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Defense Logistics Agency

STANDARD OPERATING

PROCEDURE

DLA SOP J72.001

Effective August 1, 2014

J7

SUBJECT: Contractor Common Access Card (CAC) Issuance and Accountability Process for

DLA Contracts

References:

(a) Defense Logistics Acquisition Directive (DLAD) 4105.01, updated February 12, 2014

(b) Federal Acquisition Regulation (FAR)

(c) DoDM 1000.13, Volume I, DoD Identification Cards: (ID) Card Life-Cycle, January 23,

2013

(d) DLA Instruction 1000.13: Common Access Card (CAC) Issuance Program and the

Trusted Associate Sponsorship System (TASS)

1. PURPOSE: In accordance with the authority cited in reference (a), this SOP assigns

responsibilities and provides procedures for the issuance and accountability of contractor

CACs when issued in support of a DLA contract.

2. APPLICABILITY: This SOP applies to all DLA Contracting Officers (COs), Contracting

Officer’s Representatives (CORs), to include Alternate Contracting Officer’s Representatives

(ACORs), and Trusted Agents (TAs). This SOP only covers the process for contractor

CACs. As part of the contractor on-boarding process, individuals may be required to submit

additional forms and follow other processes described elsewhere.

3. DEFINITIONS: See Glossary.

4. RESPONSIBILITIES: See Enclosure 1.

5. PROCEDURES: See Enclosure 2.

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6. INFORMATION REQUIREMENTS:

a. For contracts where a COR has been designated, the Contracting Officer Representative

Tracking Tool (CORT Tool) is used to store and maintain the Contractor CAC Log and

Contractor CAC Turn-In Receipts throughout the life of the contract.

b. For contracts where a COR has not been designated, EProcurement Records Management

is used to store and maintain the Contractor CAC Log and Contractor CAC Turn-In Receipts

throughout the life of the contract. Note: Records Management may not yet be available for all

contracts. If Records Management is not available, the Contractor CAC Log and Contractor

Turn-In Receipts shall be kept as part of the official contract file.

7. INTERNAL CONTROLS:

a. The CAC Justification Form (Figure 1) documents the applicant’s need for a CAC and the

sponsor’s acceptance of the responsibilities assigned to them.

b. The electronic Contractor CAC Log (Figure 3) prepared and maintained by the COR (or

by the CO, as applicable) and monitored by the CO, tracks contractor CACs from issuance

through turn-in for disposal, and provides accountability of all contractor CACs issued under a

contract.

c. The Government-Issued Contractor CAC Turn-In Receipt (Figure 4) documents the chain

of custody, from the contractor to the COR to the nearest Real-Time Automated Personnel

Identification System (RAPIDS) office, for each contractor CAC issued under the contract.

d. Contractors are required to submit a monthly report of all employees who currently

possess a CAC. The reports are used to validate the Contractor CAC Log and to assist the CO in

determining whether CACs that are no longer needed have been properly turned-in.

e. When requested by the TA, CORs/COs will provide a digitally signed email to reverify a

contractor employee’s continuing need for a CAC. Revalidation is to occur every six months,

per references (c) and (d).

f. COR/COs will immediately notify the TA and installation security when a contractor

employee is unexpectedly terminated to ensure the immediate revocation of the CAC and

associated credentials.

8. RELEASEABILITY: RESTRICTED. This SOP is approved for restricted release. It is

available to users with CAC authorization on the eWorkplace DLA Audit Readiness Tool

Website at: https://eworkplace.dla.mil/sites/S18/Pages/SOP.aspx.

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9. EFFECTIVE DATE: This SOP is effective on August 1, 2014, and remains in effect until it

is either superseded or cancelled. Thereafter, the SOP will be reviewed annually and either

certified as current or revised, whichever is applicable.

___________________________________

MATTHEW R. BEEBE

Director

DLA Acquisition

Enclosures

1. Responsibilities

2. Procedures

Attachments

A. Contractor Instructions

B. COR Designation Language

Figures

1. CAC Justification Form

2. DD Form 1172-2, Application for Identification Card/DEERS Enrollment

3. Contractor CAC Log

4. Government-Issued Contractor CAC Turn-In Receipt

5. Contractor CAC Process Flow

BEEBE.MATTHEW.RI

CHARD.1012725473

Digitally signed by

BEEBE.MATTHEW.RICHARD.1012725473

DN: c=US, o=U.S. Government, ou=DoD, ou=PKI,

ou=DLA,

cn=BEEBE.MATTHEW.RICHARD.1012725473

Date: 2014.08.02 12:05:33 -04'00'

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ENCLOSURE 1

RESPONSIBILITIES

1. DLA Acquisition (J7). J7 will:

a. Develop procedures for COs and CORs to follow regarding the management and

oversight of CACs issued to contractor employees working under DLA contracts.

This includes procedures related to the issuance, retrieval and revalidation of CACs,

as well as standard language to be included in contracts.

b. Coordinate with DLA Installation Support (DS) to ensure that J7 procedures and

guidance supports the DLA CAC Program.

c. Maintain and update this SOP, as required.

d. Coordinate with DS to ensure compliance through periodic spot checks and other

verification checks as determined by the TASS Service Point of Contact (SPOC).

2. DLA Installation Support (DS). DS will:

a. Inform J7 whenever there are changes to the DoD or DLA CAC Program that may

necessitate a change in J7 procedures.

b. In coordination with J7, ensure compliance with procedures through periodic spot

checks and other verification checks as determined by the DLA TASS SPOC.

c. Ensure that TAs understand their responsibilities and follow the procedures set forth

in this SOP and references (c) and (d).

3. DLA J-codes, Primary Level Field Activities (PLFAs) and other DLA Organizations.

Organizations will:

a. Ensure that the employee meets the requirements of paragraph 4(b) of reference (d)

for issuance of a CAC when submitting to the COR/CO and TA that a contractor

employee requires a CAC.

b. Ensure CORs fully understand their responsibilities for the management and

accountability of contractor CACs and follow the procedures of this SOP.

4. Contracting Officers (COs). CO’s will:

a. Follow this SOP and include a requirement in COR designation letters directing

CORs follow this SOP.

b. Pursue remedies against the contractor in accordance with the terms and conditions of

the contract, upon contractor non-compliance.

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c. Revalidate a contractor employee’s continuing need for a CAC when requested by the

TA (for contracts in which no COR has been designated).

d. Participate in compliance reviews.

5. Contracting Officer’s Representatives (CORs). CORs will:

a. Follow this SOP.

b. Revalidate contractor employee’s continuing need for a CAC when requested by the

TA.

c. Participate in compliance reviews.

6. DLA TASS SPOC. The DLA TASS SPOC will:

a. Maintain a group email address for COR/COs to contact when questions arise about

TASS Site, TASM and TA assignment.

b. When necessary, assist COR/COs in identifying the appropriate DLA TASS Site for a

DLA contract.

7. Trusted Agent (TA). The TA will:

a. Follow the procedures of this SOP and perform the responsibilities in reference (d).

b. When notified by the COR/CO that a contractor employee no longer requires a CAC,

immediately revoke the contractor’s credentials in TASS.

c. Notify installation security when informed by the COR/CO that a contractor refuses

to return their CAC.

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ENCLOSURE 2

PROCEDURES

OVERVIEW: Contractor employees performing work under a contract may, in full or in part,

require physical access to a Federally-controlled facility or installation and/or access to a

Federally-controlled information system. When soliciting the contract, the CO must determine

whether the contract performance will require “contractors to have routine physical access to a

Federally-controlled facility and/or routine access to a Federally-controlled information system”

(FAR 4.1303). In determining whether the contractor will require routine physical access, the

CO, working with the customer and COR, as applicable, must assess whether the contractor

employee(s) meet(s) the requirements for a CAC in accordance with paragraph 4(b) of DLAI

1000.13 related to logical and physical access (Note: If only physical access is required, a

contractor must require access to multiple DoD facilities or multiple non-DoD federally

controlled facilities on behalf of the DoD on a recurring basis for a period of six (6) months or

more to necessitate issuance of a CAC. DLAI 1000.13 defines “recurring basis” as at least two

times per week and/or eight times per month for multiple facilities). If a contractor employee

does not meet the requirements for a CAC as stated in reference (d), the COR/CO will work with

the local installation security office for issuance of a local credential.

If the contract will require contractor employees to have either physical or logical (i.e. access to

information systems) access, the CO inserts FAR clause 52.204-9, Personal Identity Verification

of Contractor Personnel, and DLAD 52.204-9000, Contractor Personnel Security Requirements,

in the solicitation and subsequent contract. If performance is to occur at a non-DLA site that has

physical site and/or information security requirements specific to that location, the CO will work

with the customer to include those requirements in the solicitation and subsequent contract, in

addition to the CAC requirements of this SOP.

NOTE 1: All email communications covered in this SOP are to be digitally-signed. All emails

containing Personally Identifiable Information (PII) are to be encrypted.

NOTE 2: This SOP provides procedures for contracts where a COR has been designated, as well

as for contracts where no COR has been designated. In cases where no COR has been

designated, COs are responsible for the entire range of COR activities included in this SOP. In

some instances, COR/COs may also serve as the Trusted Agent (this is not a requirement).

NOTE 3: Many DLA contracts use Alternate Contracting Officer’s Representatives (ALTCORs)

in addition to CORs. As used in this SOP, CORs include ALTCORs and the terms should be

considered interchangeable.

NOTE 4: DoD policy does not allow for a contractor employee to possess more than one CAC,

even when working simultaneously on multiple contracts. If a contractor employee already

possesses a valid CAC related to another DLA or DoD contract, the contractor must notify the

COR/CO that the employee already has a CAC. The COR will annotate the contractor

employee’s CAC information on the Contractor CAC Log. Contractors must ensure that

individuals who fall into this situation are identified in the monthly report.

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1. DESCRIPTION:

a. Pre-Award:

(1) The CO, by consulting with the customer, determines whether the contract will

require contractor employees to obtain a CAC based on the criteria in references (c)

and (d). If the contractor will require a CAC, the CO:

(a) Incorporates in the solicitation and in the subsequent contract, the current versions

of FAR clause 52.204-9 and DLAD clause 52.204-9000.

(b) Ensures that the Performance Work Statement (PWS)/Statement of Work (SOW)

for the solicitation and the subsequent contract includes the required standardized

language (Attachment A) which provides detailed instructions to the contractor

regarding issuance, control, and accountability of contractor CACs.

(c) Issues the COR, as applicable, a designation letter, which includes standard

language regarding contractor CACs (Attachment B) in the COR responsibilities,

and provides electronic copies of the CAC Justification Form (Figure 1),

Contractor CAC Log (Figure 3) and the Contractor CAC Turn-In Receipt (Figure

4).

b. Post-Award:

(1) The CO:

(a) Reiterates to the COR his/her responsibilities regarding contractor CACs, as

prescribed in the COR designation letter, during the COR Initial Orientation for

the contract.

(b) Reiterates to the contractor its responsibilities regarding contractor CACs, as

prescribed in the contract, during the Pre-Performance Conference or other pre-

performance discussion for the contract.

(2) The COR (or CO if a COR is not designated):

(a) Receives the completed (Sections I and II) and signed DD Form(s) 1172-2,

Application for Identification Card/DEERS Enrollment, from the contractor via

hand-carry, secure mail, or digitally signed/encrypted email, for each contractor

employee working under the contract that requires access to a Federally-

controlled facility or installation and/or Federally-controlled information system.

(NOTE: The form(s) may be forwarded individually or as a group from the

contractor.)

(b) Uses the Contractor CAC Log for the contract and logs the receipt of each DD

Form 1172-2 application.

(c) Completes and signs Section III of the DD Form(s) 1172-2.

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(d) Completes and signs the CAC Justification Form (Figure 1).

(e) Forwards the DD Form(s) 1172-2 and the CAC Justification Form to the TA for

processing of the CAC application(s). If the TA cannot be identified, the COR

sends an email to the DLA TASS SPOC at [email protected] to

indicate that they have a contract that requires assignment to a DLA TA.

(3) The TA:

(a) Receives the completed and signed (Sections I, II, and III) DD Form(s) 1172-2

(Figure 2), Application for Identification Card/DEERS Enrollment and the CAC

Justification Form, from the COR.

(b) Sends an encrypted email to DLA Intelligence (DI)/Personnel Security (PERSEC)

identifying him/herself as the TA and verifies that contractor has been vetted per

references (c) and (d).

(c) Inputs the data from the DD Form(s) 1172-2 application(s) to the TASS and

creates a contractor employee account for each application.

(d) Forwards an email to each contractor employee requesting the individual verify

his/her account information in TASS. The email contains the web link for TASS

and a username and password generated by the system for the contractor

employee to use to access TASS.

(e) Approves the verified contractor employee account in TASS. The system then

forwards an email to the contractor employee notifying the individual that his/her

account has been approved and requesting the contractor employee to obtain a

Government-issued CAC from the nearest RAPIDS office. The email provides a

link that identifies the locations of RAPIDS offices.

(4) The COR (or CO if a COR was not designated):

(a) Receives written notice via email from the contractor for receipt of each

contractor CAC issued. The notice shall identify the contractor employee’s name,

the date of issuance, and the date of expiration of the CAC. The notification may

be made individually for each contractor employee or together for a group of

contractor employees.

(b) Logs the issuance of each contractor CAC in the Contractor CAC Log.

(c) When a COR has been designated, the COR notifies the CO immediately of any

issues that arise at any time involving contractor CACs as follows:

a. In person, followed within (1) business day by a written notice via email,

or

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b. In writing, via email, or

c. By telephone, followed within one (1) business day by a written notice via

email.

(d) During the performance of the contract and when requested by the TA, reverifies

the contractor employee’s continuing need for a CAC via digitally signed email.

(e) Ensures that the contractor provides a monthly report of all employees working

under that contract who still require a CAC and those who do not. For those that

no longer require a CAC, ensure that contractor follows/has followed the

procedures for turn-in to the COR/CO. This monthly report is a contract

deliverable (CDRL), whether priced or not separately priced, and must be

received with the monthly invoice.

(f) Notifies the CO of non-compliance if the contractor fails to provide the monthly

report.

(g) Maintains the Contractor CAC Log in the CORT Tool or EProcurement Records

Management, as applicable.

(h) At any point during the life of the contract, notifies the TA and CO, as applicable,

as soon as it is determined that a contractor employee no longer requires a CAC.

(5) The CO:

(a) Routinely monitors for currency and completeness the Contractor CAC Log

prepared and maintained by the COR in the CORT Tool.

(b) Takes immediate action if notified by the COR that there is an issue with a

contractor CAC based on the nature of the non-compliance and in accordance

with the remedies available per the contract (i.e. stop work order, negative

CPARS report and/or delay/withholding of payment).

c. Special Circumstances

(1) Contractor Employee Termination/Reassignment (this includes any reason the

employee is no longer working for the contractor under the contract):

(a) The COR or CO (if a COR was not designated):

1. Receives notification immediately from the contractor that the employee is no

longer working for the contractor under the contract, as follows:

a. In person, followed within (1) business day by a written notice via

email, or


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c. By telephone, followed within one (1) business day by a written notice

via email.

2. Logs receipt of the notification in the Contractor CAC Log. NOTE: If COR

has been designated, the COR also notifies the CO immediately of the

contractor employee’s termination/reassignment.

3. Immediately notifies the TA that the contract employee has been

terminated/reassigned. The TA will revoke the credentials in TASS.

4. Receives a request from the contractor, within one (1) business day after

notification, to arrange turn-in of the contractor employee’s CAC.

5. If the COR/CO is co-located or near enough that in-person transfer of CACs

can be arranged, the COR/CO:

a. Receives (via hand-carry) all turned-in contractor CACs from the

contractor.

b. Completes and signs the Government-Issued Contractor CAC Turn-In

Receipt with the contractor, and provides the contractor a copy of the

receipt.

6. If in-person transfer of CACs cannot be arranged, the COR/CO:

a. Receives notice that contractor CACs have been sent to the COR/CO

via certified mail.

b. Receives all turned-in contractor CACs from the contractor.

c. Completes and signs the Government-Issued Contractor CAC Turn-In

Receipt, and provides the contractor a copy of the receipt via email or

mail.

7. Within two (2) business days, hand-carries the turned-in contractor CACs to

the nearest RAPIDS office for turn-in and disposal.

8. Completes and signs the Government-Issued Contractor CAC Turn-In Receipt

with the RAPIDS office.

9. Logs receipt and turn-in of the contractor CAC in the Contractor CAC Log.

10. Provides final status of CACs to the TA (and CO as applicable) via digitally

signed email.

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11. Maintains the completed Government-Issued Contractor CAC Turn-In

Receipt in the CORT Tool or EProcurement Records Management, as

applicable.

(2) Lost or stolen contractor CAC:


1. Receives immediate notification from the contractor detailing the

circumstances regarding the lost or stolen contractor CAC, as follows:

a. In person, followed within one (1) business day by a written notice via

email, or


c. By telephone, followed within one (1) business day by a written notice

via email.

2. Logs receipt of the notification in the Contractor CAC Log for the lost or

stolen CAC. NOTE: If COR has been designated, the COR also notifies the

CO immediately of the lost or stolen CAC card.

3. Immediately notifies the TA that contractor CAC has been lost or stolen.

4. Ensures that the contractor reports the lost or stolen CAC card to the local

DLA Police/host installation police, who will provide the contractor a police

report. If there is no local DLA Police/host installation police, or no police

report is provided, COR (or CO where COR was not designated) prepares a

signed memorandum (on organization letterhead) detailing the circumstances

of how the CAC was lost or stolen based on information provided by the

contractor and any other available information.

5. If the CAC can be reissued within 24 hours, directs the contractor to bring the

report/memorandum to the nearest RAPIDS office for CAC reissuance.

6. If the CAC cannot be reissued within 24 hours, the TA will revoke the CAC in

TASS and the contractor, COR/CO, and TA are responsible for completion of

the steps in 1.b. (Post-Award) above, as applicable, for issuance and logging

of a replacement CAC.

7. When contractor notifies issuance of a new CAC in accordance with 1.b.

(Post-Award) above, logs the issuance of the new contractor CAC in the

Contractor CAC Log.

(3) Contractor CAC expiration date is prior to completion of the contract:

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1. Receives notice from the contractor that a CAC is expiring and the employee

still requires a CAC, as follows:

a. In person, followed within one (1) business day by a written notice via

email, or


c. By telephone, followed within one (1) business day by written notice

via email.

2. Follows the steps under 1.b. (Post-Award), above, for issuance of a new

contractor employee CAC. (NOTE: The contractor shall begin the process for

issuance of a new contractor CAC no later than two (2) weeks prior to

expiration of the old contractor CAC).

3. When contractor notifies issuance of a new CAC, logs the issuance of the new

contractor CAC in the Contractor CAC Log.

d. Contract Completion or Termination:


1. Receives a request from the contractor, within one (1) business day after the

contractor collects the contractor CACs at contract completion or termination,

to arrange for the turn-in of the contractor CACs for the contract.

2. Notifies the TA that the contract has ended. The TA will revoke the CACs in

TASS.

3. If the COR/CO is co-located or near enough that in-person transfer of CACs

can be arranged, the COR/CO:

a. Receives (via hand-carry) all turned-in contractor CACs from the

contractor.

b. Completes and signs the Government-Issued Contractor CAC Turn-In


receipt.

4. If in-person transfer of CACs cannot be arranged, the COR/CO:

a. Receives notice that contractor CACs have been sent to the COR/CO

via certified mail.

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b. Receives all turned-in contractor CACs from the contractor.

c. Completes and signs the Government-Issued Contractor CAC Turn-In


mail.

5. Within two (2) business days, hand-carries the turned-in contractor CACs to

the nearest RAPIDS office for turn-in and disposal.

6. Completes and signs the Government-Issued Contractor CAC Turn-In Receipt

with the RAPIDS office.

7. Logs the receipt and turn-in of the contractor CACs in the Contractor CAC

Log.

8. Tracks all CACs issued under the contract until all have been received,

logged, and turned-in for disposal.

9. Maintains the Contractor CAC Log in the CORT Tool or EProcurement

Records Management, as applicable. COR provides the final log to the CO

for inclusion in EProcurement Records Management.

10. Maintains all completed Government-Issued Contractor CAC Turn-In

Receipts in the CORT Tool or EProcurement Records Management, as

applicable.

11. Notifies the TA via digitally signed email when all contractor CACs issued

under the contract have been received and turned-in.

12. Notifies the TA, CO and installation security if the contractor refuses to turn-

in the CAC.

(b) The CO:

1. If the contractor does not return CACs, withholds final payment in accordance

with FAR 52.204-9.

2. Uploads a copy of the completed Contractor CAC Log to EProcurement

Records Management.

3. INPUTS/OUTPUTS: The following are the data requirements or inputs needed to perform

the procedures for issuing and accounting for contractor CACs, and the subsequent end-products

or outputs once all steps in the procedures have been performed.

a. Inputs:

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(1) Contract clauses in the solicitation/contract regarding contractor personnel security

and identity verification.

(2) Standardized language in the solicitation/contract PWS/SOW regarding contractor

responsibilities for the issuance, control, and accountability of contractor CACs.

(3) Completed DD Form(s) 1172-2, Application for Identification Card/DEERS

Enrollment.

(4) Completed CAC Justification Form, whereby the sponsor documents the applicant’s

need for a CAC and accepts the responsibilities assigned to them.

(5) COR designation letter that includes COR responsibilities regarding contractor CACs,

and provides electronic copies of the Contractor CAC Log and the Contractor CAC

Turn-In Receipt.

(6) Tracking of contractor CACs from issuance to turn-in for disposal via the Contractor

CAC Log.

(7) Chain of custody acknowledgements for turned-in contractor CACs via the

Government-Issued Contractor CAC Turn-In Receipt.

b. Outputs:

(1) Issuance of contractor CACs for the contract.

(2) Accountability for contractor CACs for the contract from issuance to turn-in and

disposal.

(3) Retrieval of contractor CACs once the contract is completed/terminated or contractor

employee no longer needs.

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GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

ALTCOR Alternate Contracting Officer’s Representative

CAC Common Access Card

CO Contracting Officer

COR Contracting Officer’s Representative

CORT Tool Contracting Officer Representative Tracking Tool

DEERS Defense Enrollment Eligibility Reporting System

RAPIDS Real-Time Automated Personnel Identification System

SPOC Service Point of Contact

TA Trusted Agent

TASM Trusted Agent Security Manager

TASS Trusted Associate Sponsorship System

PART II. DEFINITIONS

Unless otherwise noted, these terms and their definitions are for the purposes of this SOP:

Common Access Card. A smart card about the size of a credit card that is the standard

identification for U.S. military and Department of Defense (DoD) civilian employees, and

eligible contractor personnel.

Contracting Officer Representative Tracking Tool. A Department of Defense (DoD) web

management capability for the appointment of CORs. Other capabilities provided by the system

include identifying all training completed by the COR by complexity of the work/requirement

(Type A/B/C), including basic and refresher training requirements, adding and reviewing

documents, such as a Status Report, COR trip report, correspondences and other miscellaneous

documents to one or more of the COR appointed contracts, and terminating the COR

appointment. The CORT Tool is a secure website available at: https://wawf.eb.mil/.

EProcurement Records Management. A DLA application that serves as the official repository

for contractual documents. Takes the place of the traditional hard copy contract file.

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Real-Time Automated Personnel Identification System. Applicable software that allows users to

issue a DoD identification (ID) card.

Service or Agency Point of Contact. The individual that manages TASS for the service or

agency; coordinates with Defense Manpower Data Center; and establishes sites with TASS

capability, oversees TASM registration and ensures the maintenance of other required field

support.

Trusted Agent. The individual that inputs CAC application data into the Trusted Associate

Sponsorship System (TASS) and completes the sponsorship process, including but not limited to,

confirmation of completed background vetting.

Trusted Agent Security Manager. The individual that oversees the activity for TASS site TAs

that assigned under them.

Trusted Associate Sponsorship System. A catalyst for streamlining the in-processing of

contractor personnel by providing a tool to reduce the time it takes to verify, certify and approve

contractor information. TASS is a secure website available at: https://www.dmdc.osd.mil/tass/.

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ATTACHMENT A

Contractor Instructions

Include the following language in each Performance Work Statement (PWS) or Statement of

Work (SOW) where contract employees are required to obtain a CAC:

Common Access Card (CAC) Procedures

Performance under this contract may require the contractor to obtain a Common Access Card

(CAC). If CACs are issued under this contract, the contractor shall complete and comply with

the following steps to obtain, control, and turn-in Government-issued CACs, as well as establish

procedures to control and account for contractor CACs at all times. This process is only for the

issuance and accountability of CACs. Contractors may be required to provide additional forms

and follow additional procedures for other forms of access and/or background/security checks

depending on local site/installation requirements.

1. The contractor has each contractor employee requiring a CAC complete and sign

Sections I and II of the DD Form 1172-2. The instructions for completing the DD Form

1172-2 are located at http://www.cac.mil/docs/1172-2-Instructions.pdf.

o For Section II, Block 22 - If the contractor employee signs and the DD Form

1172-2 it is then forwarded by the contractor. This provides verification for the

employee information. If the contractor is submitting a DD Form 1172-2 for

him/herself (e.g., the owner), with no higher authority above them for verification,

then the signature in Block 22 must be notarized to verify identity.

2. The contractor forwards the DD Form(s) 1172-2 via hand-carry, secure mail, or

encrypted email to (NOTE: The contractor may forward these forms individually or as a

group):

o The Contracting Officer’s Representative (COR) for the contract, if a COR was

designated.

o The Contracting Officer (CO) for the contract, if no COR was designated.

3. Each contractor employee must verify his/her account information upon receipt of an

email from the Government containing a username and password for the Trusted

Associate Sponsorship System (TASS). The web link for TASS is included in the email.

4. Each contractor employee will receive an email via TASS when his/her account has been

approved. The email will notify the employee to obtain a Government-issued CAC from

the nearest Real-Time Automated Personnel Identification System (RAPIDS) office. The

email will also provide a link that identifies the locations of RAPIDS offices.

5. Each contractor employee shall obtain his/her issued CAC from the RAPIDS office.

6. The contractor, within one (1) business day of issuance, provides written notice via email

to the COR (or the CO, if no COR was designated) for each contractor CAC issued

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identifying the contractor employee’s name, the date of issuance, and the date of

expiration of the CAC. This notification may be made individually for each contractor

employee or together for a group of contractor employees.

7. The contractor establishes procedures to control and account for Government-issued

contractor CACs at all times, to include the following:

o Ensure contractor CACs issued for this contract are only used for the purpose of

performing under this contract.

o Ensure contractor CACs are secured in a manner that precludes unauthorized use

and that recognizes the CAC is the property of the U.S. Government.

o Ensure contractor employees do not abuse or place holes in their CACs.

o Ensure contractor employees do not display their CACs in public.

8. If a contractor CAC is lost or stolen:

o The contractor employee shall immediately notify the contractor that the

contractor CAC has been lost or stolen.

o The contractor shall immediately notify the COR (or the CO, if no COR was

designated), detailing the circumstances regarding the lost or stolen contractor

CAC, as follows:

In person, followed within one (1) business day by a written notice via email,

or

In writing, via email, or

By telephone, followed within one (1) business day by a written notice via

email.

o The contractor shall report the lost or stolen CAC card to the local DLA

Police/host installation police, who will provide the contractor a police report. If

there is no local DLA Police/host installation police, or no police report is

provided, the contractor shall provide information to the COR/CO, as applicable,

detailing the circumstances of how the CAC was lost or stolen. The COR/CO

will provide a memorandum for the contractor employee to support issuance of

new CAC.

o The contractor has the contractor employee bring the report/memorandum to the

nearest RAPIDS office. If the CAC can be reissued within 24 hours, bring the

report/memorandum to the nearest CAC office for reissue. If the CAC cannot be

reissued in 24 hours, follow the steps for a new CAC, beginning at Step 1.

9. If the expiration date for a contractor CAC is prior to completion of the contract and the

contractor employee is to continue working under the contract and still requires a CAC,

the contractor:

o Notifies the COR as follows:

In person, followed within one (1) business day by a written notice via email,

or


By telephone, followed within one (1) business day by a written notice via

email.

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o No less than two (2) weeks prior to the current CAC’s expiration date, completes

and complies with the steps above beginning with Step 2 for issuance of a new

contractor CAC for the employee.

o Brings the expiring CAC to the RAPIDS office for turn-in and receives new CAC.

o Notifies the COR once a new CAC has been issued.

10. The contractor/contractor employee turns in any found CACs immediately, via hand-

carry, to the nearest Federal law enforcement office.

11. The contractor immediately collects all contractor CAC(s) from the contractor

employee(s) at:

o Contract completion or termination

o Termination/Reassignment of an employee (this includes any reason the

employee is no longer working for the contractor under the contract or otherwise

no longer requires a CAC)

12. The contractor:

o For contract completion or termination – within one (1) business day after

collecting the contractor CAC(s), arranges for turn-in via one of the below

methods:

i. If the COR/CO is co-located or near enough that in-person transfer of

CACs can be arranged, the contractor:

Arranges to meet the COR (or the CO, if no COR was designated)

to turn-in the collected contractor CAC(s).

Hand-carries all collected contractor CACs for turn-in to meet the

COR (or the CO, if no COR was designated).

Completes and signs the Government-Issued Contractor CAC

Turn-In Receipt with the COR (or the CO, if no COR was

designated). The contractor is provided a copy of the receipt.

ii. If in-person transfer of CAC cannot be arranged, the contractor:

Sends, via certified mail, the CACs to the COR/CO. The

contractor includes in the package the Government-Issued

Contractor CAC Turn-In Receipt, with signed acknowledgement of

contractor turn-in.

Notifies COR/CO that CACs have been sent via certified mail.

Receives a completed copy of the receipt from the COR/CO once

the COR/CO has received the CACs.

o For termination/reassignment of an employee:

i. Immediately notifies the COR (or the CO, if no COR was designated) that

the employee is no longer working for the contractor under the contract or

otherwise no longer requires a CAC, as follows:

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In person, followed within one (1) business day by a written notice

via email, or


By telephone, followed within one (1) business day by a written

notice via email.

ii. Follows the turn-in procedures above for contract completion or

termination, as applicable.

Contractor Reporting Requirements: The contractor is required to submit, on a monthly basis, to

the COR (or the CO, if no COR was designated) a report of all employees working on the

contract who have been issued CAC cards and a verification of whether each listed employee

still requires a CAC. The report must note where changes have occurred (additions or deletions)

since the previous month. Contractor employees who already have a CAC related to another

DLA or DoD contract must be included in the monthly report. Contractor shall note the issuing

organization and the CAC expiration date. Contractor is still responsible for notifying the

COR/CO when the individual is no longer working under the subject contract.

The above procedures have been established as a DLA security measure. Contractors are

advised that failure to comply with any of the above requirements will be considered a violation

of the terms and conditions of the contract and the Contracting Officer may take action to

remedy such violations. Specifically, failure to safeguard, follow these procedures, including

reporting requirements, or turn-in CACs within the established timeframes may result in the

following actions, which are in addition to other actions the Contracting Officer may take under

governing law and regulation and the terms and conditions of the contract:

Immediate work stoppage (issuance of a stop work order), not to be lifted until resolution

of CAC issue

Disapproval of invoices and delay of payment

Withholding of final payment (in accordance with FAR 52.204-9)

Documentation of CAC Non-Compliance in the Contractor Performance Assessment

Reporting System (CPARS)

21

ATTACHMENT B

The following language shall be included in COR Designation Letters for all contracts where

contract employees will be issued CACs. COs may include the language as either an attachment

to the designation letter or provide a reference to the Standard Operating Procedure (SOP),

Contractor Common Access Card (CAC) Issuance and Accountability, located at:

https://eworkplace.dla.mil/sites/S18/Pages/SOP.aspx.

Common Access Card (CAC) Management

The COR is responsible for coordinating the issuance and turn-in and monitoring of contractor

Common Access Cards (CACs) by accomplishing the following:

1. Post-Award:

Receives the completed (Sections I and II) and signed DD Form(s) 1172-2, Application

for Identification Card/DEERS Enrollment, from the contractor via hand-carry, secure

mail, or digitally signed/encrypted email, for each contractor employee working under

the contract that requires access to a Federally-controlled facility or installation and/or

Federally-controlled information system. (NOTE: The form(s) may be forwarded

individually or as a group from the contractor.)

Uses the Contractor CAC Log for the contract and logs the receipt of each DD Form

1172-2 application.

Completes and signs Section III of the DD Form(s) 1172-2.

Completes and signs the CAC Justification Form.

Forwards the DD Form(s) 1172-2 and the CAC Justification Form to the TA for

processing of the CAC application(s). If the TA cannot be identified, the COR will send

an email to the DLA TASS SPOC at [email protected] to indicate that

they have a contract that requires assignment to a DLA TA.

Receives written notice via email from the contractor for receipt of each contractor CAC

issued. The notice shall identify the contractor employee’s name, the date of issuance,

and the date of expiration of the CAC. This notification may be made individually for

each contractor employee or together for a group of contractor employees.

Logs the issuance of each contractor CAC in the Contractor CAC Log.

Notifies the CO immediately of any issues that arise at any time involving contractor

CACs as follows:

o In person, followed within one (1) business day by a written notice via email, or

o In writing, via email, or

o By telephone, followed within one (1) business day by a written notice via email.

When requested by the TA, reverifies the contractor employee’s continuing need for a

CAC via digitally signed email.

Ensures that the contractor provides a monthly employee report of all employees working

under that contract who still require a CAC and those who do not. For those that no

longer require a CAC, ensure that contractor follows/has followed the procedures for

turn-in.

If the contractor fails to provide the monthly report, notifies the CO of non-compliance.

Maintains the Contractor CAC Log in the CORT Tool.

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At any point during the life of the contract, notifies the TA and CO as soon as it is

determined that a contractor employee no longer requires a CAC.

2. Contract Completion or Termination:

Receives a request from the contractor, within one (1) business day after the contractor

collects the contractor CACs at contract completion or termination, to meet to turn-in the

contractor CACs for the contract.

Notifies the TA that the contract has ended. The TA will revoke the CAC in TASS.

Arranges for physical turn-in of CACs:

o If co-located or near enough that in-person transfer of CACs can be arranged:

Receives (via hand-carry) all turned-in contractor CACs from the

contractor.

Completes and signs the Government-Issued Contractor CAC Turn-In


receipt.

o If in-person transfer of CACs cannot be arranged:

Receives (via certified mail) all turned-in contractor CACs from the

contractor.



mail.

Within two (2) business days, hand-carries the turned-in contractor CACs to the nearest

RAPIDS office for turn-in and disposal.

Completes and signs the Government-Issued Contractor CAC Turn-in Receipt with the

RAPIDS office.

Logs the receipt and turn-in of each contractor CAC in the Contractor CAC Log.

Tracks all CACs issued under the contract until all have been received, logged, and

turned-in for disposal.

Maintains the Contractor CAC Log in the CORT Tool and forwards an electronic copy of

the completed log to the CO for uploading to EProcurement Records Management.

Maintains all completed Government-Issued Contractor CAC Turn-In Receipts in the

CORT Tool.

Notifies the TA and CO in writing via email when all contractor CACs issued under the

contract have been received and turned-in.

If contractor refuses to return CACs, immediately notifies the CO, TA and installation

security.

3. Special circumstances:

a. Contractor Employee Termination/Reassignment (this includes any reason the employee is

no longer working for the contractor under the contract):

Receives notification immediately from the contractor that the employee is no longer

working for the contractor under the contract, as follows:

23




Logs receipt of the notification in the Contractor CAC Log.

Notifies the TA and CO immediately of the contractor employee

termination/reassignment.

Receives a request from the contractor, within one (1) business day after notification, to

meet the COR to arrange for turn-in of the contractor CAC.

Arranges for physical turn-in of CACs:

o If co-located or near enough that in-person transfer of CACs can be arranged:

Receives (via hand-carry) all turned-in contractor CACs from the

contractor.



receipt.

o If in-person transfer of CACs cannot be arranged:

Receives (via certified mail) all turned-in contractor CACs from the

contractor.


Receipt, and provides the contractor a copy of the receipt via email.

Within two (2) business days, hand-carries the turned-in contractor CAC to the nearest

RAPIDS office for turn-in and disposal.

Completes and signs the Government-Issued Contractor CAC Turn-In Receipt with the

RAPIDS office.

Logs receipt and turn-in of the contractor CAC in the Contractor CAC Log.

Provides final status of CACs to the TA and CO via digitally signed email.

Maintains the completed Government-Issued Contractor CAC Turn-In Receipt in the

CORT Tool.

b. Lost or stolen contractor CAC(s):

Receives immediate notification from the contractor detailing the circumstances

regarding the lost or stolen contractor CAC, as follows:




Logs receipt of the notification in the Contractor CAC Log for the lost or stolen CAC.

Immediately notifies the TA and CO of the lost or stolen card.

Ensures that the contractor reports the lost or stolen CAC to the local DLA Police/host

installation police, who will provide the contractor a police report. If there is no local

DLA Police/host installation police, or no police report is provided, prepare a signed

memorandum (on organization letterhead) detailing the circumstances of how the CAC

was lost or stolen based on the information provided by the contractor and any other

available information.

If the CAC can be reissued within 24 hours, direct the contractor to bring the police

report/memorandum to the nearest RAPIDS office for reissuance.

24

If the CAC cannot be reissued within 24 hours, ensure the contractor completes steps in

#1 for a replacement CAC.

Receives written notice via email from the contractor, within one (1) business day of

issuance, once a new contractor CAC has been issued for the contractor employee.

Logs the issuance of the new contractor CAC in the Contractor CAC Log.

c. Contractor CAC expiration date is prior to completion of the contract:

Receives notice from the contractor, as follows:




Follows the steps under Post-Award, above, for issuance of a new contractor employee

CAC. (NOTE: The contractor shall begin the process for issuance of a new contractor

CAC no later than two (2) weeks prior to expiration of the old contractor CAC).

Receives written notice via email from the contractor, within one (1) business day of

issuance, once a new contractor CAC has been issued for the contractor employee.

Logs the issuance of the new contractor CAC in the Contractor CAC Log.

25

FIGURE 1

CAC Justification Form

Section I: Applicant and Contract Data

Applicant Name:

Contract Number (include task order number if applicable):

Contract End Date:

Contracting Office:

Section II: Eligibility Requirements

(Select all that apply)

☐ The applicant requires both physical access to a DoD facility and access, via logon, to DoD networks on-site or

remotely. Access to the DoD network must require the use of a computer with Government-controlled configuration

or use of a DoD-approved remote access procedure in accordance with the Defense Information Systems Agency

Security Technical Implementation Guide.

☐ The applicant requires remote access, via logon, to a DoD network using DoD-approved remote access

procedures.

☐ The applicant requires physical access to multiple DoD facilities or multiple non-DoD federally controlled

facilities on behalf of the DoD on a recurring basis for a period of six months or more. The frequency of “recurring

basis” shall be at least two times per week/or eight times per month.

☐ The applicant is supporting a contract at a non-DLA site and the local site/installation security policy requires the

contractor to obtain a CAC for installation entry control or physical access to facilities and buildings.

Section III: Sponsor Responsibilities

(Select all boxes to acknowledge compliance)

I (the sponsor) understand I am responsible for each task listed below:

☐ I will provide a digitally signed email to the TASS Trusted Agent every six months when requested by the

Trusted Agent to reverify the applicant’s requirement for a CAC.

☐ I will immediately notify the Trusted Agent when the applicant’s affiliation with DLA is terminated prior to the

applicant’s CAC expiration.

☐ If the applicant leaves, is terminated/reassigned or is no longer supporting the contract for any reason, I will

retrieve the credential and properly dispose of it by returning it to a RAPIDS office.

____________________ ______________ _______________________

Sponsor’s Name Sponsor’s Phone Sponsor’s Email

____________________ ______________

Sponsor’s Signature Date

26

FIGURE 2

DD FORM 1172-2

28

FIGURE 3

CONTRACTOR CAC LOG

Contract Number: Contractor: Location: Contract/Order Start Date: Contract/Order Completion Date: Contract/Order Termination (if prior to Contract/Order Completion Date):

Contractor Employee Name

DD Form 1172‐2 Receipt Date

CAC Issuance Date

CAC Expiration

Date

Contractor Employee Termination

Date (if

applicable)

CAC Turn‐In Date to COR

CAC Turn‐In Date to RAPIDS Office

Comments/Issues (e.g. notifications, lost or stolen CAC, CAC issued by another

agency, etc.)

29

FIGURE 4

GOVERNMENT‐ISSUED CONTRACTOR COMMON ACCESS CARD (CAC) TURN‐IN RECEIPT

The contractor shall complete the following information:

Contract Number:

Contractor:

Location:

The contractor shall identify the following information for each contractor CAC being turned‐in:

Employee Name Issue Date Expiration Date

The contractor shall return the above identified contractor CACs to the Contracting Officer’s Representative (COR) for the contract for turn‐in. The COR will enter the turn‐in date for the contractor CACs. The contractor shall acknowledge turn‐in of the contractor CACs and the COR will acknowledge receipt below:

Turn‐in Date

to COR Contractor Acknowledgement of Turn‐In COR Acknowledgement of Receipt

Signature: Signature:

Print Name: Print Name:

The COR will hand‐carry the above identified contractor CACs to the nearest Real‐Time Automated Personnel Identification System (RAPIDS) office for turn‐in. The RAPIDS office will enter the turn‐in date for the contractor CACs. The COR will acknowledge turn‐in of the contractor CACs and the RAPIDS office will acknowledge receipt below: Turn‐in Date to RAPIDS Office

COR Acknowledgement of Turn‐In RAPIDS Office Acknowledgement of Receipt

Signature: Signature:

Print Name: Print Name:

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