exv10w4w1



 






Exhibit 10.4.1




	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

	 	 	 	1.	 	 	CONTRACT ID CODE
	 	 	Page
1 of 2
	 	 	 	 	 	 	 





	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	2.

	 	AMENDMENT/MODIFICATION NO. 0001
	 	 	 	3.	 	 	EFFECTIVE DATE 11/12/2003
	 	 	 	4.	 	 	REQUISITION/PURCHASE REQ. NO.
	 	 	 	5.	 	 	PROJECT NO. (If applicable)
	 	 	 	 	 	 	 	 	 	 





	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	6.

	 	ISSUED BY	CODE	 	 	 	00001	 	7.	 	 	ADMINISTERED BY (If other than Item 6)	CODE   	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	FCC/Contracts and Purchasing Center

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	445 12th St., SW,

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Washington, DC 20554

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 





	 	 	 	 	 	 	 	 	 	 	 
	8.	 	NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)	 	 	 	 	 	9A. AMENDMENT OF SOLICITATION NO.
	 	 	 	 	 	 	 	 	 	 	 
	Neustar, Inc.	 	 	 	 	 	 	 	9B. DATED (SEE ITEM 11)
	 	 	 	 	 	 	 	 	 	 	 
	46000 Center Oak Plaza
Sterling, VA 20166	 	 	 	 	(X)	 	 	10A. MODIFICATION OF CONTRACT/ORDER NO. CON03000016
	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	(X)	 	 	10B. DATED (SEE ITEM 13)
	 	 	 	 	 	 	 	 	 
	CODE*

	 	 	 	FACILITY CODE	 	 	 	 	 	 
	 	 	 	 	 	 	 





	 	 	 	 	 
	 

	 	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS	 	 
	 





	 	 	 
	o

	 	The above numbered solicitation is amended as set forth in Item 14. The
hour and date specified for receipt of Offers o is extended, o is not extended.
	 
	 	 
	 

	 	Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:
	 
	 	 
	 

	 	(a) By completing Items 8 and 15,
and returning ___copies of the amendment; (b) By
acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS
PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of
this amendment you desire to change an offer already submitted, such change may be made by telegram or
letter, provided each telegram or letter makes reference to the solicitation and this
amendment, and is received prior to the opening hour and date specified.
	 
	 	 
	 





	 	 	 
	12.

	 	ACCOUNTING AND APPROPRIATION DATA (If required)
	 

	 	No Funding Information
	 





	 	 	 	 	 
	 

	 	13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.	 	 
	 

	 	IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.	 	 
	 





	 	 	 	 	 	 
	CHECK ONE	 	 	 	 	 
	o

	 	 	A.
	 	THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.
	 	 	 	 
	o

	 	 	B.
	 	THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.1 03(b).
	 	 	 	 
	o

	 	 	C.
	 	THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
	 	 	 	 
	o

	 	 	D.
	 	OTHER (Specify type of modification and authority)
	 

	 	 	 	 	FAR 1.6, Authority of Contracting Officers”
	 	 	 	 
	E. IMPORTANT: Contractor o is not, þ is required to sign this document and return 2 copies to the issuing office.
	 	 	 	 
	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
	 
	 	 	 	 	 
	The above numbered
contract is hereby modified to incorporate the attached security
language..
	 
	 	 	 	 	 
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.






	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	15A.	 	NAME AND TITLE OF SIGNER (Type or print)	 	16A.	NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	 

	 	 	 	 	 	 	 	 	Mark Oakey	 	 
	 	 	 	 	 	 	 	 	 	 	 
	15B.

	 	CONTRACTOR/OFFEROR
	 	15C. DATE SIGNED
	 	16B.
	United States of America
	 	16C. DATE SIGNED
	 

	 	/s/ J. F. Franlin	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	11/13/03
	 	 BY	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	 
	 

	 	(Signature
of person authorized to sign)
	 	 	 	 	 	 	(Signature of Contracting Officer)	 	 
	 





			
	NSN 7540-01-152-8070

PREVIOUS EDITION

UNUSABLE
	 	STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA FAR (48 CFR)

53.243







	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 
	Line
Item

	 	 	Document Number
	 	 	Title
	 	 	Page
	Summary

	 	 	CON03000016/0001
	 	 	NANP Administrator
	 	 	2 of 2
	 	 	 	 	 	 	 	 	 	 





No
Funding Information




	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	Line
Item

	 	 	 	Delivery Date
	 	 	 	Unit of	 	 	 	 
	Number

	 	Description
	 	(Start date to End date)
	 	Quantity
	 	Issue
	 	Unit Price
	 	Total Cost
	 
	 





     No
Changed Line Item Fields



Previous Total:

Modification Total:

Grand Total:





 









 






     SECURITY AND SUITABILITY ASSESSMENT



1. General



(a) All contract personnel are subjected to background investigations for the purpose of
suitability determinations. Based on their proposed duties, some contract personnel may also be
required to have security clearance determinations. No contract personnel may be assigned to work
on the contract without a favorable initial review of the OF 306, Declaration for Federal
Employment (http://www.opm.gov/forms/pdf fill/of0306.pdf) or a written waiver from the FCC Security
Operations Center (SOC). (For more detail, see Appendix No. 2)



(b) Suitability, waiver, and security clearance determination investigations are currently
conducted through the FCC Security Operations Center (202- 418-7884). The individual contract
employee will be provided with a review process before a final adverse determination is made. The
FCC requires that any contract personnel found not suitable, or who has a waiver cancelled, or is
denied a security clearance, be removed by the contractor during the same business day that the
determination is made.



(c) If the contract personnel is re-assigned and the new position is determined to require a higher
level of risk suitability than the contract personnel currently holds, the individual may be
assigned to such position while the determination is reached by the SOC. A new A-200 may be
necessary for the new position.



(d) Contract personnel working as temporary hires (for ninety (90) days or less) must complete and
receive a favorable initial review of the OF 306 and complete the contract personnel section of the
FCC Form A-600, “FCC Contractor Record Form.” If during the term of their employment they will
have access to any FCC network application, they must also complete and sign the FCC Form A-200,
“FCC Computer System Application Access Form.”




2. At Time of Contract Award



(a) The FCC Security Operations Center must receive the completed, signed OF 306 for all proposed
contractor employees at the time of contract award. Resumes for all personnel proposed for
assignment on the contract should be provided to the Security Office prior to the time of in-take
processing (see below, 2.3.2). The FCC Security Operations Center requires up to five (5) working
days (from the date they are received) to process the OF 306 before any employee is allowed to
begin work on the contract. A written waiver from the SOC may be obtained in special circumstances.



All contract personnel, regardless of task description, must complete this form. Without an
approved, completed OF 306 on file at the SOC, no contractor employee may begin work. An
approved OF 306 is one that has passed initial review by the SOC. During the course of the SOC
review of the OF 306, the contract personnel may be interviewed by SOC staff regarding information
on their OF 306.




 









 







(b) In addition, the Contractor is responsible for submission of completed, signed computer
security forms for each employee prior to that person beginning work on the contract (See Appendix
No. 3, FCC Instruction 1479.1, FCC Computer Security Program Directive and sample forms.) These
forms should be submitted to the FCC Computer Security Office.



(c) The COTR shall begin processing their section of the FCC Contract Personnel Record (FCC Form
A-600) at this time. This form, with the COTR and CO portions completed, will be distributed at
the time of contract award and must be submitted to the SOC within ten (10) working days.



(d) The Office of Personnel Management (OPM) will issue a Certificate of Investigation (CIN) for
each favorably reviewed OF 306. The SOC will issue a memorandum to the CO and COTR listing those
contract personnel who have been granted a CIN. This memorandum should be retained for the
duration of the contract.




3. Registration and Checkout Requirements




3.1. Locator and Information Services Tracking (LIST) Registration



The Security Operations Center maintains a Locator and Information Services Tracking (LIST)
database, containing contact information for all Commission and contract employee personnel,
regardless of work location.



The contract employee’s FCC Form A-600, “FCC Contractor Record Form” captures the information for
data entry into the LIST system.




3.2 Intake Processing



(a) Following the processing of the OF 306 and an initial favorable suitability determination,
(unless otherwise waived) the contract personnel may report to the FCC for work.



(b) On the first day of work, all contract personnel must report to the Security Operations Center
to complete the Fingerprint Card Form, FD 258, the Fair Credit Report Act form, and to be
photographed and issued a security badge.



(c) At this time the contract employee will be given one of the following forms, based on the
security risk designation for the proposed support classification/position, to complete and return
to the SOC within seven (7) business days:





	 	(i)	 	Low Risk Positions - SF 85, Questionnaire for Non-Sensitive Positions
	 
	 	(ii)	 	Moderate Risk Positions - SF 85-P, Questionnaire for Public Trust Positions
	 
	 	(iii)	 	High Risk Positions/Secret or Top Secret Security Clearances —Standard Form
(SF) 86, Questionnaire for Sensitive Positions




 









 










(d) For any contract employee whose name is provided to the Commission for security investigation
at (ii) or (iii) level, who subsequently leaves the subject contract, due to Contractor or contract
employee decision, within the first year, the Contractor shall reimburse the Commission for the
cost of the investigation. If the contract or task order is scheduled for completion in under one
year and the contract employee for whom a security investigation has been done leaves prior to the
work being done, the Contractor and SOC shall agree on a pro-rated amount for reimbursement. The
cost may vary from approximately $400.00 (moderate risk) to $3,000.00 (high risk). The Contractor
will be provided a copy of the investigation invoice with the reimbursement request.




3.3 Monthly Personnel Reports



Monthly report: The Contractor’s Program Manager shall submit to the SOC a monthly contract
personnel list. This report is currently provided in MS Excel format. The Contractor shall
annotate this report and correct and update the information monthly. This report shall highlight
or list in some way those individuals who are no longer employed by the Contractor or no longer
working on the subject contract. Any additional contract personnel that have been successfully
processed for work on the contract since the previous report shall also be noted. The annotated
monthly contract personnel list report shall be submitted to the following, via email, by the 10th
calendar day of each month:




FCC Security Operations Center

Contracting Officer

Contracting Officer’s Technical Representative (COTR)




3.4 Checkout Processing:



(a) All contract employees no longer employed on the subject contract, or at the termination of the
contract, are required to report to the SOC and complete the sign-out portion of the FCC A-600,
Contract Personnel Record.



(b) This process verifies the ID badge and keys (if any) have been returned to the SOC by the
contract personnel.



(c) If the checkout processing is not completed by the contract employee, the Contractor shall take
action to ensure its accomplishment no later than 30 days after the employee’s departure from the
FCC.



(d) The Contractor shall be liable to the FCC for an administrative processing charge of $150.00
(One Hundred Fifty Dollars), for each of their contractor employees who leaves their duty
assignment at the Commission and fails to complete the checkout processing within 30 (thirty)
calendar days of departure. Mellon Bank, N.A., handles collection and processing of all Commission
administrative charges and should payment become necessary, the Contractor will be provided the
appropriate directions for an EFT.




 









 







(e) The Contractor shall be liable for any actual damages arising from a failure to ensure that the
checkout processing occurs within the 30 (thirty) calendar days of the contract employee’s
departure from the FCC.




4. Computer Security



4.1. FCC Computer Security Program Directive Specifications



Contractors shall ensure that:




     a. any contractor employee assigned to this contract who is required, by their duties to be
issued a FCC computer network id., obtain, read, understand and comply with the policy and
procedures of Directive, 1479.1, Computer Security Program (Appendix No. 3) which outlines
safeguards to be followed for the protection of agency sensitive and mission critical data;



     b. appropriate forms are completed and submitted to FCC OMD-ITC for processing required to
gain, modify and server computer systems access. Forms include FCC Computer System Office
Application and/or System Access Form, Form A-200 (used to identify the user requesting access to
FCC computer resources), FCC Computer System Access Acknowledgement, Form A-201, (used to verify
user’s obligations to secure the Commission’s computer system and data), FCC Computer System
Personally-Owned Software Installation Certification, Form A-202 (used to identify properly
licensed personal software to install on a particular PC), and FCC Computer System Separation
Clearance, Form A-203 (used to announce the user’s intention to relinquish computer system access
rights);



     c. access to FCC computer systems is requested and limited only on an “as needed basis” to
perform official FCC business; and



     d. contractor promotes the security of FCC information systems and data when being accessed by
the contractor. I n addition, contractor shall ensure that computer systems, related hardware and
authorizations are not modified by the contractor without express written consent from the
Government.