and Federal Agency Registration (FedReg), is the primary database for the U.S. Federal Government to manage information on potential government business partners or federal financial assistance recipients.

If you have previously registered your entity in CCR, ORCA, or FedReg, your entity’s information has been brought into SAM. To migrate your entity’s registration, please contact the federal service desk at:

URL: www.fsd.gov

Hours: 8am - 8pm (Eastern Time)

U.S. Calls: 866-606-8220

International Calls: 334-206-7828

DSN: 866-606-8220

►The term Entity may refer to prime contractors, organizations, financial assistance recipients, loan recipients, sole proprietors, corporations, and partnerships desiring to do business with the government. Whether applying for assistance awards, contracts, or other business opportunities, all entities are considered registrants. Registrants are required to complete a one-time registration. This registration must be re-certified annually.

You must register if:

  • You would like to be eligible to be awarded contracts by the Federal Government.
  • You are applying for assistance awards from the Federal Government.
  • You have been otherwise directed to register by a government official.

NOTE: Registration does not guarantee business with the Federal Government.

►Before reading on, note that on the website mandatory fields have been marked with an asterisk (*) to help you enter information into the correct fields.

4.1.1 What You Need Before Getting Started

To register a new entity in SAM you must have an individual SAM account. To set up an individual SAM account, select Log In from the upper right corner of the SAM homepage and follow the prompts. For more information, see Creating an Account in SAM. If you already have a SAM account follow these steps to begin the Entity Management registration process:

  • From the My SAM page, select Entity Registrations in the navigation panel.
  • Select Register New Entity.
  • Figure 4.1: Register a New Entity

    register new entity

  • Select Start Registration when you are ready to begin the registration process. The Entity Management Registration Overview page details each section that you may come across during the registration process. Please note that what sections you actually see during the registration process depend on your purpose of registration.

Figure 4.2: Registration Overview

Registration Overview

Before being taken to the first section of the registration, a fly out page will appear titled Before You Start. This page details the information you need in order to register an entity. Take the time to read this page and gather the information you need ahead of time.

Knowing the following pieces of information will speed up the registration process:

  • DUNS Number, Legal Business Name, and Address - You will not be able to save a draft entity registration if you are unable to verify your entity’s DUNS information. If you do not already have a DUNS Number, you can call D&B at 1-866-705-5711 or access their website at http://fedgov.dnb.com/webformto get a DUNS Number assigned for free.
  • Taxpayer Identification Number (TIN) - TIN and Taxpayer Name are optional for foreign registrants who do not pay taxes to the U.S.
  • Taxpayer Name - Your Taxpayer Name might not be the same name as your Legal Business Name. For example, your Legal Business Name is “SAM, LLC,” but your Taxpayer Name is “System for Award Management, LLC.” To find your Taxpayer Name, review your tax statements from the IRS (such as a 1099 or W-2/W-4 form).
  • Your Contractor and Government Entity (CAGE) Code, if you already have one. If you don’t have a CAGE Code, one automatically assigned after you complete your registration.
  • Your Electronic Funds Transfer (EFT) information such as your ABA routing number and account number

When you are ready to begin, select “Continue”.

Figure 4.3: Before You Start

Before You Start

4.2 Determining Your Purpose of Registration

The process you are going to follow to complete your Entity Management registration depends on why you are registering in SAM. The system will help you determine your purpose of registration by asking you the following questions:

  • What type of entity are you? To answer this question, select the type of entity you are from one of the following choices:
    • Business or Organization
    • US State Government
    • US Local Government
    • Tribal Government
    • Foreign Government
  • Why are you registering this entity to do business with the U.S. government?
    • I want to be able to bid on federal contracts or other procurement opportunities. I also want to be able to apply for grants, loans, and other financial assistance programs.
    • I only want to apply for federal assistance opportunities like grants, loans, and other financial assistance programs.

Figure 4.4: Determine Purpose of Registration

Determine POR

Your response to the questions displayed in the "Determine your Purpose of Registration" page determine what sections of the application are required to be completed for your registration.

  • If you select that you are interested in being eligible for federal assistance opportunities but are not interested in contracts or other procurement opportunities, then you will only need to complete the Core Data and Points of Contact sections in SAM. In this scenario, SAM marks your registration as being "Federal Assistance Awards Only."
  • If you select you are interested in pursuing federal contracts or other procurement opportunities, you will need to complete the Core Data, Assertions, Representations and Certifications and the Points of Contact sections in SAM. By filling out this information, you complete the information needed for federal assistance opportunities. In this scenario, SAM marks your registration as being "All Awards."

You only need to fill out the sections that are relevant to your purpose in SAM. The data you fill out in each section will be tailored to your entity type.

Figure 4.5: Confirm Purpose of Registration

Confirm POR

  • If you are satisfied with your answers to the purpose of registration questions, select “Next” to continue. If you wish to change your answers to the purpose of registration questions, select “Previous” to return to the previous screen.

Before you continue your Entity Management registration, here is some general information about the registration process:

  • You can save your registration at any point during the process as long as you verify and save a valid DUNS Number, Legal Business Name, and Physical Address. If you select “Cancel” or leave a page at any time during the registration process, the information entered on that page will not be saved.
  • Incomplete registrations (registrations that have not been submitted) may be deleted from the system after 90 days of inactivity. You will receive email notices prior to your record being deleted.
  • On each page, all mandatory fields will be marked with an *. All mandatory data must be provided before the registration may be submitted.
  • Definitions can be found in Appendix B of this user guide.

4.3 Registering your Entity if you are interested in Federal Assistance Awards Only

This section describes the process of registering an entity for the purpose of being eligible for Federal Assistance. “Federal Assistance” for purposes of this User Guide stands for Federal Financial Assistance. A grant, cooperative agreement, or loan recipient, for example, are considered Federal Financial Assistance awards.

To register an entity for “Federal Assistance Awards Only,” complete the following sections:

  • Core Data
  • Points of Contact

The navigation panel on the left side of the screen will display your progress through these sections.

4.3.1 Entering Core Data

The first step to register a new entity is to enter core details on your entity. Core Data includes, but is not limited to, an entity’s Data Universal Numbering System (DUNS) Number, Legal Business name, physical address, Commercial and Government Entity (CAGE) code or NATO Commercial and Government Entity (NCAGE) code, Taxpayer Identification Number (TIN), general information, financial information, and details about any proceedings the entity may currently be involved in.

►Core Data is mandatory for all registration types. Once you have completed your Core Data, your entity’s information will be displayed in the SAM Public Search. Sensitive data, such as financial information will never be displayed, however, if you do not wish to allow the public to search for and view your record, you may “opt-out” of public display. For more information, see SAM Search Authorization (section 4.3.1.9).

4.3.1.1 Entering a DUNS

The first page is the DUNS information page. The DUNS Number is a unique nine-character identification number provided by the commercial company Dun and Bradstreet (D&B). If you need a DUNS Number, one will be provided to you, free of charge. Call D&B at 1-866-705-5711 or access their website at http://fedgov.dnb.com/webform. International registrants may also contact SAMhelp@dnb.com. You do NOT have to pay for a DUNS Number if you utilize these websites and phone numbers. It will take one to two business days (or two to five days for foreign registrant) for a new D&B number to become active and available for your SAM registration.

On the DUNS information page:

  • Enter your DUNS Number, Legal Business Name (this is the name that has been registered for your organization at D&B), Address (please remember that the address has to be the same as the address at D&B and must be the physical address of your location) and select “Next” so your DUNS information is sent to D&B for validation. Upon successful validation from D&B, you will be able to continue with your registration.

Figure 4.6: Enter DUNS Information

DUNS Info

Once the information you provided has been verified by D&B, you will receive a “side-by-side” screen showing the details you entered compared with the details returned from D&B. This is shown in Figure 4.7: Verify DUNS Information.

Figure 4.7: Verify DUNS Information

Verify DUNS info

Make sure to review and verify your DUNS information. If the data is correct, select “Save and Continue.” If the data is incorrect, visit the D&B website to make the necessary changes.

►If you’ve received confirmation from D&B that your requested updates were completed over 24 hours ago, and that information is not yet displayed under “Details returned from D&B,” select “Refresh D&B Data” found on the ‘Verify DUNS Information’ page to refresh your data then select “Save and Continue” (as long as the refreshed data is correct).

►If you receive an error that states: “You are trying to register an entity that is part of a larger organization. We sent your request to an administrator in that organization. They must review and approve your request before you can register this entity. You will receive an email notification from SAM.gov when the organization administrator makes their decision. Until then, you cannot proceed”, then your entity is a part of an organizational hierarchy and you will only be able to complete the registration once an Entity Administrator in your organization approves your request.

4.3.1.2 Business Information

After you entered your DUNS information and passed validation, you can enter the business information for your entity.

  • Enter your business start date.
  • Enter the date on which your company's fiscal year ends.
  • Enter your company division name and number (if applicable).
  • Enter your company's URL (if applicable)
  • Congressional District will be populated for you by the system based on your physical address. This will include the two-character abbreviation for the state or territory and the two-digit congressional district.
  • Next, you must create your Marketing Partner Identification Number (MPIN). The MPIN will be used to provide you access to other systems, such as Grants.gov and Past Performance Information Retrieval System (PPIRS). Your MPIN acts as your password in these systems so you should guard it as such. A MPIN is required even if you do not anticipate usage of authorized MPIN systems. If you pay U.S. taxes you will also need your MPIN in an upcoming screen so please be sure to remember it. The MPIN must contain nine characters; at least one letter and one number character each. It should not contain spaces or special characters. You may change the MPIN at any time.
  • Your physical address is pre-filled from the address associated with your DUNS Number. Your physical address is the location of your building. If you have a suite or floor number, be sure it is included.
  • Figure 4.8: Business Information, Part 1

    business info part 1

  • Your mailing address will appear next. Enter your entity’s mailing address or select “Copy Physical Address” if your mailing address is the same as the physical address.
  • Enter the Tax Identification Number (TIN) and Type for your entity. NOTE: If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a TIN and can proceed to the NCAGE Code page. For more information or to apply for a TIN visit http://www.irs.gov. The types of TIN numbers you may enter include:
    • Employee Identification Number (EIN)
    • Social Security Number (SSN). This should be entered by sole proprietors only if they do not have an EIN. If SSN is selected, you will not be able to proceed past the General Information page without selecting your entity type (as defined by the IRS) as a Sole Proprietorship.
  • Select Save and Continue.

Figure 4.9: Business Information, Part 2

business info 2

4.3.1.3 IRS TIN Consent

Please carefully read the "Consent to Disclosure of Tax Information" and follow the instructions given to provide the Taxpayer Information required for the most current tax year reported. Providing this consent is a mandatory part of the registration process if your entity is located in the United States or pays employees within the United States.

By completing the form and signing it with your Marketing Partner Identification Number (MPIN), pursuant to 26 U.S.C. 6103(c), you authorize the Internal Revenue Service (IRS) to validate and disclose to the SAM Program Office whether the name and/or name control and Taxpayer Identification Number (TIN) provided for this registration matches or does not match the name and/or name control and TIN maintained in the IRS files for your entity in the most current tax year reported. This is referred to as the TIN Match.

Once the TIN Match is complete, your entity's IRS-validated name and TIN will reside in SAM and will be accessible to authorized U.S. government procurement officials and other U.S. government personnel performing managerial review and oversight for use in all U.S. governmental business activities including tax reporting requirements and debt collection. By providing the taxpayer information in support of this TIN Match, you certify that you have the authority to execute this consent for disclosure for this tax return information.

If your entity is located in the United States, or pays employees within the United States, you must provide the following taxpayer information to complete the consent form:

  • Taxpayer Name. Enter the exact Taxpayer Name the IRS has on file for your entity's TIN according to its most recent tax return. Your Taxpayer Name may be slightly different than the Legal Business Name of the entity being registered. Review your tax statements from the IRS (such as a 1099 or W-2/W-4 form) to find your Taxpayer Name. Use only letters, numbers, spaces, hyphens (-), and ampersands (&). Omit any other special characters that are part of your Taxpayer Name.
  • Tax Identification Number (TIN). This field will be populated with the TIN, i.e. Employer Identification Number (EIN) or Social Security Number (SSN), you entered on the Business Information page. You cannot edit this field on the IRS Consent page.

Figure 4.10: IRS Consent Form Part 1

IRS Consent

  • Taxpayer Address. Enter the address that the IRS has on file for your entity. You may select Copy Mailing Address or Copy Physical Address to use one of the addresses you have entered earlier in the registration, if appropriate.
  • Type of Tax. This field will be populated as Applicable Federal Tax.
  • Tax Year. Enter a four-digit value for the most recent Tax Year in which you reported taxes. It must be no later than the current calendar year.
  • Name of Individual Executing Consent. Enter the full name of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e)(4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute a consent to disclosure.
  • Title of Individual Executing Consent. Enter the title of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e)(4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute a consent to disclosure.
  • Signature (MPIN). Enter the value for the MPIN you created on the Business Information Page. The MPIN serves as your signature to execute the consent to disclosure of tax information.
  • Date.Today's date will be populated once you enter your MPIN to sign the consent and select Save and Continue. This serves as the official date the individual with legal authority executed consent.

Figure 4.11: IRS Consent Form Part 2

Figure title

Once you complete the consent form, select Save and Continue. At that time, all information required to perform the TIN Match will be sent to the IRS and the page will be locked until the TIN Match is complete. You will not be able to edit this page while the TIN Match is being performed.

NOTE: If your entity is located outside the United States and does not pay employees within the United States, you are not required to provide a Taxpayer Identification Number (TIN) on the Business Information page. If you did not provide a TIN, you will not see the IRS Consent page during the registration process and should proceed to the NCAGE Code section.

4.3.1.4 CAGE/NCAGE Code

4.3.1.4.1 CAGE Code

You will now be on the CAGE Code page. The Commercial and Government Entity (CAGE) Code is a five-character alpha-numeric identifier assigned to entities located in the United States and its outlying areas by the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) program to identify a commercial or government entity. All registrations in SAM go through the CAGE Code assignment/validation process after submission. If you are a foreign registrant, see the NCAGE Code section.

To complete this page, answer the question, “Does your entity already have a CAGE Code?” If you are not sure whether you have a CAGE Code, select the “Search CAGE Code” link.

  • If you answered Yes, enter your CAGE Code in the next field.
  • If you answered No, then a CAGE Code will automatically be assigned to your entity once you submit your entity’s registration and the TIN validation has been returned.

►Please note CAGE Code Validation may take up to 10 business days to process.

Figure 4.12: CAGE Code

CAGE Code

4.3.1.4.2 NCAGE Code

CAGE Codes for foreign entities used internationally as part of the NATO Codification System (NCS) are called NCAGE Codes. NCAGE Codes are assigned by a member of the North Atlantic Treaty Organization (NATO) or by the NATO Support and Procurement Agency (NSPA). DLA's CAGE Code program records and maintains NCAGE Codes in the CAGE master file.

NCAGE Codes are required for all foreign entities prior to starting a SAM registration. The name and address information you used to request your NCAGE Code must match what you used to request your DUNS Number. You can submit your request for an NCAGE Code using the NCAGE Request Tool. Detailed instructions are posted at that site.

Please note that if you have been assigned an NCAGE Code just prior to registering in SAM, your activation in SAM may be delayed while it is verified. You can check to see if your NCAGE Code shows up in the CAGE master file by searching here.

►NCAGE Code Validation may take up to 10 business days to process.

Figure 4.13: NCAGE Code

ncage code

4.3.1.4.3 Invalid CAGE/NCAGE Code Error

Upon selecting “Save and Continue”, the entered CAGE/NCAGE Code will be validated automatically. If the provided code does not match the code that the Defense Logistics Agency (DLA) has on record, you will receive an error message stating that your CAGE Code could not be found. If this error is triggered, you will not be able to proceed forward through the registration until you enter the correct code.

Figure 4.14: Incorrect CAGE Code Error

incorrect cage

4.3.1.5 General Information Page

Complete General Information about your entity. General Information includes the types of business that may be applicable to your entity and any socio-economic categories for which your entity qualifies. See Figure 4.15 for an example of the General Information page

4.3.1.5.1 Entity Information

Follow the directions below to enter your entity’s information:

  • Select the Country of Incorporation for your entity (if applicable).
  • Select the State of Incorporation (if applicable).
  • Select your company's security level and highest employee security (if applicable).

►When you first began the registration process you chose an entity type. Based on that selection you will now be directed to different sets of questions. If you selected Business or Organization proceed to the steps located at 4.3.1.5.2. If you selected U.S. State, U.S. Local, Tribal or Foreign Government entity then proceed to the steps located below at 4.3.1.5.3.

4.3.1.5.2 Business or Organization
  • Choose from the list below if your entity qualifies as one of the following institution types:
    • Community Development Corporation
    • Domestic Shelter
    • Educational Institution.  If you select Educational Institution these additional options will appear:
      • 1862 Land Grant College
      • 1890 Land Grant College
      • 1994 Land Grant College
      • Historically Black College or University (HBCU)
      • Minority Institutions
      • Private University or College
      • School of Forestry
      • Hispanic Servicing Institution
      • State Controlled Institution of Higher Learning
      • Tribal College
      • Veterinary College
      • Alaskan Native Servicing Institution (ANSI)
      • Native Hawaiian Servicing Institution (NHSI)
    • Foundation
    • Hospital
    • Veterinary Hospital
  • Indicate whether your entity has been certified as a Department of Transportation Disadvantaged Business Enterprise.
  • Next, you will be see a list of Federally Recognized Native American entity types. Select all that apply:
    • Alaskan Native Corporation Owned Firm
    • American Indian Owned
    • Indian Tribe (Federally Recognized)
    • Native Hawaiian Organization Owned Firm
    • Tribally Owned Firm

    Figure 4.15: General Information for Business/Organization, Part I

    gen info pt 1

  • Select whether any of the following organization factors apply to your entity:
    • Foreign Owned
    • Small Agricultural Cooperative
    • Limited Liability Company
    • Subchapter S Corporation
    • Manufacturer of Goods. If you are a Manufacturer of Goods, you may also select one of the following:
      • Foreign Owned
      • Small Agricultural Cooperative
      • Limited Liability Company
      • Subchapter S Corporation
    • If none of these options apply to your entity, select "Not Applicable"
  • Select how your business or organization is defined by the IRS:
    • Corporate Entity, Not Tax Exempt (Firm pays U.S. Federal Income Taxes or U.S. Possession Income Taxes
    • Corporate Entity, Tax Exempt (Firm does not pay U.S. Federal Income Taxes nor U.S. Possession Income Taxes)
    • Partnership or Limited Liability Partnership
    • Sole Proprietorship
    • International Organization
    • Other
  • Select your organization’s profit structure as one of the following:
    • For-Profit Organization
    • Nonprofit Organization
    • Other Not for Profit Organization
  • Select any socio-economic categories which reflect the current status of your entity:
    • Veteran Owned Business
      • Service Disabled Veteran Owned Business
    • Women Owned Business
      • Women-Owned Small Business
      • Economically Disadvantaged Women-Owned Small Business
    • Joint Venture Women-Owned Small Business
    • Economically Disadvantaged Joint Venture Women-Owned Small Business
    • Minority Owned Business (If selected, one sub-group is required)
      • Asian-Pacific American Owned
      • Subcontinent Asian (Asian-Indian) American Owned
      • Black American Owned
      • Hispanic American Owned
      • Native American Owned
    • Other than one of the proceeding

Note:Ability One Status (formerly JWOD), Small Business Administration (SBA) Certified 8(a), and SBA Certified 8(a) Joint Venture will be applied to a record automatically if they are applicable. For questions about your status as an 8(a) or 8(a) Joint Venture please contact the Small Business Administration (SBA) at 1-800-827-5722. For more information on how to apply to one of these certification programs, visit the SBA's "Small Business Certifications & Audiences" webpage.

Figure 4.16: General Information for Business or Organization, Part 2

geninfo2

4.3.1.5.3 U.S. State, U.S. Local, Tribal, or Foreign Government Entity

Your entity type will be pre-filled based on your purpose of registration. You may select additional government types. Check the box next to the type you wish to select.

  • If you selected U.S. Local Government, you will be able to add the following additional levels at which your entity operates:
    • City
    • County
    • Inter-Municipal
    • Local Government Owned
    • Municipality
    • School District
    • Township
  • Indicate if your entity is one of the following:
    • Airport Authority
    • Council of Governments
    • House Authority Public/Tribal
    • Interstate Entity
    • Planning Commission
    • Port Authority
    • Transit Authority
  • Next, indicate if your entity qualifies as one of the following:
    • Community Development Corporation
    • Domestic Shelter
    • Educational Institution.  If you select Educational Institution, these additional options will appear:
      • 1862 Land Grant College
      • 1890 Land Grant College
      • 1994 Land Grant College
      • Historically Black College or University (HBCU)
      • Minority Institutions
      • Private University or College
      • School of Forestry
      • Hispanic Servicing Institution
      • State Controlled Institution of Higher Learning
      • Tribal College
      • Veterinary College
      • Alaskan Native Servicing Institution (ANSI)
      • Native Hawaiian Servicing Institution (NHSI)
    • Foundation
    • Hospital
    • Veterinary Hospital

4.3.1.6 Financial Information

On the Financial Information page, you will enter the information necessary for the government to pay you for any goods or services you provide. If you do not have the information necessary to complete this page, contact your bank or financial institution.

►If you are a non-U.S. registrant doing business outside the U.S. then Electronic Funds Transfer (EFT) information is not mandatory and you will receive a check via mail rather than via direct deposit. Note that you must enter Remittance Address Information on this page. If you do have a U.S. bank account, you may provide your EFT regardless if you’re a foreign registrant.

►Debt Subject to Offset. This will be blank unless the entity has Debt Subject to Offset. The value comes from the U.S. Treasury’s Bureau of the Fiscal Service through an automated interface. This notifies SAM that the entity represented by this DUNS number has a delinquent debt subject to the Treasury Offset Program. Government officials cannot use the government-wide commercial purchase card to pay this entity for contracts/orders above the micro-purchase threshold as outlined in FAR 32.1108(b)(2). However, this value does not mean a contracting officer cannot award to or pay this entity using Electronic Funds Transfer. This is not a field the registrant can update or change in SAM. Registrants must contact the Treasury Offset Program (TOP) Call Center at 1-800-304-3107 with any questions regarding the reported debt and instructions for resolution.

U.S. Bank Account Information

  • Indicate whether you're willing to accept credit cards as a method of payment. Select "Yes" or "No."
  • Enter your EFT information. The name of your financial institution will be filled in automatically once you have entered a valid American Bankers Association (ABA) Routing Number.
  • Provide information about the Automated Clearing House (ACH) department of your bank. This is necessary should problems occur with your EFT transfer; payment locations must have a bank contact to call. Unless you are a non-U.S. registrant doing business outside the U.S. at least one of the following methods of contact is required for your A.C.H. If you do not have this information available you will need to contact your bank.
    • Phone (U.S. or Non-U.S.)
    • Email
    • Fax

Remittance Address Information

Enter your remittance information. The remittance name and address information is mandatory data for all SAM.GOV registrants. This information will be used to mail you a paper check in the event that an EFT transfer does not work. If you use a lockbox and want checks mailed directly to the bank, use the bank's name and address here.

Figure 4.17: Financial Information

financial info

NOTE: The ABA Routing Number and Bank Account Number fields will be partially masked upon selecting Save and Continue. Authorized entity users will see the last four characters of those fields when they return to this page.

4.3.1.6.1 DUNS+4

If your entity has more than one bank account that needs to be listed on the registration, you will need to create DUNS+4. The DUNS+4 should be created if the registered entity only has one physical location but more than one bank account. The DUNS+4 is a user generated four-digit number.

  • To add a DUNS+4, scroll to the bottom of the financial information page and select Add Additional Account as shown in Figure 4.18. A new financial information table will appear that is identical to Figure 4.17. Fill in all mandatory data and select Save and Confirm (or continue to add additional accounts if you have more than 2 bank accounts for this DUNS number).

Figure 4.18: DUNS+4 Add Additional Account

DUNS+4

4.3.1.7 Executive Compensation Questions

In the Executive Compensation section, you are asked to provide information which supports the Federal Funding Accountability and Transparency Act (FFATA) of 2006, as amended, reporting requirements. You may also refer to Public Law 110-252 dated June 30, 2008, Chapter 2, and Section 6202.

►If you answer “Yes” to the first question on Executive Compensation, you will be asked to answer an additional question shown in Figure 4.19.

►If you answer “No” to the second question, you must provide additional details on the following page.

If required, you must provide the following details for the five (5) most highly compensated executives for your entity:

  • Name- You must provide your top 5 executive compensated employees’ names. "Executive," means officers, managing partners, or any other employees in management positions.
  • Title
  • Total Compensation value- "Total compensation" means the cash and non-cash dollar value earned by the executive during the entity's preceding completed fiscal year. For more information on complete listing please review here.

The salary and compensation information you provide will not be publicly viewable in SAM, however, it will be made public in accordance with the Federal Funding Accountability and Transparency Act (FFATA). This Act requires that this information be supplied to the public (via usaspending.gov) in relation to federal awards (including federal contracts, federal financial assistance, and expenditures) you receive, if applicable.

Figure 4.19: Executive Compensation

executive compensation

After answering the questions, select “Save and Continue.”

4.3.1.8 Proceedings Information

You may be required to provide proceedings data about your entity. You must answer up to three (3) qualifying questions to determine if this information is required. The questions you will be asked are displayed in Figure 4.20.

Figure 4.20: Proceedings Questions

proceedings

If you answer “Yes” to all the questions, you must provide the following detailed information about each current proceeding against your entity:

  • Instrument
  • State
  • Instrument Number
  • Type of Proceeding
  • Disposition
  • Description of the Proceeding

Proceedings Information entered on or after April 15, 2011 is available to the public through the Federal Awardee Performance and Integrity Information System (FAPIIS) in accordance with the passing of the Supplemental Appropriations Act of 2010 (Section 3010 of Pub. L. 111-112).

After answering the questions, select “Save and Continue.”

4.3.1.9 SAM Search Authorization

Registrants are allowed to opt-out of public display of their record within SAM. Opting out may result in a reduction in Federal Government business opportunities, and subcontractors who choose this option will not be visible to prime contractors. Entities that have opted out will be removed only from the SAM public search but will still be visible to users with For Official Use Only (FOUO) data access and will be provided in accordance with Freedom of Information Act (FOIA) requests. Please note that your banking information is treated as sensitive data and will not be displayed to the public regardless of your selection.

If you wish to opt out of public search, deselect the clause: “Include my entity's non-sensitive information in SAM public search engine results and the public data file. I want to maximize my business opportunities with the U.S. government and other partners….”

Figure 4.21: SAM Search Authorization

SAM Search Authoization

Note: If you are an SBA certified 8(a) firm, 8(a) Joint Venture or HUB Zone (or applying for one of these certifications) you should not Opt Out of the public search.

4.3.2 Entering Points of Contact (POC)

Before your entity registration is complete, you will be asked to provide Mandatory POCs and Optional POCs. The POCs you will be asked to provide have been determined based on the answers you provided throughout the registration process. All Mandatory POCs must be completed before the registration may be submitted for certification.

Table 4.1 shows a list of the POC types that federal assistance registrants will see. See the glossary for more information on each POC type.

Table 4.1: Federal Assistance Points of Contact

POC Name

Mandatory?

Mandatory Data Elements

Accounts Receivable POC

Mandatory

First Name, Last Name, Email, and Phone

Electronic Business POC

Mandatory

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada) and ZIP/Postal Code

Electronic Business Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code

Government Business POC

Mandatory

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada) and ZIP/Postal Code

Government Business Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada) and ZIP/Postal Code

Party Performing Certification POC

Mandatory if you have used a 3rd party certifier for a small business certification.

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code

Proceedings POC

Mandatory if you have entered proceedings details.

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code

Proceedings Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code

Sole Proprietorship POC

Mandatory if Sole Proprietor has been selected as a business type.

First Name, Last Name, Email, and Phone

4.3.3 Submitting Your Registration

All mandatory data elements must be completed to submit your registration. If you have done this successfully, you will see a green check mark next to each section in the navigation panel on the left side of the screen. Review your registration record in its entirety.

  • Select Edit to update any necessary information in the registration.
  • Select Submit to certify that the information is correct.

SAM will display a confirmation indicating you successfully submitted your registration. You will also receive a confirmation email.

PLEASE NOTE: Your record is NOT yet active.

Figure 4.22: Submit Registration Confirmation page

Submit Registration confirmation page

4.3.3.1 Before Your SAM Registration is Considered Active

Your entity’s registration will NOT be considered active until the following actions take place:

  • TIN Match validated by the Internal Revenue Service (IRS), as applicable. It may take three to five business days from the time you submitted for the IRS to validate new and updated records prior to becoming active in SAM.
  • CAGE Code or NCAGE Code is validated or assigned by DoD, as applicable. Your registration will be sent to the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) Code system for assignment or validation of your CAGE Code. This step averages two business days, but the DLA CAGE team can take up to ten business days, or longer, in peak periods. If the DLA CAGE team has any questions, they will contact the individual you listed as the Government Business Point of Contact (POC) via email. The email will come from an @dla.mil address. Please tell your Government Business POC to respond right away to any requests from an @dla.mil email. If a timely response is not received, your registration will be returned to SAM and your registration status changed to Work in Progress. You will have to resubmit and provide the requested information to DLA CAGE to continue.
  • You will get an email from @sam.gov when your registration passes these external validations and becomes Active. While you are waiting, use the Check Status tab in the SAM main navigation bar to see where your registration is in the review process.

    Remember, it is FREE to register and maintain your registration in SAM. If you get an email from any address that does not end in .gov or .mil, be cautious. If you get an email, text message, or phone call asking for money or payment of any amount, be very cautious. These parties do not represent the U.S. government. You engage third party vendors at your own risk. You can get FREE help with your registration by contacting our supporting Federal Service Desk (FSD). In addition, if you are located in the U.S. and its outlying areas, you can get FREE support from your local Procurement Technical Assistance Center (PTAC), an official resource for government contracting assistance. Check the PTAC website to locate your closest PTAC.

    Plan ahead. Allow up to 10 business days after you submit your registration for it to become active in SAM and an additional 24 hours before that registration information is available in other government systems.

    You will receive a confirmation email once the registration is activated. At that time, you will be eligible for Federal Contracts or Financial Assistance from the U.S. Federal Government.

    NOTE: If you have not previously submitted a notarized letter formally designating the Entity Administrator for your entity, you must do so within 30 days of activation. You can find step-by-step instructions and easy to follow templates posted at our supporting Federal Service Desk. If your entity is located in the U.S. or its outlying areas, follow the posted domestic entity instructions. If your entity is not located in the U.S. or its outlying areas, follow the posted international entity instructions.

    4.4 Registering Your Entity if you are interested in Federal Contracts

    This section describes the process of registering an entity to pursue federal contracts and other procurement opportunities. By indicating you are interested in Federal contracts you will also be completing the same information that an entity interested in federal financial assistance completes. You will see on the screen that your purpose of registration will display as “All Awards."

    In order to register an entity for “All Awards” the following sections must be completed:

    • Core Data
    • Assertions
    • Representations and Certifications

    The navigation panel on the left side of the screen will display your progress through these sections.

    4.4.1 Entering Core Data

    The first step to registering a new entity is to enter core details on your entity. Core Data includes, but is not limited to, an entity’s Data Universal Numbering System (DUNS) number, name, address, Commercial and Government Entity (CAGE) code or NATO Commercial and Government Entity (NCAGE) code, Taxpayer Identification Number (TIN), general information, financial information, and details about any proceedings the entity may currently be involved in. Core Data is mandatory for all registration types. Once you have completed your Core Data, your entity’s information will be displayed in the SAM Public Search. Sensitive data, such as financial information will never be displayed, however, if you do not wish to allow the public to search for and view your record, you may “opt-out” of public display. For more information, see SAM Search Authorization.

    4.4.1.1 Entering a DUNS Number

    The first page is the DUNS information page. The DUNS Number is a unique nine-character identification number provided by the commercial company Dun and Bradstreet (D&B). If you need a DUNS Number, one will be provided to you, free of charge. Call D&B at 1-866-705-5711 or access their website at http://fedgov.dnb.com/webform. International registrants may also contact SAMhelp@dnb.com. You do NOT have to pay for a DUNS Number if you utilize these websites and phone numbers. It will take 1-2 business days (2-5 days if you are a foreign registrant) for a new D&B number to become active and available for your SAM registration.

    On the DUNS information page:

    • Enter your DUNS Number, Legal Business Name (this is name that has been registered for your organization at D&B), Address (please remember that the address has to be the same as the address at D&B and must be the physical address of your location) and select Next. This sends your DUNS information to D&B for validation.

    Figure 4.23: Enter DUNS Information

    Enter DUNS Info

    Once the information you provided has been verified by D&B, you will receive a “side-by-side” screen showing the details you entered compared with the details returned from D&B. This is shown in Figure 4.24: Verify DUNS Information.

    Figure 4.24: Verify DUNS Information

    verify DUNS info

    Make sure to review and verify your DUNS information. If the data is correct, select Save and Continue. If the data is incorrect, visit the D&B website to make the necessary changes.

    ►If you’ve received confirmation from D&B that your requested updates were completed over 24 hours ago, and that information is not yet displayed under Details returned from D&B, select Refresh D&B Data found on the Verify DUNS Information page in SAM to refresh your data then select Save and Continue (as long as the refreshed data is correct).

    ►If you receive an error that states: “You are trying to register an entity that is part of a larger organization. We sent your request to an administrator in that organization. They must review and approve your request before you can register this entity. You will receive an email notification from SAM.gov when the organization administrator makes their decision. Until then, you cannot proceed”, then your entity is a part of an organizational hierarchy and you will only be able to complete the registration once an Entity Administrator in your organization approves your request.

    4.4.1.2 Business Information

    After you entered your DUNS information and passed validation, you can enter the business information for your entity. See Figure 4.26.

    • Enter your business start date.
    • Enter the date on which your company's fiscal year ends.
    • Enter your company division name and number (if applicable).
    • Enter your company's URL (if applicable).
    • Congressional District will be populated for you by the system based on your physical address (if applicable). This will include state & congressional district.
    • Next, you must create your Marketing Partner Identification Number (MPIN). The MPIN will be used to provide you access to other systems, such as Grants.gov and Past Performance Information Retrieval System (PPIRS). Your MPIN acts as your password in these systems so you should guard it as such. A MPIN is required even if you do not anticipate usage of authorized MPIN systems. If you pay U.S. taxes you will also need your MPIN in an upcoming screen so please be sure to remember it. The MPIN must contain nine characters; at least one letter and one number character each. It should not contain spaces or special characters. You may change the MPIN at any time.
    • Your physical address will appear next. This is pre-filled from the D&B address associated with your DUNS Number. Your physical address is the location of your building.

    Figure 4.26: Business Information Part I

    bus info pt 1

    • Enter your entity’s mailing address or select Copy Physical Address if your mailing address is the same as the physical address.
    • Enter the Tax Identification Number (TIN) and type for your entity. If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a TIN. If you did not provide a TIN, proceed to the NCAGE Code section. For more information or to apply for a TIN visit here. The types of TIN numbers you may enter include:
      • Employee Identification Number
      • Social Security Number. This should be entered by sole proprietors only if they do not have an EIN. If SSN is selected, you will not be able to proceed past the General Information page without selecting your entity type (as defined by the IRS) as a Sole Proprietorship.

    Figure 4.27: Business Information, Part 2

    bus info pt 2

    NOTE: The Marketing Partner Identification Number (MPIN) and Taxpayer Identification Number (TIN) fields will be partially masked upon selecting Save and Continue. Authorized users will see the last four characters when they return to this page.

    4.4.1.3 IRS TIN Consent

    Please carefully read the Consent to Disclosure of Tax Information and follow the instructions given to provide the Taxpayer Information required for the most current tax year reported. Providing this consent is a mandatory part of the registration process if your entity is located in the United States or pays employees within the United States.

    By completing the form and signing it with your Marketing Partner Identification Number (MPIN), pursuant to 26 U.S.C. 6103(c), you authorize the Internal Revenue Service (IRS) to validate and disclose to the SAM Program Office whether the name and/or name control and Taxpayer Identification Number (TIN) provided for this registration matches or does not match the name and/or name control and TIN maintained in the IRS files for your entity in the most current tax year reported. This is referred to as the TIN Match.

    Once the TIN Match is complete, your entity's IRS-validated name and TIN will reside in SAM and will be accessible to authorized U.S. government procurement officials and other U.S. government personnel performing managerial review and oversight for use in all U.S. governmental business activities including tax reporting requirements and debt collection. By providing the taxpayer information in support of this TIN Match, you certify that you have the authority to execute this consent for disclosure for this tax return information.

    If your entity is located in the United States, or pays employees within the United States, you must provide the following taxpayer information to complete the consent form:

    • Taxpayer Name. Enter the exact Taxpayer Name the IRS has on file for your entity's TIN according to its most recent tax return. Your Taxpayer Name may be slightly different than the Legal Business Name of the entity being registered. Review your tax statements from the IRS (such as a 1099 or W-2/W-4 form) to find your Taxpayer Name. Use only letters, numbers, spaces, hyphens (-), and ampersands (&). Omit any other special characters that are part of your Taxpayer Name.
    • Taxpayer Identification Number (TIN). This field will be populated with the TIN, i.e. Employer Identification Number (EIN) or Social Security Number (SSN), you entered on the Business Information page. You cannot edit this field on the IRS Consent page.

    Figure 4.28: IRS Consent Form Part I

    irs consent

    • Taxpayer Address. Enter the address that the IRS has on file for your entity. You may select Copy Mailing Address or Copy Physical Address to use one of the addresses you have entered earlier in the registration, if appropriate.
    • Type of Tax. This field will be populated as Applicable Federal Tax.
    • Tax Year. Enter a four-digit value for the most recent Tax Year in which you reported taxes. It must be no later than the current calendar year.
    • Name of Individual Executing Consent. Enter the full name of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e) (4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute consent to disclosure.
    • Title of Individual Executing Consent. Enter the title of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e) (4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute consent to disclosure.
    • Signature (MPIN). Enter the value for the MPIN you created on the Business Information Page. The MPIN serves as your signature to execute the consent to disclosure of tax information.
    • Date. Today's date will be populated once you enter your MPIN to sign the consent and select Save and Continue. This serves as the official date the individual with legal authority executed consent.

    Figure 4.29: IRS Consent Form Part 2

    IRS pt 2

    Once you complete the consent form, select Save and Continue. At that time, all information required to perform the TIN Match will be sent to the IRS and the page will be locked until the TIN Match is complete. You will not be able to edit this page while the TIN Match is being performed.

    NOTE: If your entity is located outside the United States and does not pay employees within the United States, you are not required to provide a Taxpayer Identification Number (TIN) on the Business Information page. If you did not provide a TIN, you will not see the IRS Consent page during the registration process and should proceed to the NCAGE Code section.

    4.4.1.4 CAGE/NCAGE Code

    4.4.1.4.1 CAGE Code

    You will now be on the CAGE Code page. The Commercial and Government Entity (CAGE) code is a five-character alpha-numeric identifier assigned to entities located in the United States and its outlying areas by the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) Branch to identify a commercial or government entity. All registrations in SAM go through the CAGE Code assignment/validation process after submission. If you are a foreign registrant, see the NCAGE Code section.

    To complete this page, answer the question, “Does your entity already have a CAGE Code?” If you are not sure whether you have a CAGE Code, select the “Search CAGE Code” link.

    • If you answered Yes, enter your CAGE Code in the next field.
    • If you answered No, then a CAGE Code will automatically be assigned to your entity once you submit your entity’s registration and the TIN validation has been returned.

    ►Please note CAGE Code Validation may take up to 10 business days to process.

    Figure 4.30: CAGE Code

    CAGE Code

    4.4.1.4.2 NCAGE Code

    CAGE Codes for foreign entities used internationally as part of the NATO Codification System (NCS) are called NCAGE Codes. NCAGE Codes are assigned by a member of the North Atlantic Treaty Organization (NATO) or by the NATO Support and Procurement Agency (NSPA). DLA CAGE Branch records and maintains NCAGE Codes in the CAGE master file.

    NCAGE Codes are required for all foreign entities prior to starting a SAM registration. The name and address information you used to request your NCAGE Code must match what you used to request your DUNS Number. You can submit your request for an NCAGE Code using the NCAGE Request Tool. Detailed instructions are posted at that site.

    Please note that if you have been assigned an NCAGE Code just prior to registering in SAM, your activation in SAM may be delayed while it is verified. You can check to see if your NCAGE Code shows up in the CAGE master file by searching here.

    ►NCAGE Code Validation may take up to 10 business days to process.

    Figure 4.31: NCAGE Code

    ncage code

    4.4.1.4.3 Invalid CAGE/NCAGE Error

    Upon selecting Save and Continue, the entered CAGE/NCAGE Code will be validated automatically. If the provided code does not match the code that the Defense Logistics Agency (DLA) has on record, you will receive an error message stating that your CAGE Code could not be found. If this error is triggered, you will not be able to proceed forward through the registration until you enter the correct code.

    Figure 4.32: Incorrect CAGE Code Error

    incorrect cage

    4.4.1.4.4 Ownership Details

    You are now required to enter your Immediate Owner’s CAGE/NCAGE Code when you register in SAM. You will need to answer a series of questions regarding your entity's ownership. The questions are conditional on the answers you provide; for example, you will only need to answer the second question if you select "Yes" to the first question. You must answer each available question before proceeding. The following questions will be asked:

    • Question 1: Does your entity have an Immediate Owner?
    • Question 2: Is your Immediate Owner located outside the U.S. and its territories?

    Enter your Immediate Owner’s CAGE/NCAGE Code and select “Verify” to confirm.

    If you do not know your Immediate Owner’s CAGE/NCAGE Code, you may search for it here.

    Figure 4.33: Ownership Details – CAGE Code

    ownership details

    If your Immediate Owner does not have a CAGE/NCAGE Code, please have your owner complete the Department of Defense Form DD2051. In block 13 of DD2051, add “Ownership of Offeror requirement” in the remarks. Once signed, submit DD2051 to the Defense Logistics Agency (DLA) CAGE Branch either by either e-mail (CAGEMAIL@DLA.MIL with OOO in the subject line) or print/mail to: DLA CAGE Branch, 74 Washington Avenue, Battle Creek MI 49037.

    4.4.1.4.5 Highest Level Owner

    After verifying your Immediate Owner’s CAGE/NCAGE Code, the system will ask you whether another entity owns or controls your Immediate Owner. This is known as the Highest-level Owner. Answer the remaining conditional questions about the Highest-Level Owner, if applicable.

    Figure 4.34: Highest-Level Owner

    highest level owner

    4.4.1.4.6 Predecessor Details

    Federal Acquisition Regulation (FAR) Subpart 4.1804 (d) requires that you provide information about your entity's predecessors as part of your SAM registration. Predecessor refers to an entity that is replaced by a successor and includes any predecessors of the predecessor. We are gathering this information now to populate a provision you will certify to later in Reps & Certs. Please note you cannot use your own entity's CAGE/NCAGE Code for any predecessor, nor can you use the same CAGE/NCAGE Code for multiple predecessors. If you are a successor to an offeror that held a Federal contract or grant within the last three years, you must enter the offeror’s CAGE/NCAGE Code. Be sure to enter your three most recent predecessors in reverse chronological order (newest to oldest). You will be required to verify that the CAGE/NCAGE Code is correct. If you do not know your predecessor’s CAGE/NCAGE Code, you may look it up here.

    Figure 4.35: Predecessor Details

    predecessor details

    4.4.1.5 General Information Page

    Complete General Information about your entity. General Information includes the types of business that may be applicable and any socio-economic categories for which your entity qualifies.

    4.4.1.5.1 Entity Information

    To enter your entity information:

    • Select the Country of Incorporation for your entity (if applicable).
    • Select the State of Incorporation (if applicable).
    • Select your company's security level and highest employee security (if applicable).

    ►When you first began the registration process you chose an entity type. Based on that selection you will now be directed to different sets of questions. If you selected Business or Organization proceed to the steps located at 4.4.1.5.2. If you are not, follow the U.S. State, U.S. Local, Tribal or Foreign Government Entity instruction in section 4.4.1.5.3.

    4.4.1.5.2 Business or Organization

    You must select an entity type.

    • Choose from the list below if your entity qualifies as one of the following institution types:
      • Community Development Corporation
      • Domestic Shelter
      • Educational Institution.  If you select Educational Institution these additional options will appear:
        • 1862 Land Grant College
        • 1890 Land Grant College
        • 1994 Land Grant College
        • Historically Black College or University (HBCU
        • Minority Institutions
        • Private University or College
        • School of Forestry
        • Hispanic Servicing Institution
        • State Controlled Institution of Higher Learning
        • Tribal College
        • Veterinary College
        • Alaskan Native Servicing Institution (ANSI)
        • Native Hawaiian Servicing Institution (NHSI)
      • Foundation
      • Hospital
      • Veterinary Hospital
    • Indicate whether your entity has been certified as a Department of Transportation Disadvantaged Business Enterprise.
    • Next, you will be see a list of Federally Recognized Native American entity types. Select all that apply:
      • Alaskan Native Corporation Owned Firm
      • American Indian Owned
      • Indian Tribe (Federally Recognized)
      • Native Hawaiian Organization Owned Firm
      • Tribally Owned Firm

    Figure 4.36: General Information for Business/Organization Part I

    gen info pt 1

    • Select whether any of the following organization factors apply to your entity:
      • Foreign Owned
      • Small Agricultural Cooperative
      • Limited Liability Company
      • Subchapter S Corporation
      • Manufacturer of Goods. If you are a Manufacturer of Goods, you may also select one of the following:
        • Foreign Owned
        • Small Agricultural Cooperative
        • Limited Liability Company
        • Subchapter S Corporation
      • If none of these options apply to your entity, select "Not Applicable"
    • Select how your business or organization is defined by the IRS:
      • Corporate Entity, Not Tax Exempt (Firm pays U.S. Federal Income Taxes or U.S. Possession Income Taxes
      • Corporate Entity, Tax Exempt (Firm does not pay U.S. Federal Income Taxes nor U.S. Possession Income Taxes)
      • Partnership or Limited Liability Partnership
      • Sole Proprietorship
      • International Organization
      • Other
    • Select your organization’s profit structure as one of the following:
      • For-Profit Organization
      • Nonprofit Organization
      • Other Not for Profit Organization
    • Select any socio-economic categories which reflect the status of your entity:
      • Veteran Owned Business
        • Service Disabled Veteran Owned Business
      • Women Owned Business
        • Women-Owned Small Business
        • Economically Disadvantaged Women-Owned Small Business
        • Joint Venture Women-Owned Small Business
        • Economically Disadvantaged Joint Venture Women-Owned Small Business
      • Minority Owned Business (If selected, one sub-group is required)
        • Asian-Pacific American Owned
        • Subcontinent Asian (Asian-Indian) American Owned
        • Black American Owned
        • Hispanic American Owned
        • Native American Owned
      • Other than one of the proceeding

    Note: Ability One Status (formerly JWOD), Small Business Administration (SBA) Certified 8(a), and SBA Certified 8(a) Joint Venture business types will be applied to a record automatically if they are applicable. For questions about your status as an 8(a) or 8(a) Joint Venture please contact the Small Business Administration (SBA) at 1-800-827-5722. For more information on how to apply to one of these certification programs, visit the SBA's "Small Business Certifications & Audiences" webpage.

    Figure 4.37: General Information for Business or Organization, Part 2

    geninfo2

    4.4.1.5.3 U.S. State, U.S. Local, Tribal, or Foreign Government Entity

    Your entity type will be pre-filled based on your purpose of registration. You may select additional government types. Check the box next to the type you wish to select.

    • If you selected U.S. Local Government you will be able to add the following additional levels at which your entity operates:
      • City
      • County
      • Inter-Municipal
      • Local Government Owned
      • Municipality
      • School District
      • Township
    • Indicate if your entity is one of the following government types:
      • Airport Authority
      • Council of Governments
      • House Authority Public/Tribal
      • Interstate Entity
      • Planning Commission
      • Port Authority
      • Transit Authority
    • Next, indicate if your entity qualifies as one of the following institution types:
      • Community Development Corporation
      • Domestic Shelter
      • Educational Institution.  If you select Educational Institution, these additional options will appear:
        • 1862 Land Grant College
        • 1890 Land Grant College
        • 1994 Land Grant College
        • Historically Black College or University (HBCU)
        • Minority Institutions
        • Private University or College
        • School of Forestry
        • Hispanic Servicing Institution
        • State Controlled Institution of Higher Learning
        • Tribal College
        • Veterinary College
        • Alaskan Native Servicing Institution (ANSI)
        • Native Hawaiian Servicing Institution (NHSI)
      • Foundation
      • Hospital
      • Veterinary Hospital

    4.4.1.6 Financial Information

    On the Financial Information page, you will enter the information necessary for the government to pay you for any goods or services you provide. If you do not have the information necessary to complete this page, contact your bank or financial institution.

    ►If you are a non-U.S. registrant doing business outside the U.S. then Electronic Funds Transfer (EFT) information is not mandatory and you will receive a check via mail rather than via direct deposit. Note that you must enter Remittance Address Information on this page. If you do have a U.S. bank account, you may provide your EFT regardless if you’re a foreign registrant.

    ►Debt Subject to Offset. This will be blank unless the entity has Debt Subject to Offset. The value comes from the U.S. Treasury’s Bureau of the Fiscal Service through an automated interface. This notifies SAM that the entity represented by this DUNS number has a delinquent debt subject to the Treasury Offset Program. Government officials cannot use the government-wide commercial purchase card to pay this entity for contracts/orders above the micro-purchase threshold as outlined in FAR 32.1108(b)(2). However, this value does not mean a contracting officer cannot award to or pay this entity using Electronic Funds Transfer. This is not a field the registrant can update or change in SAM. Registrants must contact the Treasury Offset Program (TOP) Call Center at 1-800-304-3107 with any questions regarding the reported debt and instructions for resolution.

    U.S. Bank Account Information

    • Indicate whether you're willing to accept credit cards as a method of payment. Select "Yes" or "No."
    • Enter your EFT information. The name of your financial institution will be filled in automatically once you have entered a valid American Bankers Association (ABA) Routing Number.
    • Provide information about the Automated Clearing House (ACH) department of your bank. This is necessary should problems occur with your EFT transfer; payment locations must have a bank contact to call. Unless you are a non-U.S. registrant doing business outside the U.S. at least one of the following methods of contact is required for your A.C.H. If you do not have this information available you will need to contact your bank.
      • Phone (U.S. or Non-U.S.)
      • Email
      • Fax

    Remittance Address Information

    Enter your remittance information. The remittance name and address information is mandatory data for all SAM.GOV registrants. This information will be used to mail you a paper check in the event that an EFT transfer does not work. If you use a lockbox and want checks mailed directly to the bank, use the bank's name and address here.

    Figure 4.38:  Financial Information

    Financial Info

    4.4.1.6.1 DUNS+4

    If your entity has more than one bank account that needs to be listed on the registration, you will need to create a DUNS+4. The DUNS+4 should be created if the registered entity only has one physical location but more than one bank account. The DUNS+4 is a user generated four digit number.

    To add a DUNS+4, scroll to the bottom of the financial information page and select Add Additional Account.  A new financial information table will appear that is identical to Figure 4.38.  Fill in all mandatory data and select Save and Confirm (or continue to add additional accounts if you have more than 2 bank accounts for this DUNS number).

    Figure 4.39:  DUNS+4 Add Additional Account

    DUNS+4

    4.4.1.7 Executive Compensation

    In the Executive Compensation section, you are asked to provide information which supports the Federal Funding Accountability and Transparency Act (FFATA) of 2006, as amended, reporting requirements.  You may also refer to Public Law 110-252 dated June 30, 2008, Chapter 2, Section 6202. 

    If you answer Yes to the first question on Executive Compensation, you will be asked to answer an additional question shown in Figure 4.40.

    • If you answer No to the second question, you must provide additional details on the following page.
    • If required, you must provide the following details for the five (5) most highly compensated executives for your entity:
      • Name- You must provide your top 5 executive compensated employees’ names. "Executive," means officers, managing partners, or any other employees in management positions.
      • Title
      • Total Compensation value- "Total compensation" means the cash and non-cash dollar value earned by the executive during the entity's preceding completed fiscal year.

    The salary and compensation information you provide will not be publicly viewable in SAM, however, it will be made public in accordance with the Federal Funding Accountability and Transparency Act (FFATA).  This Act requires that this information be supplied to the public (via usaspending.gov) in relation to federal awards (including federal contracts, federal financial assistance and expenditures) you receive, if applicable.

    Figure 4.40:  Executive Compensation

    Exec comp

    4.4.1.8 Proceedings Information

    You may be required to provide proceedings data about your entity.  You must answer up to three (3) qualifying questions to determine if this information is required.  The questions you will be asked are displayed in Figure 4.38.

    Figure 4.41:  Proceedings Questions

    proceedings

    If you answer Yes to all the questions, you must provide the following detailed information about each current proceeding against your entity:

    • Instrument
    • State
    • Instrument Number
    • Type of Proceeding
    • Disposition
    • Description of the Proceeding

    Proceedings Information entered on or after April 15, 2011 is available to the public through the Federal Awardee Performance and Integrity Information System (FAPIIS) in accordance with the passing of the Supplemental Appropriations Act of 2010 (Section 3010 of Pub. L. 111-112). After answering the questions, select Save and Continue.

4.4.1.9 SAM Search Authorization

Registrants are allowed to opt-out of public display of their record within SAM. Opting out may result in a reduction in Federal Government business opportunities, and subcontractors who choose this option will not be visible to prime contractors. Entities that have opted out will only be removed from the SAM public search, but will still be visible to users with For Official Use Only (FOUO) data access and will be provided in accordance with Freedom of Information Act (FOIA) requests. Please note that your banking information and Taxpayer Identification Number are treated as sensitive data and will not be displayed to the public regardless of your selection.

If you wish to opt out of public search, deselect the clause: Include my entity's non-sensitive information in SAM public search engine results and the public data file. I want to maximize my business opportunities with the U.S. government and other partners….

NOTE: If you are an SBA certified 8(a) firm, 8(a) Joint Venture or HUBZone (or applying for one of these certifications) you may not Opt Out of the public search.

Figure 4.42: SAM Search Authorization

Sam Search

4.4.2 Entering Assertions

Assertions include, but are not limited to, data about the types of goods and services the entity provides, optional Electronic Data Interchange (EDI) and information if the entity wishes to be included in the Disaster Response Registry.

4.4.2.1 Goods and Services

Upon completing your Core Data, enter information about the types of goods and services your entity can provide. The data you provide assists the government in locating entities that can provide certain goods and/or services.

  • Enter North American Industry Classification System (NAICS) codes that best represent the type of industry in which your entity does business.The Small Business Administration (SBA) through public rule-making, assigns thresholds to the individual NAICS codes that are used to assess if entities may be considered a small business in certain classification areas. If you would like to know more about NAICS codes you can go to http://www.census.gov/eos/www/naics/You must supply at least one for your registration to be complete. You can add or change NAICS codes at any time.
  • In the Search NAICS text box, type in the NAICS code or enter a word description of the type of services your business is involved in.
  • Select Add next to the applicable NAICS code.
  • As you select NAICS, the NAICS show up under NAICS Codes Selected.
  • Select one of the chosen NAICS as your primary NAICS code by selecting the radio button under the Mark as Primary column.
  • If needed, you can delete a NAICS by selecting Remove to the right of each NAICS selected.

Figure 4.43: Enter NAICS

Enter NAICS

You also have the option to add Product and Service Codes (PSCs). This section works the same way as the NAICS section. PSCs are four-character codes used to identify the types of goods and services your entity can provide. Codes that start with a number indicate types of product, codes that start with a letter indicate types of services. More information about PSCs can be found here.

  • Search for your PSCs.
  • Select Add next to the applicable PSC code.
  • Select Save and Continue.

Figure 4.44: Select Product Services Codes

PSC COdes

4.4.2.2 Size Metrics

Enter your entity’s data to be used for determining your size status as a small business or other than small business.  Enter the total receipts and number of employees for the entire entity, which includes all divisions, branches, and affiliates worldwide.

  • Enter in your World Wide Total Receipts. This is the average receipts over the last three completed fiscal years, including receipts of the parent organization, all branches, and all affiliates worldwide, and not just the size data associated with the entity location represented by the specific DUNS Number you are registering. 
  • Enter your Average Number of Employees.
  • You may also enter data for the location represented by the specific DUNS Number you are registering in the Location fields.  This is optional, not mandatory.
  • You will be asked to complete the following fields if specific NAICS codes were entered in the NAICS section
    • Barrels Capacity:  NAICS code 324110
    • Total Assets:  522110, 522120, 522130, 522190, 522210, 522293
  • NOTE: The size status calculation for entities is based upon the world-wide numbers. See Figure 4.45 for an example of the Size Metrics page.

Figure 4.45:  Enter Size Metrics

Size Metrics

4.4.2.3 Electronic Data Interchange (EDI)

The EDI Information page is optional and provided for those entities that do business with the government through EDI.  See Figure 4.46 to view the data elements on the EDI page. 

  • "No" is automatically defaulted when asked if you wish to enter EDI Information
  • If you wish to complete this information, change the dropdown menu to "Yes" and provide the following data:
    • EDI VAN Provider
    • ISA Qualifier
    • ISA Identifier
    • Functional Group Identifier
    • 820’s request flag

Figure 4.46:  EDI Information

EDI Info

4.4.2.4 Disaster Response Information

Entities wishing to do business with the federal government, such as the Federal Emergency Management Agency (FEMA), in the event of a natural disaster can complete the Disaster Response Information section. When national emergencies or natural disasters such as floods and hurricanes occur, supplies and services need to be procured and rushed to the affected area quickly. To expedite this process, the SAM Disaster Response Registry shows those contractors who are willing to provide debris removal, distribution of supplies, reconstruction, and other disaster or emergency relief supplies and/or services. Collecting this information in SAM provides a means for potential local contractors to identify themselves to the federal agencies during a time of a disaster.

  • If you'd like to be included, select Yes to register your entity.
  • If you select Yes to participating in the Disaster Response Registry, respond to the Bonding Level section if your company requires bonding to submit offers in response to federal solicitations.
  • If you select yes to participating in the Disaster Response Registry, you must select your entity’s Geographic Area Served.
    • If you select Multiple States you may enter up to three states.
    • If you select One State you must select at least one state in your Geographic Area Served. You also have the option of selecting Counties and Metropolitan Statistical Areas.
    • You can also select Any State to indicate your support of disaster response efforts nationwide.

Figure 4.47:  Disaster Response Information Page

Disaster Response

4.4.3 Entering Representations and Certifications

Completing your Representations and Certifications (Reps and Certs) allows entities to submit their annual Reps and Certs in accordance with the Federal Acquisition Regulation (FAR). Please note that you may be subject to penalties if you misrepresent your entity in any of their representations or certifications to the government.

4.4.3.1 Questionnaire

To enter your Reps and Certs, you will be given a questionnaire to guide you through the data necessary for the associated FAR and Defense FAR Supplement (DFARS) provisions (if applicable), as well as the Standard Form 330, Part II for federal Architect and Engineering contracts if applicable. Each question is related to a specific FAR or DFARS provision which is referenced at the end of the question on the screen. Selecting on a reference will take you to the full text version of the provision so that you can read it in full.

4.4.3.2 FAR Responses

The first section of the questionnaire contains the questions related to FAR provisions which are divided into four pages. 

Question 1 asks you to identify the person(s) responsible for determining prices offered in bids/proposals for your entity.  (FAR 52.203-2)

  • Select Add New Person to enter the individual’s Name and Title. Select this as many times as you need.
  • Once a person has been added, you may remove them at any time by selecting Delete.        

Figure 4.48: FAR Response Page 1, Part 1

reps certs part 1

Question 2 asks whether your entity has other plants or facilities at different addresses routinely used to perform on contracts. (FAR 52.214-14, FAR 52.215-6)

  • Answer Yes or No.
  • Selecting Yes activates the Add New Plant/Facility, allowing you to provide the Place of Performance Address, Owner Name, and Owner Address. 
  • Selecting No will grey out (disable) Add New Plant/Facility. 

Question 3 will display "TIN on file." for entities which provided a Taxpayer Identification Number (TIN) in the Core Data portion of the registration. If a TIN was not required for the entity, the system will display a statement indicating no TIN was required and provide the reason. (FAR 52.204-3, FAR 52.212-3)

Question 4 asks whether your entity is following the guidelines established by the Environmental Protection Agency (EPA) for recovered material.  Information on the products designated by the EPA for recovered material content is available here.   (FAR 52.223-4, FAR 52.223-9)

  • Answer Yes or No. 

Figure 4.49:  FAR Response Page 1, Part 2

4.46

Question 5 asks if your entity is a small business concern and qualifies for status as a labor surplus area concern.  The SBA provides SAM with an indicator whether your entity may qualify as a small business concern by using the size metrics and NAICS Codes you entered for your entity in the Assertions section, and the NAICS code size standards provided by the Small Business Administration.  (FAR 52.219-2)

  • Pick a state and the applicable labor surplus areas if your entity is a small business concern, is located in one of these areas, and qualifies as a labor surplus area concern.  If there are no labor surplus areas in the state you selected, the system will inform you of that.  A list of labor surplus areas is available from the Department of Labor here 
  • If your entity would not be considered a small business concern given the size metrics data provided and NAICS Codes selected, you will see the text Our records indicate is not a small business concern and therefore does not qualify for status as a labor surplus area concern.   If you believe this is a mistake, check the information you entered in the assertions portion of your registration.  If you are a U.S. Federal, State, Local, or Tribal Government entity or a foreign entity (government or non-government), you will always see this response as you are not eligible to qualify as a small business concern.      

Question 6 asks if your entity is owned or controlled by a common parent that files its Federal Income Tax returns on a consolidated basis.  (FAR 52.204-3, FAR 52.212-3)

  • Answer Yes or No.  
  • If you answer Yes, you will be asked to provide the Company Name and TIN number. 
  • If you answer No, these fields will not be available.

Question 7 asks if your entity or any of its principals are currently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any federal agency.  SAM will check the exclusions list for the DUNS Number of your entity and indicate whether any exclusion records exist. (FAR 52.209-5, FAR 52.212-3)

  • If an active exclusion record exists for your entity, this question will default to Yes.
  • If no active exclusion record exists for your entity, answer this question with a Yes or No response.

Question 8 is divided into two parts. (FAR 52.209-5, FAR 52.212-3)

The first part asks if in the past three years, your entity, or any of its principals, has been convicted or had a civil judgment rendered against it for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) contract or subcontract; violation of federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating federal criminal tax laws, or receiving stolen property. 

The second part asks if in the past three years your entity has been notified of any delinquent federal taxes in an amount that exceeds $3,000 for which liability remains unsatisfied. 

  • Answer these questions by selecting Yes or No. 

Figure 4.50:  FAR Responses Page 2, Part 1

4.47

Question 9 asks if your entity, or any of its principals, are presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in Question 8.  (FAR 52.209-5, FAR 52.212-3)

  • Answer Yes or No.

Question 10 asks whether within the past three years your entity has been terminated for cause (default). (FAR 52.209-5, FAR 52.212-3) 

  • Answer Yes or No.

Question 11 If you are registering as a joint venture you need to list the name of any HUBZone small business concern participating in a HUBZone Joint Venture with your entity. (FAR 52.219-1, FAR 52.212-3)

  • Select Add New Joint Venture Company if your entity is a HUBZone Joint Venture.  This will open a data entry field so you can add the company name to your response. By providing the name of the HUBZone small business concern with whom your entity is partnering, and certifying to the provisions at FAR 52.212-3 and FAR 52.219-1, you are self-certifying as a HUBZone Joint Venture.
  • Check the box which says None if your entity is not participating in a HUBZone Joint Venture. 
  • If you are a U.S. Federal, State, Local, or Tribal Government entity or a foreign entity (government or non-government) the box which says None will always be checked as you are not eligible to qualify as a HUBZone Joint Venture. 

Question 12 is reserved.

Question 13 If you have indicated that you are a Joint Venture Women Owned Small Business on the General Information page in the Core Data section of SAM, provide the name of the company participating in the Joint Venture with your entity. (FAR 52.212-3, FAR 52.219-1)  

  • Select Add New Joint Venture Company to add the company name to your response. 
  • SAM will display, Our records indicate that is not participating in a Women Owned Small Business Joint Venture if you have not indicated that you are Joint Venture Women Owned Small Business.
  • If you are a U.S. Federal, State, Local, and Tribal Government entity or a foreign entity (government or non-government) you will always see this response as you are not eligible to qualify as a Joint Venture Women Owned Small Business.      

Question 14 If you have indicated that you are a Joint Venture Economically Disadvantaged Women Owned Small Business on the General Information page in the Core Data section of SAM, provide the name of the company participating in the Joint Venture with your entity. (FAR 52.212-3, FAR 52.219-1)

  • Select Add New Joint Venture Company to add the company name to your response.
  • SAM will display the following Our records indicate that is not participating in an Economically Disadvantaged Women Owned Small Business Joint Venture if you have not indicated that you are Joint Venture Women Owned Small Business in Core Data. You will always see this response if you are a U.S. Federal, State, Local, and Tribal Government entity or a foreign entity (government or non-government) as you are not eligible to qualify as a Joint Venture Economically Disadvantaged Women Owned Small Business. 

Question 15 asks if your entity provides any data to the government that qualifies as limited rights data or restricted computer software.  (FAR 52.227-15)

  • Answer Yes or No.
  • If you indicate Yes, select Add New Software to provide the name of the limited rights data or the restricted computer software. 
  • If you indicate No Add New Software will be greyed out (disabled).

Figure 4.51:  FAR Responses Page 2, Part 2

4.48

Question 16 will display Our records indicate that has selected the Entity Structure type of (for example, sole proprietor).  Your structure type and how your business or organization is defined by the IRS will be pre-filled based on your answers on the General Information page of the Core Data section.  If you selected Other as your type, you will be provided with a box to enter more information. (FAR 52.204-3, FAR 52.212-3)

Question 17 asks whether your entity is a Small Disadvantaged Business (SDB) Concern. SAM will indicate whether you have to answer this question based on the size metrics you entered for your entity in the Assertions section and the NAICS Code size standards provided by the SBA. (FAR 52.212-3)

  • If you have at least one NAICS code where your size metrics indicate your entity may be a small business, you must answer this question with a Yes or No response. Answer Yes or No based on whether you do or do not meet the criteria of a SDB Concern.
    • The answers regarding your small business status ("Small" or "Other than Small") are pre-filled based on your previously entered size metrics (number of employees and total receipts). When you answer the question about your Small Disadvantaged Business status, you are doing so for each NAICS Code for which you have been identified as "small."
    • The NAICS Codes you selected for which you are identified as small will be displayed in a table.  These Y/N answers are located in the "Small Business?" column where a "Y" indicates "Small" and "N" indicates "Other than Small." These answers are derived from the SBA's size standards. You may select "View More" to see your entity's size status for any existing NAICS.
    • If you disagree with any of the pre-filled information, you must return to Assertions and change your values there.  "Edit" will return you to the correct location to make these changes.
  • If you do not have at least one NAICS code where your size metrics indicate your entity may be a small business, SAM will pre-fill this question with the response Our records indicate that is not a small disadvantaged business concern. 

*If you are a U.S. Federal, State, Local, and Tribal Government entity or a foreign entity (government or non-government) you are not eligible to qualify as a small disadvantaged business concern.  SAM will pre-fill this question with the response Our records indicate that is not a small disadvantaged business concern.

Question 18 is reserved.

Figure 4.52: FAR Responses Page 3, Part 1

4.49

Question 19 asks whether your entity delivers any end products (from the corresponding country of origin) that are listed on the List of Products Requiring Federal Contractor Certification as to Forced or Indentured Child Labor under Executive Order No. 13126. (FAR 52.222-18, FAR 52.212-3)

  • Answer Yes or No.

Question 20 asks whether your entity has held previous contracts/subcontracts subject to Federal Acquisition Regulation (FAR) 52.222-26 (Equal Opportunity).  (FAR 52.222-22, FAR 52.212-3)

  • Answer Yes or No. 

Question 21 asks whether there are any end products delivered to the Government by your entity that are foreign (non-domestic) end products.  (FAR 52.212-3, FAR 52.225-2, FAR 52.225-4, FAR 52.225-6 , DFARS 252.225-7000, DFARS 252.225-7020, DFARS 252.225-7035)

  • Answer Yes or No.
  • If you answer Yes, list the products and their corresponding country of origin. 
  • Select Add New Product to fill in these details.  The list of products provided in the drop-down is based off the Product Service Codes (PSCs) you listed on the Goods and Services page in the Assertions portion of SAM. 
  • If you do not find the product you are looking for in the drop-down menu, select Edit my PSCs to go back to the Assertions section and add any additional products there. 

Question 22 asks whether your entity has filed all required Equal Employment Opportunity compliance reports.  (FAR 52.222-22, FAR 52.212-3)

  • Answer Yes or No.

Figure 4.53:  FAR Responses Page 3, Part 2

4.50

Question 23 asks you to choose the statement that best applies to your entity’s affirmative action programs. (FAR 52.222-25, FAR 52.212-3)  The statements you may choose from are:

  • has developed and has on file affirmative action programs required by Secretary of Labor Regulations
  • does not have developed and does not have on file affirmative action programs required by Secretary of Labor Regulations
  • has not had previous contracts subject to written affirmative action program requirements from Secretary of Labor Regulations.

 

Question 24 asks whether your entity provides maintenance, calibration, and/or repair of information technology, scientific and medical and/or office and business equipment.  (FAR 52.212-3, FAR 52.222-48)

  • Answer Yes, No or Vendor will provide information with specific offers to the Government. 
  • If you answer Yes, you must answer three subsequent questions,
  • If you answer No or Vendor will provide information with specific offers to the Government, these questions will be filled in as Not Applicable.

Figure 4.54:  FAR Responses Page 3, Part 3

Question 25 asks whether your entity provides services as described in FAR 22.1003-4(d)(1). (FAR 52.212-3, FAR 52.222-52)

  • Answer with Yes, No, or Vendor will provide information with specific offers to the Government. 
  • If you answer Yes, you must answer four subsequent questions which are depicted in Figure 4.55.
  • If you answer No or Vendor will provide information with specific offers to the Government, these questions will be filled in as Not Applicable.

Figure 4.55:  FAR Response Page 4, Part 1

On Question 26 SAM determines whether any of the Product Service Codes (PSCs) you entered in the Goods and Services page in the Assertions portion of SAM are Federal Supply Codes (FSC) (FSCs are the subset of PSCs that represent products, and begin with a number). (FAR 52.212-3)

  • If it is determined that you entered Federal Supply Codes, you will see the following: Our record indicates that has registered the following FSC codes. Provide whether the place of manufacture for each FSC code below is in the U.S. or outside the U.S. 
  • If it is determined that you did not enter Federal Supply Codes, you will see You have not entered any federal supply class for manufactured end products in the PSC list in assertions, so you are not required to answer this question.
  • To edit your PSCs, return to the Goods and Services page in the Assertions portion of SAM and select Edit. 

Question 27 asks if your entity is an inverted domestic corporation. (FAR 52.209-2, FAR 52.212-3)

Question 28 asks if your entity is a subsidiary of an inverted domestic corporation. (FAR 52.209-2, FAR 52.212-3)

Question 29 is reserved.

Question 30 asks if your entity is a corporation with a delinquent tax liability (FAR 52.209-11)

Question 31 asks if your entity has ever been convicted of a felony criminal violation under a Federal law within the preceding 24 months (FAR 52.209-11)

Question 32 asks if your entity receives $7.5 million or more in Federal contracts during the previous Federal fiscal year. If so, this requires your entity to publicly disclose greenhouse gas emissions and reduction goals. In addition, this question optionally allows your entity, if it receives less than $7.5 million in Federal contracts during the previous Federal fiscal year, to publicly disclose greenhouse gas emissions and reduction goals. (FAR 52.223–22)

  • If you answer Yes, you have the option to answer two sub-questions which are depicted in Figure 4.56.

If you answer No, the sub-questions will not be answerable.

Figure 4.56: FAR Response Page 4 Part 2

453

4.57: FAR Response Page 4 Part 3

4.4.3.3 Architect and Engineering Responses

The Architect and Engineering Responses are used to complete the Standard Form (SF) 330 Part II for architect-engineer contracts. Federal agencies use this form to obtain information from architect-engineer (A-E) firms about their professional qualifications. Federal agencies select firms for A-E contracts based on professional qualifications as required by the Brooks A-E Act (40 U.S.C. 1101 - 1104) and Part 36 of the Federal Acquisition Regulation (FAR). If you did not indicate via the NAICS codes entered in the Assertions section that you were interested in A-E work, you will not need to fill out this information.

Question 33 is the first question in the Architect and Engineering Response section. 

  • If you did not enter a NAICS code connected to architect and engineer activities, you will see the following text Our records indicate that #EntityName# has not selected NAICS 541310, 541320, 541330, 541360, 541370, 541410 or 541620. SF 330 part II information is not applicable. You will not be asked any additional questions on this page. 
  • If you did enter one of the applicable NAICS codes, you will be asked to provide additional information to complete your SF 330 Part II.  The first question asked is to indicate if you are interested in applying for a Federal contract for Architect-Engineer answer.  If you answer No to this question, then you can select Save and Continue and move to the DFARS section.
  • If you did enter one of the applicable NAICS codes, you will be asked to provide additional information to complete your SF 330 part II.  The first question asked is to indicate if you are interested in applying for a Federal contract for Architect-Engineer answer.  If you answer Yes to this question, then you will be required to enter additional information.  More detailed information can be found in question 33 in the glossary.
  • You will be asked to list any former firm names used by the office associated with the DUNS Number in the past 6 years.  If there are no other names, select on the None option.  If there are any names, then please select Add New Former Firm Details and enter Company Name, DUNS and Year Established.

Figure 4.55:  Architect-Engineer Responses

architect and engineer

  • Select Add New Discipline Details to enter the number of employees for the firm and branch by function code and discipline.  If you have more than one Discipline within your firm, you will need to create a new table for each Discipline by selecting on the Add New Discipline Details.
  • Select Add New Architect Experience to open the table and list the experience and the Professional Services Revenue Index.
  • Select "Add New Services Revenue to open the table and list the professional services revenues for the office associated with your DUNS in the last 3 years.
  • You will need to enter the name and title of the person certifying the Architect-Engineer information.

4.4.3.4 DFARS Responses

Question 34 asks whether your entity wishes to bid on, or currently holds any DoD-issued or DoD-funded contracts.  (DFARS 252.212-7000, DFARS 252.247-7022)

  • Answer Yes or No.
  • If you answer Yes you must answer Questions 35-41.
  • If you answer No, the answers to Questions 35-41 will be answered as Not Applicable. 
  • If your entity wishes to bid on DoD-issued or DoD-funded contracts in the future, you can edit your registration in the future and change your response to Yes. 

Question 35 asks if you anticipate that supplies will be transported by sea in the performance of any contract or subcontract resulting from this solicitation.(DFARS 252.212-7000, DFARS 252.247-7022)

  • Answer Yes or No.

Question 36 asks if your entity represents that the prices set forth in this contract are based on the wage rate(s) or material price(s) established and controlled by a foreign government and do not include contingency allowances to pay for possible increases in wage rates or material prices.  (DFARS 252.216-7008)

  • Answer Yes or No. 
  • If you select Yes, select the name of the host country from the drop-down menu provided. 

Question 37 asks if your entity is effectively owned or controlled by a foreign government. (DFARS 252.209-7002)

  • Answer Yes or No. 
  • If you select Yes, provide the Name and Contact information for someone at your entity who can answer questions about disclosure. 
  • Select Add New Foreign Government Entity to provide the Name and Address of the entity(ies) controlled by a foreign government, Description of Interest, Ownership Percentage, and the Foreign Government Country.

Figure 4.58:  DFARS Responses Part 1

DFARS

Question 38 asks if your entity is a foreign entity in which the government of a covered foreign country has an ownership interest that enables the government to affect satellite operations (DFARS 252.225-7049)

  • Answer Yes or No. 

Question 39 asks whether your entity is foreign and if so, if it plans to provide or use launch or other satellite services under the contract from a covered foreign country (DFARS 252.225-7049)

  • Answer Yes or No. 

Question 40 asks if your entity is offering commercial satellite services provided by a foreign entity in which the government of a covered foreign country has an ownership interest that enables the government to affect satellite operations (DFARS 252.225-7049)

  • Answer Yes or No. 

Question 41 asks if your entity is offering commercial satellite services provided by a foreign entity that plans to or is expected to provide or use launch or other satellite services under the contract from a covered foreign country (DFARS 252.225-7049)

  • Answer Yes or No. 

Figure 4.59: DFARS Responses Part 2

4.4.3.5 Review Representations & Certifications

Next, the Representations and Certifications page will display the complete FAR, DFARS and Architect-Engineer provisions language. Be sure to review the provisions identified as Read Only Provisions. NOTE: When certifying at the bottom of the page, you are also certifying that you have read each one of these provisions. You will be held responsible as such, so you are encouraged to open each provision and review it in full text. The default view for these provisions will be collapsed, but can be expanded by selecting the FAR or DFARS link provided.

Figure 4.60: Read Only Provisions

The second section contains pre-populated provisions, based on data you provided earlier in your registration. You will be held responsible for the responses in each of the provisions, so you are encouraged to open each provision and review it in full text.  If you need to correct any data, a link will be provided to the relevant page for editing. Pay special attention to FAR provisions 52.212-3 and 52.219-1.  The NAICS you identified on the Assertions Goods and Services page are shown below the provision along with your small business status for each NAICS you identified and the entire NAICS table.  These serve to complete the representation.  The status shown here for each of the NAICS codes is based on the size metrics data you provided in the Assertions section, as well as the NAICS code size thresholds provided by the SBA. select "View More" to see your entity's size status for any existing NAICS code. 

NOTE: When you certify, you are certifying to the small business status for all the NAICS in the table.  Y/N answers are located in the "Small Business?" column where a "Y" indicates "Small" and "N" indicates "Other than Small.  This status is derived from the SBA's size standards.  You will be held responsible for the certification you provide so make sure you review the entire table.  If you disagree with any of the pre-filled information, return to the Assertions portion of SAM and review the values by selecting Edit."  If you still have concerns contact SBA at 1-800-827-5722.

Figure 4.61:  FAR 52.219-1 (Showing small business table and edit functions)

At the end of the review page, check the box to indicate that you have read each of the FAR and DFARS provisions, and completed the and Architecture Engineering responses (if applicable), provisions presented in the above section and that you attest to accuracy of the representations and certifications including the entire NAICS table. By submitting the registration, you understand you may be subject to penalties if you misrepresent your entity in any of their representations or certifications to the government.

Figure 4.62:  Submit Certification

4.4.4 Entering Points of Contact (POCs)

Before your entity registration is complete, you will be asked to provide Mandatory POCs and Optional POCs. The POCs you will be asked to provide have been determined based on the answers you provided throughout the registration process. All Mandatory POCs must be completed before the registration may be submitted for certification.

4.4.4.1 POC Details

Below (Table 4.2) is a list of the POC types that all awards and Federal assistance registrants will see.  See the glossary for more information on each POC type.

Table 4.2:  All Awards and Federal Assistance Points of Contact

POC Name

Mandatory?

Mandatory Data Elements

Accounts Receivable POC

Mandatory

First Name, Last Name, Email, Phone

EDI POC

Mandatory if business wants to be EDI capable

First Name, Last Name, Email, Address, City, Country., Phone, State/Province (if US or Canada), ZIP/Postal Code

Electronic Business POC

Mandatory

First Name, Last Name, Email, Address, City, Country., Phone, State/Province (if US or Canada), ZIP/Postal Code

Electronic Business Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country., Phone, State/Province (if US or Canada), ZIP/Postal Code

Government Business POC

Mandatory

First Name, Last Name, Email, Address, City, Country., Phone, State/Province (if US or Canada), ZIP/Postal Code

Government Business Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Party Performing Certification POC

Mandatory if you have used a 3rd party certifier for a small business certification.

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Past Performance POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Past Performance Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Proceedings POC

Mandatory if you have entered proceedings details.

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Proceedings Alternate POC

Optional

First Name, Last Name, Email, Address, City, Country. Phone, State/Province (if US or Canada), and ZIP/Postal Code.

Sole Proprietorship POC

Mandatory if Sole Proprietor has been selected as a business type. 

First Name, Last Name, Email, Phone

4.4.5 SBA Supplemental Page

If you have selected at least one NAICS code for which you meet the small business size standard, you will be provided a link to the SBA Supplemental Pages at the end of your entity management registration. If you would like to provide additional information for market research, or are applying for SBA's HUBzone or 8(a) programs, use that link to complete the SBA Supplemental Pages  

  • Select "Register or Update your SBA Profile".
  • A new window will open and take you to the appropriate SBA page specific for your entity’s DUNS Number.

Please make sure to go back to the SAM window to submit your registration.

If you want to update your information later using the SBA Supplemental Pages, log into SAM and select the Entity Registrations link. Locate your current SAM registration record. Select the option to update the record. On the left navigation bar, select on the section called SBA Certification followed by the page called SBA Profile. This will generate your link to the SBA Supplemental Pages.

If you have questions while you are updating your SBA Profile in DSBS, please contact the Small Business Administration atDSBS@sba.gov. If you want to search DSBS to conduct market research, please go to http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

4.4.6 Submitting Your Registration

All mandatory data elements must be completed to submit your registration. If you have done this successfully, you will see a green check mark next to each section in the navigation panel on the left side of the screen.

  • Review your registration record in its entirety.
  • Select Edit to update any necessary information in the registration. 
  • Select Submit to certify that the information is correct.
  • SAM will display a confirmation indicating you successfully submitted your registration.  You will also receive a confirmation email.

PLEASE NOTE: Your record is NOT yet active.

Figure 4.63: Submit Registration Confirmation page

proceedings

4.4.6.1 Before Your SAM Registration is Considered Active

Your entity’s registration will NOT be considered active until the following actions take place:

  • TIN Match validated by the Internal Revenue Service (IRS), as applicable. It may take three to five business days from the time you submitted for the IRS to validate new and updated records prior to becoming active in SAM.
  • CAGE Code or NCAGE Code is validated or assigned by DoD, as applicable. Your registration will be sent to the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) Code system for assignment or validation of your CAGE Code. This step averages two business days, but the DLA CAGE team can take up to ten business days, or longer, in peak periods. If the DLA CAGE team has any questions, they will contact the individual you listed as the Government Business Point of Contact (POC) via email. The email will come from an @dla.mil address. Please tell your Government Business POC to respond right away to any requests from an @dla.mil email. If a timely response is not received, your registration will be returned to SAM and your registration status changed to Work in Progress. You will have to resubmit and provide the requested information to DLA CAGE to continue.
  • Entity Administrator formally appointed. We require a notarized letter formally appointing the authorized Entity Administrator for your entity before we will activate your SAM.gov entity registration. You can find step-by-step instructions and easy to follow templates posted at our supporting Federal Service Desk. If your entity is located in the U.S. or its outlying areas, follow the posted domestic entity instructions. If your entity is not located in the U.S. or its outlying areas, follow the posted international entity instructions. We will review your letter prior to activating the SAM registration and contact you if there are any issues. If you already submitted a notarized letter formally appointing the Entity Administrator for your entity, you do not need to provide another one.

You will get an email from @sam.gov when your registration passes these external validations and becomes Active. While you are waiting, use the Check Status tab in the SAM main navigation bar to see where your registration is in the review process.

Remember, it is FREE to register and maintain your registration in SAM. If you get an email from any address that does not end in .gov or .mil, be cautious. If you get an email, text message, or phone call asking for money or payment of any amount, be very cautious. These parties do not represent the U.S. government. You engage third party vendors at your own risk. You can get FREE help with your registration by contacting our supporting Federal Service Desk (FSD). In addition, if you are located in the U.S. and its outlying areas, you can get FREE support from your local Procurement Technical Assistance Center (PTAC), an official resource for government contracting assistance. Check the PTAC website to locate your closest PTAC.

Plan ahead. Allow up to 10 business days after you submit your registration for it to become active in SAM and an additional 24 hours before that registration information is available in other government systems. You will receive a confirmation email once the registration is activated. At that time, you will be eligible for Federal Contracts and Financial Assistance from the U.S. Federal Government.

NOTE: If you have not previously submitted a notarized letter formally designating the Entity Administrator for your entity, you must do so within 30 days of activation. You can find step-by-step instructions and easy to follow templates posted at our supporting Federal Service Desk. If your entity is located in the U.S. or its outlying areas, follow the posted domestic entity instructions. If your entity is not located in the U.S. or its outlying areas, follow the posted international entity instructions.

4.5 Status Indicators for your Registration

Your Entity Management record will have one of the following statuses as you go through the registration process:

Table 4.3: Status Indicators for your Registration

Status

Definition

Draft The registrant has initiated an Entity Management registration and has completed the DUNS Number validation but has not finished entering their Core Data information.

Work in Progress

The registrant has completed the Core Data information but has not completed the remaining sections and has not submitted their registration.

Submitted The registrant has successfully entered all required Entity Management information and selected submit. SAM has submitted their information to have the TIN and CAGE code be validated by IRS, if applicable, and DLA CAGE. Once the external validations are complete, a letter formally appointing the Entity Administrator must be on file before the registration will be activated. Allow up to 10 business days after you submit your registration for it to become active in SAM and an additional 24 hours before that registration information is available in other government systems.

Active

The Entity Management information has been completed by the registrant. The information has been successfully validated by IRS, if applicable, and DLA CAGE. An approved letter formally appointing the Entity Administrator is on file.

Expired The registrant has not updated their Entity Management information at least once in the past 365 days. The registration is no longer active.

Deleted

The registrant deleted their registration.

Inactive The previous version of the Entity Management record has been replaced by an updated record. The historical record is placed into the Inactive status.

4.5.1 SAM Status Tracker

You may quickly view your registration’s status using the SAM Status Tracker. Whether logged in or not, select the Check Status tab on the main navigation menu to go to the SAM Status Tracker. By entering your DUNS Number or CAGE Code in the fields provided shown in Figure 4.64, the SAM Status Tracker will show you the status of that DUNS Number, as well as telling you what steps are left based on why you are registering.

Figure 4.64: SAM Status Tracker Tool

The SAM Status Tracker uses seven circles to represent the registration process: Core Data, Assertions, Reps & Certs, POCs, Submit, Processing, and Active. Visual indicators in the circles, text underneath the circles, a status message in bold above the circles and user messaging combine to give the registration status.

Figure 4.65: SAM Status Tracker – Registration Status

4.6 Maintaining Your Entity’s Data

4.6.1 Printing and Saving Your Entity’s Record

If you would like a copy of your entity’s record, you may print the record or save it to a PDF. You can perform either action by navigating to the Entity Registration section of your record. Simply log in to SAM and navigate to "Existing Entity Registrations". When you have found your entity, select the "View" button under Registration Details, and then select Entity Registration in the sub navigation bar. Your entity’s record will appear along with two button options to print or save to PDF.

Figure 4.64: Printing and Saving Your Entity’s Record to PDF

4.6.2 Downloading Your Active SAM Registrations (XML)

To download your SAM registration(s) in XML format, go to My SAM -> Entity Registrations-> Select Existing Entity Registrations. Here you will see links to download your active or expired SAM registration data in XML.

Figure 4.66: Downloading Your SAM Registrations (XML)

4.6.3 Your Responsibilities

  • You are responsible for ensuring the accuracy of your entity’s registration in SAM.
  • You are responsible for updating your registration information as it changes, including ensuring that the most updated changes from D&B and IRS are reflected in your entity’s registration in SAM.  Remember that the Legal Business Name and Physical Address information are automatically input into your registration from D&B, and it is your responsibility to keep this information updated at D&B.  Entities within the U.S. may contact D&B at 1-866-705-5711.  Both U.S. and foreign entities may also use their website at http://fedgov.dnb.com/webform.
  • You must renew and revalidate your registration at least every 12 months from the date you previously registered to maintain an active status in SAM. However, you are strongly urged to revalidate your registration more frequently to ensure that SAM is up-to-date and in sync with changes (such as an address change) that may have been made to your D&B or IRS information.  If you do not renew your registration, it will expire.  An expired registration will affect your ability to receive contract awards or payments, submit assistance award applications via Grants.gov, or receive certain payments from some Federal Government agencies.  Please be aware that some federal contracts or assistance awards may require you to revalidate your registration more frequently than every 12 months.  Please review the terms and conditions of your federal award carefully to ensure what is required to be compliant.
  • People in your entity may leave at various times.  It is very important that you keep the POC information for your record as up to date as possible.  You can enter your registration and update the POC information at any time.  Please note that by updating only the POC page, you are not meeting the obligation for renewal of your registration. 
  • You may voluntarily deactivate your registration at any time by logging into SAM. If you deactivate your registration by mistake, you may also call the Federal Service Desk to reinstate your registration.
  • In the event the Electronic-Business POC leaves your organization, you must ensure that his or her alternate and successor have the information they need to fulfill the E-Business POC role.  For instance, the E-Business POC must know the names, contact information, access privileges of each POC.
  • In the event the Entity Administrator (SAM user) leaves your organization, you must ensure that his or her alternate and successor have the reference materials they need to continue with the SAM Entity Management update process.  For instance, the Administrator should have the access to the reference guides, names, and contacts of individuals involved with the registration process and other information need to maintain your entity’s record in SAM.

4.6.4 Editing Your Entity’s Data

You can make changes to Expired Registrations, Draft/Work in Progress Registrations, and Active Registrations at any time. Please note that you may not edit a submitted registration until it has been activated. To edit your entity’s registration, follow these steps:

  • Go to SAM’s homepage (SAM.gov) and log in. You will be directed to the My SAM page.
  • Select the Entity Registrations link in the sub-navigation menu, then select the Existing Entity Registrations link.

Figure 4.67:  Search for Registrations to Update Record

  • Search for the entity registration that you want to update. If the registration is active, the information will show under "Registration Details for Complete Record". Select "Update Entity" in this section if there is no draft or work in progress already created. If there is a draft or work in progress created, the registration will also show under "Registration Details for Incomplete Record". Select "Update Entity" in this section, regardless if the system shows an Active registration as well. If the registration is Expired, and a work in progress or draft record has not been started, select "Update Entity" under "Registration Details for Complete Record".
  • If you see a note stating “Record is pending administrator review. If approved, you will be able to complete the registration.” then you will not be able to proceed with updating your registration. You cannot make any edits or changes to this record until an administrator in your organization’s hierarchy has reviewed your request and approved your roles.

Figure 4.68: Draft Entity Registration Pending Hierarchy Request Review

  • If you are updating an already active entity, you will be asked what you would like to update. If you need to change your purpose for registering in SAM or change your entity/business type, select Purpose of Registration and remaining entity registration from the drop-down list. If you need to update the registration without changing the Purpose of Registration, select All sections applicable to the registration besides the Purpose of Registration from the drop-down list. If you only need to update your Point of Contacts in the registration, select Point of Contacts (POC) ONLY from the drop-down list.
  • Make the necessary changes, and select Save and Continue on each updated page.
  • After you review the entire registration, select Submit on the final review page. Or, if you are not ready to re-submit the registration, select Back to User Dashboard found on the left side of the page. NOTE: You do not need to re-submit the registration if you only update the POC information. If you update and save the POC information, the changes will be automatically saved to the record.

Upon selecting Submit you will receive a confirmation that you have successfully re-submitted your registration. You will also receive a confirmation email. NOTE: Beginning June 29, 2018 if you have not previously submitted a notarized letter formally designating the Entity Administrator for your entity, you must do so within 30 days of activation. You can find step-by-step instructions and easy to follow templates posted at our supporting Federal Service Desk. If your entity is located in the U.S. or its outlying areas, follow the posted domestic entity instructions. If your entity is not located in the U.S. or its outlying areas, follow the posted international entity instructions.

4.6.5 Data Received From External Sources

SAM connects to external databases that are considered to be the authoritative sources of information for specific data elements. These include D&B for business address information, ZIP Info for congressional district information, Treasury’s Debt Management Service for indication if an entity has debt subject to collection under the Treasury Offset Program, and SBA for the small business program information and size protests. The data from these sources are appended to your entity registration automatically through SAM.

  • D&B is the source for DUNS number validations as explained previously. SAM will not accept a registration that has different business information (name and address) than what has been registered at D&B for the DUNS number. In addition, D&B reviews all DUNS number records in SAM to ensure that the system has the most current information. If information on a DUNS number record in D&B changes, such as an address or legal business name, and that DUNS number is registered in SAM, D&B will notify SAM of the updates. The registrant will then receive a notification that they need to come to SAM and accept the new information for their record.
  • SAM determines your congressional district based on the physical address information that is used during the registration. Primarily, SAM will retrieve the congressional district information for your entity from ZIPInfo.com. SAM also has secondary methods available to determine congressional district. This information is added to your record automatically and is adjusted as needed. If your physical address changes, then the congressional district information is also updated for your record.
  • SAM receives information from the Treasury that flags your record if it has debt subject to collection under the Treasury Offset Program. This tells contracting officers they cannot use the government purchase card to make payment to your entity. This information is received directly from the Treasury and automatically added to your record.
  • SAM receives information from the Small Business Administration (SBA) in regards to certain small business certifications, such as the 8(a) Business Development Program and HUBZone Program. If the Small Business Administration (SBA) deems it necessary to remove an entity’s 8(a) or HUBZone certification, SAM displays a "+" next to those business types with some additional language explaining why that symbol is there. SAM adds the * when SBA has filed a protest against someone small's business status.
    • (+)Plus symbol: When you see the (+) plus symbol next to a SBA 8a or HUBZone certification the Small Business Administration (SBA) has notified SAM that an entity has been removed from a certification program, such as 8(a) Business Development Program, 8(a) Joint Venture Program, or HUBZone Program. In cases where that removal has occurred after the potential contractors' completion of their representations and certification, you will see a '+' sign next to the information on the firm’s SAM profile. The '+' will be removed once the potential contractor has gone back into the system and updated their registration.)
    • (*) Asterisk symbol: When you see the (*) asterisk symbol next to an entity’s Small Business Size Determination the Small Business Administration (SBA) has notified SAM that the entity is not small for that NAICS and the firm has not updated their SAM profile although they have been notified to do so. The (*) will be removed once the entity has updated their SAM profile.

4.7 Deactivating an Entity Registration

As an Entity Administrator, you have the ability to deactivate your entire Entity Management registration.

  • Select Entity Registrations on your My SAM page, then select “Existing Entity Registrations”.
  • Select the entity that you want to deactivate from your Registration Details for Complete Record and select Deactivate. You may only deactivate Active or Expired records.

Figure 4.69: Deactivate Registration

  • Select Next to confirm the deactivation.
  • Select Submit.& Your entity is now deactivated and the system has notified your entity users.

When you deactivate a registration:

  • It is no longer searchable in SAM.
  • All users lose their roles with that entity.
  • Select Next to confirm the deactivation.
  • Select Submit. Your entity is now deactivated, and the system has notified your entity users.
  • The entity must be registered as new in order to become Active and searchable in the future.

5 Administrator Roles

As an administrator in SAM, you are responsible for managing the users who have access to your entity. There are different types of administrators in SAM, each with specific privileges. Table 5.1 shows the administrators found in SAM and the users under their responsibility.

Table 5.1: Administrative Authority

Administrator

Users

Entity Administrator

-Entity Registration Representative
-Entity Registration Viewer
-Reporter

The users listed above are users that you can manage at your own entity or a lower level entity in your organization’s hierarchy.

5.1 Entity Administrators

Entity Administrators are responsible for managing which users have roles with their entity in SAM.

5.1.1 Becoming an Administrator in SAM

There are several ways to become an administrator in SAM

  • You can request administrator roles using the Request Roles with New Entity functionality in SAM.  For more information, see Requesting a Role with a New Entity.
  • Another Administrator can assign you administrator roles as an entity can have more than one administrator. For more information, see Managing Invitations to Accept Roles from a System Administrator.

The first user to create an Entity Management registration will automatically become the administrator for that entity.  For more information, see Entity Management Registration.

For more information on types of roles, please see SAM User Roles.

5.2 Managing Entity Users

The sections below cover the specific actions that you can take as an administrator of an entity:

  • Inviting users to your entity
  • Managing current users of your entity
  • Managing role requests

5.2.1 Inviting Users to Your Entity

As an Administrator for your entity, you can invite users to join your entity, allowing them to perform actions on your entity’s behalf.  This section explains how you can invite users to your entity who do not currently have a role with your entity in SAM. Follow these steps to invite a user to join your entity:

  • Select Select “Entity Users” from the sub-navigation menu on your My SAM page, then select “Invite User”.

Figure 5.1: Entity Users - Invite Users Link

  • Select the entity to which you want to invite the user.  All entities that you have authority over are displayed.  If you have authority over any lower level entities, such as offices within your agency, you can select the + to expand your organization’s hierarchy.  Select Next.
    • If you created a draft registration that is part of an organizational hierarchy corporate family tree, you may not invite users to that entity until your hierarchy registration request is approved. You will see the following text displayed in the Level List – Registration Details, “Record is pending administrator review. If approved, you will be able to invite other users to access this registration”.
    • You can search for your entity by its name, DUNS (if applicable), or code for that entity in the Federal Government hierarchy (only applicable if your entity is on the Federal Government hierarchy. This includes Department Code, Agency Code, Major and Sub-Command Codes, and Office Code).
  • Enter the email address of the user you want to invite to your entity.  SAM uses the email address to search for an existing SAM account with a matching email address.  select Next.
    • NOTE: An individual does not need to already have a SAM account prior to being invited.
  • If the email address is found, SAM will perform additional checks on the user’s roles.  If any of the following conditions apply, the user cannot be invited to your entity:
    • User already has a role under your authority. If you see this message, the user already has a role with your entity.  You can manage this user’s role from your Users List page.  For more information on managing an existing user’s role, see Managing Existing Users.
    • User has pending role request to join your entity.  For more information on managing a role request, see Managing Role Requests.
    • User has pending invitation to join your entity.  In this case you must delete the invitation if you want to send another one.  For more information on how to manage an invitation, see Managing Invitations.
    • User has existing role with entity that conflicts with your entity.  Users cannot have a role with a Federal Government entity and a non-federal government entity using the same SAM account.
  • SAM displays an error message if you cannot invite the user to your entity and prompts you to enter a different email address.
  • If you can invite the user, SAM displays the user’s basic information and asks you to confirm that you would like to invite the user to your entity.
  • Select Yes, Invite User if the email and account is correct.
  • Select No, Perform another search if you need to use a different email address. The system will inform you if it still could not find a matching email address and allows you to continue with the invitation using the email address submitted.

Figure 5.2:  Found Matching Email Address

  • Select a role for the user from the Role Pick List by checking the box.  This list will vary based on the entity and your administrative rights.
    • NOTE: Roles are grouped hierarchically, which means that certain roles with more authority (the parent role) will automatically include the rights of other roles (children roles) with lesser authority.  select the + to see all the roles underneath that role. 
  • When you select a role, it appears on the User’s Roles list.
  • To remove a role from the invitation, uncheck the role on the Role Pick List.

Figure 5.3: Assign Roles Page          

  • Enter a reason for the invitation.  If you are inviting a user without a SAM account, you must also enter the user’s first and last name.
  • Select Next to advance to the Summary page.
  • Select Submit to finish the role invitation.  SAM sends a notification email to the user.  If the user does not have a SAM account, he or she must create one to accept the invitation.

5.2.1.1 Managing Invitations

As an administrator, you have the ability to delete pending invitations that you have sent.  To delete pending invitations, follow these steps:

  • Select Pending Sent Invitations under Entity Users on the navigation panel of your My SAM page.

Figure 5.4:  Pending Sent Invitations Link

  • Review the list of invitations you have sent that have not yet been accepted or rejected by the invitee.
  • Select View to see more details about each invitation.
  • Select Delete Invitation at the bottom of the invitation details page to delete the invitation.
  • The system will confirm that you wish to delete the invitation. Select Yes, Delete Invitation to complete the process.
    • NOTE: When you delete an invitation, the invitee will no longer have the ability to access the invitation.
  • The invitee receives an email informing him/her that the invitation has been deleted.

5.2.2 Managing Existing Users

As an administrator, you have the ability to manage users connected to your entity and any entities that are underneath you in your organizations hierarchy. For more information on the hierarchy, see Hierarchy Maintenance. Follow these steps to manage your entity’s users in SAM:

  • • Select Entity Users from the sub-navigation menu on your “My SAM” page, then select “Users List”.

Figure 5.5:  Users List Link

  • On the Entity Users page, all the entities for which you are the administrator for are presented in the Entity List.  
  • Select an entry on the Entity List to display all users with that entity in the Users List.   
  • If you select a draft registration that is part of an organizational hierarchy corporate family tree, you may not view or manage users associated with that entity or its children until your hierarchy registration request is approved. You will see the following text displayed in the Entity List - Users List, “Record is pending administrator review. If approved, you will be able to view and manage users associated with this record.”
  • Alternatively, as a non-federal user, you may search for a user by entering the user’s name, username or email address in the User field.  You can also pull up all users for an entity (that you are an administrator for) by entering the DUNS Number, entity name or (N)Cage Code.  This is a convenient tool to use if you need to find a specific entity or user and you are the administrator for a multitude of entities.

Figure 5.6: Users List Page

  • If you select a user under Users List, the User Information page will display showing the user’s profile information (with exception to his or her security questions/answers).

Figure 5.7: User Information

  • Select “Manage Roles” from the sub-navigation menu panel on the left side of the screen to see the roles the user has with your entities.
  • For more information on how to modify a user’s role, see Modifying User Roles.
  • Select “Requested Roles” to manage an existing user’s own request for additional roles.

5.2.2.1 Modifying User Roles

As an administrator, you can modify a user’s roles within your entity. To do so:

  • Navigate to Manage Entity Users -> Users List
  • To remove roles from a user on a specific entity that you have admin roles to, select the entity name under Entity List.  By selecting the entity, a list of users who are associated to the record will appear under the Users List.  Find the user you are removing from this entity and select on their name. 
  • Select the user’s name to manage the user. This will open the User Information Page
  • In the user’s record, select Manage Roles.
    • The Entity List displays the entities you can administer. 

Figure 5.8:  Manage Roles Page

    • Selecting an entity will display both the user’s existing granted roles and roles that you can assign in the Role List. The user’s granted roles will already be selected.
  • Check each new role you wish to grant the user.
    • Roles are grouped hierarchically, which means that certain roles with more authority (the parent role) will automatically include the rights of other roles (children roles) with lesser authority.  select the + to see all the roles underneath that role.  Any children roles beneath the selected role will be selected as well.
  • Uncheck the role if you wish to remove the user’s role to the specific entity
  • The Granted User Roles section displays the roles the user will be granted.  The roles in black are the user’s current roles.  The roles in red are the new roles that you are about to grant.  select Save to continue.

You are taken to the Summary page to review the actions that you have taken on the user’s roles.  Each role will have one of the following labels:

    • Role(s) Assigned – For roles which you are assigning
    • Role(s) Removed – For roles which you have removed
    • Role(s) Existing – For roles the user currently has
  • Select Submit to confirm the changes.  The system immediately updates the user’s roles and sends a notification.

5.2.2.2 Disassociating a User from an Entity

Occasionally you may need to remove a user’s roles.  This is called disassociating a user.  To do this:

  • On your Users List page, select the user you want to disassociate.
  • On the Manage Roles page, select the entity from which you want to disassociate the user.
  • Deselect the user’s roles for that entity as explained in Modifying User Roles and select Save.
  • The Disassociate User from Entity page opens, displaying all the entity from which you are disassociating the user.  You can only disassociate users from entities where you are an administrator.
  • Provide the reason why you are disassociating a user from the entity and select Next.
  • The Summary page opens, showing all the role changes you have made. Select Submit to confirm the changes.  The roles are removed immediately and the system sends a notification to the user.

5.2.2.3 Other Roles

As an entity administrator, you may see other roles a user has outside of your entity and role authority. This includes roles and data access rights the user has in other functional areas.

5.2.3 Managing Role Requests

As the administrator, you will receive emails with role requests for your entity.  You can see pending role requests under the Manage Entity Users section of your My SAM page.

  • Select Pending Role Requests.
  • Select View to open a specific request.

Figure 5.9: Manage Roles Requests Page

  • The roles the user requested are displayed in the Request Details section. 
  • To approve the request, check the roles you wish to grant and select Approve Selected Roles.
  • Alternatively you can reject the request by selecting Reject Entire Request.
  • On the Summary page you can view your decision.
  • Select Submit to finalize your decision.  SAM sends the requestor a notification. 

If the requestor currently has roles with your entity, you can also manage a role request by:

  • Selecting Users List under the Manage Entity Users header on your My SAM page.
  • Select the user you wish to view by first selecting the entity, then selecting the appropriate user’s name.
  • Select Requested Roles on the User Information page.

5.2.4 Managing Hierarchy Registration Requests

For non-federal entities that are part of an organizational hierarchy, registrants need administrator approval before completing a registration. As an Entity Administrator of a higher-level entity in a hierarchy, you can approve or reject requests to register an entity in your organization. To make a decision about a hierarchy registration request, you must log in to your SAM account, select Entity Users from the sub-navigation menu on your My SAM page and select Pending Hierarchy Registration Requests. Next, select the appropriate request to review and make your decision (approve or reject). Select Submit on the confirmation page.

If you approve, the user will receive a notification email, instructions to proceed with their registration, and have access to entity registration data for any entities lower in your organization.

You may reject the request if this user is not part of your organization or if they should not have permission to register the entity. If you reject the request, the user will receive a rejection email that the draft record will be deleted from SAM and that the user will be disassociated from the entity and any entities lower in the hierarchy in your organization.

Until a decision is made, the entity registration will remain in draft status. Registrants will not be able to edit or update the registration until approved by an organization administrator.

6 Search

In SAM, you can perform full text searches with or without a SAM account.  However, if you wish to save your search results or see data that is not public, you must have a SAM account and have permissions to see non-public data.  For more information on how roles and permissions relate to search, see Impact of Roles on Search Results. 

When performing a search in SAM, be aware of the following disclaimer:

Limitation on Permissible Use of Dun & Bradstreet, Inc. (D&B) Data

This website contains data supplied by third party information suppliers, one of which is D&B. For the purposes of the following limitation on permissible use of D&B data, which includes each entity's DUNS Number and its associated business information, "D&B Open Data" is defined as the following data elements: Business Name, Street Address, City Name, State/Province Name, Country Name, County Code, State/Province Code, State/Province Abbreviation, ZIP/Postal Code, Country Name and Country Code.

D&B hereby grants you, the user, a license for a limited, non-exclusive right to use D&B Open Data within the limitations set forth herein. By using this website, you agree that you shall not use D&B Open Data without giving written attribution to the source of such data (i.e., D&B) and shall not access, use or disseminate D&B Open Data in bulk, (i.e., in amounts sufficient for use as an original source or as a substitute for the product and/or service being licensed hereunder).

Except for data elements identified above as D&B Open Data, under no circumstances are you authorized to use any other D&B data for commercial, resale or marketing purposes (e.g., identifying, quantifying, segmenting and/or analyzing customers and prospective customers). Systematic access (electronic harvesting) or extraction of content from the website, including the use of "bots" or "spiders", is prohibited. Federal government entities are authorized to use the D&B data for purposes of acquisition as defined in FAR 2.101 and for managing Federal awards, including sub-awards, or reporting Federal award information.

GSA assumes no liability for the use of the D&B data once it is downloaded or accessed. The D&B data is provided "as is" without warranty of any kind. The D&B data is the intellectual property of D&B. In no event, will D&B or any third-party information supplier be liable in any way with regard to the use of the D&B data. For more information about the scope of permissible use of D&B data licensed hereunder, please contact D&B at datause_govt@dnb.com.

6.1 Accessing Search

There are several ways to access search capabilities in SAM. If you wish to perform a search without logging in, you can access the search tool from the main home page of the SAM website. Select the Search Records icon on the SAM Homepage to be taken to the search function (see Figure 6.1 for reference).

Figure 6.1:  SAM Homepage Search

In addition, the Search Records tab is always displayed on the navigation bar at the top of the page. Select the Search Records tab to open the Search page.

Figure 6.2: SAM Navigation Search Bar

Under Quick Search, you can search for a specific term in the first text field or you can search by a specific DUNS Number or CAGE Code. You can only search in one field at a time.

When you have entered the appropriate search term, select Search. Quick Search will return results matching your search criteria for both entity registration records and for exclusion records.

You can also navigate to the Advanced Search section by selecting on one of the three buttons shown in Figure 6.2 (Advanced Search – Entity, Advanced Search – Exclusion, or Disaster Response Registry Search).

6.2 Advanced Search

Advanced search allows users to search for Entity Management Records, Exclusion Records or entities participating in the Disaster Response Registry while using specific search criterium. After navigating to the search section, as explained above, select the type of records that you want to view. You can only search within one functional area at a time. If you want to view Entity Management registrations in SAM, select “Advanced Search - Entity.” If you wish to view exclusion records, select “Advanced Search - Exclusion.” Please note that Small Business NAICS Search can be performed under the “Advanced Search – Entity” section. In SAM, searches default automatically to display all active record types. You have the option to view either active records, inactive records, or both active and inactive records by selecting the applicable status filters.

6.3 Advanced Search – Entity Management

If you select Advanced Search – Entity Management, you will be brought to a page with five accordion style filter sections. Entity will only allow you to search by one subfilter at a time (within the Entity section). Entity Type, Location, Socio-Economic Status, and Products and Services allow you to search by multiple subfilters within its own section. Please note that when you search for multiple subfilter criteria within one section, the results returned will show you results that list at least ONE of your filter criterium. For example, if you search under Entity Type and select Federal Agency and U.S. Local Government from the selections within the accordion, the results returned will show registered entities that are either listed as Federal Agencies or U.S. Local Governments.

Figure 6.3: Search Filter – Entity Functional Area Example

If you choose to search in more than one accordion, results that are returned will include the entire search criteria between accordions. Search between accordions is an AND function. For example, if you search for “For Profit Entity” under “Entity Type” and “Woman Owned Small Business” under “Socio-Economic Status,” the results returned will include items that are For Profit Entities and Woman Owned Small Businesses.

If you have selected the check box indicating that you want to search records in the Entity functional area, you have the option of selecting the following search filters:

  • Entity. Subfilters available are: Business Name, DUNS, CAGE Code, DoDAAC, or TIN. Please note that the DoDAAC and TIN search filters are only accessible if you are logged into a user account with a government email address or government role.
  • Entity Type. Subfilters available are: US Federal Government Types, Other Government Entities, U.S. Local Government Types, Other Types of Entity, Education Institution, Federally Recognized Native American Entity, Purpose of Registration.
  • Location. Subfilters available are: You can add up to three locations, each can include the following search terms: City, State/Province, Congressional District, Zip Code, Country
  • Socio Economic Status. Subfilters available are: Minority Owned Business, Community Development Corporation, Labor Surplus Area Firm, Veteran Owned Business, Service Disabled Veteran Owned Business, Woman Owned Business, Woman Owned Small Business, Economically Disadvantaged Woman Owned Small Business, Joint Venture Woman Owned Small Business, Joint Venture Economically Disadvantaged Woman Owned Small Business, Self Certified Small Disadvantaged Business, SBA Certified 8(a) Program Participant, SBA Certified HUBZone Firm, AbilityOne (formerly JWOD) Non-Profit Agency
  • Products and Services. Sub filters available are: NAICS Code, PSC Code

You may also search for entities that fall under these categories: Active Entity, Inactive Entity, Active Exclusion, No Active Exclusion, Debt Subject to Offset, or No Debt Subject to Offset. These selections are listed above the accordion search filters.

6.3.1 Viewing Records

The data included in the search result will depend on the Functional Area record type.  You can identify the record type by the text in the upper-left corner of the result.

  • Results labeled Entity are entity registration records.  Those labeled Exclusions are exclusion records entered by a federal suspension and debarment official or representative.
    • If you see an Entity search result, that entity has registered in SAM to be eligible for federal contracts, federal assistance and/or Intra-Governmental Transactions.  You can see the status of the registration in the upper-right corner of the result, and you can determine if the entity has an active exclusion by looking below the DUNS.  Additional information you can view on the search result page include: Expiration Date, Purpose of Registration, Cage Code, and Federal Debt Subject to Offset. To see the full registration, including its Entity Type and Business Type select View Details then select Entity Registration on the resulting page.

Figure 6.4:  Entity Record

If you see an “Exclusion” search result, an exclusion exists for that entity. That entity may or may not have an Entity Management registration record. You can see the status of the exclusion in the upper-right corner of the Exclusion result. You can see the status of the exclusion next to “Has Active Exclusion?” in the Entity search result.

Figure 6.5: Exclusion Record Search Result

  • Select view details
  • To view additional details, expand each result by selecting the + in the upper-right corner of the result.

Each DUNS Number registered in SAM has only one corresponding “Entity” result. If the same entity has been excluded more than once, then entity has multiple exclusion records in SAM.

6.3.1.1 Entity Dashboard

If you select View Details for an Entity result, that entity’s Entity Dashboard will open. The Entity Dashboard contains all relevant information about the entity.  In the center of page you are presented with an overview of the entity.  You can see the status of the entity’s registration and if there are any active exclusions against the entity.

On the left side of the page are navigation links that allow you to view the specific sections of the entity’s registration record as well as any exclusions against the entity.

  • To view the entire registration, select Entity Registration .  
  • To view a specific section, select on the name of the registration section you wish to view (Core Data, Assertions, Representations and Certifications, or Points of Contact)
    • Core Data – Contains data such as DUNS Information, Business Types, TIN Information (if you have the appropriate access), and Financial Information (if you have the appropriate access). All entities complete this section.
    • Assertions – Contains data such as NAICS, PSCs, Disaster Response Information, EDI Information (if you have the permissions that allow you to access that data), and Size Metrics (if you have the permissions that allow you to access that data).  All entities complete this except those registering for only grants and federal assistance.
    • Representations and Certifications – Contains the entity’s responses to the FAR and DFAR questionnaire.  This is only completed by entities registering for federal contracts.
    • Points of Contact – This contains the POCs for the entity so that contact can be made with the right person within an entity, as needed.  All entities complete this section.
  • To view any active exclusions for this entity, select Active Exclusions.
  • To view any inactive exclusions for this entity select Inactive Exclusions.
  • To view any familial exclusions for this entity select Excluded Family Members
  • To view the full details of a specific exclusion on the View Exclusion page, select the exclusion.
  • To view any Bio-Preferred Reports or Service Contract Reports, select the respective links under Entity Dashboard (note: only users with government roles and who are logged in to SAM may see these reports)
  • To return to your search results, select Return to Search on the left side of the page.

Figure 6.6:  Entity Dashboard

6.3.1.2 Entity Registration

To see an entity’s full registration on one page, select the Entity Registration link under the Entity Dashboard on the Overview page.  This section will also allow you to access historical records as well as records migrated from CCR. You may view a record at a point in time by selecting one of the options from the dropdown menu and selecting View Selected Record. You will be brought to that entity’s historical record. 

Figure 6.7: Entity Record

6.4 Exclusion Search

Anyone can view exclusions in SAM. Additionally, the SAM Exclusions Extract can be downloaded by any user regardless of whether they have an account in SAM. The extract is public and does not contain any Sensitive Personal Information.

6.4.1 Exclusions Overview

The Exclusions area within the Performance Information functional area of SAM, formerly the Excluded Parties List System (EPLS), identifies those parties excluded from receiving federal contracts, certain subcontracts, and certain types of federal financial and non financial assistance and benefits. SAM keeps the user community aware of administrative and statutory exclusions across the entire government and individuals barred from entering the United States. The more commonly used terms of ‘suspensions’ and ‘debarments’ reflect exclusions. It is important that the user reviewing SAM records to determine federal award eligibility closely read the nature (cause) and effect language present on each exclusion record to determine applicability for their planned award.

Exclusion Records are publicly available and can be searched via Advanced Search or the Public Search tool.

To view the full exclusion record:

  • Select “View Details” in the exclusion search result. This opens the “View Exclusion” page.

The data included in exclusion record will depend on the excluded entity’s classification. An excluded entity may be one of four Classification types:

  • Individual – A person
  • Firm – A company with a valid Dun & Bradstreet Data Universal Numbering System (DUNS) number.
  • Vessel – A mode of transportation capable of transport by water.
  • Special Entity Designation – Any entity that is not a vessel, individual or firm.

If you are viewing an exclusion for an “Individual,” the individual’s street address fields will not be displayed. To verify the address of the individual:

  • Enter the individual’s street address in the provided fields and select “Verify.” You must enter an exact match.
    • If there is a match, you will see “Verified.”
    • If the fields do not match, you will see “No Match.”
  • The individual’s street address will never be displayed publicly.

You can view changes made to this exclusion. To do so:

  • Select a date from the dropdown and select “View Selected Record.”

Figure 6.8: Exclusion Record for Special Entity Designation

  • Select “Return to Search” to return to your search results.

6.4.1.1 Exclusions Terminology

In SAM, certain key terms have been changed to reflect the action taken on exclusions. Table 6.1 highlights those changes.

Table 6.1:  EPLS Terms vs. SAM Current Terms

Legacy EPLS Terms

SAM Current Terms

Cause

Nature (Cause)

Treatment

Effect

CT Action

[Discontinue]

Action Date

Active date

Archived

Inactive

Agency Contact

Agency POC

Permanent

[Discontinue]

CT Code

Exclusion Type

Classification Type:  Entity

Classification Type:  Special Entity Designation

Address

Primary Address

Additional Address

Alternate Address

Agency

Excluding Agency

Description

Additional Comments

6.4.1.2 Exclusion Types

In EPLS, the legacy system in which exclusion records were maintained, each record was identified with a Cause and Treatment Code (CT Code).  CT Codes were identified by letters or letters and numbers (for example, A, H1, JJJ) and included descriptions of the cause of the exclusion and the treatment accorded to the excluded party.

In SAM, CT Codes have been replaced with the following four Exclusion Types:

  • Ineligible (Proceedings Pending)
  • Ineligible (Proceedings Completed)
  • Prohibition/Restriction
  • Voluntary Exclusion

Each Exclusion Type now has a standard language that automatically appears in the record in SAM.  Figure 6.9 is an example of the standardized language populated by the system for the Nature (Cause) and Effect fields.

Figure 6.9:  Nature (Cause) and Effect Language

New exclusion records created in SAM will no longer be identified with CT Codes.   Instead, they will be associated with one of the four Exclusion Types.  All requests to modify or add an Exclusion Type must be submitted as a change request through the SAM Change Control Board (CCB) representative for your agency. 

NOTE:  In EPLS, the term exclusion type was associated with the type of Program for the exclusion, such as Reciprocal, rather than the CT Codes. 

Records created in EPLS have both a CT Code and an Exclusion Type listed.

When viewing an exclusion record that was originally created in EPLS with a CT code, you can select the CT Code displayed on the page to view the legacy CT Codes and their associated description.  Each CT Code is linked to one Exclusion Type.  

Table 6.2: Exclusion Types

Exclusion Type

Nature (Cause) & Effect

Ineligible (Proceedings Pending)

Nature (Cause):

Preliminarily ineligible based upon adequate evidence of conduct indicating a lack of business honesty or integrity, or a lack of business integrity, or regulation, statute, executive order or other legal authority, pending completion of an investigation and/or legal proceedings; or based upon initiation of proceedings to determine final ineligibility based upon regulation, statute, executive order or other legal authority or a lack of business integrity or a preponderance of the evidence of any other cause of a serious and compelling nature that it affects present responsibility.

 

Effect:

Procurement:

  • Agencies shall not solicit offers from, award contracts to renew, place new orders with, or otherwise extend the duration of current contracts, or consent to subcontracts in excess of $35,000 (other than commercially available off-the-shelf items (COTS)), with these contractors unless the agency head (or designee) determines in writing there is a compelling reason to do so. 
  • Nonprocurement:

  • No agency in the Executive Branch shall enter into, renew, or extend primary or lower tier covered transactions to a participant or principal determined preliminarily ineligible unless the head of the awarding agency grants a compelling reasons exception in writing. Additionally, agencies shall not make awards under certain discretionary Federal assistance, loans, benefits (or contracts there under); nor shall an ineligible person participate as a principal, including but not limited to, agent, consultant, or other person in a position to handle, influence or control Federal funds, or occupying a technical or professional position capable of substantially influencing the development or outcome of a funded activity; nor act as an agent or representative of other participants in Federal assistance, loans and benefits programs. Contact the award agency for questions regarding the extent of Nonprocurement transaction award ineligibility. The termination date will be listed as Indefinite (Indef.) unless otherwise specified.
  • Ineligible (Proceedings Completed)

    Nature (Cause):

    Determined ineligible upon completion of administrative proceedings establishing by preponderance of the evidence of a cause of a serious and compelling nature that it affects present responsibility; or determined ineligible based on other regulation, statute, executive order or other legal authority.

    Effect:

    Procurement:

  • Agencies shall not solicit offers from, award contracts to renew, place new orders with, or otherwise extend the duration of current contracts, or consent to subcontracts in excess of $35,000 (other than commercially available off-the-shelf items (COTS)), with these contractors unless the agency head (or designee) determines in writing there is a compelling reason to do so. 
  • Nonprocurement:

  • No agency in the Executive Branch shall enter into, renew, or extend primary or lower tier covered transactions to a participant or principal determined ineligible unless the head of the awarding agency grants a compelling reasons exception in writing. Additionally, agencies shall not make awards under certain discretionary Federal assistance, loans, benefits (or contracts there under); nor shall an ineligible person participate as a principal, including but not limited to, agent, consultant, or other person in a position to handle, influence or control Federal funds, or occupying a technical or professional position capable of substantially influencing the development or outcome of a funded activity; nor act as an agent or representative of other participants in Federal assistance, loans and benefits programs.  Contact the award agency for questions regarding the extent of Nonprocurement transaction award ineligibility. The period of ineligibility is specified by the termination date.
  • Prohibition/Restriction

    Nature (Cause):

    May be subject to sanctions pursuant to the conditions imposed by the U.S. Department of the Treasury (Treasury) Office of Foreign Assets Control (OFAC), or subject to a sanction, restriction or partial denial pursuant to the conditions imposed by the U.S. Department of State (STATE) or Federal agency of the U.S. Government

    Effect:

    If you think you have a potential match with an OFAC listing, please visit the following section of OFAC's website for guidance:
    http://www.treasury.gov/resource-center/faqs/Sanctions/Pages/directions.aspx. For all other prohibitions and restrictions, see the agency note in the Additional Comments field to ascertain the extent or limit on the sanction, restriction or partial denial.  If there is no note, contact the agency taking the action for this information.

    Voluntary Exclusion

    Nature (Cause):

    Accepted an agreement to be excluded under the terms of a settlement between the person and one or more agencies.

    Effect:

    These persons are excluded in accordance with the terms of their voluntary exclusion agreement.   See the agency note in the Additional Comments field to ascertain the extent of the exclusion or the limit on the person's participation, in covered transactions.  If there is no note, contact the agency taking the action for this information.

    Table 6.3 shows you how the CT Codes used in EPLS correlate to the four different Exclusion Types in SAM.  You may also access this information in SAM Help.

    Table 6.3:  CT Codes to Exclusion Type Mapping

    CT Codes

    Description

    Exclusion Types

    A1; B; J1; K; N1; O; Q; S; S1; W; Y

    1. Suspension

    2. Blocked Pending Investigation

    3. Proposed Debarment

    Ineligible (Proceedings Pending)

    08-INA-01; 08-INA-02; 10-VA-01; 10-VA-02; A; AA; C; C1; CC; D; DD; E; EE; F; FF; G; GG; I; I1; J; L; N; P; R; R1; RR; SS; U; V;

    1.  Debarment

    2.  Denial

    3.  Disqualified

    4.  Termination from Eligibility

    5.  Ineligible

    6.  Conviction

    7.  Excluded

    Ineligible (Proceedings Completed)

    03-BSE-01; 03-DP-01; 03-ENT-01; 03-FTO-01; 03-SDGT-01; 03-SDN-01; 03-SDNT-01; 03-SDNTK-01; 03-SDT-01; 03-TLGE-01; 10-CIS-01; 10-ISA-01; 11-USDA-01; BB; BPI-SDGT; BPI-SDNT; BPI-SDNTK; H; H1; H2; JJ; JJJ; M; QQ; RRR; VV; VVV; X; XXX; YYY; Z; Z1; Z2; Z3; ZZZ

    1.  License or Approval Revoked

    2.  Sanctioned

    3.  Partial Denial

    Prohibition/Restriction

    T

    1. Voluntarily Excluded

    Voluntary Exclusion

    6.4.1.3 Agency Exclusion Points of Contact (POCs)

    The Agency Exclusion POC page provides an alphabetical listing of federal agency points of contact and their associated contact information, which is publicly available. Any question about an exclusion that has been created by someone at the Agency should be directed to this individual.

    As a Public User, you can view the Agency Exclusion POCs by navigating to the Help tab, selecting Exclusions Information in the navigation panel, and selecting Agency Exclusion POCS.

    Figure 6.10: Agency Exclusion Points of Contact

    6.4.2 Advanced Search – Exclusion Records

    You may only search by one accordion at a time when using the Exclusion advanced search tool. Additionally, search terms within each accordion will filter results based on an AND criteria. This means that all results returned will include every criterium you selected. For example, if you searched under the accordion “Single Search,” and entered “Name” and “Exclusion Status”, results returned would include both the Name you listed and the specific Exclusion Status selected. The following search terms are available under the Exclusion advanced search:

    • Single Search. Sub filters available are: Classification, Name, First Name, Middle Name, Last Name, DUNS, CAGE, City, State, Zip Code, Country, Agency, Exclusion Status, Exclusion Type, Exclusion Program, Active Date, Termination Date or Indefinite, Create Date, Modify Date.
    • Multiple Names. Sub filters available are from dropdown list: All, Individual, or Firm, Vessel, Special Entity Designation. This filter allows a user to search for multiple exclusions at one time.
    • SSN/TIN. Sub filters available are: Name, SSN/TIN, and Exclusion Status. The SSN/TIN must be entered with a Name or else no results will be returned. If searching for an individual, the first, middle (if applicable), and last name must be entered.

    Figure 6.11: Search Filter – SSN/TIN Exclusion Search Example

    If you select Advanced Search – Exclusion you will be presented with the following warning:

    1. Please note that when matches are found, there may be instances where an Individual or Firm has the same or similar name as your search request but is actually a different party. Therefore, it is important that you verify a potential match with the debarring agency identified in the record information.
    2. You must acknowledge having read the following information before performing a search by DUNS or CAGE Code.
    3. SAM does not have DUNS or CAGE Code identifiers for all Firms listed in SAM. Therefore, a search by one of these fields may not be sufficient to find a match. An additional Name search should be performed if a match is not found when searching by one of these fields.
    4. Please note that if you search only a particular classification code (e.g. Firm); you are potentially excluding results classified with a different code.

    6.4.3 Viewing Record History

    The system tracks a history of all changes made to an exclusion record. Anyone can view an exclusion record’s history, including users without an individual SAM Account.

    Figure 6.12: Access Record History

    6.5 Disaster Response Registry Search

    The Disaster Response Registry Advanced Search tool can be used to search for contractors willing to provide debris removal, distribution of supplies, reconstruction, and other disaster or emergency relief services in the event of a national disaster. Structure your search for a contractor participating in the Disaster Response Registry by using a combination of criteria from multiple categories. The checkbox to the left of each category header expands the accordion to display your options. If you select more than one search term within a category, results can meet either value, i.e. the system applies an OR logic. If you select search terms in multiple categories, results must meet both criteria, i.e. the system applies an AND logic. Any search results returned will only include those entities which have selected to participate in the Disaster Response Registry.

    Figure 6.13: Search Filter – Disaster Reponse Registry Geographic Area Served

    6.6 Downloading Search Results

    After running a search, you can export the results. Select on one of the three buttons to export the data displayed on the search results page into the specified format:

    • Save a PDF
    • Export Results to CSV
    • Print Results

    The links are located at the top or bottom of the search results list.

    6.7 Saving and Running Search Queries

    If you are logged into your SAM individual account, you have the ability to save a search query.  When saving a query, you are not saving the search results; rather, you are saving the search terms and filters that you have selected.  Follow these steps to save a search query:

    • Log in to your SAM account.
    • Perform a search.
    • Select Save Search above the search results.
    • Name your search query for future reference.
    • Select Save to save the query

    There are two ways to access and run your saved queries.  For both options, you must be logged into SAM. 

    • On the Search Results page, select Saved Searches.
    • Select the My SAM tab to access the My SAM page, then select My Saved Queries underneath General.

    Figure 6.14:  Accessing Saved Searches from the Search Results Page

    On your My Saved Queries page, you can see your saved search queries. From this page you can run, view, or delete a query.

    Figure 6.15: My Saved Queries Page

    • To run a saved query, select the radio button next to the query name and select Run.
    • To delete a query, select the radio button next to the query name then select Delete.
    • To view more details about a query including the search terms and filters, select the radio button next to the query name and select View.
    • The Saved Search Query Details page opens displaying further information about the query.
    • You can run or delete the query from this page.

    7 SAM Help

    7.1 SAM Help Pages

    On the SAM Help pages you can find the training materials and information you need to successfully navigate SAM. SAM Help includes:

    • FAQs. Answers to the Frequently Asked Questions (FAQ) and a list of general FAQ with the functionality to search for specific keywords in the list.
    • International Registrants. There are resources specific to international entities, or those located outside of the United States and its outlying areas. This page includes a Quick Start guide, a Helpful Hints, a video on obtaining NATO CAGE (NCAGE) Codes, and External Resources for international registrants.
    • Demonstration Videos. There are six webinars that provide an overview of SAM application, how to register for contracts and federal assistance, and manage users:
      • SAM Overview Video
      • Register a New Entity in SAM to be eligible Government Contracts
      • Register a New Entity in SAM to be eligible for Grants and Other Federal Assistance
      • Managing Users as an Administrator
      • SAM Webinar for Government Users
    • Exclusions Information:
      • Agency Exclusion POC. Listing of all Agency Exclusions Point of Contacts with their name and phone number.
      • Legacy CT Codes. Full listing and definition of all historical Cause and Treatment codes.
      • Exclusion Types. Full listing and description of the SAM Exclusion Types and how they map to the historical Cause and Treatment codes.
    • External Resources. Links to software sites that you may need to access specific sections of SAM.
    • User Guides:
      • Quick Start Guides. There are several Quick Start Guides that provide overview information on how to search SAM, create exclusions, and perform the administrator role.
        • Quick Start Guide for Updating/Renewing Registrations
        • Quick Start Guide for Contract Registrations
        • Quick Start Guide for Grant Registrations
        • Quick Start Guides for Exclusions
        • Quick Start Guide for Federal Administrators
        • Quick Start Guide for Non-Federal Administrators
        • Quick Start Guide for Federal Employees
        • Quick Start Guide for Migrating Roles
        • Quick Start Guide for Search
        • Quick Start Guide for BioPreferred Reporting
        • Quick Start Guide for Small Business NAICS Search
        • Quick Start Guide for Disaster Response Registry
      • Full User Guides. There are three separate user guides to help familiarize you with SAM. The guides are for federal users, non-federal users, and users consuming non-public data through SAM's data access request process.
      • Helpful Hints.There is one helpful hints document for entity registrations, four helpful hints for government users, and one for public users:
        • Understanding your entity’s registration status
        • Government User Guidance on Small Business Information in SAM
        • Government User - Identifying Excluded Entities in SAM
        • Identifying Entities Registered for Contracts
        • Identifying Entities Registered for Grants
        • Public User - Identifying Excluded Entities in SAM

    7.2 SAM Assistant Tool

    The SAM Assistant Tool aids users with completing their registrations by providing page-level and data element instructions, hints, and tips. In order to activate the SAM Assistant Tool, navigate to the top of the website and select “View Assistance for SAM.GOV.” If you want to hide the tool, you can select “Hide SAM Assistant.” The tool may appear at certain times during the registration process so if you prefer to disable the tool, select the checked box marked “Enable SAM Helper Tool” and the tool will become disabled.

    8 About SAM

    8.1 About Pages

    On the About Pages you can find the most updated information about the SAM site. Information in this section includes:

    • What is SAM? An overview about SAM and how to get started with a registration.
    • News. Information on the latest release notes, news and announcements about SAM
    • Contact Us. Information on how to contact the supporting service desk.

    If you have a question about SAM or require assistance, select “Contact Us” for information on how to contact the SAM Help Desk, which is run by the Federal Service Desk (FSD). For policy related questions, contact your contracting officer or grants official.

    Refer to the FAQs found in “SAM Help” before contacting the FSD. If the FAQs do not answer your question, please contact FSD for additional support.

    URL: www.fsd.gov

    Hours: 8am - 8pm (Eastern Time)

    U.S. Calls: 866-606-8220

    Internaional Calls: 334-206-7828

    DSN: 866-606-8220

    Figure 8.1: About Links

    about links

    9 BioPreferred Report

    9.1 Reporting

    The BioPreferred program is a key component to promote sustainable acquisition throughout the Government under Executive Order 13514 of October 5, 2009 (Federal Leadership in Environmental, Energy, and Economic Performance). The BioPreferred program, established by the Farm Security and Rural Investment Act of 2002 (Public Law 107-171) (2002 Farm Bill), and strengthened by the Food, Conservation and Energy Act of 2008 (Public Law 110-234) (2008 Farm Bill), is intended to increase Federal procurement of biobased products to promote rural economic development, create new jobs, and provide new markets for farm commodities. Biobased and sustainable products help to increase U.S. energy security and independence. Contractor reporting of purchases of BioPreferred items has been added to SAM to comply with the Farm Bill and FAR 23.406.

    In accordance with FAR 52.223-2, vendors who have been awarded services or construction contracts issued after May 18, 2012 are required to report on their purchase of BioPreferred Items in the execution of those contracts during the Federal Government fiscal year (October 1st to September 30th). As such, contract data will be collected from FPDS for any contract, to include task and delivery orders, which meet the following criteria:

    • Action Obligation > $25,000 and is a Service Contract awarded after May 14, 2012.
    • Reason for Modification is:
      • J – Novation Agreement
      • R – Representation
      • S – PIID Change
      • V – Vendor Change
    • Recovered Materials/Sustainability Clause must be:
    • E – Bio-based
    • H - FAR 52.223-4 & bio-based
    • J – FAR 52.223-4 & bio-based & energy efficient
    • K – FAR 52.223-4 & bio-based & environmentally preferable
    • L – FAR 52.223-4 & bio-based & energy efficient & environmentally preferable

    SAM will receive a list of all contracts that meet the requirements identified above from the Federal Procurement Data System (FPDS). Users will come into SAM to report on their contracts by overall contract number, aka Procurement Instrument Identifier (PIID). Reports can be entered and edited throughout the Federal fiscal year, until October 31 of the following fiscal year, when the reporting for the year closes. For example, FY2018 information can be entered and edited until October 31, 2018.

    9.2 Required Data

    The “prime” contractor is responsible for entering BioPreferred information. For each contract or order, the “prime” contractor must enter a single dollar amount expended in any given BioPreferred product category. The “prime” contractor must include the “prime” contractor data in the reported amount. The prime contractor must enter the following data for BioPreferred Items used during the Federal Government fiscal year (October 1st to September 30th):

    • Category of Product
    • Type of Product
    • Dollar Amount Spent

    9.3 Accessing BioPreferred Functionality

    In order to create BioPreferred Reports:

    • Your entity must be registered in SAM
    • You must have an individual SAM account with the Entity Administrator, Entity Registration Representative, or Reporter role.
      • If you do not already have one of these roles, you can:
        • Request roles with your entity. Select “My User Roles” and select “Request Roles with New Entity.”
        • Have your entity’s administrator assign you roles.

    9.4 Creating BioPreferred Reports

    After you have the correct roles, you can begin creating BioPreferred Reports.

    • From your “My SAM” page, select “Entity Registrations” and select “BioPreferred Reporting”

    Figure 9.1: BioPreferred Link

    • Next, select the DUNS Number for which you wish to create a BioPreferred Report. Select “View.” Only DUNS Numbers which require BioPreferred Reporting appear on the list. If a DUNS Number does not appear on the list, SAM has not received any contracts that require reporting for that DUNS Number. The contract data is updated on a monthly basis so there may be a lag between when the contract is entered in FPDS and when it appears in SAM.
    • You are now presented with the contracts which require BioPreferred Reporting. For each contract you can see the status of your BioPreferred Report under the “Submitted?” header. “Y” indicates that the BioPreferred Report for that contract is submitted. “N” indicates that it is not submitted. Select the appropriate contract and select “Add.” Only contracts which require BioPreferred Reporting appear on the list.
    • On the next page, SAM displays the details of the contract for your reference. As an example, select “Add USDA Category” button, to add a category.
    • Select a USDA Category from the dropdown list.
    • Next, select the Product from the dropdown.

    Figure 9.2: Entering BioPreferred Information

    • After selecting the correct product, enter the Dollar Amount Spent on purchasing that product during the Federal Government fiscal year (October 1 – September 30). (NOTE: The sum of the Dollar Amounts Spent cannot exceed the Total Contract Value). You can add multiple Products for this Category by selecting “Add a New Product”. If you need to delete a Product select “Delete” next to that Product.
    • If you need to add additional Categories, select “Add USDA Category” again.
    • If you need to remove a Category, select “Delete Category” next to the item.
    • After completing the report, select “Submit” to save it. You will be able to edit this report as necessary until the reporting period closes on October 31st. After that deadline, you will only be able to create reports for the next Federal Government fiscal year.
    • On the “Select Contract” page, SAM displays a “Y” in the “Submitted?” column for the report that you just finished. You can save a PDF of the report by selecting the displayed link.

    9.5 Editing BioPreferred Reports

    You can edit your BioPreferred reports up until the deadline closes on October 31st. To edit a report:

    • From your My SAM page, select Entity Registrations and select BioPreferred Reporting.
    • On the next page, select the DUNS Number for which you want to edit a report and select View.
    • The reports that you can edit have a Y in the Submitted? column. select View/Edit.
    • Update the record and select Submit to save the changes.

    9.6 BioPreferred Reporting Period

    The reporting tool will be available throughout the entire fiscal year, and contractors may come in and create or update reports at any time up until the reporting period ends. The reporting period will end at midnight on October 31 each year. At that time, all reports for the prior fiscal year will be locked and submitted to the Office of Management and Budget. After October 31, only reports for the next (current) fiscal year may be completed. So, for example, starting November 1, 2017, contractors are able to create reports for FY 2018. This will continue until October 31, 2018, at which time the reports FY 2018 will be locked. FY 2019 reporting would begin on November 1, 2018.

    10 Service Contract Report

    10.1 Reporting Requirements

    The Office of Management and Budget (OMB), in accordance with Section 743(a) of Division C of the Consolidated Appropriations Act, 2010 (Pub. L. 111-117) requires civilian agencies to prepare an annual inventory of their service contracts. FAR 4.1703 establishes service contractor reporting requirements based on type of contract and dollar amount.

    • Contractors are required to report on all cost-reimbursement, time-and-materials, and labor hour service contracts and orders at or above the simplified acquisition threshold (SAT).
    • For firm fixed price contracts, reporting requirements will be determined based on the expected dollar amount and type of orders issued under the contracts as follows:
      • $2.5 million in Fiscal Year 2014
      • $1 million in Fiscal Year 2015; and
      • $500,000 from Fiscal Year 2016 onwards
    • For indefinite-delivery contracts including, but not limited to, indefinite-delivery indefinite-quantity (IDIQ) contracts, Federal Supply Schedule (FSS) contracts, Government-wide Acquisition contracts (GWACs), and multi-agency contracts, reporting requirements will be determined based on the expected dollar amount and type of orders issued under the contracts.
      • Existing indefinite-delivery contracts will be bilaterally modified within six months of the effective date of the final rule if sufficient time and value remain on the base contract, which is defined as: A performance period that extends beyond October 1, 2018; and $2.5 million or more remaining to be obligated to the indefinite-delivery contract.

    Tier 1 subcontract information is required for subcontractors primarily providing services. Tier 1 subcontract reports need to be invoiced for contracts that reach the same thresholds as the contract type requirements for SCR.

    In accordance with FAR 4.1703, additional certain information must be entered by contractors at SAM.gov during the reporting period for each contract that meets the above described service contract reporting thresholds and against which work was performed in the preceding government fiscal year.

    10.2 Transmission of Contract Action Reports from FPDS to SAM

    The Federal Procurement Data System (FPDS) will send Contract Action Reports (CARs) based on the new SCR requirements to SAM. Upon receipt of a CAR (or group of CARs) for given DUNS, SAM will inform registered users by e-mail to complete and submit SCRs. The email will also advise users on how to delegate this task to another user within the entity.

    Note: If the entity is not registered in SAM, they will not receive the SCR notification e-mail. CARs will not be released until the user creates a SAM account and registers the entity.

    Users with the Entity Administrator, Entity Representative or the Reporter roles will come into SAM to report on their contract actions (see SCR Required Data section) by Contract Number, also known as the Procurement Instrument Identifier (PIID). If a contract was awarded under an Indefinite Delivery Vehicle (IDV), SAM will provide a place to view each individual Contract Number (PIID) under the respective Reference IDV PIID. Although there may be multiple Contract Numbers (PIIDs) for any applicable Reference IDV PIID, the reporting itself is at the Contract Number (PIID) level.

    10.3 SCR Required Data

    Users are required to input and submit the following SCR data elements:

    • Amount invoiced for services on that contract in the preceding government fiscal year (in dollars).
    • Number of contractor direct labor hours expended under the contract. This value will be converted to FTE’s using a 2080 hour work year.
    • Tier 1 Subcontract number, including DUNS and name (if applicable).
      • Number of subcontractor direct labor hours expended under the contract (if applicable). This value will be converted to FTE’s using a 2080 hour work year.

    10.4 Accessing SCR Functionality

    You must have the following credentials to access SCR functionality:

    • The entity must be registered in SAM.
    • You must have an individual SAM account with the Entity Administrator, Entity Registration Representative, or Reporter role.

    If you do not already have one of these roles, you can:

    • Request roles with your entity.  Select My User Roles and select Request Roles with New Entity.
    • Your entity’s administrator can assign you roles.

    10.5 Creating SCRs

    Once you have the correct role, you can begin creating SCRs.

    • Log in to your SAM account.
    • Select “Entity Registrations” and select “Service Contract Report.”
    • SAM displays your DUNS Numbers which have service contracts. Select the DUNS for which you want to create an SCR. Select “View.”

    Figure 10.1: Select DUNS

    • Next, select the service contract to be reported against. Each service contract which meets the above described thresholds for reporting is displayed. You can search for a specific contract by Contract Number (PIID). For each contract, SAM displays the status of the SCR under “Submitted?” “Y” indicates that the SCR for that contract is submitted. “N” indicates that it is not submitted. Select the appropriate PIID and select “Add”.

    Figure 10.2: Select Contract

    • Upon selecting the “Add” button you will be taken to the “Complete SCR” page where SAM displays the details of the contract and allows reporting to occur. You are required to enter the following information:
      • Total Amount Invoiced: Total dollar amount invoiced for services performed during the previous Government fiscal year under the contract (this amount should include the prime and any subcontract amount); Please note the Total Amount Invoiced cannot exceed the Total Contract Value
      • Contractor Hours Spent: Contractor direct labor hours expended on the services performed during the previous Government fiscal year. The amount you enter in Total Hours Spent is automatically divided by 2080 hours to calculate an equivalent Full Time Employee (FTE), displayed under the Contractor Hours Spent as “Calculated Contractor FTE”. 1 FTE is equivalent to 2080 hours.

    Figure 10.3: Enter SCR Data

    • Report any required Tier 1 subcontractor information by selecting the “Add Tier 1 Subcontract Information” button. Multiple subcontractors can be added by selecting the button again. There are no reporting requirements for subcontracts beyond Tier 1. For each subcontractor you must provide the following subcontractor information:
      • Subcontractor’s DUNS. Enter the DUNS and select “Search” to return the subcontractor’s information from Dun and Bradstreet. If your subcontractor does not have a DUNS, they can obtain one from Dun & Bradstreet (D&B) by calling 1-866-705-5711 or accessing D&B’s website at http://fedgov.dnb.com/webform
      • Subcontract Number
      • Hours Invoiced by Subcontractor. This number is divided by 2080 hours to calculate the number of FTE’s.
      • Subcontractor information can be removed by selecting “Delete”.
    • When you are ready to submit the report, select “Submit”. This saves your report and returns you to the “Select Service Contract” page, where you can create other SCRs.

    10.6 Editing/Deleting SCRs

    For any previously saved/submitted SCR, SAM will display “View/Edit”. Upon selection, you will be able to view the current SCR, edit available fields and resubmit the record, or deleted previously entered information altogether. The record can be edited as frequently as necessary until the end of the reporting period.

    The steps to update a previously submitted SCR are as follows:

    • From the “My SAM” page, select “Entity Registrations” and select “Service Contract Report.”
    • Select the DUNS containing the contract for which you want to edit/delete an SCR.
    • Next, select the SCR that you want to edit. You can search for a specific contract by Contract Number (PIID). To edit a previously submitted SCR, select “View/Edit.”
    • Once the report is open it can be edited. Select “Submit” to save any changes.
    • To delete the report, select “Delete”.

    NOTE: Once you delete the report it is no longer considered submitted and the contract will be listed as incomplete on the “Select Service Contract” page. You have until the end of the reporting period to complete a new SCR for this service contract.


    Appendix A – Acronym List

    Acronym

    Acronym Description

    ABA

    American Banking Association

    ACH

    Automated Clearing House

    ALC

    Agency Location Code

    AKA

    Also Known As

    ANSI

    Alaskan Native Servicing Institution

    ARO

    Agency Registration Official (List)

    CAGE

    Commercial and Government Entity

    CAPTCHA (reCAPTCHA)

    Completely Automatic Public Turing Test to Tell Computers and Humans Apart

    CCR

    Central Contractor Registration

    CFDA

    Catalog of Federal Domestic Assistance

    CFO

    Chief Financial Officers

    COTS

    Commercial Off  The Shelf

    CPARS

    Contractor Performance Assessment Reporting System

    CSV

    Comma Separated Value

    CT

    Cause and Treatment (Codes)

    D&B

    Dun and Bradstreet

    DAR

    Data Access Request

    DBA

    Doing Business As

    DFARS

    Defense Federal Acquisition Regulation Supplement

    DO

    Disbursing Office or Delivery Order

    DOD

    Department of Defense

    DODAAC

    Department of Defense Activity Address Code

    DUNS

    Data Universal Numbering System

    EDI

    Electronic Data Interchange

    EDWOSB

    Economically Disadvantaged Women-Owned Small Business

    EFT

    Electronic Funds Transfer

    EIN

    Employee Identification Number

    EPA

    Environmental Protection Agency

    EPLS

    Excluded Parties List System

    eSRS

    electronic Subcontracting Reporting System

    FAPIIS

    Federal Awardee Performance and Integrity Information System

    FAR

    Federal Acquisition Requirement

    FBO

    Federal Business Opportunities

    FedReg

    Federal Agency Registration

    FEMA

    Federal Emergency Management Agency

    FFATA

    Federal Funding Accountability and Transparency Act

    FKA

    Formally Known As

    FOUO

    For Official Use Only

    FPDS

    Federal Procurement Data System

    FSC

    Federal Supply Codes

    FSD

    Federal Service Desk

    FSN

    Fiscal Station Number

    FSRS

    FFATA Subaward Reporting System

    GSA

    General Service Administration

    HBCU

    Historically Black College or University

    HSI

    Hispanic Servicing Institution

    IAE

    Integrated Acquisition Environment

    IGT

    Intra-Governmental Transactions

    IPAC

    Intra-Governmental Payment and Collection

    IRS

    Internal Revenue Service

    IT

    Information Technology

    JWOD

    Javits Wagner O’Day (JWOD) Act

    LLC

    Limited Liability Company

    MPIN

    Marketing Partner Identification Number

    NAICS

    North American Industry Classification System

    NCAGE

    North Atlantic Treaty Organization Commercial and Governmental Entity

    NHSI

    Native Hawaiian Servicing Institution

    NKA

    Now Known As

    NPI

    National Provider Identifier

    ORCA

    Online Representations and Certifications Application

    PII

    Personally Identifiable Information

    PKA

    Previously Known As

    PMO

    Program Management Office

    POC

    Point of Contact

    PPIRS

    Past Performance Information Retrieval System

    PSC

    Product and Service Code

    PTAC

    Procurement Technical Assistance Center

    SAM

    System for Award Management

    SBA

    Small Business Administration

    SCI

    Services Contract Inventory

    SDB

    Small Disadvantaged Business

    SFTP

    Secured File Transfer Protocol

    SSN

    Social Security Number

    TIN

    Taxpayer Identification Number

    URL

    Universe Resource Locator

    WDOL

    Wage Determinations On Line

    WOSB

    Women-Owned Small Business

    XML

    Extensible Markup Language


    Appendix B - Glossary

    Three unique content glossary sections:

    Entity Management Content Glossary

    Representations and Certifications Content Glossary

    Performance Information Content Glossary

    Entity Management Content Glossary

    Term

    Definition

    All Awards

    This purpose of registration option is for those who wish to be eligible for federal contracts or other procurement opportunities as well as federal assistance opportunities. You must complete all sections of the registration, i.e. Core Data, Assertions, Reps and Certs, and POCs. This term replaces Contracts and Contracts & Grants from CCR. U.S. Federal Government entities may select this option if they have the authority to be eligible for federal contract awards.

    Grants and other Federal Financial Assistance

    This purpose of registration option is for those who plan to apply for Federal Financial Assistance awards (e.g. grants and cooperative agreements). This term replaces "Grants" in CCR. U.S. Federal Government entities may select this option if they have the authority to be eligible for financial assistance awards.

    Federal Government

    The United States Federal Government established by the Constitution to govern the constitutional republic of 50 states, one district and the territories that is the United States of America. It encompasses all Departments and Agencies of the Executive Branch as well as the Legislative and Judicial Branch. A federal government entity may register in SAM to be eligible for contracts, federal financial assistance, or intragovernmental transactions. It is distinct from the other levels of government (State, Local), Tribal Governments, or Foreign Governments, as well as commercial enterprises.

    U.S State Government

    A government of one of the 50 states that make up the United States of America. A state government entity may register in SAM to be eligible for contracts or federal financial assistance. It is distinct from the other levels of government (Federal, Local), Tribal Governments, or Foreign Governments, as well as commercial enterprises.

    U.S. Local Government

    A government of a locality (city, county, etc) within one of the 50 states that make up the United States of America. A Local Government entity may register in SAM to be eligible for contracts or federal financial assistance. It is distinct from the other levels of government (Federal, State), Tribal Governments, or Foreign Governments, as well as commercial enterprises.

    Tribal Government

    The independent government of an indigenous tribe within the borders of the United States of America that has local sovereignty as a tribal nation. A Tribal Government entity may register in SAM to be eligible for contracts or federal financial assistance. It is distinct from the other levels of government (Federal, Local, and State) and Foreign Governments, as well as commercial enterprises.

    Foreign Government

    The government of a country other than the United States of America. A Foreign Government entity may register in SAM to be eligible for contracts or federal financial assistance. It is distinct from the United States Government and Tribal Governments, as well as commercial enterprises.

    DUNS Number

    The Data Universal Numbering System (DUNS) Number is a unique nine-character identification number provided by the commercial company Dun and Bradstreet (D&B). Call D&B at 1-866-705-5711 or access their website at http://fedgov.dnb.com/webform if you do not have a DUNS Number. International registrants may also contact SAMhelp@dnb.com.

    Refresh D&B Data

    THE REFRESH BUTTON WILL ONLY BE VISIBLE AFTER YOU HAVE SUCCESSFULLY COMPLETED YOUR REGISTRATION. Use the "Refresh D&B Data" button only if you have recently called D&B to make a change to your information, but the changes are not yet showing up in SAM. FYI: The D&B System itself can take up to 24 hours to update.

    D&B Legal Business Name

    Enter the legal name by which you are incorporated and pay taxes. If you commonly use another name, such as a franchise, licensee name, or an acronym, then include that in the Doing Business As space. Your legal business name as entered on the registration MUST match the legal business name at D&B. If the information does not match, your registration may be rejected during processing.

    DBA Name

    Doing Business As (DBA) is the commonly used other name, such as a franchise, licensee name, or an acronym. Do not type “same” or “as shown above” in the DBA field.

    Address Information

    This information must match what is in your D&B registration. All known address information, physical street address, City, State, Zip, Foreign Province Code, and Country should be entered by the user and will be sent to Dun and Bradstreet (D&B) for validation. D&B will return a match on all address fields, validating to SAM that your entity is the same as the one registered in their database. Once confirmed, SAM will use the D&B address information throughout the system. The address information cannot be edited in SAM. In order to change this information, registrants must go to the D&B website (http://fedgov.dnb.com/webform/).

    Address Line

    Enter your first address line here. It should match the address line provided when you registered for your DUNS Number. P.O. Box and c/o may not be used in this space. You may not register a branch of the business with the branch address and the headquarters DUNS Number. Your Address line as entered on the registration MUST match the Address line at D&B. If the information does not match, your registration may be rejected during processing.

    City

    Enter your city as it appears in your D&B registration. If the information does not match, your registration may be rejected during processing.

    State/Province

    Enter your state, or foreign registrants, your province as it appears in your D&B registration. If the information does not match, your registration may be rejected during processing.

    Zip/Postal Code

    Enter your zip code + 4 or for foreign registrants, your postal code as it appears in your D&B registration. If the information does not match, your registration may be rejected during processing.

    Country

    Enter your country as it appears in your D&B registration. If the information does not match, your registration may be rejected during processing.

    Business Start Date

    Enter the date the business was formed or established here. This may be used to distinguish you from others with similar names. You must enter the date as mm/dd/yyyy (example: 01/01/1995).

    Fiscal Year End Close Date

    Enter the day on which your business closes the fiscal year. For example, if you use the calendar year, enter 12/31. When entering the information on the web site, you must enter as mm/dd.

    Company Division Name

    If you do business or are identified as a division of a larger company, enter the proper name for your division here. Otherwise, leave blank.

    Company Division Number

    If a number identifier commonly distinguishes your division, enter that in the division number field here. Otherwise, leave blank.

    Corporate URL

    If applicable, provide your entity's web page Universe Resource Locator (URL) here. Both upper and lower cases are acceptable.

    Congressional District

    The congressional district will be pre-populated based on the zip-code in the entity's physical address. This will include state & congressional district.

    MPIN

    The Marketing Point of Contact Identification Number (MPIN) is a self-created password that will be shared with other authorized partner applications (e.g. PPIRS and Grants.gov) and is used to access these systems. You will also use it again as a means of signing your IRS Consent to Disclose Taxpayer Information form, if applicable, later in the registration process so please remember it! You should guard it as you would other passwords. The MPIN must contain nine characters, at least one alpha, and one numeric character each. It should not contain spaces or special characters.

    Mailing Address Type

    If you are unable to receive mail at your physical address, enter a mailing address here. A Post Office Box is permissible.

    Address 1

    If you are unable to receive mail at your physical address, enter a mailing address here. A Post Office Box is permissible.

    Address 2

    If you are unable to receive mail at your physical address, enter a mailing address here. A Post Office Box is permissible.

    City

    If you are unable to receive mail at your physical address, enter a mailing address city here.

    State/Province

    If you are unable to receive mail at your physical address, enter a mailing address state or province here.

    Taxpayer Identification Number (TIN)

    This field will be populated with the TIN, i.e. Employer Identification Number (EIN) or Social Security Number (SSN), you entered on the Business Information page. You cannot edit this field on the IRS Consent page. PLEASE NOTE: If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a Taxpayer Identification Number (TIN).

    TIN Type

    A Taxpayer Identification Number (TIN) is a 9 digit identification number used by the Internal Revenue Service (IRS) in the administration of tax laws. It is issued either by the IRS or the Social Security Administration (SSA). The choices provided for TIN Type include: Employer Identification Number "EIN", or Social Security Number "SSN". Find more information on these TIN types: http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-%28TIN%29. PLEASE NOTE: If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a Taxpayer Identification Number (TIN).

    EIN

    An Employer Identification Number (EIN) is also known as a federal tax identification number, and is used to identify a business entity. It is also used by estates and trusts. This number helps SAM uniquely identify your business, and will be validated by the Internal Revenue Service (IRS). As a rule, if you are a business then you have an EIN. Find more information or to apply for an EIN go here.PLEASE NOTE: If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a Taxpayer Identification Number (TIN).

    SSN

    The Social Security Number (SSN) assigned by the Social Security Administration (SSA) may be used instead of an Employer Identification Number (EIN) only by sole proprietors or single-member limited liability companies (LLCs) taxed as disregarded entities. This number will be validated by the Internal Revenue Service (IRS) and is required to be used by the offeror in reporting income tax and other returns. If you would prefer to use an EIN, you can obtain one here. PLEASE NOTE: If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a Taxpayer Identification Number (TIN).

    TIN Consent

    The registrant provides consent for the Internal Revenue Service (IRS) to validate that the Taxpayer Name and Taxpayer Identification Number (TIN), either the Employer Identification Number (EIN) or Social Security Number (SSN), provided by the registrant matches or does not match the name and/or name control and TIN in the files of the IRS for the most current tax year reported. To complete your SAM registration and qualify as a registrant eligible to bid for federal government contracts or apply for federal assistance awards (e.g. grants and cooperative agreements) you will need to pass the “TIN Match.” You will not be allowed to have an active SAM registration without a validated TIN. It may take three to five business days to validate new and updated records with the IRS prior to becoming active in SAM. If you are located outside the United States and do not pay employees within the U.S., you are not required to provide a Taxpayer Identification Number (TIN), and thus this section is not required.

    Taxpayer Name

    Enter the exact Taxpayer Name the IRS has on file for your entity's TIN according to its most recent tax return. Your Taxpayer Name may be slightly different than the Legal Business Name of the entity being registered. Review your tax statements from the IRS (such as a 1099 or W-2/W-4 form) to find your Taxpayer Name. Use only letters, numbers, spaces, hyphens (-), and ampersands (&). Omit any other special characters that are part of your Taxpayer Name.

    Taxpayer Address

    Enter the address that the IRS has on file for your entity. You may select the “Copy Mailing Address” or “Copy Physical Address” buttons to use one of the addresses you have entered earlier in the registration, if appropriate.

    Taxpayer Street Address 2

    Taxpayer City

    Taxpayer State

    Taxpayer Zip+4/Postal Code

    Taxpayer Country

    Type of Tax

    This field will be populated as Applicable Federal Tax.

    Tax Year (Insert Most Recent Tax Year)

    Enter a four-digit value for the most recent Tax Year in which you reported taxes. It must be no later than the current calendar year.

    Name of Individual Executing Consent

    Enter the full name of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e) (4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute consent to disclosure.

    Title of Individual Executing Consent

    Enter the title of the individual executing this consent. This person must have legal authority to execute this consent in accordance with 26 CFR section 301.6103(c)-1(e) (4). For example, if the taxpayer is a legal entity, such as a corporation, any officer of the entity with authority under applicable State law to legally bind the entity may execute consent to disclosure..

    Signature (MPIN)

    Enter the value for the MPIN you created on the Business Information Page. The MPIN serves as your signature to execute the consent to disclosure of tax information.

    Date

    Today's date will be populated once you enter your MPIN to sign the consent and select Save and Continue. This serves as the official date the individual with legal authority executed consent.

    CAGE Code

    A five-character, alpha-numeric identifier assigned to entities located in the United States and its outlying areas by the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) Program to identify a commercial or government entity. An entity’s CAGE Code is used to support variety of automated systems throughout the Federal government and provides a standardized method of identifying a given facility at a specific location. The CAGE Code may be used for a facility clearance, a pre-award survey, automated bidders list, identification of debarred bidders, fast pay processes, etc. All registrations in SAM go through the CAGE Code assignment/validation process after submission. If you think you have a CAGE Code, search the Defense Logistics Agency (DLA) CAGE database at https://cage.dla.mil/search If you don't have one, one will be provided automatically to you during processing after you complete and submit your SAM registration.

    NCAGE Code

    A five-character, alpha-numeric identifier assigned by a member of the North Atlantic Treaty Organization (NATO) or by the NATO Support and Procurement Agency (NSPA) to entities located outside the United States and its outlying areas that DLA Commercial and Government Entity (CAGE) Office records and maintains in the CAGE master file. This type of code is known as an NCAGE Code. NCAGE Codes are required for all foreign entities and must be obtained prior to starting a SAM registration for those entities. The name and address information you use to request your NCAGE Code must match what you used to request your DUNS Number. You can submit your request for an NCAGE Code by going to the NSPA NCAGE Request Tool at https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx. Detailed instructions are posted at that site.

    Immediate Owner

    Means an entity, other than the offeror, that has direct control of the offeror. Indicators of control include, but are not limited to, one or more of the following: ownership or interlocking management, identity of interests among family members, shared facilities, and equipment, and the common use of employees. The entity registering in SAM is considered the offeror.

    Highest-Level Owner

    Means the entity that owns or controls an immediate owner of the offeror, or that owns or controls one or more entities that control an immediate owner of the offeror. No entity owns or exercises control of the highest level owner. The entity registering in SAM is considered the offeror.

    Company Division Number

    If a number identifier commonly distinguishes your division, enter that in the division number field here. Otherwise, leave blank.

    Country of Incorporation

    If your entity is a Business/Organization and you selected either Corporate Entity, Tax Exempt or Corporate Entity, Not Tax Exempt as the form of your Business or Organization as defined by the IRS (General Information page), you must provide the Country of Incorporation.

    State of Incorporation

    The State of Incorporation is required if you selected the United States for the Country of Incorporation.

    Company Security Level

    If your company facility has been awarded a facility security clearance by the government choose the correct level of security for the facility. Please refer to http://www.dss.mil/isp/fac_clear/per_sec_clear_proc_faqs.html for more information on facility security clearances.

    Highest Employee Security Level

    If the employees at your company have been awarded security clearances (for example, Secret, Top Secret), choose the security level of the employee with the highest employee security level at that facility.

    Council of Governments

    Councils of governments are regional bodies that exist throughout the United States. They are also sometimes called regional councils, regional commissions, regional planning commissions, planning district commissions, and development districts. A typical council is defined to serve an area of several counties, and they address issues such as regional and municipal planning, economic and community development, cartography and GIS, hazard mitigation and emergency planning, aging services, water use, pollution control, transit administration, and transportation planning.

    Housing Authorities Public/Tribal

    A housing authority is generally a governmental body that governs some aspect of the territory's housing, often providing low rent or free apartments to qualified residents.

    Interstate Entity

    An interstate entity is a governmental agency formed through an agreement between two or more states of the United States of America. Frequently, these entities are responsible for administering or improving some shared resource such as a seaport or public transportation infrastructure.

    Planning Commission

    A planning commission is a commission delegated to propose plans for future activities and developments, generally on behalf of a government entity.

    Port Authority

    In Canada and the United States a port authority (less commonly a port district) is a governmental or quasi-governmental public authority for a special-purpose district usually formed by a legislative body (or bodies) to operate ports and other transportation infrastructure.

    Airport Authority

    If you choose U.S. Federal, State, Local, Tribal, or Foreign Government entities then you have the options to select your type of Government Entity. Choose one of these other Governmental Entities if applicable. An airport authority is an independent entity charged with the operation and oversight of an airport or group of airports. These authorities are often governed by a group of airport commissioners, who are appointed to lead the authority by a government official.

    Transity Authority

    A transit authority is a government agency created for providing public transportation within a specific region. In the United States, this is usually within one state, but in rare circumstances may cover two or more states. Also known as a transit district. A transit authority is created to give it the power of the government in dealing with solving problems related to transit issues. This includes the powers of eminent domain to obtain space for rights of way (e.g. for railways or busways), the ability to impose excise, income, property, and/or sales taxes to fund subsidies of operating costs of local transportation, and the ability to operate independently of the cities and counties that the transit district operates within. A transit district may also have its own transit police force, although in some areas the local police provide a special bureau for this purpose. A transit district may operate bus, rail, or other types of transport including ferry service, or may operate other facilities. In some cases, the transit district may be part of a larger organization such as a state Department of Transportation.

    Community Development Corporation

    While there is no established legal definition for Community Development Corporations, they are “defined” by their community-based leadership and community-oriented goals which are, primarily, fostering job creation and access to affordable housing. These community organizations are set up by residents, small business owners, church congregations, members of civic associations, etc. to promote the revitalization of their community in terms of housing and job creation. They also provide a host of different social services to residents in need. Community Development Companies need not be certified by any national entity, although some states require them to meet certain criteria in order to receive state funding. These entities are non-profit institutions organized under section 501 (c) (3) of the federal Internal Revenue code, which designates them as tax-exempt, non-profit organizations. This designation is essential so that the institution may receive grants and gifts from both public and private sources. For more information please refer to http://www.sba.gov/community/blogs/community-blogs/small-business-cents/cdcs-and-cdcs-community-development-corporation.

    Domestic Shelter

    A Domestic Shelter is a place of temporary refuge and support for persons escaping violent or abusive situations, such as rape and domestic violence. Please note that there may be provision to hide or restrict the address of a domestic shelter if that is deemed to be in the best interest of its residents.

    Foundation

    A Foundation (also a charitable foundation) is a legal categorization of nonprofit organizations that will typically either donate funds and support to other organizations, or provide the source of funding for its own charitable purposes.

    Hospital

    Hospitals are health care institutions providing patient treatment by specialized staff and equipment. Hospitals often, but not always, provide for inpatient care or longer-term patient stays.

    Educational Institution

    An Educational Institution is an organization founded and united for the purpose of providing education; it is another name for a school, college, or university. Specifically to meet the definition of an educational institution in SAM, the institution must meet the requirements of 20 U.S.C. 1001 and include all sub elements of such an institution. Please go here for more.

    Types of Educational Institutions

    If you have selected "Educational Institution," you may select the particular type of Educational Institution.

    1862 Land Grant College

    Land-Grant Colleges are institutions of higher education in the U.S. designated by each state to receive the benefits of the Morrill Acts of 1862 and 1890. They are often categorized as 1862, 1890, and 1994 institutions, based on the date of the legislation that designated most of them with land grant status.

    1890 Land Grant College

    Land-Grant Colleges are institutions of higher education in the U.S. designated by each state to receive the benefits of the Morrill Acts of 1862 and 1890. They are often categorized as 1862, 1890, and 1994 institutions, based on the date of the legislation that designated most of them with land grant status.

    1994 Land Grant College

    Land-Grant Colleges are institutions of higher education in the U.S. designated by each state to receive the benefits of the Morrill Acts of 1862 and 1890. They are often categorized as 1862, 1890, and 1994 institutions, based on the date of the legislation that designated most of them with land grant status.

    Historically Black College or University (HBCU)

    Historically Black College or University means are institutions determined by the Secretary of Education to meet the requirements of 34 CFR 608.2. For the Department of Defense (DoD), the National Aeronautics and Space Administration (NASA), and the Coast Guard, the term also includes any nonprofit research institution that was an integral part of such a college or university before November 14, 1986. For more information please go here

    Minority Institution

    Minority Institutions are institutions of higher education meeting the requirements of Section 365(3) of the Higher Education Act of 1965 (20 U.S.C. 1067k), including a Hispanic-serving institution of higher education, as defined in Section 502(a) of the Act (20 U.S.C. 1101a). For more information please go here.

    Private University or College

    Private universities are universities not operated by governments, although many receive public subsidies, especially in the form of tax breaks and public student loans and grants. Depending on their location, private universities may be subject to government regulation. This is in contrast to public universities and national universities. While many prominent private universities are run by charitable or non-profit organizations, a subset are commercial for-profit universities which are run as business organizations.

    School of Forestry

    A School of Forestry is a professional school that offers forestry instruction, including emphases on biodiversity and conservation sciences.

    Hispanic Servicing Institution

    Hispanic-Serving Institutions (HSI) are institutions of higher education that have an enrollment of undergraduate full-time equivalent students that is at least 25 percent Hispanic students at the end of the award year immediately preceding the date of application.

    State Controlled Institution of Higher Learning

    A state university system in the United States is a group of public universities supported by an individual state, or a similar entity such as the District of Columbia. These systems constitute the majority of public-funded universities in the country. Each state supports at least one such system.

    Tribal College

    Tribal Colleges are institutions of higher education that (1) qualify for funding under the Tribally Controlled Colleges and Universities Assistance Act of 1978 (25 U.S.C. 1801 et seq.) or the Navajo Community College Act (25 U.S.C. 640a note); or (2) are cited in section 532 of the Equity in Educational Land-Grant Status Act of 1994 (7 U.S.C. 301 note).

    Veterinary College

    If you have selected "Educational Institution," you may select the particular type of Educational Institution. A veterinary school is a tertiary educational institution, or part of such an institution, which is involved in the education of veterinarians, and provides a veterinary degree (i.e.: DVM, VMD, etc.) to qualified graduates.

    Alaskan Native Servicing Institution (ANSI)

    If you have selected "Educational Institution," you may select the particular type of Educational Institution. Alaska Native-Serving Institutions are institutions of higher education that have an enrollment of undergraduate students that is at least 20 percent Alaska Native students.

    Native Hawaiian Servicing Institution (NHSI)

    If you have selected "Educational Institution," you may select the particular type of Educational Institution. Native Hawaiian-Serving Institution are institutions of higher education which have an enrollment of undergraduate students that is at least 10 percent Native Hawaiian students.

    DOT Certified DBE

    The Department of Transportation (DOT) Disadvantaged Business Enterprise (DBE) program is implemented by recipients of DOT Federal Financial Assistance. Recipients are primarily state highway, transit and airport agencies that receive funds subject to Title 49 Code of Federal Regulations parts 26 (49 CFR 26). This is not the same as the SBA Small Business Certification. Select this box if your business is certified by a state certifying agency as a DOT DBE. For more information please go here.

    Company Division Number

    If a number identifier commonly distinguishes your division, enter that in the division number field here. Otherwise, leave blank.

    Alaskan Native Corporation Owned Firm

    The Alaska Native Claims Settlement Act of 1971 allotted 40 million acres of land for division among 12 regional native corporations and 220 village corporations. Alaska natives and descendants born before 1971 were allowed to receive 100 shares in their village corporation and regional corporation. In 1975, a 13th corporation formed to represent Alaska natives residing outside the state. Over the years, some village corporations merged with each other or with their regional corporation. These are known as Alaskan Native Corporations. In 1986, Congress passed legislation that allowed ANCs to participate in the Small Business Administration's disadvantaged business program, known as the 8(a) program, which sets aside federal contracts for minority-owned or other disadvantaged companies. For more information please see: http://www.sba.gov/content/alaskan-owned-corporations.

    Native Hawaiian Organization Owned Firm

    Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. For more information please see: http://www.gpo.gov/fdsys/pkg/CFR-2006-title13-vol1/html/CFR-2006-title13-vol1.htm.

    Tribally Owned Firm

    A Tribally-Owned Firm refers here to a firm owned by a Native American Tribe. For more information please see: http://www.gpo.gov/fdsys/pkg/USCODE-2011-title25/pdf/USCODE-2011-title25.pdf.

    HUBZone Program

    The Historically Underutilized Business Zones (HUBZone) program helps small businesses in urban and rural communities gain preferential access to federal procurement opportunities. These preferences go to small businesses that obtain HUBZone certification in part by employing staff who live in a HUBZone. The company must also maintain a "principal office" in one of these specially designated areas. For more information please see: http://www.sba.gov/content/hubzone-0

    8(a) Business Development

    An SBA program for small concerns owned by socially and economically disadvantaged persons. Firms admitted to the program can receive Federal contracts designated for 8(a) Business Development Program participants, as well as management and technical assistance. For more information please see: http://www.sba.gov/content/8a-business-development-0

    Ability One Program

    The AbilityOne Program is the largest single provider of jobs for people who are blind or have other significant disabilities in the United States. The AbilityOne Program uses the purchasing power of the federal government to buy products and services from participating, community-based nonprofit agencies nationwide dedicated to training and employing individuals with disabilities.

    American Indian Owned

    A Native American is a member of any of the indigenous people of the Western Hemisphere. For more information please see: http://www.sba.gov/about-offices-content/1/2960.

    Indian Tribe (Federally Recognized)

    Indian Tribe means any Indian tribe, band, pueblo, or community, including native villages and native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act, that is recognized by the Federal Government as eligible for services from BIA in accordance with 25 U.S.C. 1452(c). For more information please see: http://www.gpo.gov/fdsys/pkg/USCODE-2011-title25/pdf/USCODE-2011-title25.pdf.

    Foreign Owned

    Your organization is not owned by an organization incorporated in the United States.

    Small Agricultural Cooperative

    A Small Agricultural Cooperative is an association (corporate or otherwise) acting pursuant to the provisions of the Agricultural Marketing Act (12 U.S.C.A. 1141j) whose size does not exceed the size standard established by SBA for other similar agricultural small business concerns. For more information please see: http://www.sbaonline.sba.gov/contractingopportunities/owners/glossary/index.html.

    Limited Liability Company (if applicable)

    A Limited Liability Company (LLC) is a business structure allowed by state statute. LLCs are popular because, similar to a corporation, owners have limited personal liability for the debts and actions of the LLC. Other features of LLCs are more like a partnership, providing management flexibility and the benefit of pass-through taxation. For more information please see: http://www.irs.gov

    Subchapter S Corporation (if applicable)

    Subchapter S Corporations are corporations that elect to pass corporate income, losses, deductions and credit through to their shareholders for federal tax purposes. For more information please see: http://www.irs.gov

    Manufacturer of Goods

    Your organization manufactures goods as opposed to being a service provider.

    Corporate Entity, Not Tax Exempt (Firm pays U.S. Federal Income Taxes or U.S. Possession Income Taxes)

    Corporate Entity Not Tax Exempt are businesses that pays U.S. Federal Income Taxes or U.S. Possession Income Taxes. If you select this choice, you will be required to later enter information on the state of incorporation.

    Corporate Entity, Tax Exempt (Firm does not pay U.S. Federal Income Taxes nor U.S. Possession Income Taxes)

    Corporate Entity Tax Exempt are businesses that does not pay either U.S. Federal Income Taxes or U.S. Possession Income Taxes.

    Partnership or Limited Liability Partnership

    A Partnership is the relationship existing between two or more persons who join to carry on a trade or business. Each person contributes money, property, labor or skill, and expects to share in the profits and losses of the business. A partnership must file an annual information return to report the income, deductions, gains, losses, etc., from its operations, but it does not pay income tax. Instead, it "passes through" any profits or losses to its partners. Each partner includes his or her share of the partnership's income or loss on his or her tax return. A Limited Liability Company (LLC) is a business structure in which owners have limited personal liability for the debts and actions of the LLC. LLCs with multiple owners that do not elect to be taxed as a corporation are taxed as a partnership and are generally called Limited Liability Partnerships (LLP). For more information please see: to http://www.irs.gov.

    Sole Proprietorship

    A sole proprietor is someone who owns an unincorporated business by himself or herself. For more information please see: http://www.irs.gov, including exceptions to the sole proprietor definition.

    International Organization

    International Organization is any public international organization entitled to enjoy privileges, exemptions, and immunities as an international organization under the International Organizations Immunities Act (22 U.S.C. 288-288(f)). In general, to qualify as an international organization, the United States must participate in the organization pursuant to a treaty or under the authority of an Act Congress authorizing such participation. For more information see: http://www.irs.gov/pub/irs-pdf/iw8exp.pdf.

    Other

    Select "Other" if your entity does not fall under one of the other categories (i.e. your organization is neither a Corporate Entity Tax Exempt, Corporate Entity Not Tax Exempt, Partnership or Limited Liability Partnership, Sole Proprietorship, or International Organization).

    For-Profit Organization

    A For-Profit Organization is one that distributes any profit not reinvested into the business as profit or dividends to its employees or shareholders.

    Nonprofit Organization

    A Nonprofit Organization is an organization that uses its surplus revenues to achieve its goals rather than distribute them as profit or dividends. The IRS defines this status under Internal Revenue Code 501(c).

    Other Not for Profit Organization

    Other not for profit organizations are those organizations that are not profit making but also do not qualify as a nonprofit under Internal Revenue Code 501(c).

    Joint Venture Woman-Owned Small Business

    Joint Venture Women-Owned Small Business (WOSB) Concern means a joint venture that complies with the requirements of 13 CFR part 127 and certifies it is a WOSB. For more information on Women-Owned Business please see this PDF.

    Company Division Number

    Joint Venture Economically Disadvantaged Women-Owned Small Business (EDWOSB) concern means a joint venture that complies with the requirements of 13 CFR part 127 and certifies it is an EDWOSB. For more information, go here.

    Joint Venture Economically Disadvantaged Woman-Owned Small Business

    If you are incorporated outside the U.S., you must provide country of incorporation. Non U.S. registrants doing business outside the U.S. are not required to complete the Financial Information section of the registration.

    Veteran-Owned Business

    Veteran-Owned Business means a business that (1) not less than 51 percent of which is owned by one or more veterans (as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and (2) the management and daily business operations of which are controlled by one or more veterans. For more information please see: http://www.gpo.gov/fdsys/pkg/USCODE-2011-title38/pdf/USCODE-2011-title38.pdf.

    Service-Disabled Veteran-Owned Business

    Service Disabled Veteran Owned Business means a business that (i) not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and (ii) the management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. “Service-disabled veteran” means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16). For more information please see: http://www.gpo.gov/fdsys/pkg/USCODE-2011-title38/pdf/USCODE-2011-title38.pdf.

    Women-Owned Business

    Women-Owned Business means a business (1) that is at least 51 percent owned by one or more women; or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and (2) whose management and daily business operations are controlled by one or more women.

    Women-Owned Small Business

    Women-Owned Small Business (WOSB) concern eligible under the WOSB Program (in accordance with 13 CFR part 127), means a small business concern that is at least 51% owned and controlled by one or more women, and primarily managed by one or more women. The women must be U.S. citizens. The firm must be “small” in its primary industry in accordance with SBA’s size standards for that industry. For more information please see http://www.sba.gov/content/women-owned-small-business-program.

    Economically Disadvantaged Woman-Owned Small Business

    An Economically Disadvantaged Women-Owned Small Business (EDWOSB) is a company that is a Women-Owned Small business (WOSB) as defined in accordance with 13 CFR part 127 that is at least 51% owned by one or more women who are “economically disadvantaged.” However, SBA may waive this requirement of economic disadvantage for industries in which WOSBs are “substantially underrepresented.” A woman is presumed economically disadvantaged if she has a personal net worth of less than $750,000 (with some exclusions), her adjusted gross yearly income averaged over the three years preceding the certification is less than $350,000, and the fair market value of all her assets is less than $6 million (with some exclusions). For more information please see http://www.sba.gov/content/women-owned-small-business-program.

    Minority Owned Business (if selected then one sub-group is required)

    A minority business is defined as a business in which more than 51% of the interest, stock and otherwise, is owned by minority group members. If you select this category, you will need to select a subcategory that best represents the persons who hold primary ownership. Subcategories include Asian-Pacific American Owned, Subcontinent Asian (Asian-Indian) Owned, Black American Owned, Hispanic American Owned, Native American Owned, or Other.

    Asian-Pacific American Owned

    Asian-Pacific American means persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru.

    Subcontinent Asian (Asian-Indian) American Owned

    Subcontinent Asian (Asian-Indian) American means persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal.

    Black American Owned

    Black means all persons having origins in any of the black African racial groups not of Hispanic origin.

    Hispanic American Owned

    Hispanic means all persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race.

    Native American Owned

    Native American means American Indians, Eskimos, Aleuts, or Native Hawaiians.

    Credit Card Usage

    Indicate if your entity will accept government payments via credit card. For US federal entities participating in intragovernmental sales, this field indicates if your entity will accept government purchase cards for payments. If yes, your Merchant ID is required.

    Electronic Funds Transfer (EFT)

    All registrants must complete this section except non-U.S. registrants doing business outside the U.S. and Federal Government agencies. Electronic Funds Transfer (EFT) is the U.S. Federal Government's preferred payment method and has been legally mandated for all contract and assistance award (e.g. grant and cooperative agreement) payments. Contact your bank or financial institution for the necessary information to complete this section. Foreign registrants with a U.S. bank account are welcome to provide it. Foreign registrants without a U.S. bank account will receive a check via mail rather than via direct deposit.

    Account Type

    Account Type is either checking or savings for the type of bank account you provide for EFT payments. None of the financial data in this section will be released to the public. It is for Federal government use only.

    Financial Institute

    Financial Institute is the name of the bank you use for EFT/banking purposes. This field will be filled in based on the ABA Routing Number you provide.

    ABA Routing ID

    American Banking Routing ID is your financial institution's nine-digit routing transit number assigned by the American Banking Association (ABA). Contact your financial institution if you require help locating this number. If you look on a check, it is usually the first nine digits in the lower left-hand corner between the colons. This number must be the EFT ABA Routing number, not the Wire Transfer ABA number.

    Account Number

    Enter the actual account number to which you want EFT payments deposited. If you receive an award, the Federal Government will use this information to process your payment.

    Lockbox Number

    If you use a lockbox service for banking purposes, enter the lockbox number here and make sure you select "Checking" for account type.

    DUNS+4

    If you have more than one EFT account number for the same DUNS Number (and same physical location as defined by the DUNS address), you may create a 4-digit extension (+4) to your DUNS Number to differentiate the two accounts. DUNS+4's are created by the user and are not tracked by Dun and Bradstreet.

    Automated Clearing House

    ACH is the Automated Clearing House department of your bank. Enter the appropriate contact information for the ACH coordinator at your bank. This information is necessary should problems occur with your EFT transfer; payment locations must have a bank contact to call. Note that email addresses requested under the contact entries refer to Internet email, not a local area network email address within your office. Enter the U.S. phone number for your bank's ACH coordinator or department. Enter the phone number in this exact format: (xxx)xxx-xxxx

    ACH U.S. Phone

    Enter the U.S. phone number for your bank's ACH coordinator or department. Enter the phone number in this exact format: (xxx)xxx-xxxx

    ACH Non-U.S. Phone

    If there is one, enter the non-U.S. phone number for your bank's ACH coordinator or department.

    ACH Fax

    Provide the fax number for your bank's ACH coordinator or department.

    ACH Email

    Provide an Internet e-mail address for your ACH coordinator.

    Remittance Name

    Provide an Internet e-mail address for your ACH coordinator.

    Remittance Address Line

    This is the address where you would like a paper check mailed in the event an EFT transfer does not work. If you use a lockbox and want checks mailed directly to the bank, use the bank's name and address here.

    Remittance City

    Enter the city name.

    Remittance U.S. State or Canadian Province

    Select the U.S. State or Canadian Province from the dropdown menu.

    Remittance Zip/Postal Code

    Provide the zip/postal code associated with the remittance address.

    Remittance Country

    Select the country from the dropdown menu.

    Debt Subject to Offset (Shown only if applicable)

    A “Yes” for Debt Subject to Offset? tells contracting officers they cannot use the government wide commercial purchase card to pay this entity for contracts/orders above the micro-purchase threshold as outlined in FAR 32.1108(b)(2). It does not mean a contracting officer cannot award to or pay this entity using Electronic Funds Transfer. The value comes from the U.S. Treasury’s Bureau of the Fiscal Service through an automated interface. This notifies SAM that the entity represented by this DUNS Number has a delinquent debt subject to the Treasury Offset Program. This is not a field the registrant can update or change in SAM. Registrants must contact the Treasury Offset Program (TOP) Call Center at 1-800-304-3107 with any questions regarding the reported debt and instructions for resolution. NOTE: Do not confuse the Debt Subject to Offset indicator with the registrant response to Paragraph D of FAR 52.209-5 Certification of Responsibility Matters. They are not related.

    Executive Compensation Information

    SAM collects compensation information to support the Federal Funding Accountability and Transparency Act (FFATA) of 2006, as amended. (Entities interested in contracts can also refer to the Federal Acquisition Regulation (FAR) subpart 4.14 and contract clause 52.204-10).

    Executive Name

    You must provide your top 5 executive compensated employees’ names. "Executive," means officers, managing partners, or any other employees in management positions.

    Total Compensation Amount

    "Total compensation" means the cash and noncash dollar value earned by the executive during the entity's preceding completed fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): (i) Salary and bonus. (ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. (iii) Earnings for services under non-equity incentive plans. Does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. (iv) Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. (v) Above-market earnings on deferred compensation which is not tax-qualified. (vi) Other compensation, if the aggregate value of all such other compensation for the executive exceeds $10,000. Examples of other compensation are severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property if the value for the executive exceeds $10,000.

    Proceeding

    If your business or organization has current federal contracts, grants, or both with a total value greater than $10,000,000 and within the last five years has been involved in criminal, civil, or administrative proceedings resulting in the acknowledgement of fault, then you will be required to enter information to identify the proceedings. If you entered proceedings information in the legacy system before April 15, 2011, the information may not be subject to release to the public. Information posted on or after April 15, 2011 will be available to the public. See section 3010 of Pub. L. 111-212; Freedom of Information Act procedures at 5 U.S.C. § 552; and E.O. 12600, Predisclosure notification procedures for confidential commercial information.

    Proceeding Date

    Enter the date of your proceeding.

    Instrument Number

    The official number of the proceeding as assigned by instrument.

    Instrument

    This is the type of proceedings instrument. The fields available will be: U.S. Federal issued contract, U.S. Federal issued grant/assistance instrument, State issued contract, and State issued grant.

    State

    Enter the state proceeding occurred.

    Type of Proceeding

    Select a Proceeding Type: Administrative, Criminal, or Civil.

    Disposition

    Select a Proceeding Disposition: Conviction / Finding of Fault or Other acknowledgment of fault.

    Description of the Proceeding

    Enter a description of your proceeding in the description text box. Description can be up to 500 characters long.

    SAM Search Authorization

    You can choose to opt-out of being displayed in public search results via the website. Opting Out may result in a reduction in Federal Government business opportunities, and subcontractors. Please be aware, however, that even if you choose to opt out your information will still be included in any Freedom of Information Act requests. Please note that your banking information is treated as sensitive data and will not be displayed to the public regardless of your selection.

    Assertions

    Assertions includes, but is not limited to, data about the types of goods and services the entity provides, the entity number of employees and annual revenue, optional Electronic Data Interchange (EDI) and Disaster Response data.

    NAICS Code

    North American Industry Classification System (NAICS) Codes are a method for classifying business establishments. You must supply at least one for your registration to be complete. If you do not know your NAICS codes, you may search for your NAICS at http://www.census.gov/eos/www/naics/. You must use six-digit NAICS Codes in your registration. You can add or change NAICS Codes at any time. The NAICS codes you enter here will be used by the government for market research.

    Primary NAICS

    This is the NAICS code identified by the entity as their primary NAICS. This field is used by SBA.

    Product Service Codes

    Product Service Codes (PSC) are optional, four-character, and alpha-numeric codes used to identify the products and/or services your entity provides. Federal Supply Codes (FSCs) are a subset of the PSCs. You may learn more about PSCs by reading the PSC Manual.

    Annual Revenue

    World-wide organizational size information for your entity. This is inclusive of your parent organization, all branches, and all affiliates worldwide, and not just the size data for the location represented by the specific DUNS Number you are registering. The world-wide size metrics you enter here will be used to calculate your small business size status by industry (represented by the selected NAICS Codes on the Goods & Services page) based on the Small Business Administration (SBA) Table of Size Standards.

    World Wide Size Metrics

    World-wide organizational size information for your entity. This is inclusive of your parent organization, all branches, and all affiliates worldwide, and not just the size data for the location represented by the specific DUNS Number you are registering. The world-wide size metrics you enter here will be used to calculate your small business size status by industry (represented by the selected NAICS Codes on the Goods & Services page) based on the Small Business Administration (SBA) Table of Size Standards.

    Total Receipts (3-year average)

    Total Receipts means "total income" (or in the case of a sole proprietorship, "gross income") plus "cost of goods sold" as these terms are defined and reported on Internal Revenue Service tax return forms. Receipts are averaged over a concern's latest three (3) completed fiscal years to determine its average annual receipts. This number should include receipts for all affiliates. Please only enter numbers (no decimals, dollar signs, or commas). For more information, go to SBA (www.sba.gov/size) and select the "Glossary" link. The average receipts over the last three completed fiscal years, including receipts of the parent organization, all branches, and all affiliates worldwide.

    Average Number of Employees (12-month average)

    This is the Average Number of Employees including all affiliates. This information is used to calculate your business size using SBA's official size standards for your industry. The average number of persons employed for each pay period over the firm's latest 12 months, including persons employed by the parent organization, all branches, and all affiliates worldwide.

    Location (Optional) Size Metrics

    The Small Business Administration may use this information for programs such as HUB Zone and Small Business Size Status Determinations.

    Annual Receipts (3-year average)

    This is the Annual Receipts for this location. This is an OPTIONAL data field. Receipts are the gross revenue averaged over the firm's last three fiscal years. Be sure to provide accurate information about the three-year average annual receipts for your business. Please only enter numbers (no decimals, dollar signs, or commas). For more information see: http://www.sba.gov/size.

    Average Number of Employees (12-month average)

    This is the Average Number of Employees for this location. This is an optional data field. Be sure to provide accurate information about the number of employees for your business or organization. For more information see: http://www.sba.gov/size.

    Barrels Capacity

    Enter the Barrels per Day of Petroleum Refining if you have selected NAICS code 324110 as one of your NAICS offerings. This number will be compared against the SBA's small business size standard table to determine whether the company is small or other than small for this NAICS.

    Megawatt Hours

    Megawatt Hours (MWH) measure energy’s electrical output; this was previously used if you entered one of the following NAICS codes: 221111, 221112, 221113, 221119, 221121, and 221122 as one of your NAICS offerings. This number used to be compared against the SBA's small business size standard table to determine whether the company was small or other than small for these NAICS codes.

    EDI (VAN Provider)

    Electronic Data Interchange (EDI) is the computer-to-computer exchange of business data in standard formats (http://www.aptac-us.org/new/Govt_Contracting/faq/faq.php?t=sq&uin=8). In EDI, information is organized according to a specified format set by both parties, allowing a "hands-off" computer transaction that requires no human intervention or rekeying on either end. All information contained in an EDI transaction set is, for the most part, the same as on a conventionally printed document. Organizations have adopted EDI for the same reasons they have embraced much of today's modern technology-enhanced efficiency and increased profits. Benefits of EDI include: Reduced cycle time, Better inventory management, Increased productivity, Reduced costs, Improved accuracy, Improved business relationships, Enhanced customer service, Increased sales, Minimized paper use and storage, Increased cash flow. The ISA Sender Identifier cannot be longer than fifteen characters. It is an alphanumeric value that does not include dashes, spaces, or special characters Industries currently using EDI include retail, insurance, education, entertainment, mortgage banking, and numerous departments of the U.S. Government. If you have questions about doing business through EDI, please contact your local Procurement Technical Assistance Center (PTAC). For more information see: http://www.aptac-us.org/new/.

    ISA Qualifier

    ISA Identifier

    Functional Group Identifier

    820s Request Flag

    Disaster Response Registry

    This optional section is for those contractors wishing to do business with the Federal Government, such as the Federal Emergency Management Agency (FEMA), in the event of a natural disaster. When national emergencies or natural disasters such as floods and hurricanes occur, supplies and services need to be procured and rushed to the affected area quickly. To expedite this process, the government needs to establish and maintain a registry of contractors who are willing to provide debris removal, distribution of supplies, reconstruction, and other disaster or emergency relief activities. Collecting this information in SAM provides a means for potential local contractors to identify themselves to the federal agencies during a time of a disaster.

    Bonding Level Type (Construction or Service)

    A Bond is a written instrument executed by a bidder or contractor (the "principal") and a second party (the "surety" or "sureties") to assure fulfillment of the principal's obligations to a third party (the "obligee" or "Government") identified in the bond. If the principal's obligations are not met, the bond assures payment, to the extent stipulated, of any loss sustained by the obligee. Whether for service type contracts or construction, bonding levels assure the U.S. Government that prospective contractors are capable of fulfilling its requirements. • Additional information about bonds may be found in the Federal Acquisition Regulation (FAR) Part 28, http://farsite.hill.af.mil/vffara.htm. • If your company is from an industry that normally does not require bonding in order to bid on contracts, please leave the Bonding Level section blank. • When entering Bond Levels, you may enter any or all fields. They are not dependent on each other. • Additional information on FEMA disasters may be found at: http://www.fema.gov/hazard/index.shtm.

    The Geographic Area Served is the State, County, and/or Metropolitan Statistical Area where the vendor provides or delivers products and/or services.

    This information is collected to identify prospective contractors which can deliver emergency supplies and services needed in a specific disaster area. When entering your Geographic Area, you are stating the FEMA declared disaster area for which you will be able to provide disaster response services. That is, your organization can go and work as a contractor where there is a declared disaster area, for example, the areas affected by Hurricane Katrina. Additional information on Metropolitan Statistical Areas may be found at: http://www.whitehouse.gov/omb/bulletins_fy05_b05-02/.

    Geographic Area Served

    If you select "Any State", two states, or three states, you cannot enter any other Geographic Area Served. If you select one state, you can enter up to three counties and three Metropolitan Statistical Areas (MSAs).

    Geographic Area Served: County

    Counties and MSAs are dependent on the state that you choose.

    Eliminations POCs

    This person is responsible for assisting with financial statement eliminations and answering reconciliation questions about the Intra-Governmental Transactions completed by this office.

    Accounts Payable POC

    This person must be familiar with the terms and conditions of the transaction (generally not a finance person). This person will be responsible for handling and resubmitting any rejected orders or payments. Entities designated with a Business Type of either “Buyer” or “Buyer and Seller” must have an A/P POC. This field is only presented if you have indicated that you are registering as a government agency interested in Intra-Governmental Transactions.

    Sales POC

    This person must be familiar with the terms and conditions of the transaction (generally not a finance person). Often this is a program manager or the person providing the service. This is the designated entity contact for questions regarding information about the products and/or services provided by the registering entity. Entities designated with a Business Type of either “Seller” or “Both Buyer and Seller” may have a Sales POC. This field is only presented if you have indicated that you are registering as a government agency interested in Intra-Governmental Transactions.

    Accounts Receivable POC

    This person is responsible for creating the billing statement (the bill(s) that will go to your intragovernmental trading partner in response to an order) and all billing issues. This is generally a finance person and should be someone familiar with the appropriations codes. Entities designated with a Business Type of either “Seller” or “Both Buyer and Seller” must have an A/R POC. This field is only presented if you have indicated that you are registering as a government agency interested in Intra-Governmental Transactions.

    EDI POC

    If you are registering as an Electronic Data Interchange (EDI)-capable business or organization, please provide an EDI POC.

    Electronic Business POC

    This person is responsible for authorizing individual personnel access into Federal Government electronic business systems [e.g., Electronic Document Access (EDA), Wide Area Workflow (WAWF)].

    Electronic Business Alternate POC

    In the event the Electronic-Business POC leaves your organization, you must ensure that his or her alternate and successor have the information they need to fulfill the E-Business POC role. For instance, the E-Business POC must know the names, contact information, and access privileges of each POC.

    Government Business POC

    This person is responsible for the entity's marketing and sales with the Federal government. They will be contacted by government representatives, such as those from the Commercial and Government Entity (CAGE) Office, with any questions about the entity's registration in SAM. They must be familiar with the entity's reason for doing business with the Federal government. This individual should also be able to provide small businesses with contact information for the person in the organization handling inquiries about subcontracting opportunities on the entity’s government contracts. In addition, if there is not a separately designated Past Performance POC for this entity, the Federal Awardee Performance & Integrity Information System (FAPIIS) will use the Government Business POC for any notification.

    Government Business Alternate POC

    In the event the Government Business POC leaves the organization, this is an alternate POC. This person is responsible for the entity's marketing and sales with the Federal government. They will be contacted by government representatives, such as those from the Commercial and Government Entity (CAGE) Office, with any questions about the entity's registration in SAM. They must be familiar with the entity's reason for doing business with the Federal government. This individual can be the Small Business Liaison or person responsible within the organization that provides small businesses with subcontracting opportunities on the entity’s government contracts. In addition, if there is not a separately designated Past Performance POC for this entity, the Federal Awardee Performance & Integrity Information System (FAPIIS) will use the Government Business POC for any notification.

    Party Performing Certification POC

    POC if approved for 8(a) certifications through the Small Business Administration (SBA).

    Past Performance POC

    This person is responsible for administering the entity's Federal Government past performance reports and response efforts. An email address is required. Both upper and lower cases are acceptable for all email addresses. This POC contact information is optional and, if entered, will be publicly displayed on the SAM web site. All contact methods are mandatory.

    Past Performance Alternate POC

    In the event the Past Performance POC leaves your organization, you can add an alternate POC. This person is responsible for administering the entity's Federal Government past performance reports and response efforts. An email address is required. Both upper and lower cases are acceptable for all email addresses. This POC contact information is optional and, if entered, will be publicly displayed on the SAM web site. All contact methods are mandatory.

    Proceedings POC

    This is mandatory only if you answered Yes to Proceeding questions. This is the person in your organization who could answer questions regarding any civil, criminal, or administrative proceedings you have reported in SAM.

    Proceedings Alternate POC

    In the event the Proceedings POC leaves your organization, you can add an alternate POC. This is mandatory only if you answered Yes to Proceeding questions. This is the person in your organization who could answer questions regarding any civil, criminal, or administrative proceedings you have reported in SAM.

    Sole Proprietorship POC

    This is mandatory if you have checked Sole Proprietorship as business type. You must provide the name and phone number of the owner of the business.


    Representations and Certifications Content Glossary

    Quest

    Element (Data Field)

    Element

    Glossary

    1

    Who are the person(s) within [Legal Business name] (Doing Business As:Test DBA) responsible for determining prices offered in bids/proposals?

     

     

     

    Name:

    Title:

     

     

    "The user should use the '+' key to add lines to provide more than one name."

     

    2

    [Legal Business Name] have other plants/facilities at different addresses routinely used to perform on contracts?

     

     

     

    If yes, please provide the following: Place of Performance (Address) of the Other Plants/Facilities, Name(s) of Owner and Operator of Plant/Facilities, Address(es) of Owner and Operator of Plant/Facilities (Street, Address, City County, State, Zip Code)

     

     

     

    3

    Your Entity record indicates that [Legal Business Name] does not have a Taxpayer Identification Number (TIN). Has [Legal Business Name] applied for a TIN?

    Taxpayer Identification Number (TIN)

    The Taxpayer Identification Number (TIN) is the nine-digit number which is either an Employer Identification Number (EIN) assigned by the Internal Revenue Service (IRS) (http://www.irs.gov/businesses/small/article/0,,id=98350,00.html) or Social Security Number (SSN) assigned by the Social Security Administration (SSA) (http:/www.ssa.gov/replace_sscard.html). The TIN is the number required by the Internal Revenue Service (IRS) to be used by the offeror in reporting income tax and other returns.

     

    Is [Legal Business Name] a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the United States and does not have an office or place of business or a fiscal paying agent in the United States?

     

     

     

     

    4

    For products designated by the Environmental Protection Agency and provided by [Legal Business Name], does the percentage of recovered material content meet the applicable EPA guidelines?

    Recovered Material

    Recovered material means waste materials and by-products recovered or diverted from solid waste, but the term does not include those materials and by-products generated from, and commonly reused within, an original manufacturing process. (FAR 2.101) Information on the products designated by the Environmental Protection Agency for recovered material content is available from the Environmental Protection Agency at http://www.epa.gov/cpg/products.htm

    5

    Is [Legal Business Name] a small business concern that wishes to be considered for status as a labor surplus area (LSA) concern?

    Labor Surplus Area

    Labor Surplus Area means a geographical area identified by the Department of Labor in accordance with 20 CFR part 654, subpart A, as an area of concentrated unemployment or underemployment or an area of labor surplus (FAR 2.101). A list of labor surplus areas is available from the Department of Labor at http://www.doleta.gov/programs/lsa.cfm.

     

     

    If yes, indicate the LSA in which the manufacturing or production costs amount to more than 50% of contract price: State: Eligible Labor Surplus: Civil Jurisdictions Included: Please select the desired state and press "Show Surplus Areas" to see the surplus areas in that state:

     

     

    6

    Is [Legal Business Name] owned or controlled by a common parent that files its Federal Income Tax returns on a consolidated basis?

    Common Parent

     

    Common parent, as used for this question and associated provision means that corporate entity that owns or controls an affiliated group of corporations that files its Federal income tax returns on a consolidated basis, and of which the offeror is a member. (FAR 4.901)

     

     

    If yes, please provide the company name and TIN for the common parent.

     

     

    7

    Is [Legal Business Name], or any of its principals, currently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal Agency?

    Principals

    Principals means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division, or business segment, and similar positions).

     

     

    Suspensions

    Suspension means action taken by a suspending official under FAR Subpart 9.407 to disqualify a contractor temporarily from Government contracting and Government-approved subcontracting; a contractor that is disqualified is "suspended." (FAR 2.101)

     

     

    Debarment

    Debarment means action taken by a debarring official under FAR Subpart 9.406 to exclude a contractor from Government contracting and Government-approved subcontracting for a reasonable, specified period; a contractor that is excluded is "debarred." (FAR 2.101)

     

     

     

    Ineligible

    Ineligible means excluded from Government contracting (and subcontracting, if appropriate) pursuant to statutory, Executive order, or regulatory authority other than (48 CFR Chapter 1) and its implementing and supplementing regulations; for example, pursuant to the Davis-Bacon Act and its related statutes and implementing regulations, the Service Contract Act, the Equal Employment Opportunity Acts and Executive orders, the Walsh-Healey Public Contracts Act, the Buy American Act, or the Environmental Protection Acts and Executive orders. (FAR 2.101)

    8

    In the past three-year period, has [Legal Business Name], or any of its principals, been convicted or had a civil judgment rendered against it for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating Federal criminal tax laws, or receiving stolen property?

    Principals

    Principals means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division, or business segment, and similar positions).

     

     

     

    Civil Judgment

    Civil judgment means a judgment or finding of a civil offense by any court of competent jurisdiction. (FAR 9.403)

     

     

    Conviction

    Conviction means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere. (FAR 2.101)

    "The user should use the '+' key to add lines to provide more than one name."

     

     

    In the past three years, has [Legal Business Name] been notified of any delinquent Federal Taxes in an amount that exceeds $3,000 for which liability remains unsatisfied?

     

     

    9

    Is [Legal Business Name], or any of its principals, presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in Question 9?

    Principals

    Principals means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division, or business segment, and similar positions).

     

     

     

    Indictment

    Indictment means indictment for a criminal offense. Any information or other filing by competent authority charging a criminal offense is given the same effect as an indictment. (FAR 9.403)

    10

    Within the past three years, has [Legal Business Name] been terminated for cause (default)?

    Termination Default

    Termination for default means the exercise of the Government's right to completely or partially terminate a contract because of the contractor's actual or anticipated failure to perform its contractual obligations. (FAR 2.101)

    11

    Please list the name of any HUBZone businesses participating in a Joint Venture with [Legal Business Name].

     

     

     

    Company Name:

     

     

    12

    If there are any Small Disadvantaged Businesses participating in a Joint Venture with [Legal Business Name] please list the names of those companies below.

    Small Disadvantaged Business Concern

    Small disadvantaged business concern means an entity that represents that it is a small business under the size standard applicable to the listed NAICS codes and either- (1) It has received certification as a small disadvantaged business concern consistent with 13 Code of Federal Regulations (CFR) part 124, subpart B; and (i) No material change in disadvantaged ownership and control has occurred since its certification; (ii) Where the concern is owned by one or more disadvantaged individuals, the net worth of each individual upon whom the certification is based does not exceed $750,000 after taking into account the applicable exclusions set forth at 13 CFR 124.104(c)(2); and (iii) It is identified, on the date of its representation, as a certified small disadvantaged business concern in the data base maintained by the Small Business Administration; or (2) It has submitted a completed application to the Small Business Administration or a private certifier to be certified as a small disadvantaged business concern in accordance with 13 CFR part 124, subpart B, and a decision on that application is pending, and that no material change in disadvantaged ownership and control has occurred since it submitted its application. In this case, a contractor must receive certification as a small disadvantaged business by the Small Business Administration prior to contract award. (FAR 2.101)

     

    Company Name:

     

     

    13

    Please list the name of any Women-Owned Small Businesses participating in a Joint Venture with [Legal Business Name]

    Women-Owned Small Business Concern

    Women-owned small business (WOSB) concern eligible for the WOSB Program” (in accordance with 13 CFR part 127), means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States.

     

    Company Name:

     

     

    14

    Please list the name of any Economically Disadvantaged Women-Owned Small Businesses participating in a Joint Venture with [Legal Business Name]

    Economically Disadvantaged Women-Owned Small Business Concern

    Economically disadvantaged women-owned small business (EDWOSB) concern means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States and who are economically disadvantaged in accordance with 13 CFR part 127. It automatically qualifies as a women-owned small business concern eligible for the WOSB Program.

     

    Company Name:

     

     

    15

    Does [Legal Business Name] provide any data to the Government that qualifies as limited rights data or restricted computer software?

    Data

    Data means recorded information, regardless of form or the media on which it may be recorded. The term includes technical data and computer software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information. (FAR 27.401)

     

     

    Limited Rights

    Limited rights means the rights of the Government in limited rights data as set forth in a Limited Rights Notice. (FAR 27.401)

     

     

    Limited Rights Data

    Limited rights data means data, other than computer software, that embody trade secrets or are commercial or financial and confidential or privileged, to the extent that such data pertain to items, components, or processes developed at private expense, including minor modifications. (FAR 27.401)

     

     

    Restricted Computer Software

    Restricted computer software means computer software developed at private expense and that is a trade secret, is commercial or financial and confidential or privileged, or is copyrighted computer software, including minor modifications of the computer software. (FAR 27.401)

     

     

    Restricted Rights

    Restricted rights means the rights of the Government in restricted computer software as set forth in a Restricted Rights Notice. (FAR 27.401)

     

     

    Unlimited Rights

    Unlimited rights means the rights of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, in any manner and for any purpose, and to have or permit others to do so. (FAR 27.401)

     

    If yes, please list limited rights data or restricted computer software below:

     

     

    16

    Our records indicate that [Legal Business Name] has selected the Entity Structure type of [structure name]

     

     

    17

    Your Entity record indicates that [Legal Business Name] is not an SBA certified Small Disadvantaged Business Concern. Has [Legal Business Name] submitted an application to SBA for Small Disadvantaged Business Certification and a decision is pending?

     

     

    18

    Reserved.

     

     

    19

    Does [Legal Business Name] deliver any end products (from the corresponding country of origin) that are listed on the List of Products Requiring Federal Contractor Certification as to Forced or Indentured Child Labor under Executive Order No. 13126 (link provided to current list)?

     

    If Yes, has [Legal Business Name] based on a good faith effort to determine whether forced or indentured child labor was used to mine, produce, or manufacture any such end product, determined that it is not aware of any such use of child labor.

    List of Products Requiring Federal Contractor Certification

    Information on the List of Products Requiring Federal Contractor Certification as to Forced or Indentured Child Labor Under Executive Order No. 13126 is available from the Department of Labor at http://www.dol.gov/ilab.

    20

    Has [Legal Business Name] held previous contracts/subcontracts subject to Federal Acquisition Regulation (FAR) 52.222-26 (Equal Opportunity)?

     

     

    21

    Are any end products delivered to the Government by [Legal Business Name] foreign (non-domestic) end products?

    Bahrainian End Product

    Bahrainian end product means an article that— (1) Is wholly the growth, product, or manufacture of Bahrain; or (2) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in Bahrain into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed. The term refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the end product includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself.

     

     

    Canadian End Product

    Canadian end product means an article that - (1) Is wholly the growth, product, or manufacture of Canada; or (2) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in Canada into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed. The term refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the end product includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself.

     

    Caribbean Basin Country

    Caribbean Basin country means any of the following countries: Antigua and Barbuda, Aruba, Bahamas, Barbados, Belize, British Virgin Islands, Costa Rica, Dominica, Dominican Republic, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Montserrat, Netherlands Antilles, Nicaragua, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Trinidad and Tobago.

     

     

    Caribbean Basin Country End Product

    Caribbean Basin country end product - (1) Means an article that- (i)(A) Is wholly the growth, product, or manufacture of a Caribbean Basin country; or (B) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in a Caribbean Basin country into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed; and (ii) Is not excluded from duty-free treatment for Caribbean countries under 19 U.S.C. 2703(b). (A) For this reason, the following articles are not Caribbean Basin country end products: (1) Tuna, prepared or preserved in any manner in airtight containers. (2) Petroleum, or any product derived from petroleum. (3) Watches and watch parts (including cases, bracelets, and straps) of whatever type including, but not limited to, mechanical, quartz digital, or quartz analog, if such watches or watch parts contain any material that is the product of any country to which the Harmonized Tariff Schedule of the United States (HTSUS) column 2 rates of duty apply (i.e., Afghanistan, Cuba, Laos, North Korea, and Vietnam). (4) Certain of the following: textiles and apparel articles; footwear, handbags, luggage, flat goods, work gloves, and leather wearing apparel; or handloomed, handmade, and folklore articles. (B) Access to the HTSUS to determine duty-free status of articles of the types listed in paragraph (1)(ii)(A)(4) of this definition is available via the Internet at http://www.customs.ustreas.gov/impoexpo/impoexpo.htm. In particular, see the following: (1) General Note 3(c), Products Eligible for Special Tariff treatment. (2) General Note 17, Products of Countries Designated as Beneficiary Countries under the United States-Caribbean Basin Trade Partnership Act of 2000. (3) Section XXII, Chapter 98, Subchapter II, Articles Exported and Returned, Advanced or Improved Abroad, U.S. Note 7(b). (4) Section XXII, Chapter 98, Subchapter XX, Goods Eligible for Special Tariff Benefits under the United States-Caribbean Basin Trade Partnership Act; and (2) Refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the acquisition, includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself.

     

     

    Component

    Component means an article, material, or supply incorporated directly into an end product or construction material.

     

     

    Cost of Component

    Cost of components means- (1) For components purchased by the contractor, the acquisition cost, including transportation costs to the place of incorporation into the end product or construction material (whether such costs are paid to a domestic firm), and any applicable duty (whether a duty-free entry certificate is issued); or (2) For components manufactured by the contractor, all costs associated with the manufacture of the component, including transportation costs as described in paragraph (1) of this definition, plus allocable overhead costs, but excluding profit. Cost of components does not include any costs associated with the manufacture of the end product.

     

     

    Designated Country

    Designated country means any of the following countries: (1) A World Trade Organization Government Procurement Agreement country (Aruba, Austria, Belgium, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Singapore, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, or United Kingdom); (2) A Free Trade Agreement country per FAR 25.003 (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Morocco, Nicaragua, Oman, Peru, or Singapore); A Free Trade Agreement country per DFARS 252.225-7021 Free Trade Agreement country (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Morocco, Nicaragua, Peru, or Singapore) (3) A least developed country (Afghanistan, Angola, Bangladesh, Benin, Bhutan, Burkina Faso, Burundi, Cambodia, Cape Verde, Central African Republic, Chad, Comoros, Democratic Republic of Congo, Djibouti, East Timor, Equatorial Guinea, Eritrea, Ethiopia, Gambia, Guinea, Guinea-Bissau, Haiti, Kiribati, Laos, Lesotho, Madagascar, Malawi, Maldives, Mali, Mauritania, Mozambique, Nepal, Niger, Rwanda, Samoa, Sao Tome and Principe, Senegal, Sierra Leone, Solomon Islands, Somalia, Tanzania, Togo, Tuvalu, Uganda, Vanuatu, Yemen, or Zambia); or (4) A Caribbean Basin country (Antigua and Barbuda, Aruba, Bahamas, Barbados, Belize, British Virgin Islands, Costa Rica, Dominica, Dominican Republic, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Montserrat, Netherlands Antilles, Nicaragua, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, or Trinidad and Tobago).

    Designated Country End Product

    Designated country end product means a WTO GPA country end product, an FTA country end product, a least developed country end product, or a Caribbean Basin country end product.

     

     

    Domestic End Product

    Domestic end product (in the FAR) means- (1) An unmanufactured end product mined or produced in the United States; or (2) An end product manufactured in the United States, if the cost of its components mined, produced, or manufactured in the United States exceeds 50 percent of the cost of all its components. Components of foreign origin of the same class or kind as those that the agency determines are not mined, produced, or manufactured in sufficient and reasonably available commercial quantities of a satisfactory quality are treated as domestic. Scrap generated, collected, and prepared for processing in the United States is considered domestic. Domestic end product (in the DFARS) means— (i) An unmanufactured end product that has been mined or produced in the United States; or (ii) An end product manufactured in the United States if the cost of its qualifying country components and its components that are mined, produced, or manufactured in the United States exceeds 50 percent of the cost of all its components. The cost of components includes transportation costs to the place of incorporation into the end product and U.S. duty (whether a duty-free entry certificate is issued). Scrap generated, collected, and prepared for processing in the United States is considered domestic. A component is considered to have been mined, produced, or manufactured in the United States (regardless of its source in fact) if the end product in which it is incorporated is manufactured in the United States and the component is of a class or kind for which the Government has determined that— (A) Sufficient and reasonably available commercial quantities of a satisfactory quality are not mined, produced, or manufactured in the United States; or (B) It is inconsistent with the public interest to apply the restrictions of the Buy American Act.

     

     

    Domestic Offer

    Domestic offer means an offer of a domestic end product. When the solicitation specifies that award will be made on a group of line items, a domestic offer means an offer where the proposed price of the domestic end products exceeds 50 percent of the total proposed price of the group.

     

     

    Eligible Offer

    Eligible offer means an offer of an eligible product. When the solicitation specifies that award will be made on a group of line items, an eligible offer means a foreign offer where the combined proposed price of the eligible products and the domestic end products exceeds 50 percent of the total proposed price of the group.

    Eligible Product

    Eligible product means a foreign end product, construction material, or service that, due to applicability of a trade agreement to a particular acquisition, is not subject to discriminatory treatment.

     

     

    End Product

    End product means those articles, materials, and supplies to be acquired for public use.

     

     

    Free Trade Agreement Country

    Free Trade Agreement country per FAR 25.003 (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Morocco, Nicaragua, Oman, Peru, or Singapore). Free Trade Agreement country per DFARS 252.225-7021 Free Trade Agreement country (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican Republic, El Salvador, Guatemala, Honduras, Mexico, Morocco, Nicaragua, Peru, or Singapore).

     

    Free Trade Agreement Country End Product

    Free Trade Agreement country end product means an article that - (1) Is wholly the growth, product, or manufacture of a Free Trade Agreement (FTA) country; or (2) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in an FTA country into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed. The term refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the end product, includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself. "Least develfoped country end product" means an article that- (1) Is wholly the growth, product, or manufacture of a least developed country; or (2) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in a least developed country into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed. The term refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the end product, includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself.

    Noneligible Offer

    Noneligible offer means an offer of a noneligible product.

     

    Noneligible Product

    Noneligible product means a foreign end product that is not an eligible product.

     

    Qualifying Country

    Qualifying country means any country set forth in subsection 225.872-1 of the Defense Federal Acquisition Regulation Supplement (DFARS).

     

    Qualifying Country Component

    Qualifying country component means a component mined, produced, or manufactured in a qualifying country.

     

     

    Qualifying Country End Product

    Qualifying country end product means - (i) An unmanufactured end product mined or produced in a qualifying country; or (ii) An end product manufactured in a qualifying country if the cost of the following types of components exceeds 50 percent of the cost of all its components: (A) Components mined, produced, or manufactured in a qualifying country. (B) Components mined, produced, or manufactured in the United States. (C) Components of foreign origin of a class or kind for which the Government has determined that sufficient and reasonably available commercial quantities of a satisfactory quality are not mined, produced, or manufactured in the United States.

     

    South Caucasus/Central and South Asian Country

    South Caucasus/Central and South Asian (SC/CASA) country means Armenia, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Pakistan, Tajikistan, Turkmenistan, or Uzbekistan.

     

     

    United States

    United States means the 50 States, the District of Columbia, and outlying areas.

     

    U.S.-Made End Product

    U.S.-made end product means an article that is mined, produced, or manufactured in the United States or that is substantially transformed in the United States into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed.

     

     

    World Trade Organization Government Procurement Agreement Country

    World Trade Organization Government Procurement Agreement (WTO GPA) country means any of the following countries: Aruba, Austria, Belgium, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Singapore, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, or United Kingdom.

     

    WTO GPA Country End Product

    WTO GPA country end product means an article that- (1) Is wholly the growth, product, or manufacture of a WTO GPA country; or (2) In the case of an article that consists in whole or in part of materials from another country, has been substantially transformed in a WTO GPA country into a new and different article of commerce with a name, character, or use distinct from that of the article or articles from which it was transformed. The term refers to a product offered for purchase under a supply contract, but for purposes of calculating the value of the end product includes services (except transportation services) incidental to the article, provided that the value of those incidental services does not exceed that of the article itself.

     

    If yes, please list these products and their corresponding country of origin.

     

    22

    Has [Legal Business Name] filed all required Equal Employment Opportunity compliance reports?

     

     

    23

    Has [Legal Business Name] held previous contracts subject to written affirmative action programs requirements from Secretary of Labor regulations.

    Affirmative Action Program

    Affirmative action program means a contractor's program that complies with Department of Labor regulations to ensure equal opportunity in employment to minorities and women. (FAR 22.801)

     

    Has [Legal Business Name] developed and has on file affirmative action programs required by Secretary of Labor regulations.

     

     

    24

    Does [Legal Business Name] provide maintenance, calibration, and/or repair of information technology, scientific and medical and/or office and business equipment?

     

     

     

    If yes, please answer the following questions: Are the items of equipment serviced by [Legal Business Name] commercial items which are used regularly for other than Government purposes, and are sold or traded by [Legal Business Name] in substantial quantities to the general public in the course of normal business operations?

     

     

     

    Are the services furnished at prices which are, or are based on, established catalog or market prices?

     

    Does [Legal Business Name] utilize the same compensation (wage and fringe benefits) plan for all service employees performing work under Government contracts as [Legal Business Name] uses for equivalent employees servicing the same equipment of commercial customers.

    25

    Does [Legal Business Name] provide services as described in FAR 22.1003-4(d)(1)?

     

    If yes, please answer the following questions: Are the services described in FAR 22.1003-4(d)(1) by [Legal Business Name] offered and sold regularly to non-Governmental customers, and are provided by the offeror (or subcontractor in the case of an exempt subcontract) to the general public in substantial quantities in the course of normal business operations?

     

     

    Are the services furnished at prices which are, or are based on, established catalog or market prices?

     

     

     

    Does [Legal Business Name] ensure that each service employee who will perform the services described in FAR 22.1003-4(d)(1) spend only a small portion of his/her time (a monthly average of less than 20% of the available hours on an annualized basis, or less than 20% of available hours during the contract period if the contract period is less than a month) servicing the Government contract?

     

    Does [Legal Business Name] have the same compensation (wage and fringe benefits) plan for all service employees performing work for Government and commercial customers?

     

     

    26

    Your Entity Record indicates that has registered the following FSC codes. Please provide whether the place of manufacture for each FSC code below is in the US or outside the US:

    Manufactured End Product

    FSCs are a subset of all Product Service Codes (PSCs) that represent codes for certain products. Manufactured end product means any end product in Federal Supply Classes (FSC) 1000-9999, except - (1) FSC 5510, Lumber and Related Basic Wood Materials; (2) Federal Supply Group (FSG) 87, Agricultural Supplies; (3) FSG 88, Live Animals; (4) FSG 89, Food and Related Consumables; (5) FSC 9410, Crude Grades of Plant Materials; (6) FSC 9430, Miscellaneous Crude Animal Products, Inedible; (7) FSC 9440, Miscellaneous Crude Agricultural and Forestry Products; (8) FSC 9610, Ores; (9) FSC 9620, Minerals, Natural and Synthetic; and (10) FSC 9630, Additive Metal Materials. “Place of manufacture” means the place where an end product is assembled out of components, or otherwise made or processed from raw materials into the finished product that is to be provided to the Government. If a product is disassembled and reassembled, the place of reassembly is not the place of manufacture.

    27

    Is [Legal Business Name] an inverted domestic corporation?

    Indicate whether your entity is an inverted domestic corporation as defined in FAR 52.209-10.

    “Inverted domestic corporation” means a foreign incorporated entity that meets the definition of an inverted domestic corporation under 6 U.S.C. 395(b), applied in accordance with the rules and definitions of 6 U.S.C. 395(c).

    28

    Is [Legal Business Name] a subsidiary of an inverted domestic corporation?

    Indicate whether your entity is a subsidiary of an inverted domestic corporation as defined in FAR 52.209-10.

    “Subsidiary” means an entity in which more than 50 percent of the entity is owned- (1) Directly by a parent corporation; or (2) Through another subsidiary of a parent corporation. “Subsidiary” means an entity in which more than 50 percent of the entity is owned- (1) Directly by a parent corporation; or (2) Through another subsidiary of a parent corporation.

    29

    Reserved.

    30

    Does your entity have any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability? (FAR 52.209-11)

    31

    Has your entity been convicted of a felony criminal violation under a Federal law within the preceding 24 months? (FAR 52.209-11)

    32

    Did [Legal Business Name] either receive $7.5 million or more in Federal contracts during the previous Federal fiscal year requiring it to publicly disclose greenhouse gas emissions and reduction goals or receive less than $7.5 million in Federal contracts during the previous Federal fiscal year but still want to publicly disclose greenhouse gas emissions and reduction goals? (FAR 52.223–22)

     

     

     

    If yes, does [Legal Business Name], itself or through its immediate owner or highest-level owner, publicly disclose greenhouse gas emissions?

     

    If yes, select Add New URL to list the publicly accessible web site where the results of a greenhouse gas inventory, performed in accordance with an accounting standard with publicly available and consistently applied criteria, such as the Greenhouse Gas Protocol Corporate Standard, are available.

     

     

     

    Does [Legal Business Name], itself or through its immediate owner or highest-level owner, publicly disclose a quantitative greenhouse gas emissions reduction goal?

     

     

     

    If yes, select Add New URL to list the publicly accessible web site a target to reduce absolute emissions or emissions intensity by a specific quantity or percentage is available.

     

    33

    Are you interested in applying for Federal architect-engineer contracts under FAR Part 36 and want to enter a SF 330 Part II for this office?

     

    The Architect and Engineering Response page is used to help you complete your Standard Form (SF) 330 Part II, if you are interested in architect-engineer contracts. Federal agencies use this form to obtain information from architect-engineer (A-E) firms about their professional qualifications. Federal agencies select firms for A-E contracts on the basis of professional qualifications as required by the Brooks A-E Act (40 U.S.C. 1101 - 1104) and Part 36 of the Federal Acquisition Regulation (FAR). This section will only be displayed if you have selected one of the following NAICS codes: 541310, 541320, 541330, 541360, 541370,541410, 541620. If so, please indicate whether your entity is interested in applying for Federal architect-engineer contracts under FAR Part 36 and want to enter a SF330, Part II for this office. If you didn't select one of the relevant NAICS Codes, this page will contain pre-filled text stating the SF 330 Part II does not apply, and you may select Save and Continue.

     

    List any former firm names used by the office associated with the DUNS Number during the last 6 years including the year the name changed was effective and the associated DUNS Number Firm/Branch Name: Year: DUNS Number:

    Former Firm Names

    Indicate any other previous names for the firm (or branch office) during the last six years. Insert the year that this corporate name change was effective and the associated DUNS Number. This information is used to review past performance on Federal contracts.

     

    List number of employees by function code and discipline (corresponds to block 9a,b,c). List no more than 20 disciplines. Discipline: Firm No of Employees: Branch No of Employees:

    Profile of Firm's Experience and Annual Average Revenue for Last 5 Years

    Complete this for the firm or office for which this is prepared being prepared for. Enter the experience categories which most accurately reflect the firm's technical capabilities and project experience. Use the relevant experience categories and associated profile codes shown at the end of these instructions, and list in the same numerical order. After the listed experience categories, write in any unlisted relevant project experience categories and leave the profile codes blank. For each type of experience, enter the appropriate revenue index number to reflect the professional services revenues received annually (averaged over the last 5 years) by the firm or office for performing that type of work. A particular project may be identified with one experience category or it may be broken into components, as best reflects the capabilities and types of work performed by the firm. However, do not double count the revenues received on a particular project. Annual Average Professional Services Revenues of Firm for Last three Years. Complete this block for the firm or office for which this Part II is prepared. Enter the appropriate revenue index numbers to reflect the professional services revenues received annually (averaged over the last 3 years) by the firm or branch office.

     

    Provide A-E professional services revenues for the office associated with this DUNS Number for the last 3 years Federal: Non-Fed: Total:

    Work Performed

    Indicate Federal work (performed directly for the Federal Government, either as the prime contractor or subcontractor), non-Federal work (all other domestic and foreign work, including Federally-assisted projects), and the total. If the firm has been in existence for less than 3 years, see the definition for "Annual Receipts" under FAR 19.101. Firm in existence for under three years: Annual receipts of a concern that has been in business for less than 3 complete fiscal years means its total receipts for the period it has been in business, divided by the number of weeks including fractions of a week that it has been in business, and multiplied by 52.

     

    Please enter the name and title of the person certifying the SF330 Part II information: First Name: Middle Initial: Last Name: Title:

     

     

    34

    Does [Legal Business Name] do business with the Department of Defense and provide information for provisions in the Defense Federal Acquisition Regulation Supplement (DFARS)?

     

     

    35

    Does [Legal Business Name] anticipate that supplies will be transported by sea in the performance of any contract or subcontract resulting from this solicitation?

    Supplies

    Supplies means all property, except land and interests in land, that is clearly identifiable for eventual use by or owned by the DoD at the time of transportation by sea. (i) An item is clearly identifiable for eventual use by the DoD if, for example, the contract documentation contains a reference to a DoD contract number or a military destination. (ii) Supplies includes (but is not limited to) public works; buildings and facilities; ships; floating equipment and vessels of every character, type, and description, with parts, subassemblies, accessories, and equipment; machine tools; material; equipment; stores of all kinds; end items; construction materials; and components of the foregoing.

    36

    Does [Legal Business Name] represent that the prices set forth in this contract are based on the wage rate(s) or material price(s) established and controlled by a foreign government and do not include contingency allowances to pay for possible increases in wage rates or material prices?

     

    If yes, please select the name of the Host Country:

    37

    Is [Legal Business Name] effectively owned or controlled by a foreign government?

    38

    Is [Legal Business Name] a foreign entity in which the government of a covered foreign country has an ownership interest that enables the government to affect satellite operations? (DFARS 252.225-7049)

     

     

    39

    Is [Legal Business Name] a foreign entity that plans to provide or use launch or other satellite services under the contract from a covered foreign country? (DFARS 252.225-7049)

    40

    Is [Legal Business Name] offering commercial satellite services provided by a foreign entity in which the government of a covered foreign country has an ownership interest that enables the government to affect satellite operations? (DFARS 252.225-7049)

     

     

    41

    Is [Legal Business Name] offering commercial satellite services provided by a foreign entity that plans to or is expected to provide or use launch or other satellite services under the contract from a covered foreign country? (DFARS 252.225-7049)


    Performance Information Glossary