1. REQUISITION NO. PAGE 1 OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NO. 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE DATE

a. NAME b. TELEPHONE NO. (No Collect Calls) 8. OFFER DUE DATE/LOCAL

TIME

9. ISSUED BY CODE 10. THIS ACQUISITION IS UNRESTRICTED OR SET ASIDE: % FOR:

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS:

SIZE STANDARD:

11. DELIVERY FOR FOB DESTINATION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A 

RATED ORDER UNDER

DPAS (15 CFR 700)

13b. RATING

14. METHOD OF SOLICITATION

RFQ IFB RFP

15. DELIVER TO CODE 16. ADMINISTERED BY CODE

17a. CONTRACTOR/OFFEROR CODE FACILITY CODE 18a. PAYMENT WILL BE MADE BY CODE

TELEPHONE NO. DUNS: DUNS+4:

PHONE: FAX:

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS CHECKED

SEE ADDENDUM

19. 20. 21. 22. 23. 24. ITEM NO. SCHEDULE OF SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE ARE NOT ATTACHED.

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN _______________ 29. AWARD OF CONTRACT: REF. ___________________________________ OFFER

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DATED ________________________________. YOUR OFFER ON SOLICITATION 

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY (BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE 

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED SET FORTH HEREIN IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (TYPE OR PRINT) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION (REV. 2/2012)

PREVIOUS EDITION IS NOT USABLE Prescribed by GSA - FAR (48 CFR) 53.212

7. FOR SOLICITATION

INFORMATION CALL:

STANDARD FORM 1449

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 100 

PR-2021-STD-0140

TIB-2021-C-0003 TIB-2018-RFP-0012 

FRTIB

77 K Street NE, Suite 1000 

Washington DC 20002 

525110 

Net 30

X

N/A 

X

FRTIB

77 K Street, NE Suite 1000 

Washington DC 20002 

FRTIB 

77 K Street, NE Suite 1000 

Washington DC 20002 

1ZD18 

ACCENTURE FEDERAL SERVICES LLC 

ACCENTURE NATIONAL SECURITY SERVICES 

800 NORTH GLEBE RD #300 

ARLINGTON VA 22203 

139727148 

FRTIB 

77 K Street, NE Suite 1000 

Washington DC 20002 

202-942-1600

See CONTINUATION Page 

See CONTINUATION Page 

1 

Ravindra Deo 

See Block 31c.

NATURE OF OFFEROR/CONTRACTOR

ME AND TITLE OF SIGNER (TYPE OR PRIN

 

RAVINDRA DEO Digitally signed by RAVINDRA DEO 

DN: c=US, o=U.S. Government, ou=Federal Retirement Thrift Investment Board, cn=RAVINDRA DEO, 0.9.2342.19200300.100.1.1=26001003355642 

Date: 2020.11.13 15:42:05 -05'00' (b)(6)

(b)(6)

(b)(4) (b)(4)
TIB-2021-C-0003 RKSA 

Section B

i 

Section B – Schedule of Supplies or Services & Prices/Costs

Table of Contents 

B.1 Schedule of Supplies or Services and Prices ........................................................................................... 1 

B.1.1 Transition – Begins at Contract Award ............................................................................................ 1 

B.1.2 Base Period Option – To be executed after acceptance of Transition requirements by FRTIB via

unilateral modification .............................................................................................................................. 2 

Program Year 1 (Period of Performance – TBD) ..................................................................................... 2 

Program Year 2 (Period of Performance – TBD) ..................................................................................... 3 

Program Year 3 (Period of Performance – TBD) ..................................................................................... 4 

B.1.3 Option Period One (1) – Begins after Base Period ........................................................................... 5 

Program Year 4 (Period of Performance – TBD) ..................................................................................... 5 

Program Year 5 (Period of Performance – TBD) ..................................................................................... 5 

Program Year 6 (Period of Performance – TBD) ..................................................................................... 7 

B.1.4 Option Period Two (2) – Begins after Option One ........................................................................... 8 

Program Year 7 (Period of Performance – TBD) ..................................................................................... 8 

Program Year 8 (Period of Performance – TBD) ..................................................................................... 9 

Program Year 9 (Period of Performance – TBD) ................................................................................... 10 

B.1.5 Option Period Three (3) – Begins after Option Two ...................................................................... 11 

Program Year 10 (Period of Performance – TBD) ................................................................................. 11 

Program Year 11 (Period of Performance – TBD) ................................................................................. 12 

Program Year 12 (Period of Performance – TBD) ................................................................................ 13 

B.2 CLIN X001 .............................................................................................................................................. 14 

B.2.1 Composition of Participant Fee ..................................................................................................... 14 

B.2.2 Tiered Pricing ................................................................................................................................. 14 

B.3 CLIN X002 – TRANSACTION FEES .......................................................................................................... 14 

B.4 CLIN X003 – STORAGE AND ACCESS OF HISTORICAL DATA .................................................................. 15 

B.5 CLIN X004 – Technology Enhancements ............................................................................................... 15 

B.6 CLIN X005 – Foreign and Metered Mail ................................................................................................ 15 

15 

B.7 PAYMENT PROVISIONS ......................................................................................................................... 15 

(b)(4)
TIB-2021-C-0003 RKSA

Section B 

1 

B.1 Schedule of Supplies or Services and Prices

B.1.1 Transition – Begins at Contract Award

CLIN Description Quantity Unit Unit Price Amount 

0001 Transition - The Contractor shall 

successfully convert the current TSP

Recordkeeping environment to the 

new TSP Recordkeeping environment 

in accordance with Transition 

requirements in the Contractor 

Performance Work Statement to 

achieve the transition services 

objectives in the Statement of 

Objectives (SOO) (See Attachment 

J.1).

This Contract Line Item Number 

(CLIN) is Firm-Fixed-Price. 

This CLIN is to be incrementally 

funded.

PR-2021-STD-0140 

Sum of Transition Total Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

2 

B.1.2 Base Period Option – To be executed after acceptance of Transition 

requirements by FRTIB via unilateral modification 

Program Year 1 (Period of Performance – Go Live date through 36-months) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

1001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and Quality 

requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the objectives 

in the SOO. Items that are not 

included in this price are broken 

out in separate CLINs below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

1002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

1002A – General Purpose Loans: 

one charge per occurrence 

1002B – Residential Loans – one 

charge per occurrence 

1002C – RBCOs: one charge per 

occurrence 

1002D – CSCOs: one charge per 

occurrence 

1002E – RESERVED 

1002F – Annual Mutual Fund 

Account Fee 

1002G – Mutual Fund Window 

Buy/Sell Transaction 

1003 Storage and access of historical 

data (Acquisition of data) 

1004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

1005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 1001, 1003 and 1005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

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Section B 

3 

Program Year 2 (Period of Performance – 12-months after Program Year 1) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

2001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

2002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

2002A – General Purpose Loans: 

one charge per occurrence 

2002B – Residential Loans – one 

charge per occurrence 

2002C – RBCOs: one charge per 

occurrence 

2002D – CSCOs: one charge per 

occurrence 

2002E – RESERVED 

2002F – Annual Mutual Fund 

Account Fee 

2002G – Mutual Fund Window 

Buy/Sell Transaction 

2003 Storage and access of historical 

data (Acquisition of data) 

2004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

2005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 2001,2003 and 2005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

4 

Program Year 3 (Period of Performance – 12-months after Program Year 2) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

3001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and Quality 

requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the objectives 

in the SOO. Items that are not 

included in this price are broken 

out in separate CLINs below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2.

3002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

3002A – General Purpose Loans: 

one charge per occurrence 

3002B – Residential Loans – one 

charge per occurrence 

3002C – RBCOs: one charge per 

occurrence 

3002D – CSCOs: one charge per 

occurrence 

3002E – RESERVED 

3002F – Annual Mutual Fund 

Account Fee 

3002G – Mutual Fund Window 

Buy/Sell Transaction 

3003 Storage and access of historical 

data (Acquisition of data) 

3004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

3005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 3001,3003 and 3005 Total Est Amount 

Sum Base Period CLINS X001s, X003s and X005s Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

5 

B.1.3 Option Period One (1) – Begins after Base Period 

Program Year 4 (Period of Performance – 12-months after Program Year 3) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

4001 Participant Fee – The Contractor shall 

assume responsibility of all Service 

Delivery, Security and Information 

Technology, and Program 

Management and Quality 

requirements and achieve operations 

in accordance with Contractor 

Performance Work Statement based 

on the objectives in the SOO. Items 

that are not included in this price are 

broken out in separate CLINs below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for pricing 

purposes only, and will be reconciled 

in accordance with Section B.2. 

4002 Transaction Fees – Firm-Fixed Price 

(Quantities are estimated) 

4002A – General Purpose Loans: one 

charge per occurrence 

4002B – Residential Loans – one 

charge per occurrence 

4002C – RBCOs: one charge per 

occurrence 

4002D – CSCOs: one charge per 

occurrence 

4002E – RESERVED 

4002F – Annual Mutual Fund Account 

Fee 

4002G – Mutual Fund Window 

Buy/Sell Transaction 

4003 Storage and access of historical data 

(Acquisition of data) 

4004 Technology Enhancements (Unpriced 

option, negotiable at the time the 

option is exercised) 

4005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 4001,4003 and 4005 Total Est Amount 

Program Year 5 (Period of Performance – 12-months after Program Year 4) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

(b)(6)

(b)(4)

(b)(4)

(b)(4)
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Section B 

6 

5001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items 

that are not included in this price 

are broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2.

5002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

5002A – General Purpose Loans: 

one charge per occurrence 

5002B – Residential Loans – one 

charge per occurrence 

5002C – RBCOs: one charge per 

occurrence 

5002D – CSCOs: one charge per 

occurrence 

5002E – RESERVED 

5002F – Annual Mutual Fund 

Account Fee: 

5002G – Mutual Fund Window 

Buy/Sell Transaction 

5003 Storage and access of historical 

data (Acquisition of data) 

5004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

5005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 5001,5003 and 5005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA

Section B 

7 

Program Year 6 (Period of Performance – 12-months after Program Year 5) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

6001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

6002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

6002A – General Purpose Loans: 

one charge per occurrence 

6002B – Residential Loans – one 

charge per occurrence 

6002C – RBCOs: one charge per 

occurrence 

6002D – CSCOs: one charge per 

occurrence 

6002E – RESERVED 

6002F – Annual Mutual Fund 

Account Fee 

6002G – Mutual Fund Window 

Buy/Sell Transaction 

6003 Storage and access of historical 

data (Acquisition of data) 

6004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

6005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 6001, 6003 and 6005 Total Est Amount 

Sum Option Period One (1) CLINS X001s, X003s and X005s Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA

Section B 

8 

B.1.4 Option Period Two (2) – Begins after Option One 

Program Year 7 (Period of Performance – 12-months after Program Year 6) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

7001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

7002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

7002A – General Purpose Loans: 

one charge per occurrence 

7002B – Residential Loans – one 

charge per occurrence 

7002C – RBCOs: one charge per 

occurrence 

7002D – CSCOs: one charge per 

occurrence 

7002E – RESERVED 

7002F – Annual Mutual Fund 

Account Fee 

7002G – Mutual Fund Window 

Buy/Sell Transaction 

7003 Storage and access of historical 

data (Acquisition of data) 

7004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

7005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 7001, 7003 and 7005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

9 

Program Year 8 (Period of Performance – 12-months after Program Year 7) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

8001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

8002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

8002A – General Purpose Loans: 

one charge per occurrence 

8002B – Residential Loans – one 

charge per occurrence 

8002C – RBCOs: one charge per 

occurrence 

8002D – CSCOs: one charge per 

occurrence 

8002E – RESERVED 

8002F – Annual Mutual Fund 

Account Fee 

8002G – Mutual Fund Window 

Buy/Sell Transaction 

8003 Storage and access of historical 

data (Acquisition of data) 

8004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

8005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 8001, 8003 to 8005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

10 

Program Year 9 (Period of Performance – 12-months after Program Year 8) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

9001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below. 

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

9002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

9002A – General Purpose Loans: 

one charge per occurrence 

9002B – Residential Loans – one 

charge per occurrence 

9002C – RBCOs: one charge per 

occurrence 

9002D – CSCOs: one charge per 

occurrence 

9002E – RESERVED 

9002F – Annual Mutual Fund 

Account Fee 

9002G – Mutual Fund Window 

Buy/Sell Transaction 

9003 Storage and access of historical 

data (Acquisition of data) 

9004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

9005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 9001, 9003 and 9005 Total Est Amount 

Sum Option Period Two (2) CLINS X001s, X003x and X005s Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)

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Section B 

11 

B.1.5 Option Period Three (3) – Begins after Option Two 

Program Year 10 (Period of Performance – 12-months after Program Year 9) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

10001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

10002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

10002A – General Purpose Loans: 

one charge per occurrence 

10002B – Residential Loans – one 

charge per occurrence 

10002C – RBCOs: one charge per 

occurrence 

10002D – CSCOs: one charge per 

occurrence 

10002E – RESERVED 

10002F – Annual Mutual Fund 

Account Fee 

10002G – Mutual Fund Window 

Buy/Sell Transaction 

10003 Storage and access of historical 

data (Acquisition of data) 

10004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

10005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 10001, 10003 and 10005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

12 

Program Year 11 (Period of Performance – 12-months after Program Year 10) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

11001 Participant Fee – The Contractor 

shall assume responsibility of all 

Service Delivery, Security and 

Information Technology, and 

Program Management and 

Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work 

Statement based on the 

objectives in the SOO. Items that 

are not included in this price are 

broken out in separate CLINs 

below.

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for 

pricing purposes only, and will be 

reconciled in accordance with 

Section B.2. 

11002 Transaction Fees – Firm-Fixed 

Price (Quantities are estimated) 

11002A – General Purpose Loans: 

one charge per occurrence 

11002B – Residential Loans – one 

charge per occurrence 

11002C – RBCOs: one charge per 

occurrence 

11002D – CSCOs: one charge per 

occurrence 

11002E – RESERVED 

11002F – Annual Mutual Fund 

Account Fee 

11002G – Mutual Fund Window 

Buy/Sell Transaction 

11003 Storage and access of historical 

data (Acquisition of data) 

11004 Technology Enhancements 

(Unpriced option, negotiable at 

the time the option is exercised) 

11005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 11001, 11003 and 11005 Total Est Amount 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
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Section B 

13 

Program Year 12 (Period of Performance – 12-months after Program Year 11) 

CLIN Description Quantity Unit Unit Price Estimated Amount 

12001 Participant Fee – The Contractor shall 

assume responsibility of all Service 

Delivery, Security and Information 

Technology, and Program Management 

and Quality requirements and achieve 

operations in accordance with 

Contractor Performance Work Statement 

based on the objectives in the SOO. 

Items that are not included in this price 

are broken out in separate CLINs below. 

This CLIN is Firm-Fixed-Unit Price. 

Quantity based on an estimated 

participant count and used for pricing 

purposes only, and will be reconciled in 

accordance with Section B.2. 

12002 Transaction Fees – Firm-Fixed Price 

(Quantities are estimated) 

12002A – General Purpose Loans: one 

charge per occurrence 

12002B – Residential Loans – one charge 

per occurrence 

12002C – RBCOs: one charge per 

occurrence 

12002D – CSCOs: one charge per 

occurrence 

12002E – RESERVED 

12002F – Annual Mutual Fund Account 

Fee: 

11002G – Mutual Fund Window Buy/Sell 

Transaction 

12003 Storage and access of historical data 

(Acquisition of data) 

12004 Technology Enhancements (Unpriced 

option, negotiable at the time the option 

is exercised) 

12005 Foreign and Metered Mail 

Cost Reimbursable 

Sum of CLINS 12001, 12003 and 120053 Total Est Amount 

Sum Option Period Three (3) CLINS X001s, X003s, and X005s Total Est Amount 

TOTAL ESTIMATED CONTRACT VALUE (Sum of Transition and all CLINS X001s, 

X003 and X005s) 

$3,327,767,502.18 

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Section B 

14 

B.2 CLIN X001 

B.2.1 Composition of Participant Fee 

The Participant Fee shall incorporate the cost for obtaining the objectives described in the Statement of 

Objectives (SOO) with the only exceptions being those services listed in CLINs X002 through X004. 

B.2.2 Tiered Pricing 

(a) Tiered pricing refers to different Firm-Fixed-Unit pricing based on a pre-determined set of 

participant accounts with a non-zero balance. 

(b) Tiered Pricing is applicable to CLIN X001 only. The Firm-Fixed-Unit Price per Participant Fee is based 

on actual participant counts for the prior calendar month which are reconciled monthly. Participant 

Fee is invoiced at the price set forth in the corresponding price tier in accordance with Attachment 

J.3. 

(c) Overpayment will be remitted in the form of a Service Credit or refund within 30 calendar days, at 

the Agency’s discretion. In the case of an underpayment, the contractor will submit a separate 

invoice to the Agency in accordance with Section G.2. 

B.3 CLIN X002 – TRANSACTION FEES 

Transaction fees may only be charged to the participants and beneficiaries that choose to utilize these 

select services. 

(a) Sub-CLINS X002A-X002E: The Contractor shall process the recordkeeping of the agreed upon fee 

from the participant/beneficiaries account at the time of the transaction. The Contractor shall 

invoice for the agreed upon fee using the attached invoicing template. (See Attachment J.8) The 

totals units invoiced for transaction fees shall match the total units reported on the Transaction Fee 

Operational Report (See Attachment J.4, CDRL 3.33) 

(b) Sub-CLIN X002F/G: Mutual Funds (MF). 

(1) Trading Fees. The Contractor shall charge a fee or all Mutual Fund “buy” or “sell” 

transactions. Such fees shall be netted from the purchase amount or sales proceeds at time of 

transactions. The Contractor shall document the transactions via the Mutual Fund Report. (See 

Attachment J.4, CDRL 3.34) 

(2) Account Fees. The Contractor shall charge an annual fe or participant accounts in 

the Mutual Fund window. The garnishing of Account Fees shall comply with the process as 

outlined as proposed in the Contractor Performance Work Statement and Attachment J.13. The 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA

Section B 

15 

Contractor shall document the transactions via the Mutual Fund Report. (See Attachment J.4, 

CDRL 3.34) 

(3) Mutual Fund float and revenue sharing. The Contractor shall propose the process for MF float 

and revenue sharing in accordance with Section H.23. The Contractor shall present all mutual 

fund (MF) documentation with MF providers. MF float or revenue sharing is to be sent to FRTIB 

for distribution among the participants and beneficiaries. MF float and revenue sharing 

amounts (as applicable) are to be recorded in arears on invoices as a negative value to be 

subtracted from the amount owed to the contractor. 

B.4 CLIN X003 – STORAGE AND ACCESS OF HISTORICAL DATA 

Annual cost to store all historical data with the ability to access said data. 

B.5 CLIN X004 – Technology Enhancements 

CLIN X004 is an unpriced purchase order option to be used for mutually agreed upon technology 

enhancements. Scope of enhancement to be negotiated and funded at the time of option execution. As 

this option may be executed more than once, each execution of this option shall be designated a 

sequential numerical/alpha Sub-CLIN (i.e 1004A, 1004B, 1004C, etc) for traceability and auditing. 

B.6 CLIN X005 – Foreign and Metered Mail 

For bulk mail, Contractor shall use the FRTIB-provided USPS Enterprise Payment System (EPS) account—

formerly known as a USPS Centralized Account Processing System (CAPS) account—for all postage 

except FRTIB’s foreign and metered mail. 

For FRTIB foreign and metered mail, Contractor shall invoice as a straight reimbursement (no G&A, 

handling, or any other fee allowed) to the FRTIB via CLIN X005.

B.7 PAYMENT PROVISIONS 

The Agency will make payments in accordance with the invoice instructions prescribed in Section G.2. 

All payments made are governed by applicable clauses set forth in Section H and Section I. 

(End of Section B) 
TIB-2021-C-0003 RKSA 

Section C 

1 

Section C – Description/Specifications/Statement of Work

C.1 PERFORMANCE WORK STATEMENT (PWS) 

Independently and not as an agent of the Government, the Contractor shall furnish all the necessary 

services, qualified personnel, material, equipment, and facilities, not otherwise provided by the 

Government as needed to perform the Recordkeeping Services, set forth in SECTION J-List of 

Attachments, attached hereto and made a part of this contract. 

(a) Attachment J.41 – AFS Vol I - Transition 

(b) Attachment J.42 – AFS Vol II Service Delivery 

(c) Attachment J.43 – AFS Vol III Security-IT 

(d) Attachment J.44 – AFS Vol IV Program Management 

(e) Attachment J.45 – AFS Vol V CWBS 

(f) Attachment J.46 – AFS Vol VII CPRS J5 & PRCA 

(g) Attachment J.47 – AFS Vol VII CPRS J5 

(h) Attachment J.48 – AFS Vol VIII Plans 

C.2 REFERENCE DOCUMENTS 

Attachment J.40 – Library 2 – Operational Narratives 

(End of Section C) 
TIB-2021-C-0003 RKSA 

Section D 

i 

Section D – Packaging and Marking

Table of Contents 

D.1 PACKAGING, HANDLING, AND TRANSPORTATION ................................................................................ 1 
TIB-2021-C-0003 RKSA 

Section D 

1 

D.1 PACKAGING, HANDLING, AND TRANSPORTATION 

(a) All deliverables required under this contract shall be packaged, marked and shipped in accordance 

with Government specifications. At a minimum, all deliverables shall be marked with the contract 

number and Contractor name. The Contractor shall guarantee that all required materials shall be 

delivered in immediate usable and acceptable condition. 

(b) The Contractor must place the requirements of this section in all subcontracts, if applicable. 

(End of Section D) 
TIB-2021-C-0003 RKSA 

Section E 

i 

Section E – Inspection and Acceptance

Table of Contents 

E.1 INSPECTION AND ACCEPTANCE .............................................................................................................. 1 

E.2 MATERIAL INSPECTION AND RECEIVING REPORT ................................................................................... 1 

E.3 QUALITY ASSURANCE .............................................................................................................................. 1 

E.4 POINTS OF INSPECTION AND ACCEPTANCE ............................................................................................ 2 

E.5 TRANSITION-IN ACCEPTANCE CRITERIA .................................................................................................. 2 
1 

E.1 INSPECTION AND ACCEPTANCE 

E.2 MATERIAL INSPECTION AND RECEIVING REPORT 

(a) At the time of each delivery to the FRTIB under this contract, the Contractor shall electronically 

furnish a Material Inspection and Receiving Report (DD Form 250 series) to the COR. 

(b) The Contractor shall prepare the DD Form 250 (see Attachment J.7) as a cover letter for all 

deliverables as a means to transmit receipt and acceptance by FRTIB. 

E.3 QUALITY ASSURANCE 

The following quality assurance provisions are a part of this contract: 

(a) The Contractor shall establish and maintain a Quality System in accordance with the Contractor’s 

Quality Assurance Plan (QAP), ISO9001-2015, and ISO9000-3. 

(b) The Contractor shall comply with the standard titled CDRL 3.8 - Quality Assurance Plan (See 

Attachment J.4), which is hereby incorporated into this contract when approved by the Contracting 

Officer. If the QAP is submitted as part of a proposal submission and approved before award, then 

(b)(4)
TIB-2021-C-0003 RKSA 

Section E 

2 

the QAP is hereby incorporated into this contract at time of award. The QAP shall describe the 

Contractor’s provisions for quality assurance, inspection and test of all services to be provided under 

this contract, in accordance with the terms of this contract. 

(c) Quality certifications from third party organizations such as the International Standards Organization 

(ISO) do not relieve the Contractor from the requirements of submitting a QAP. 

(d) In the event of conflict between the QAP and other third party quality standards, the Government 

approved QAP shall prevail. 

(e) Failure of the Contractor to maintain and operate a Quality System in accordance with the terms of 

the contract may, based upon a written determination of the COR (and consistent with the quality 

system requirements of the contract), be grounds for rejection of the affected services. 

(f) The Government’s Contracting Officer’s Representative (COR) assigned to this contract, and 

designated as such by the Contracting Officer, has the authority to verify that the Contractor’s 

quality system complies with Contract requirements, including the Contractor’s Quality Assurance 

Plans, to witness test, and to inspect and accept or reject services provided under this contract. 

(g) Notification of Readiness for Inspection - Unless otherwise specified in the contract, the Contractor 

shall notify the COR in writing within 7 workdays: (1) when Contractor performs testing in 

accordance with the conditions of the contract and (2) when the tested services will be ready for 

Government inspection. 

E.4 POINTS OF INSPECTION AND ACCEPTANCE 

Inspection and Acceptance by the Government of all Services delivered during performance of this 

contract shall occur at a location specified in Attachment J.4. 

E.5 TRANSITION-IN ACCEPTANCE CRITERIA 

Prior to the execution of the optional Base Period CLIN 1001-1004, the Contractor shall provide 

demonstrable proof that it can meet the requirements of the contract through the execution of a 

Transition-In Plan (See CDRL 3.10 in Attachment J.4) that meets the following acceptance criteria. Upon 

FRTIB’s agreement that the Contractor successfully met the acceptance criteria, a “Go-Live” will be 

achieved where-by the Contractor assumes full contract responsibility for providing the RKSA services to 

Participants and Beneficiaries. The evaluation of whether the contractor has met these acceptance 

criteria is referred to as Transition-In Acceptance Testing Results (CDRL 3.11) in Attachment J.4 Contract 

Data Requirements List. Upon Contract award, the Parties will meet to discuss Contractor’s proposed 

schedule, including any dependencies, for the Transition Period. Following that meeting, FRTIB will 

validate Contractor’s Transition-In schedule. 

 

The period for Transition-In shall be no longer than 24 months.
TIB-2021-C-0003 RKSA 

Section E 

3 

(a) Traceability: The Contractor shall provide traceability between the overall delivered Recordkeeping 

solution and the Performance Work Statement, and all constraint and compliance requirements 

specified in this contract. 

(b) Test Plan / Test Results: The Contractor shall provide demonstrable proof through the execution of 

a Test Plan and Test Plan Results approved by FRTIB that their Recordkeeping solution meets their 

Performance Work Statement, and all constraint and compliance requirements specified in this 

contract. The Contractor shall provide for FRTIB involvement in its Test Plan. At a minimum the 

Test Plan / Test Results shall include: 

(1) User scenarios to demonstrate service delivery to TSP Participants and FRTIB 

(2) Interface testing between the Contractor’s system(s) and FRTIB and third party systems to 

demonstrate successful data migration and integrity in support of the delivery of RKSA 

services. 

(3) System testing to demonstrate the Recordkeeping solution can meet the transaction 

volumes and availability requirements 

(c) Business Continuity: The Contractor shall provide demonstrable proof through the successful 

execution of a disaster recovery test that meets FRTIB Business Continuity recovery requirements. 

(See Section H and Attachments J.17) 

(d) Performance Targets: The contractor shall provide demonstrable proof through the execution of 

their Quality Assurance Plan that they have consistently met the performance targets in their 

Contractor Performance Requirements Summary (CPRS) (See Attachment J.5) for, at a minimum, 

the last consecutive ninety (90) calendar days of the Transition-In Period in order to exit TransitionIn.

(e) Initial Audit: The contractor’s systems and services shall successfully complete an initial audit by an 

entity of FRTB’s choosing and address any major findings or an aggregate of minor findings through 

a Plan of Action and Milestones for corrective action.

(f) Authorization to Operate (ATO): The Contractor shall meet the requirements of FRTIB’s Assessment 

and Authorization clause (See Section H.27) which will enable the FRTIB to grant an Authority to 

Operate. 

(1) For information purposes: Federal agencies are required by law to undergo a detailed and 

systematic security assessment process to demonstrate compliance with security standards. 

This process is known as the Assessment and Authorization which gives government agencies 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section E 

4 

and commercial vendors greater assurance that their shared data are stored and processed 

on a secure and reliable system. 

(2) For information purposes: An Authorization to Operate (ATO) is a formal declaration by a 

Designated Approving Authority (DAA) that authorizes operation of a Business Product and 

explicitly accepts the risk to agency operations. The ATO is signed after a Certification Agent 

(CA) certifies that the system has met and passed all requirements to become operational. 

(End of Section E) 
TIB-2021-C-0003 RKSA 

Section F 

i 

Section F – Deliveries or Performance

Table of Contents 

F.1 PLACE OF PERFORMANCE ...................................................................................................................... 1 

F.2 PERIOD OF PERFORMANCE .................................................................................................................... 1 

F.3 DELIVERABLES AND PERFORMANCE MANAGEMENT ............................................................................ 1 

F.4 TRANSITION MILESTONES AND RKSA PERFORMANCE-BASED TRANSITION PAYMENTS (CLIN 0001) ... 5 

F.5 INCREMENTAL FUNDING (CLIN 0001) .................................................................................................... 8 

F.6 ABBREVIATIONS, ACRONYMS, AND DEFINITIONS OF FRTIB WORDS AND TERMS ................................ 8 
TIB-2021-C-0003 RKSA 

Section F 

1 

F.1 PLACE OF PERFORMANCE 

(a) The places of performance include the Contractor’s and subcontractor’s facilities, FRTIB 

headquarters, FRTIB data centers, FRTIB operating location(s), and current/future FRTIB Contractor 

locations. 

(b) The Contractor shall perform all services within the continental United States. 

F.2 PERIOD OF PERFORMANCE 

Contract period of performance consists of a Transition period of no longer than 24 months followed by 

a Base Period Option of three years and three, three-year option periods as follows: 

CONTRACT PERIOD CLIN(S) DURATION DATES 

Transition 0001 

Base Period Option 1001 through 3004 3 Years 36 Months after Go Live 

Option Period One (1) 4001 through 6004 3 Years 36 Months after Base 

Period Option 

Option Period Two (2) 7001 through 9004 3 Years 36 Months after Base 

Option Period One 

Option Period Three (3) 10001 through 12004 3 Years 36 Months after Base 

Option Period Two 

The period of performance starting with Base Period Option is hereinafter referred to as the 

“Operations Phase.” 

F.3 DELIVERABLES AND PERFORMANCE MANAGEMENT 

(a) Right to Surveil. The FRTIB reserves the right to surveil all services and requirements called for in 

this contract in accordance with the intent of FAR Part 46 to determine whether the Contractor is 

meeting performance requirements. 

(b) Contract Data Requirements List (CDRL) 

See Attachment J.4 for a listing of the minimum required CDRLs.

(c) Delivery Schedule Table: 

(b)(4)
2 

# Deliverable Submission 

3.1 Contract Management Plan First submission due 30 days after Contract Award 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.2 Business Continuity Management Plan First submission due 30 days before Acceptance Testing 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.3 Risk Management Plan First submission due 90 days after Contract Award 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.4 Comprehensive Security Management Plan First submission due 30 days before Go-Live 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.5 Assessment and Authorization (A&A) Packet(s) Final submission due 30 days before Go-Live; with updates 

whenever a new service is introduced into RKSA environment 

3.6 System & Organization Control 1 Type 2 Report First submission due 120 days after Go-Live 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.7 System & Organization Control 2 Type 2 Report First submission due 120 days after Go-Live 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.8 Quality Assurance Plan First submission due 30 days after Contract Award 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.9 Financial Management Report First submission due 30 days after Contract Award 

Frequency: Monthly, Quarterly and Annually 

3.10 Transition-In Plan First submission due 30 days after Contract Award 

Frequency: Monthly submission for Inspection and Approval 

3.11 Transition-In Acceptance Testing Results First submission due 30 days before Go-Live 

Frequency: As required by the Testing Plan Schedule 

3.12 Transition-Out Plan 

Initial draft due 18 months before end of contract 

Final submission due 12 months before end of contract 

3.13 Contract Close Out Plan 

Initial draft due 18 months before end of contract 

Final submission due 12 Months before end of contract 

3.14 Organizational Conflict of Interest Mitigation Plan 

First submission due at Contract Award 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.15 Performance Report First submission due 90 days before Go-Live 

Frequency: Daily, Weekly, Monthly, Quarterly, Annually 

3.16 Content and Learning Management Plan First submission due 60 days after Contract Award 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.17 Gov’t Furnished Information and Property Report First submission due at Go-Live 

Frequency: Annually, 1st business day of each fiscal year (1 Oct) 

3.18 Associate Contractor Agreement First submission due 120 days after Contract Award 

3.19 Trial Balance Report 

First submission due at Go-Live 

Frequency: Monthly, no later than 20-days after end of month 

3.20 Plan Administrative Summary Report First submission due 30 days after Go-Live 

Frequency: Quarterly 
3 

3.21 Contact Center Volume Detail Report First submission due immediately (Daily Report) after Go-Live 

Frequency: Daily, Weekly, Monthly, Annually

3.22 Participant Satisfaction Report First submission due immediately (Daily Report) after Go-Live 

Frequency: Daily, Weekly, Monthly, Annually

3.23 Information Security Incident Report First submission due 30 days after Go-Live 

Frequency: Ad Hoc, Monthly, Annually

3.24 Corporate Non-Disclosure Agreement 

Submission due at Contract Award 

Frequency: Daily 

3.25 Mail Activity Report – Notices First submission due daily after Go-Live

3.26 Mail Activity Report – Participant Account Access Data 

Mailers 

First submission due daily after Go-Live 

Frequency: Daily

3.27 Mail Activity Report – Fulfillment First submission due daily after Go-Live 

Frequency: Daily

3.28 Mail Activity Report – Annual Participant Statements First submission due daily after Go-Live 

Frequency: Daily

3.29 Mail Activity Report – Quarterly Participant Statements First submission due daily after Go-Live 

Frequency: Daily

3.30 Mail Activity Report – Change of Address Postcards First submission due daily after Go-Live 

Frequency: Daily

3.31 Mail Activity Report – Internal Revenue Service Forms 

(IRS Form 1099-R)

First submission due daily after Go-Live 

Frequency: Daily

3.32 Mail Activity Report – Returned Mail First submission due daily after Go-Live 

Frequency: Daily

3.33 Operational Report for Invoice Reconciliation First submission due 30 days after Go-Live 

Frequency: Monthly 

3.34 Mutual Fund Report First submission due 30 days after Go-Live 

Frequency: Monthly 

3.35 Financial Reporting 

First submission due 30 days after contract award 

Frequency: Quarterly and Annually 

3.36 Indirect Compensation and Breakage Report First submission due 30 days after Go-Live 

Frequency: Monthly 

(d)

(b)(4)
4 

(e)

(f)

(g)

(b)(4)
5 

(h)

(i)

F.4 TRANSITION MILESTONES AND RKSA PERFORMANCE-BASED 

TRANSITION PAYMENTS (CLIN 0001) 

 

(b)(4)

(b)(4)
6 

(b)(4)
7 

(b)(4)
8 

F.5 INCREMENTAL FUNDING (CLIN 0001) 

The initial obligation of funds under the contract is expected to cover the first year of CLIN 0001. The 

Government intends to obligate additional funds up to and including the full estimated cost of CLIN 

0001 for the remaining periods of performance by unilateral contract modification. However, the 

Government is not required to reimburse the Contractor for costs incurred in excess of the total amount 

obligated, nor is the Contractor required to perform beyond the level supported by the total amount 

obligated. 

F.6 ABBREVIATIONS, ACRONYMS, AND DEFINITIONS OF FRTIB WORDS 

AND TERMS 

Acronym Description 

3PAO Third Party Assessment Organization 

401K The tax-qualified, defined-contribution pension account defined in subsection 401(k) 

of the Internal Revenue Code 

A&A Assessment & Authorization 

ACA Associate Contractor Agreements 

ACH Automated Clearing House 

ACO Administrative Contracting Officer 

AFDO Award Fee Determining Official 

AFP Award Fee Pool 

AFRB Award Fee Review Board 

ATO Authorization to Operate 

BCMS Business Continuity Management System 

BOD Binding Operational Directives 

CA Certification Agent 

(b)(4)
9 

CAP Contractor Acquired Property 

CAS Cost Accounting Standards 

CCDRL Contractor Contract Data Requirements List 

CDM Continuous Diagnostics and Mitigation 

CDRL Contract Data Requirements List 

CFR Code of Federal Regulations 

CLIN Contract Line Item Number 

CNSSI Committee on National Security Systems Instruction 

CO Contracting Officer 

COR Contracting Officer’s Representative 

CPRS Contractor Performance Requirements Summary 

CP Contingency Plan 

CPRS Contractor Performance Requirements Summary 

CPWS Contractor Performance Work Statement 

CSRS Civil Service Retirement System 

CUI Controlled Unclassified Information 

DAA Designated Approving Authority 

DCP Defined Contribution Plan 

DD Form 250 Material Inspection and Receiving Report 

DMF Death Master File 

EBSA Employee Benefits Security Administration 

EPA Economic Price Adjustment 

ERISA Employee Retirement Income Security Act 

FAPIIS Federal Awardee Performance and Integrity Information System 

FAR Federal Acquisition Regulation 

FedRAMP Federal Risk and Authorization Management Program 

FERS Federal Employee Retirement System 

FERSA Federal Employees’ Retirement System Act of 1986 

FIPS Federal Information Processing Standard 

FISMA Federal Information Security Modernization Act 

FOIA Freedom of Information Act 

FRA Federal Records Act 

FRTIB Federal Retirement Thrift Investment Board 

FTR Federal Travel Regulations 

GAO Government Accountability Office 

GFE Government Furnished Equipment 

GFI Government Furnished Information 

GTM Government Technical Monitor 

IAW In accordance with 

ICFP Internal Controls over Financial Reporting 

ICI Investment Company Institute 

ISCMS Information Security Continuous Monitoring Strategy 

ISO International Organization for Standardization 
10 

IV&V Independent Verification and Validation 

IVR Interactive Voice Response 

KPI Key Performance Indicators 

NARA National Archives and Records Administration 

NDA Non-Disclosure Agreement 

NFPA National Fire Protection Association 

NIST National Institute of Standards and Technology 

ODC Other Direct Costs 

OLA Operating Level Agreement 

OMB Office of Management and Budget 

PIA Privacy Impact Assessment 

PII Personally Identifiable Information 

POA Power of Attorney 

POA&M Plan of Action and Milestones 

POC Point of Contact 

PRB Post-Retirement Benefits 

PRS Performance Requirements Summary 

PTA Privacy Threshold Ana 

PWS Performance Work Statement 

QAP Quality Assurance Plan 

QAP Quality Assurance Plan 

QASP Quality Assurance Surveillance Plan 

RFP Request for Proposal 

RKSA Recordkeeping Services Acquisition 

RMD Required Minimum Distribution 

RMF Risk Management Framework 

SAR Security Assessment Report 

SCR Software Code Review 

SLR Service Level Requirements 

SOC Service Organization Control 

SOO Statement of Objectives 

SP Special Publication 

SSP System Security Plan 

TSP Thrift Savings Plan 

USC United States Code 

WBS Work Breakdown Structure 

(End of Section F) 
TIB-2021-C-0003 RKSA 

Section G 

i 

Section G – Contract Administration Data

Table of Contents 

G.1 CONTRACT POINTS OF CONTACT .......................................................................................................... 1 

G.1.1 Contracting Officer (CO) .................................................................................................................. 1 

G.1.2 Contracting Officer's Representative (COR) .................................................................................... 1 

G.1.3 Contractor’s Representative ........................................................................................................... 2 

G.2 SUBMISSION OF INVOICES ..................................................................................................................... 3 

G.3 FUNDING DATA ...................................................................................................................................... 4 

G.4 DISCLOSURE OF CONTRACT INFORMATION .......................................................................................... 5 

G.5 TRAVEL ................................................................................................................................................... 5 

G.6 STANDARD REQUIREMENTS .................................................................................................................. 5 

G.7 FRTIB ON-PREMISE REPRESENTATIVE ................................................................................................... 6 

G.8 PROPOSALS FOR CONTRACT MODIFICATIONS ...................................................................................... 6 
TIB-2021-C-0003 RKSA 

Section G 

1 

G.1 CONTRACT POINTS OF CONTACT 

G.1.1 Contracting Officer (CO) 

Responsibility for contracting activities rests solely with the FRTIB CO. The CO is responsible for 

directing any changes in the terms, conditions, or amounts cited in the award. No conversation, 

recommendations, or direction, whether given directly by, or implied by FRTIB personnel, that will 

affect the scope, schedule, or price of this award, shall be acted upon by the Contractor unless 

specifically approved by the FRTIB’s CO. In the event that the Contractor implements changes to this 

order at the direction of any person other than the CO, the Contractor will not receive reimbursement 

for work performed pursuant to those unauthorized changes. Contractual interpretation and 

assistance may be obtained by contacting the CO. 

Procurement Point of Contact 

Contracting Officer 

G.1.2 Contracting Officer's Representative (COR) 

(a) The COR is responsible for administering the performance of work under this contract. In no 

event, however, will any understanding, agreement, modification, change order, or other matter 

deviating from the terms of this contract be effective or binding upon the Agency unless 

formalized by proper contractual documents executed by the Contracting Officer. The COR is 

responsible for: 

(1) Monitoring the Contractor's progress; 

(2) Assessing performance; 

(3) Recommending to the CO changes in requirements; 

(4) Interpreting the scope of the Contractor’s work; 

(5) Performing inspections and acceptances of required data items; 

(6) Assisting the Contractor in the resolution of technical problems encountered during 

performance; 

(7) Assisting the Contractor in obtaining technical and physical access to FRTIB information and 

FRTIB information systems; and, 

(8) Assisting in setting up any meetings with FRTIB technical staff. 

(b) FRTIB COR 

(b)(6)

(b)(6)
2 

(c) The Contracting Officer is responsible for directing any changes in the terms, conditions, or 

amounts cited in the contract. 

(d) In order for the Contractor to rely upon guidance from the COR, the guidance must: 

(1) Be consistent with the description of work set forth in the contract; 

(2) Not constitute new assignments of work or a change to the expressed terms, conditions, or 

specifications incorporated into the contract; 

(3) Not constitute a basis for an extension to the period of performance or contract delivery 

schedule; and, 

(4) Not constitute a basis for any increase in the contract cost. 

(e) The COR may be changed by the Agency at any time without prior notice to the Contractor. 

Written notice to the Contractor will be given by the Contracting Officer to effect any change in 

COR. 

(f) If in the opinion of the Contractor, any instruction or direction issued by the COR is not provided 

for in any of the provisions of the Contract, the Contractor shall not proceed but shall notify the 

Contracting Officer in writing within five (5) working days after the receipt of any such instruction 

or direction and shall request the Contracting Officer to modify the contract accordingly. Upon 

receiving such notification from the Contractor, the Contracting Officer may issue an appropriate 

contract modification or advise the Contractor in writing that, in his/her opinion, the technical 

direction is within scope of this clause and does not constitute a change under the Changes Clause 

in Section I of the contract. The Contractor shall thereupon proceed immediately with the 

direction given. 

(g) A failure of the parties to agree upon the nature of the instruction or direction or upon the 

contract action to be taken with respect thereto shall be subject to the provisions of the contract 

clause titled “52.233-1 Disputes" found in Section I. 

G.1.3 Contractor’s Representative 

Accenture Federal Services LLC 

800 N. Glebe Rd., Suite 300 

Arlington, VA 22203 

(b)(6)
3 

G.2 SUBMISSION OF INVOICES 

(a) Invoicing and payment for services rendered through this contract shall be made electronically in 

accordance with FAR 52.232-33 and Section G.2(g). 

(b) Invoices submitted for payment shall be submitted electronically in accordance to Section G.2(g) 

(with a copy sent to the Contracting Officer and any other address designated by the Contracting 

Officer) and FAR 32.905, Payment Documentation and Process. The Contractor shall submit a final 

invoice within ninety (90) calendar days after the expiration of this contract, unless the Contractor 

requests and is granted an extension by the Contracting Officer, in writing. 

(c) In addition to the requirement of FAR 32.905, each invoice must be submitted with signature of an 

authorized signatory/representative of the firm with the following certification: 

I hereby certify, to the best of my knowledge and belief, that-

(1) The amounts requested are only for performance in accordance with the 

specifications, terms and conditions of the contract;

(2) This request for payment is true and correct; this request (and attachments) has 

been prepared from the books and records of the Contractor, in accordance with 

the contract and the instructions of the Contracting Officer;

(3) All payments due to subcontractors and suppliers from previous payments received 

under the contract have been made, and timely payments will be made from the 

proceeds of the payment covered by this certification, in accordance with 

subcontract agreements and the requirements of Chapter 39 of Title 31, United 

States Code;

(4) This request for payment does not include any amounts which the prime contractor 

intends to withhold or retain from a subcontractor or supplier in accordance with 

the terms and conditions of the subcontract; and 

(5) After the making of this requested payment, the amount of all payments for each 

contract line item number for which payments have been requested will not exceed 

any limitation in the contract, and the amount of all payments under the contract 

will not exceed any limitation in the contract.

____________________________ 

 (Name) 

__________________________ 

(Title) 

__________________________ 

(Date) 
4 

(d) For billing purposes, the invoice template (see Attachment J.8) shall be completed with all required 

blocks filled in. For each payment request, the contractor shall maintain sufficient documentation in 

accordance with FAR 31.201-2(d) and 31.205 to substantiate charges for each cost element 

(e) Please see Section F.3(g) in regards to the calculation of Performance Related Compensation 

Adjustment Calculations. 

(f) Electronic Invoicing and Payment Requirements – Invoice Processing Platform (IPP) 

(1) Payment request must be submitted electronically through the U.S. Department of Treasury’s 

Invoice Processing Platform (IPP) system using the “Bill to Agency” of Interior Business Center – 

FMD. 

(2) “Payment request” means any request for contract financing payment or invoice payment by 

the Contractor. To constitute a proper invoice, the payment request must comply with the 

requirements identified in the applicable Prompt Payment clause included in the contract, or 

the clause 52.212-4 Contract Terms and Conditions – Commercial Items include in commercial 

item contracts. The IPP website address is: https://www.ipp.gov. 

(3) The Contractor must use the IPP website to register, access and use IPP for submitting requests 

for payment. The Contractor must attach invoices in IPP. The Contractor Government Business 

Point of Contact (as listed in SAM) will receive enrollment instructions via email from the Federal 

Reserve prior to the contract award date, but no more than 3 – 5 business days of the contract 

award date. 

(4) Contractor assistance with enrollment can be obtained by contacting the IPP Production 

Helpdesk via email IPPCustomerSupport@fiscal.treasury.gov or phone (866) 973 – 3131. 

(5) If the Contractor is unable to comply with the requirements to use IPP for submitting invoices 

for payment, the Contractor must submit a waiver request in writing to the Contracting Officer 

with its proposal or quotation. 

G.3 FUNDING DATA 

CLINs may be individually and incrementally funded. An overall funding summary shall be maintained in 

the below table by FRTIB. 

Purchase Request # Date CLIN Amount Total Amount 

 

 
5 

G.4 DISCLOSURE OF CONTRACT INFORMATION 

 

(a) The Contractor shall not release to anyone outside the Contractor’s organization any unclassified 

information pertaining to any part of this contract or any program related to this contract, unless 

the Contracting Officer has given prior written approval. For purposes of this clause, Contractor’s 

organization shall include employees, officers, directors, subcontractors, agents, and consultants. 

(b) Requests for approval shall identify the specific information to be released, the medium to be used, 

and the purpose of the release. The Contractor shall submit its request to the Contracting Officer 

(CO) at least ten (10) calendar days before the proposed date of release. 

(c) The Contractor agrees to include a similar requirement in each subcontract under this contract. 

Subcontractors shall submit requests for authorization to release through the Prime Contractor. 

G.5 TRAVEL 

Travel is to be at contractor’s expense. 

G.6 STANDARD REQUIREMENTS 

(a) FRTIB normal duty hour range is Monday through Friday, 0700 – 1800, Eastern Time. However, 

many FRTIB’s systems are operational on a 24 hour per day; 365 calendar days per year basis, and 

therefore, some components of the services described in the Statement of Objectives require work 

outside of normal duty hours in order to achieve the Service Level Requirements (SLRs) specified in 

the Performance Requirements Summary. 

(b) Legal Holidays - The following Federal holidays are observed by the FRTIB: 

Holidays Dates 

New Year's Day 1 January (as observed) 

Martin Luther King's Birthday Third Monday in January 

President's Day Third Monday in February 

Memorial Day Last Monday in May 

Independence Day 4 July (as observed) 

Labor Day First Monday in September 

Columbus Day Second Monday in October 

Veteran's Day 11 November (as observed) 

Thanksgiving Day Fourth Thursday in November 

Christmas Day 25 December (as observed) 

Inauguration Day (National Capital Region only) 
6 

(c) In events such as an FRTIB shutdown due to (i)severe weather, (ii)security issues, and/or (iii) 

unforeseen circumstances, the Contractor is expected to continue contract performance and 

submit deliverables on time. 

(d) If the Contractor believes there is an FRTIB caused (potential or actual) delay in contract 

performance and deliverables required under this contract, the CO and COR(s) are to be notified 

immediately verbally and in writing (via email). At a minimum, all delays that the Contractor 

believes are caused by the FRTIB shall be sufficiently documented and communicated in writing (via 

e-mail) to the CO and COR(s) within 24 hours of when the Contractor became aware or should have 

become aware of the potential for delay. 

(e)

G.7 FRTIB ON-PREMISE REPRESENTATIVE 

The Contractor shall provide appropriate office space for FRTIB staff for the 

performance of Government evaluations and administrative functions. The office area shall be secure to 

accommodate meetings of a sensitive nature. File cabinets and suitable desks, both with locking 

capabilities, computers and chairs, all in good repair, internet access and other miscellaneous office 

equipment, as required, shall be supplied by the Contractor. The Contractor shall provide

parking spaces designated for FRTIB personnel. In the event a change in location of the FRTIB staff is 

required, Contractor/FRTIB staff coordination will take place in order to facilitate Government planning 

and implementation of a smooth transition. 

G.8 PROPOSALS FOR CONTRACT MODIFICATIONS 

(a) All proposals must contain sufficient information to allow the Government to perform a basic 

analysis of the proposed cost of the work. 

(b) Information that reasonably explains your estimating process, including judgmental factors applied 

and mathematical or other projection methods used in the proposal, shall be furnished. Any 

(b)(4)

(b)(4)

(b)(4)
7 

assumptions included in the cost proposal must be clearly defined by high, medium, and low with 

quantified cost and schedule impact. 

(c) All proposals/scope changes must be in response to a Government request for a proposal. The 

proposal shall be submitted in accordance with the provided government format which will be 

provided at the time of the request. 

(End of Section G) 
TIB-2021-C-0003 RKSA 

Section H 

i 

Section H – Special Contract Requirements

Table of Contents 

H.1 IT Security Compliance ........................................................................................................................... 1 

H.2 Representation of Use of Cloud Computing ........................................................................................... 3 

H.3 Cloud Computing Services ...................................................................................................................... 4 

H.4 Cyber Incident Reporting ........................................................................................................................ 7 

H.5 Limitations on the Use or Disclosure of Third-Party Contractor Reported Cyber Incident Information 8 

H.6 Service Organization Control (SOC) Audits ............................................................................................. 9 

H.7 Security Controls Compliance Testing .................................................................................................. 10 

H.8 Business Continuity Management System ........................................................................................... 10 

H.9 Records Management Obligations ....................................................................................................... 11 

H.10 Advertising and Release of Information ............................................................................................. 12 

H.11 Associate Contractor Agreements (ACA) ............................................................................................ 13 

H.12 Contract Transition Period and Close-Out .......................................................................................... 13 

H.13 Corporate Non-Disclosure Agreement ............................................................................................... 19 

H.14 Personnel ............................................................................................................................................ 19 

H.15 Security Clearance Requirements ...................................................................................................... 20 

H.16 Restriction on Cross-Selling ................................................................................................................ 21 

H.17 Error Correction .................................................................................................................................. 22 

H.18 Errors and Omissions Insurance ......................................................................................................... 22 

H.19 Compliance with Laws ........................................................................................................................ 22 

H.20 Standard of Care ................................................................................................................................. 23 

H.21 Fiduciary Status .................................................................................................................................. 23 

H.22 Reserved ............................................................................................................................................. 23 

H.23 Mutual Fund Window ......................................................................................................................... 23 

H.24 Transitory Accounts ............................................................................................................................ 24 

H.25 Bond .................................................................................................................................................... 24 

H.26 Value Pricing ....................................................................................................................................... 25 

H.27 Assessment & Authorization (A&A) .................................................................................................... 25

H.28 Disclosure of Fees and Compensation ............................................................................................... 26 
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Section H 

H.29 Financial Reporting ............................................................................................................................. 27 

H.30 Audit Support ..................................................................................................................................... 27 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

H.1 IT Security Compliance

(a) Definitions—

A “breach” is the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any

similar occurrence where (1) a person other than an authorized user accesses or potentially accesses

personally identifiable information or (2) an authorized user accesses or potentially accesses personally

identifiable information for an other than authorized purpose.

A “federal information system” is an information system used or operated by an executive agency, by a

contractor of an executive agency, or by another organization on behalf of an executive agency.

An “information system” is a discrete set of information resources organized for the collection,

processing, maintenance, use, sharing, dissemination, or disposition of information. the administrative,

technical, and physical safeguards employed within an agency to ensure compliance with applicable

privacy requirements and manage privacy risks.

“Privacy control” means the administrative, technical, and physical safeguards employed within an

agency to ensure compliance with applicable privacy requirements and manage privacy risks.

“Security controls” means the management, operational, and technical controls (i.e., safeguards or

countermeasures) prescribed for an information system to protect the confidentiality, integrity, and

availability of the system and its information.

(b) Compliance with FISMA. Contractor will comply with Federal Information Security Modernization Act

(FISMA) policy directives (see Attachment J.9), as described in National Institute of Standards and

Technology (NIST) Special Publication 800-53, Revision 4, and guidance issued in furtherance of FISMA

such as Executive Orders, Office of Management and Budget (OMB) guidance; National Institute of

Standards and Technology (NIST) (See Attachment J.10) publications and guidance, binding

operational directives (BOD) and other guidance issued by the Department of Homeland Security at

the completion of the Transition Phase. 

(c) The FRTIB may accept system security controls other than those recommended by NIST. However, if

other controls are used, they must be appropriately mapped to the NIST recommended controls and

pass the assessment criteria outlined by NIST.

(d)

(e)

(b)(4)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

2 

(f) Initial Authorization and the Risk Management Framework. The information system(s) operated by the 

Contractor must be authorized by the FRTIB as part of the assessment and authorization process via the 

NIST Risk Management Framework as described in H.27 before any FRTIB data is migrated to the 

system. The NIST Risk Management Framework (RMF) (see Attachment J.10) outlines the steps agencies 

must follow when authorizing information systems. 

The NIST RMF brings together FISMA-related security and privacy standards and guidance to promote 

the development of comprehensive and balanced information security and privacy programs. 

The NIST RMF has six steps: (1) Categorize; (2) Select; (3) Implement; (4) Assess; (5) Authorize; and (6) 

Monitor. A Federal information system may not become operational before steps (1) through (4) have 

been completed and the FRTIB has issued the system an Authorization to Operate. (Step 5). 

Categorize: The RMF requires agencies to first categorize an information system as Low, Moderate, 

or High impact. The security impact level is based on an assessment of the potential impact of a loss 

of confidentiality, integrity, or availability of all the information types that are processed, stored, or 

transmitted by the system. 

The FRTIB will be responsible for categorizing the federal information system(s) operated by the 

Contractor for this contract. All FRTIB information systems are currently categorized as Moderate 

but FRTIB policies may require inclusion of other baseline controls as part of the baseline process. 

Select: The Contractor will select the required security controls for the federal information system 

operated by Contractor for this contract to meet minimum security requirements based on the 

impact level of the information system. NIST has established Low, Moderate, and High baselines of 

required controls based on the impact level of the federal information system. Baselines are the 

starting point in the control selection process. The Contractor may choose to customize the 

baselines by selecting additional controls or control enhancements based on risk assessment(s). 

The FRTIB requires that the Contractor implement the controls as defined in NIST SP 800-53 and in 

other standards and guidance issued under the authority of FISMA. The FRTIB may accept system 

security plans implementing controls other than the NIST SP 800-53 controls (See Attachment J.11). 

However, if other controls are used, they must be appropriately mapped, through the NIST CSF, to 

the NIST SP 800-53 controls, and must pass the assessment criteria outlined by NIST. 

Implement: The Contractor must implement and document the required security controls for the 

federal system(s). The FRTIB will generally avoid prescribing specific control implementations or 

technologies for the information system(s) operated by the Contractor. 

Assess: A federal system’s security controls are then assessed to determine whether the controls 

have been implemented correctly, are operating as intended, and producing the desired outcome. 

Any controls that are determined to have defects will require remediation plans, commonly called 

Plans of Action and Milestones, or POAMs. The Contractor must develop POAMs for all control 

defects. The Contractor’s implementation of system-specific and hybrid controls must be assessed 

by an independent assessor. 

Authorize: The FRTIB’s Authorizing Official is the Federal official with the authority to determine 

whether the risk posed by operating the federal system(s) is at an acceptable level. If the risk level is 

acceptable, the official will grant an Authorization to Operate (ATO) and the system(s) can begin 

processing Federal data. 

 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

3 

The Contractor is responsible for providing the FRTIB the security assessment report, associated 

POAMs, and any other security documentation deemed necessary by the FRTIB to the Authorizing 

Official to enable them to make the authorization decision. The package of documents associated 

with an ATO typically includes and Authorization Letter, System Security Plan, System Assessment 

Plan, System Assessment Report, Information System Contingency Plan, Continuous Monitoring 

Plan, POAMs, Privacy Threshold Analysis (PTA), Privacy Impact Assessment (PIA) and other 

documents at the discretion of the Authorizing Official. In instances where there is control 

inheritance or hybridization across organizations, a Control Responsibility Matrix is also included. 

Monitor: All parties must then monitor the security controls in the federal information system 

operated by Contractor for this contract on an ongoing basis in accordance with the Continuous 

Monitoring Plan, including assessing control effectiveness, documenting changes to the system (or 

its operating environment), conducting security impact analyses of the associated changes, and 

reporting the security state of the system to designated organizational officials. 

(g) Continuous Monitoring and Ongoing Authorization. Once a federal information system has received its 

initial authorization, the information system must comply with ongoing authorization requirements 

defined in the FRTIB’s Information Security Continuous Monitoring Strategy (ISCMS) (See Attachment 

J.13) and any other requirements necessary for the FRTIB to participate in the Department of Homeland 

Security’s Continuous Diagnostics and Mitigation (CDM) program 

H.2 Representation of Use of Cloud Computing 

(a) Definition. “Cloud computing,” as used in this provision, means a model for enabling ubiquitous, 

convenient, on-demand network access to a shared pool of configurable computing resources (e.g., 

networks, servers, storage, applications, and services) that can be rapidly provisioned and released 

with minimal management effort or service provider interaction. This includes other commercial 

terms, such as on-demand self-service, broad network access, resource pooling, rapid elasticity, and 

measured service. It also includes commercial offerings for software-as-a-service, infrastructure-as-aservice, and platform-as-a-service. 

(b) The Contractor shall indicate by checking the appropriate blank in paragraph (c) of this provision 

whether the use of cloud computing is anticipated under the resultant contract. 

(c) Representation. The Contractor represents that it— 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

4 

__X___ Does anticipate that cloud computing services will be used in the performance of any contract or 

subcontract resulting from this solicitation. 

_____ Does not anticipate that cloud computing services will be used in the performance of any contract 

or subcontract resulting from this solicitation. 

H.3 Cloud Computing Services

(a) Definitions. As used in this clause—

“Authorizing official,” means the senior Federal official or executive with the authority to formally assume 

responsibility for operating an information system at an acceptable level of risk to organizational operations 

(including mission, functions, image, or reputation), organizational assets, individuals, other organizations, 

and the Nation. 

“Cloud computing” means a model for enabling ubiquitous, convenient, on-demand network access to a 

shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) 

that can be rapidly provisioned and released with minimal management effort or service provider 

interaction. This includes other commercial terms, such as on-demand self-service, broad network access, 

resource pooling, rapid elasticity, and measured service. It also includes commercial offerings for softwareas-a-service, infrastructure-as-a-service, and platform-as-a-service. 

“Compromise” means disclosure of information to unauthorized persons, or a violation of the security policy 

of a system, in which unauthorized intentional or unintentional disclosure, modification, destruction, or loss 

of an object, or the copying of information to unauthorized media may have occurred. 

“Cyber incident” means actions taken through the use of computer networks that result in a compromise or 

an actual or potentially adverse effect on an information system and/or the information residing therein. 

“Government data” means any information, document, media, or machine readable material regardless of 

physical form or characteristics, that is created or obtained by the Government in the course of official 

Government business. 

“Government-related data” means any information, document, media, or machine readable material 

regardless of physical form or characteristics that is created or obtained by a contractor through the storage, 

processing, or communication of Government data. This does not include contractor’s business records e.g., 

financial records, legal records etc. or data such as operating procedures, software coding or algorithms that 

are not uniquely applied to the Government data. 

“Information system” means a discrete set of information resources organized for the collection, processing, 

maintenance, use, sharing, dissemination, or disposition of information. 

“Media” means physical devices or writing surfaces including, but not limited to, magnetic tapes, optical 

disks, magnetic disks, large-scale integration memory chips, and printouts onto which information is 

recorded, stored, or printed within an information system. 

“Spillage” means any security incident that results in the transfer of classified or controlled unclassified 

information onto an information system not accredited (i.e., authorized) for the appropriate security level. 

(b) Cloud computing security requirements. The requirements of this clause are applicable when using

cloud computing to provide information technology services in the performance of the contract.

(1) RESERVED
TIB-2021-C-0003 RKSA 

Section H 

5 

(2) The Contractor shall maintain within the United States and its territories all Government data that is 

not physically located on FRTIB premises, unless the Contractor receives written notification from 

the Contracting Officer to use another location. 

(3) All cloud computing service must meets security requirements equivalent to those established by 

the Government for the Federal Risk and Authorization Management Program (FedRAMP) Moderate 

baseline (https://www.fedramp.gov/resources/documents/). 

(4) The General Services Administration maintains an accreditation process for 3PAOs (third-party 

assessment organization) for its FedRAMP Cloud Services Program. The FRTIB requires that a 

FedRAMP-accredited 3PAO perform independent assessments for initial authorization of the 

recordkeeper’s system(s). Contractor will be responsible for contracting, funding, and coordinating 

for 3PAO for external assessments of Contractor’s systems(s). 

(5) The FRTIB requires that the Contractor use a FedRAMP (See Attachment J.12)-accredited 3PAO to 

perform the assessment. 

(c) Limitations on access to, or use or disclosure of, Government data and Government-related data. This 

clause should be included in all subcontracts. 

(1) The Contractor shall not access, use, or disclose Government data unless specifically authorized by 

the terms of this Contract. 

(i) If authorized by the terms of this contract, any access to, or use or disclosure of, Government 

data shall only be for purposes specified in this contract. 

(ii) The Contractor shall ensure that its employees are subject to all such access, use, and disclosure 

prohibitions and obligations. 

(iii) These access, use, and disclosure prohibitions and obligations shall survive the expiration or 

termination of this contract. 

(2) The Contractor shall use Government-related data only to manage the operational environment that 

supports the Government data and for no other purpose unless otherwise permitted with the prior 

written approval of the Contracting Officer. 

(d) Cloud computing services cyber incident reporting. The Contractor shall promptly report all actual or 

potential cyber incidents that are related to the cloud computing service provided under this contract. 

Reports shall be submitted to FRTIB via FRTIB-provided email address. This clause should be included 

in all subcontracts. 

(e) Malicious software. The Contractor or subcontractors that discover and isolate malicious software in 

connection with a reported cyber incident shall submit the information regarding malicious software in 

accordance with instructions provided by the Contracting Officer. This clause should be included in all 

subcontracts. 

(f) Media preservation and protection. When the Contractor discovers a cyber incident has occurred, 

Contractor shall preserve and protect images of all known affected information systems identified in 

the cyber incident report (see paragraph (d) of this clause) and all relevant monitoring/packet capture 

data for at least ninety (90) calendar days unless directed otherwise by FRTIB CISO or CTO from the 

submission of the cyber incident report to allow FRTIB to request the media or decline interest.(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

6 

(g) Access to additional information or equipment necessary for forensic analysis. Upon request by FRTIB, 

the Contractor shall provide FRTIB with access to additional information or equipment that is necessary 

to conduct a forensic analysis.

(h) Cyber incident damage assessment activities. If FRTIB elects to conduct a damage assessment, the 

Contracting Officer will request that the Contractor provide all damage assessment information 

gathered in accordance with paragraph (f) of this clause. This clause should be included in all 

subcontracts. 

(i) Records management and facility access. This clause should be included in all subcontracts. 

(1) The Contractor shall provide the Contracting Officer all Government data and Government-related 

data in the format specified in the contract. 

(2) The Contractor shall dispose of Government data and Government-related data in accordance with 

the terms of the contract and provide the confirmation of disposition to the Contracting Officer in 

accordance with contract closeout procedures. 

(3) The Contractor shall provide the Government, or its authorized representatives, access to all 

Government data and Government-related data, appropriate access to Contractor personnel 

involved in performance of the contract, and physical access, during standard business hours, to any 

Contractor facility with Government data, for the purpose of audits, investigations, inspections, or 

other similar activities, as authorized by law or regulation

(j) Notification of third-party access requests. The Contractor shall notify the Contracting Officer promptly 

of any requests from a third party for access to Government data or Government-related data, 

including any warrants, seizures, or subpoenas it receives, including those from another Federal, State, 

or local agency. The Contractor shall cooperate with the Contracting Officer to take all measures to 

protect Government data and Government-related data from any unauthorized disclosure. 

(k) Spillage. Upon notification by the Government of a spillage, or upon the Contractor’s discovery of a 

spillage, the Contractor shall cooperate with the Contracting Officer to address the spillage in 

compliance with FRTIB procedures. 

(l) Subcontracts. The Contractor shall include this clause, including this paragraph (l), in all subcontracts 

that involve or may involve cloud services, including subcontracts for commercial items. 

(m)

(b)(4)

(b)(4)

(b)(4)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

7 

H.4 Cyber Incident Reporting 

(a) Definitions. As used in this provision— 

“Cyber incident” means actions taken using computer networks that result in an actual or potentially 

adverse effect on an information system and/or the information residing therein. “Forensic analysis” means 

the practice of gathering, retaining, and analyzing computer-related data for investigative purposes in a 

manner that maintains the integrity of the data. 

“Incident” means an occurrence that (1) actually or imminently jeopardizes, without lawful authority, the 

integrity, confidentiality, or availability of FRTIB information or an information system that processes, stores, 

or transmits FRTIB information; or (2) constitutes a violation or imminent threat of violation of law, security 

policies, security procedures, or acceptable use policies. The term “incident” includes cyber incidents and 

breaches. 

“FRTIB information” means any information, document, media, or machine-readable material regardless of 

physical form or characteristics, that is created or obtained by FRTIB or a 3rd party in the course of official 

FRTIB business. 

“Breach” is the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any 

similar occurrence where (1) a person other than an authorized user accesses or potentially accesses 

personally identifiable information or (2) an authorized user accesses or potentially accesses personally 

identifiable information for an other than authorized purpose. 

(b) Incident reporting requirement. This clause should be included in all subcontracts. When the 

Contractor discovers an incident, the Contractor shall— 

(1) Promptly report the incident to the FRTIB’s prescribed email address (to be prescribed during 

Transition phase); and 

 

(2) Provide continuous updates as they become available of all known details pertaining to the nature, 

cause, and impact of the incident to the FRTIB’s prescribed email address. 

(c) The initial report and continuous updates shall include all information elements referenced in the most 

current version of the US-CERT Federal Incident Notification Guidelines whether or not the incident 

must be reported to US-CERT. 

(d) Additional reporting for cyber incidents. The Contractor shall conduct a forensic analysis for evidence 

of compromise of Controlled Unclassified Information, including, but not limited to, identifying 

compromised computers, servers, specific data, and user accounts. This analysis shall also include 

analyzing covered Contractor information system(s) that were part of the incident, as well as other 

information systems on the Contractor’s network(s), that may have been accessed as a result of the 

incident in order to identify compromised Controlled Unclassified Information, or that affect the 

Contractor’s ability to provide operationally critical support. The Contractor shall create a report 

describing the result of this analysis and the report shall be treated as information created by or for 

FRTIB. 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

8 

H.5 Limitations on the Use or Disclosure of Third-Party Contractor 

Reported Cyber Incident Information 

(a) Definitions. As used in this clause— 

“Breach” is the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any 

similar occurrence where (1) a person other than an authorized user accesses or potentially accesses 

personally identifiable information or (2) an authorized user accesses or potentially accesses personally 

identifiable information for an other than authorized purpose. 

“Compromise” means disclosure of information to unauthorized persons, or a violation of the security policy 

of a system, in which unauthorized intentional or unintentional disclosure, modification, destruction, or loss 

of an object, or the copying of information to unauthorized media may have occurred. 

“Controlled Unclassified Information” (CUI) means unclassified controlled technical information or other 

information, as described in the Controlled Unclassified Information (CUI) Registry at 

http://www.archives.gov/cui/registry/category-list.html (See Attachment J.14), that requires safeguarding or 

dissemination controls pursuant to and consistent with law, regulations, and Government-wide policies, and 

is— 

(1) Marked or otherwise identified in the contract, task order, or delivery order and provided to the 

Contractor by or on behalf of FRTIB in support of the performance of the contract; or 

(2) Collected, developed, received, transmitted, used, or stored by or on behalf of the Contractor in 

support of the performance of the contract. 

“Cyber incident” means actions taken using computer networks that result in an actual or potentially 

adverse effect on an information system and/or the information residing therein. 

“Incident” means an occurrence that actually or imminently jeopardizes, without lawful authority, the 

confidentiality, integrity, or availability of FRTIB’s information or an FRTIB information system; or constitutes 

a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use 

policies with respect to FRTIB’s information or an FRTIB information system. 

“Information system” means a discrete set of information resources organized for the collection, processing, 

maintenance, use, sharing, dissemination, or disposition of information. 

“Media” means physical devices or writing surfaces including, but is not limited to, magnetic tapes, optical 

disks, magnetic disks, large-scale integration memory chips, and printouts onto which Controlled 

Unclassified Information is recorded, stored, or printed within a covered contractor information system. 

“Technical information” means technical data or computer software, as those terms are defined in this 

clauses--Noncommercial Items, regardless of whether or not the clause is incorporated in this solicitation or 

contract. Examples of technical information include research and engineering data, engineering drawings, 

and associated lists, specifications, standards, process sheets, manuals, technical reports, technical orders, 

catalog-item identifications, data sets, studies and analyses and related information, and computer software 

executable code and source code. 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

9 

“Technical data” means recorded information, regardless of the form or method of the recording, of a 

scientific or technical nature (including computer software documentation). The term does not include 

computer software or data incidental to contract administration, such as financial and/or management 

information. 

“Computer software” means computer programs, source code, source code listings, object code listings, 

design details, algorithms, processes, flow charts, formulae and related material that would enable the 

software to be reproduced, recreated, or recompiled. Computer software does not include computer 

databases or computer software documentation. 

(b) Restrictions. The Contractor agrees that the following conditions apply to any information it receives or 

creates in the performance of this contract that is information obtained from a third-party’s reporting 

of a cyber incident pursuant to Section H.4 Cyber Incident Reporting (or derived from such information 

obtained under that clause) : 

(1) The Contractor shall access and use the information only for the purpose of furnishing advice or 

technical assistance directly to the Government in support of the Government’s activities related to 

Section H.4 Cyber Incident Reporting and shall not be used for any other purpose. 

(2) The Contractor shall protect the information against unauthorized release or disclosure. 

(3) The Contractor shall ensure that its employees are subject to use and non-disclosure obligations 

consistent with this clause prior to the employees being provided access to or use of the 

information. 

(4) The third-party contractor that reported the cyber incident is a third-party beneficiary of the nondisclosure obligations and restrictions of this clause. 

(5) A breach of these obligations or restrictions may subject the Contractor to— 

(i) Criminal, civil, administrative, and contractual actions in law and equity for penalties, damages, 

and other appropriate remedies by the United States; and 

(ii) Civil actions for damages and other appropriate remedies by the third party that reported the 

cyber incident, as a third-party beneficiary of this clause. 

(c) Subcontracts. The Contractor shall include this clause, including this paragraph (c), in subcontracts, or 

similar contractual instruments, for services that include support for the Government’s activities 

related to safeguarding controlled unclassified information and cyber incident reporting, including 

subcontracts for commercial items, without alteration, except to identify the parties. 

H.6 Service Organization Control (SOC) Audits 

The entity(ies) responsible for the system that contains the Participant transactions (e.g., Total Benefit 

Administration) will annually perform SOC 1 Type 2, SOC 2 Type 2, and SOC for Cybersecurity audits (See 

Attachment J.15) on itself and its subcontractors/ partners involved in this contract. A registered 

independent auditing firm in good standing with Public Company Accounting Oversight Board will perform 

the audit. The audited entity(ies) will provide the: 

a. Auditor’s SOC Report 

x Auditor’s scope 

x Description of controls 
TIB-2021-C-0003 RKSA 

Section H 

10 

x Testing results and opinion 

x Any recommendations and any required planned or completed corrective actions; 

b. Contractor Corrective Actions (if applicable) 

x Corrective action plans with committed delivery dates. 

x Evidence to support successful resolution of audit recommendations. 

H.7 Security Controls Compliance Testing 

On a periodic basis, FRTIB reserves the right to evaluate any or all of the security controls, privacy controls, 

and other privacy practices implemented by the Contractor under the clauses contained within the contract. 

With 10 working-days’ notice, at the request of the FRTIB, the Contractor shall fully cooperate and assist in 

an FRTIB-sponsored security and privacy controls assessment at each location wherein FRTIB information is 

processed or stored, or information systems are developed, operated, maintained, or used on behalf of 

FRTIB. The FRTIB may conduct a security control assessment on shorter notice (to include unannounced 

assessments) as determined by FRTIB in the event of an incident or at any other time. 

H.8 Business Continuity Management System 

(a) The Contractor (and any supporting subcontractors) shall meet a business continuity industry 

professional standard (either ISO 22301 or NFPA 1600 v2013) (See Attachment J.18) specifying 

requirements to plan, establish, implement, operate, monitor, exercise and test, review, maintain and 

continually improve a documented business continuity management system to prepare for, respond 

to, and recover from disruptive incidents when they arise (See Attachment J.19). The Contractor must 

provide all the documents referenced in the industry professional standard to the FRTIB. The 

Contractor’s business continuity management system shall be appropriate to its needs and meet the 

FRTIB’s recovery requirements for recordkeeping services to include those that have been identified 

as critical and cannot fail. FRTIB has identified recovery requirements for recordkeeping services. (See 

Attachment J.17). 

(b) The Contractor shall conduct internal audits at planned intervals to provide information on whether 

the Contractor’s BCP (Business Continuity Plan): 1) meets FRTIB’s requirements; 2) meets the 

requirements of the applicable business continuity industry professional standard chosen; 3) 

considers people, processes, technology and facilities required to perform recordkeeping services 

following a disruption; and 4) is effectively implemented and maintained. 

(c) The Contractor shall participate in an annual business continuity exercise with FRTIB to validate 

capabilities to meet requirements for the restoration of recordkeeping services following a disruption. 

The annual business continuity exercise starting month and year of the review cycle will be 

coordinated between the parties. 

(d)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

11 

H.9 Records Management Obligations

(a) “Federal record” as defined in 44 U.S.C. § 3301 (See Attachment J.21), includes all recorded

information, regardless of form or characteristics, made or received by a Federal agency under Federal

law or in connection with the transaction of public business and preserved or appropriate for

preservation by that agency or its legitimate successor as evidence of the organization, functions,

policies, decisions, procedures, operations, or other activities of the United States Government or

because of the informational value of data in them. The term Federal record:

(1) Includes Agency records.

(2) Does not include personal materials.

(3) Applies to records created, received, or maintained by Contractors pursuant to their Agency

contract.

(4) May include Deliverables and documentation associated with Deliverables.

(b) Requirements

(1) Contractor shall comply with all applicable records management laws and regulations, as well as

National Archives and Records Administration (NARA) records policies, including but not limited to

the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33)(See Attachment J.22), NARA regulations (See

Attachment J.23) at 36 CFR Chapter XII Subchapter B, and those policies associated with the

safeguarding of records covered by the Privacy Act of 1974 (5 U.S.C. 552a)(See Attachment J.16).

These policies include the preservation of all records, regardless of form or characteristics, mode of

transmission, or state of completion.

(2) In accordance with 36 CFR 1222.32, all data created for Government use and delivered to, or falling

under the legal control of, the Government are Federal records subject to the provisions of 44 U.S.C.

chapters 21, 29, 31, and 33, the Freedom of Information Act (FOIA) (5 U.S.C. 552)(See Attachment

J.20), as amended, and the Privacy Act of 1974 (5 U.S.C. 552a), as amended and must be managed

and scheduled for disposition only as permitted by statute or regulation.

(3) In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for Government

use or created in the course of performing the contract and/or delivered to, or under the legal

control of the Government and must be managed in accordance with Federal law. Electronic records

and associated metadata must be accompanied by sufficient technical documentation to permit

understanding and use of the records and data.

(4) FRTIB and its contractors are responsible for preventing the alienation or unauthorized destruction

of records, including all forms of mutilation. Records may not be removed from the legal custody of

FRTIB or destroyed except for in accordance with the provisions of the agency records schedules and

with the written concurrence of the Head of the Contracting Activity. Willful and unlawful

destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by

18 U.S.C. 2701. In the event of any unlawful or accidental removal, defacing, alteration, or

destruction of records, Contractor must report to FRTIB. The agency must report promptly to NARA

in accordance with 36 CFR 1230.

(5) The Contractor shall promptly notify the Contracting Officer upon discovery of any inadvertent or

unauthorized disclosures of information, data, documentary materials, records or equipment.

Disclosure of non-public information is limited to authorized personnel with a need-to-know as

described in the contract vehicle. The Contractor shall ensure that the appropriate personnel,

administrative, technical, and physical safeguards are established to ensure the security and
TIB-2021-C-0003 RKSA 

Section H 

12 

confidentiality of this information, data, documentary material, records and/or equipment is 

properly protected. (See Attachment J.25) The Contractor shall not remove material from 

Government facilities or systems, or facilities or systems operated or maintained on the 

Government’s behalf, without the express written permission of the Head of the Contracting 

Activity. When information, data, documentary material, records and/or equipment is no longer 

required, it shall be returned to FRTIB control (See Attachment J.24) or the Contractor must hold it 

until otherwise directed. Items returned to the Government shall be hand carried, mailed, emailed, 

or securely electronically transmitted to the Contracting Officer or address prescribed in the contract 

vehicle. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4) 

(See Attachment J.26). 

(6) The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any 

contractual relationship (subcontractor) in support of this contract requiring the disclosure of 

information, documentary material and/or records generated under, or relating to, contracts. The 

Contractor (and any subcontractor) is required to abide by Government and FRTIB guidance for 

protecting sensitive, proprietary information, classified, and controlled unclassified information. 

(7) The Contractor shall not create or maintain any records containing any non-public Agency 

information that are not specifically tied to or authorized by the contract. 

(8) The Contractor shall not retain, use, sell, or disseminate copies of any Deliverable that contains 

information covered by the Privacy Act of 1974 or that which is generally protected from public 

disclosure by an exemption to the Freedom of Information Act. 

(9) The FRTIB owns the rights to all FRTIB data and records produced as part of this contract. All 

Deliverables under the contract are the property of the U.S. Government for which FRTIB shall have 

unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in 

the public interest. Any Contractor rights in the data or Deliverables not addressed in Section H.34 

must be identified as required by FAR 52.227-11 through FAR 52.227-20 and as incorporated in 

Section I. 

(10) Training - All Contractor employees assigned to this Contract who create, work with, or otherwise 

handle records are required to take FRTIB-provided records management training. The Contractor is 

responsible for confirming training has been completed according to agency policies, including initial 

training and any annual or refresher training. 

(c) Privacy Act System of Records Numbers FRTIB-1, FRTIB-12, FRITB-13, and FRTIB-14 are applicable to 

this contract and shall be used in any design, development, or operation work to be performed under 

the resultant contract. Disposition of records shall be in accordance with this clause, and by direction 

of the Contracting Officer's Representative (COR). 

(d) Flowdown of requirements to subcontractors 

(1) The Contractor shall incorporate the substance of this clause, its terms and requirements including 

this paragraph, in all subcontracts under this contract vehicle, and require written subcontractor 

acknowledgment of same. 

(2) Violation by a subcontractor of any provision set forth in this clause will be attributed to the 

Contractor. 

H.10 Advertising and Release of Information 

(a) The Contractor and any of its subcontractors shall not publicize or advertise in relation to this contract 
TIB-2021-C-0003 RKSA 

Section H 

13 

without the prior written approval of the Agency. Also, the Contractor and any of its subcontractors 

shall not release information or report on its performance under the contract without the prior written 

approval of the Agency. 

H.11 Associate Contractor Agreements (ACA) 

H.12 Contract Transition Period and Close-Out 

(a) In addition to Section I, FAR Clause 52.237-3, the following are supplemental provisions and in the 

event of conflict FAR 52.237-3 shall prevail. 

(b) The Contractor recognizes that the work and services covered by this contract are vital to the FRTIB 

mission and must be maintained without interruption; at the commencement and the expiration of 

this Contract. It is therefore understood and further agreed in recognition of the above: 

(1) Upon follow-on contract award, the Contractor shall continue to perform all duties under this 

Contract until the period of performance expires. 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

14 

(2) Upon contract expiration, a Successor Contractor (henceforth called “Successor”) may continue to

produce products and provide services.

(c) The Contractor agrees to exercise its commercially reasonable efforts, as defined by case law and

cooperate to affect an orderly and efficient transition from the Contractor to a Successor as further

described in this section.

(2) The Contractor shall, in conjunction with FRTIB, prepare, submit, and implement a Transition-Out

Plan defining activities and schedules necessary to meet contract production delivery, services, and

other requirements. Coordination with the Contractor may start sooner than CO’s notification and

Contractor’s support may be utilized for longer than ninety (90) calendar days. The Transition-Out

Plan shall be submitted six months in advance of the expiration of the final FRTIB exercised option

period, regardless of the date of CO notification to the Contractor to provide support. The

Contractor shall assume full responsibility for work until assumption thereof by the Successor.

Execution of the proposed Transition-Out Plan or any part thereof shall be accomplished in

accordance with the Contracting Officer's direction and approval. The Transition-Out Plan is subject

to the CO’s approval, and shall:

(i) Identify the specific work activities and supporting instruments required of both the

Contractor and Successor to support the Successor’s Transition-In, and the dates by which

such work must be accomplished. Transition-Out Plan topics and related tasks should include

items such as, but not limited to, the following:

(A) A personnel training program and a date for transferring responsibilities for each division

of work described in the Plan. All work performed by the Contractor must be included in

the Transition-Out Plan.

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

15 

(C) Review, evaluation, and transition of all current support services and work processes.

(D) Information regarding in-process FRTIB-funded work that may necessarily be transferred

from the Contractor to the Successor for completion.

(E) Conversion of all current and historical financial and Participant data as-is for processing

to the successor Contractor with no retention of original or copied data by Contractor on

workstations or other media.

(F) Access to personnel of prime and subcontractor employees as permitted by law and

regulation.

(G) Non-interference access to operating areas, with required security clearance or waiver

by FRTIB.

(ii) Upon CO’s written notice, the Contractor shall execute the approved Transition-Out Plan.

Specifically, the Contractor shall:

(A) Coordinate with designated FRTIB personnel.

(B) Maintain and provide status information showing Transition-Out tasks, progress on each

task, and expected completion dates.

(C) Coordinate with Successor to complete Transition-Out to Transition-In tasks. FRTIB will

approve completion of tasks.

(D) Provide sufficient experienced personnel during the Transition-Out period to ensure that

the services and production in this contract are realized without interruption.

(E) Transfer relevant business and/or technical documentation, including creation and

transfer of gaps in documentation.

(F) Conduct orientation to introduce Successor to TSP and FRTIB personnel, programs, and

users to the Contractor’s team, tools, methodologies, and business processes.

(G) Transfer Government Furnished Equipment (GFE); transfer Government Furnished

Information (GFI) in a manner and form of FRTIB’s choice; return all data used in the

contract in its current state; provide GFE inventory management assistance.

(H) Participate in applicable FRTIB debriefing.

(I) Complete personnel out-processing procedures.

(J) Turn in of all FRTIB keys, ID/access cards, and security codes.

(iii) The Contractor agrees to negotiate in good faith with the FRTIB and Successor for the timely

and cost-effective execution of work activities performed pursuant to this section and the

associated Transition-Out Plan. Unless otherwise approved by the CO in advance, TransitionOut work performed by the Successor shall be invoiced to the FRTIB. Agreements between the

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

Successor and Contractor defining the work content, terms, and conditions, shall be separate 

and apart from this section. The FRTIB will include a Transition-Out/Transition-In section in the 

Successor’s contract requiring the Successor to act in good faith. 

(iv) Transition-Out costs are not to be included in the Contractor’s Cost Proposal.

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

17 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

18 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

19 

H.13 Corporate Non-Disclosure Agreement

Upon contract award, the Contractor shall execute the Corporate Non-Disclosure Agreement (NDA) 

attached in this contract and deliver to the CO before performing work under this contract. This NDA will 

be incorporated in Section J, as Attachment J.29, and will be enforceable through the entire period of 

performance. 

H.14 Personnel

(a) The Contractor shall provide skilled personnel required for the effective and efficient performance

of this contract.

(b) The Contractor shall designate a point of contact that is available during normal business hours and

a point of contact that will be on-call during non-business hours in case of emergencies. (Names

and contact details to be supplied upon Contract award.)

(b)(4)

(b)(6)
TIB-2021-C-0003 RKSA 

Section H 

20 

(c) Key Personnel. The Contractor must provide certain key personnel to be assigned to perform and

carry out all phases of work under this contract. The Contractor’s key personnel include the

following:

(d) Key Personnel Qualifications.

(1) Minimum Qualifications for Program Executive: Demonstrated defined contribution recordkeeping

experience in a leadership/management role with progressively greater responsibilities in

managing very large programs that included transition and ongoing service delivery with a track

record of excellence. The Contractor shall describe their additional required minimum

qualifications in selection of the Program Executive.

(2) Minimum Qualifications for Transition Executive: Demonstrated defined contribution

recordkeeping transition experience in a leadership/management role with progressively greater

responsibilities in managing very large transition programs that included transition and ongoing

service delivery with a track record of excellence. The Contractor shall describe their additional

required minimum qualifications in selection of the Transition Executive.

(e) The individuals named above are considered key personnel and are essential for the successful

completion of all work assigned under this contract. In the event any individual on the list of key

personnel is to be removed or diverted from this contract, the Contractor must (1) notify the

Contracting Officer; and (2) provide resume of the proposed substitute or replacement including

the education, work experience, etc., of each new person for FRTIB approval. All notifications and

other information must be submitted to the Contracting Officer at least fourteen (14) calendar days

in advance of the action.

(f) Any person replacing key personnel must have the same or higher qualifications and experience as

the key personnel replaced.

H.15 Security Clearance Requirements

(b)(4)

(b)(6)
TIB-2021-C-0003 RKSA 

Section H 

21 

H.16 Restriction on Cross-Selling

(a) Contractor will not leverage any contacts, relationships, communication channels, data, or

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

22 

information used during, or gained through, this contract to market, advertise, solicit, or influence, 

directly or indirectly, TSP Participants to use, purchase, or invest in, any non-TSP products or services. 

This restriction on cross-selling activity is intended to be broad and inclusive and covers, but such 

coverage is not limited to, the reference to, discussion of, and/or offering of brokerage accounts, 

individual retirement accounts, managed account services, life or disability insurance, annuity 

products, advice, and wealth management services. 

(b) Contractor must include in its Organizational Conflict of Interest Mitigation Plan, a description of the

manner in which the Contractor will ensure that it complies with this prohibition on cross-selling. See

Attachment J.4, CDRL 3.14.

H.17 Error Correction

H.18 Errors and Omissions Insurance

H.19 Compliance with Laws

(b)(6)

(b)(6)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

23 

H.20 Standard of Care 

H.21 Fiduciary Status 

H.22 Reserved

H.23 Mutual Fund Window 

(b)(6)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

24 

H.24 Transitory Accounts 

All custody accounts, deposit accounts, omnibus accounts, subaccounts, cash reserve accounts, expense 

accounts, revenue sharing accounts, redemption accounts, suspense accounts, clearing accounts, 

bookkeeping accounts, or any other accounts used in the course of providing services under this contract are 

to be maintained at all times for the benefit of an individual Participant or for the benefit of the Thrift 

Savings Fund.

H.25 Bond 

Contractor shall purchase, or shall cause the appropriate subcontractor to purchase, if applicable, a bond 

that meets the requirements in 5 U.S.C. 8478 (See Attachment J.34) that covers each Contractor officer, 

employee, subcontractor or agent (if any) who handles funds or property of the Thrift Savings Fund. The 

determination as to who handles funds shall be made pursuant to Department of Labor guidance issued 

under section 412 of the Employee Retirement Income Security Act. Upon request, Contractor shall provide 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

25 

FRTIB evidence of such bond. Contractor shall notify FRTIB in the event that the bond coverage changes at 

the time of each renewal of its policy. 

H.26 Value Pricing 

H.27 Assessment & Authorization (A&A) 

(a) Contractor shall assist as directed by FRTIB to complete an A&A in accordance with current versions of 

NIST SP 800-53, SP 800-53A (See Attachment J.35), and NIST SP 800-37 (See Attachment J.36). FRTIB 

shall use the A&A to perform an initial assessment and authorization before any FRTIB data is migrated 

to the federal system being operated on behalf of the government. The initial assessment and 

authorization shall be performed consistent with this Section H.27 and shall not be unreasonably 

withheld. The parties agree and acknowledge that any delay by FRTIB in performing the initial 

assessment and authorization may delay implementation of the RKSA Solution and shall result in a 

commensurate extension of the Transition Period. 

(b) Contractor shall generally, substantially, and in good faith follow FRTIB’s and NIST guidelines and 

security guidance. In situations where there are no procedural guides, Contractor shall use generally 

accepted industry best practices for IT security as directed and approved by FRTIB. 

(c) Contractor shall comply with FRTIB’s requirements as mandated by Federal laws and policies, including 

making available any documentation, physical access, and logical access needed to support this 

requirement. 

(d) The Level of Effort for the A&A is based on the NIST Federal Information Processing Standard (FIPS) 

Publication 199 categorization (See Attachment J.37), which FRTIB will provide. Assessment testing and 

related results and reports must be conducted by a Third Party Assessment Organization (3PAO). 

Contractor shall create, maintain and update the following documentation: 

(1) Privacy Threshold Analysis (PTA) 

(2) Privacy Impact Assessment (PIA) 

(3) Assessment Test Procedures and Results 

(4) Security Assessment Report (SAR) 

(5) System Security Plan (SSP) 

(6) IT System Contingency Plan (CP) 

(7) IT System Contingency Plan (CP) Test Results 

(8) Plan of Action and Milestones (POA&M) 

(9) Continuous Monitoring Plan (CMP) 

(10)NIST SP 800-53, Revision 4 Control Tailoring Workbook 

(11)Control Implementation Summary Table 

(12)Results of Penetration Testing 

(13)Software Code Review (as directed) 

(14)Interconnection Agreements/Service Level Agreements/Memorandum of Agreements 

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

(e) Identified gaps between FRTIB required security and privacy controls and the Contractor's 

implementation as documented in the Security Assessment Report shall be tracked by Contractor for 

mitigation in a Plan of Action and Milestones (POA&M) document.

(g) Contractor is responsible for mitigating all security risks found during the A&A activities in accordance 

with FRTIB policy. 

(h) FRTIB will determine the risk rating of vulnerabilities. 

(i) The Privacy Division will provide a Privacy Threshold Analysis (PTA) and Privacy Impact Assessment 

(PIA) template to Contractor. Contractor is responsible for completing the PTA and PIA. The Privacy 

Division may request clarifications or revisions to the PTA and/or PIA before approving and finalizing 

the document. 

(j) The Privacy Division will also provide a list of required baseline privacy controls. This document will 

describe which controls Contractor is responsible for implementing. Contractor is responsible for 

implementing, and drafting implementation statements, for all controls designated as system-specific 

as well as the system-specific portion of hybrid controls. 

H.28 Disclosure of Fees and Compensation 

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

H.29 Financial Reporting 

H.30 Audit Support 

(b)(4)

(b)(4)

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

29 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

30 

(b)(4)

(b)(4)
TIB-2021-C-0003 RKSA 

Section H 

31 

(End of Section H) 

 

(b)(4)
TIB-2021-C-0003 RKSA 

SECTION I 

i 

SECTION I – CONTRACT CLAUSES 

Table of Contents 

I.1 LISTING OF CLAUSES INCORPORATED BY FULL TEXT .............................................................................. 1 

I.1.1 FAR 52.204-21 - Basic Safeguarding of Covered Contractor Information Systems (Jun 2016) ........ 1 

I.1.2 FAR 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive 

Orders (OCT 2020) .................................................................................................................................... 2 

I.1.3 FAR 52.215-21 – Requirement for Certified Cost or Pricing Data and Data Other Than Certified 

Cost or Pricing Data-Modifications (Alt I and Alt III) (JUN 2020) ............................................................ 11 

I.1.4 FAR 52.217-8 - Option to Extend Services (NOV 1999) (Deviation) ............................................... 12 

I.1.5 FAR 52.217-9 - Option to Extend the Term of the Contract (MAR 2000) ...................................... 13 

I.1.6 FAR 52.232-19 Availability of Funds for the Next Fiscal Year (APR 1984)(Deviation) ................... 13 

I.1.7 FAR 52.243-7 – Notification of Changes (JAN 2017) ...................................................................... 13 

I.1.8 FAR 52.244-6 – Subcontracts for Commercial Items (AUG 2019) .................................................. 16 

I.1.10 FAR 52.252-2 - Clauses Incorporated by Reference (FEB 1998) .................................................. 18 

I.2 CLAUSES INCORPORATED BY REFERENCE ....................................................................................... 18 
TIB-2021-C-0003 RKSA 

SECTION I 

1 

I.1 LISTING OF CLAUSES INCORPORATED BY FULL TEXT 

For this Section I, all references to “days” equates to “calendar days” unless otherwise stated. 

I.1.1 FAR 52.204-21 - Basic Safeguarding of Covered Contractor Information 

Systems (Jun 2016) 

(a) Definitions. As used in this clause-- 

“Covered contractor information system” means an information system that is owned or operated by a 

contractor that processes, stores, or transmits Federal contract information. 

“Federal contract information” means information, not intended for public release, that is provided by 

or generated for the Government under a contract to develop or deliver a product or service to the 

Government, but not including information provided by the Government to the public (such as on public 

Web sites) or simple transactional information, such as necessary to process payments. 

“Information” means any communication or representation of knowledge such as facts, data, or 

opinions, in any medium or form, including textual, numerical, graphic, cartographic, narrative, or 

audiovisual (Committee on National Security Systems Instruction (CNSSI) 4009). 

“Information system” means a discrete set of information resources organized for the collection, 

processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502). 

“Safeguarding” means measures or controls that are prescribed to protect information systems. 

(b) Safeguarding requirements and procedures. 

(1) The Contractor shall apply the following basic safeguarding requirements and procedures to 

protect covered contractor information systems. Requirements and procedures for basic 

safeguarding of covered contractor information systems shall include, at a minimum, the following 

security controls: 

(i) Limit information system access to authorized users, processes acting on behalf of 

authorized users, or devices (including other information systems). 

(ii) Limit information system access to the types of transactions and functions that authorized 

users are permitted to execute. 

(iii) Verify and control/limit connections to and use of external information systems. 

(iv) Control information posted or processed on publicly accessible information systems. 

(v) Identify information system users, processes acting on behalf of users, or devices. 
2 

(vi) Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite 

to allowing access to organizational information systems. 

(vii)Sanitize or destroy information system media containing Federal Contract Information 

before disposal or release for reuse. 

(viii) Limit physical access to organizational information systems, equipment, and the 

respective operating environments to authorized individuals. 

(ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access; and control 

and manage physical access devices. 

(x) Monitor, control, and protect organizational communications (i.e., information transmitted 

or received by organizational information systems) at the external boundaries and key 

internal boundaries of the information systems. 

(xi) Implement subnetworks for publicly accessible system components that are physically or 

logically separated from internal networks. 

(xii)Identify, report, and correct information and information system flaws in a timely manner. 

(xiii) Provide protection from malicious code at appropriate locations within organizational 

information systems. 

(xiv) Update malicious code protection mechanisms when new releases are available. 

(xv) Perform periodic scans of the information system and real-time scans of files from external 

sources as files are downloaded, opened, or executed. 

(2) Other requirements. This clause does not relieve the Contractor of any other specific 

safeguarding requirements specified by Federal agencies and departments relating to covered 

contractor information systems generally or other Federal safeguarding requirements for controlled 

unclassified information (CUI) as established by Executive Order 13556. 

(c) Subcontracts. The Contractor shall include the substance of this clause, including this paragraph (c), 

in subcontracts under this contract (including subcontracts for the acquisition of commercial items, 

other than commercially available off-the-shelf items), in which the subcontractor may have Federal 

contract information residing in or transiting through its information system. 

(End of clause) 

I.1.2 FAR 52.212-5 Contract Terms and Conditions Required to Implement 

Statutes or Executive Orders (OCT 2020) 
3 

(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which 

are incorporated in this contract by reference, to implement provisions of law or Executive orders 

applicable to acquisitions of commercial items: 

(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements 

(Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing 

Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent 

appropriations acts (and as extended in continuing resolutions)). 

(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or 

Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91). 

(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance 

Services or Equipment. (Aug 2020) (Section 889(a)(1)(A) of Pub. L. 115-232). 

(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015). 

(5) 52.233-3, Protest After Award (Aug 1996) (31 U.S.C. 3553). 

(6) 52.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Public Laws 108-77 and 108-78 

( 19 U.S.C. 3805 note)). 

(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer 

has indicated as being incorporated in this contract by reference to implement provisions of law or 

Executive orders applicable to acquisitions of commercial items: 

 [Contracting Officer check as appropriate.] 

_X_ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (June 2020), with Alternate 

I (Oct 1995) (41 U.S.C. 4704 and 10 U.S.C. 2402). 

_X_ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509)). 

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 

2009 (Jun 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American 

Recovery and Reinvestment Act of 2009.) 

_X_ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020) 

(Pub. L. 109-282) ( 31 U.S.C. 6101 note). 

 __ (5) [Reserved]. 

_X_ (6) 52.204-14, Service Contract Reporting Requirements (Oct 2016) (Pub. L. 111-117, section 

743 of Div. C). 

__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (Oct 

2016) (Pub. L. 111-117, section 743 of Div. C). 
4 

_X_ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors 

Debarred, Suspended, or Proposed for Debarment. (Jun 2020) (31 U.S.C. 6101 note). 

_X_ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Oct 

2018) (41 U.S.C. 2313). 

__ (10) [Reserved]. 

__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Mar 2020) (15 U.S.C. 657a). 

__ (ii) Alternate I (Mar 2020) of 52.219-3. 

__ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns 

(Mar 2020) (if the offeror elects to waive the preference, it shall so indicate in its offer) 

(15 U.S.C. 657a). 

__ (ii) Alternate I (Mar 2020) of 52.219-4. 

__ (13) [Reserved] 

__ (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (Mar 2020) (15 U.S.C. 644). 

 __ (ii) Alternate I (Mar 2020) of 52.219-6. 

__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (Mar 2020) (15 U.S.C. 644). 

__ (ii) Alternate I (Mar 2020) of 52.219-7. 

__ (16) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)). 

__ (17) (i) 52.219-9, Small Business Subcontracting Plan (Jun 2020) (15 U.S.C. 637(d)(4)). 

__ (ii) Alternate I (Nov 2016) of 52.219-9. 

__ (iii) Alternate II (Nov 2016) of 52.219-9. 

__ (iv) Alternate III (Jun 2020) of 52.219-9. 

__ (v) Alternate IV (Jun 2020) of 52.219-9 

__ (18) (i) 52.219-13, Notice of Set-Aside of Orders (Mar 2020) (15 U.S.C. 644(r)). 

 __ (ii) Alternate I (Mar 2020) of 52.219-13. 

__ (19) 52.219-14, Limitations on Subcontracting (Mar 2020) (15 U.S.C. 637(a)(14)). 

__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (Jan 1999) (15 U.S.C. 637(d)(4)(F)(i)). 
5 

__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Mar 2020) 

(15 U.S.C. 657f). 

__ (22) (i) 52.219-28, Post Award Small Business Program Rerepresentation (May 2020) 

(15 U.S.C. 632(a)(2)). 

__ (ii) Alternate I (MAR 2020) of 52.219-28. 

__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged 

Women-Owned Small Business Concerns (Mar 2020) (15 U.S.C. 637(m)). 

__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business 

Concerns Eligible Under the Women-Owned Small Business Program (Mar2020) (15 U.S.C. 637(m)). 

__ (25) 52.219-32, Orders Issued Directly Under Small Business Reserves (Mar 2020) 

(15 U.S.C. 644(r)). 

__ (26) 52.219-33, Nonmanufacturer Rule (Mar 2020) (15U.S.C. 637(a)(17)). 

_X_ (27) 52.222-3, Convict Labor (Jun 2003) (E.O.11755). 

_X_ (28) 52.222-19, Child Labor-Cooperation with Authorities and Remedies (Jan2020) (E.O.13126). 

_X_ (29) 52.222-21, Prohibition of Segregated Facilities (Apr 2015). 

_X_ (30) (i) 52.222-26, Equal Opportunity (Sep 2016) (E.O.11246). 

__ (ii) Alternate I (Feb 1999) of 52.222-26. 

_X_ (31) (i) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212). 

__ (ii) Alternate I (Jul 2014) of 52.222-35. 

_X_ (32) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793). 

__ (ii) Alternate I (Jul 2014) of 52.222-36. 

_X_ (33) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212). 

_X_ (34) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 

2010) (E.O. 13496). 

_X_ (35) (i) 52.222-50, Combating Trafficking in Persons (Oct 2020) (22 U.S.C. chapter 78 and E.O. 

13627). 

__ (ii) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627). 
6 

_X_ (36) 52.222-54, Employment Eligibility Verification (Oct 2015). (Executive Order 12989). (Not 

applicable to the acquisition of commercially available off-the-shelf items or certain other types of 

commercial items as prescribed in 22.1803.) 

__ (37) (i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA–Designated 

Items (May 2008) ( 42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially 

available off-the-shelf items.) 

__ (ii) Alternate I (May 2008) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)). (Not applicable to the acquisition 

of commercially available off-the-shelf items.) 

__ (38) 52.223-11, Ozone-Depleting Substances and High Global Warming Potential 

Hydrofluorocarbons (Jun 2016) (E.O. 13693). 

__ (39) 52.223-12, Maintenance, Service, Repair, or Disposal of Refrigeration Equipment and Air 

Conditioners (Jun 2016) (E.O. 13693). 

__ (40) (i) 52.223-13, Acquisition of EPEAT®-Registered Imaging Equipment (Jun 2014) (E.O.s 13423 

and 13514). 

__ (ii) Alternate I (Oct 2015) of 52.223-13. 

__ (41) (i) 52.223-14, Acquisition of EPEAT®-Registered Televisions (Jun 2014) (E.O.s 13423 and 

13514). 

__ (ii) Alternate I (Jun2014) of 52.223-14. 

__ (42) 52.223-15, Energy Efficiency in Energy-Consuming Products (May 2020) (42 U.S.C. 8259b). 

__ (43) (i) 52.223-16, Acquisition of EPEAT®-Registered Personal Computer Products (Oct 2015) 

(E.O.s 13423 and 13514). 

__ (ii) Alternate I (Jun 2014) of 52.223-16. 

_X_ (44) 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (Jun 2020) 

(E.O. 13513). 

__ (45) 52.223-20, Aerosols (Jun 2016) (E.O. 13693). 

__ (46) 52.223-21, Foams (Jun2016) (E.O. 13693). 

_X_ (47) (i) 52.224-3 Privacy Training (Jan 2017) (5 U.S.C. 552 a). 

__ (ii) Alternate I (Jan 2017) of 52.224-3. 

_X_ (48) 52.225-1, Buy American-Supplies (May 2014) (41 U.S.C. chapter 83). 
7 

__ (49) (i) 52.225-3, Buy American-Free Trade Agreements-Israeli Trade Act (May 2014) 

(41 U.S.C.chapter83, 19 U.S.C. 3301 note, 19 U.S.C. 2112 note, 19 U.S.C. 3805 note, 19 U.S.C. 4001 

note, Pub. L. 103-182, 108-77, 108-78, 108-286, 108-302, 109-53, 109-169, 109-283, 110-138, 112-

41, 112-42, and 112-43. 

__ (ii) Alternate I (May 2014) of 52.225-3. 

__ (iii) Alternate II (May 2014) of 52.225-3. 

__ (iv) Alternate III (May 2014) of 52.225-3. 

__ (50) 52.225-5, Trade Agreements (Oct 2019) (19 U.S.C. 2501, et seq., 19 U.S.C. 3301 note). 

_X_ (51) 52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008) (E.O.’s, proclamations, and 

statutes administered by the Office of Foreign Assets Control of the Department of the Treasury). 

__ (52) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 

2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 

10 U.S.C. 2302Note). 

__ (53) 52.226-4, Notice of Disaster or Emergency Area Set-Aside (Nov2007) (42 U.S.C. 5150). 

__ (54) 52.226-5, Restrictions on Subcontracting Outside Disaster or Emergency Area (Nov2007) 

(42 U.S.C. 5150). 

__ (55) 52.229-12, Tax on Certain Foreign Procurements (Jun 2020). 

__ (56) 52.232-29, Terms for Financing of Purchases of Commercial Items (Feb 2002) 

(41 U.S.C. 4505, 10 U.S.C. 2307(f)). 

__ (57) 52.232-30, Installment Payments for Commercial Items (Jan2017) (41 U.S.C. 4505, 

10 U.S.C. 2307(f)). 

_X_ (58) 52.232-33, Payment by Electronic Funds Transfer-System for Award Management 

(Oct2018) (31 U.S.C. 3332). 

__ (59) 52.232-34, Payment by Electronic Funds Transfer-Other than System for Award Management 

(Jul 2013) (31 U.S.C. 3332). 

__ (60) 52.232-36, Payment by Third Party (May 2014) (31 U.S.C. 3332). 

__ (61) 52.239-1, Privacy or Security Safeguards (Aug 1996) (5 U.S.C. 552a). 

__ (62) 52.242-5, Payments to Small Business Subcontractors (Jan 2017) (15 U.S.C. 637(d)(13)). 

__ (63) (i) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) 

(46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631). 
8 

__ (ii) Alternate I (Apr 2003) of 52.247-64. 

__ (iii) Alternate II (Feb 2006) of 52.247-64. 

(c) The Contractor shall comply with the FAR clauses in this paragraph (c), applicable to commercial 

services, that the Contracting Officer has indicated as being incorporated in this contract by reference to 

implement provisions of law or Executive orders applicable to acquisitions of commercial items: 

 [Contracting Officer check as appropriate.] 

_X_ (1) 52.222-41, Service Contract Labor Standards (Aug 2018) (41 U.S.C. chapter67). 

__ (2) 52.222-42, Statement of Equivalent Rates for Federal Hires (May 2014) (29 U.S.C. 206 and 

41 U.S.C. chapter 67). 

_X_ (3) 52.222-43, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment 

(Multiple Year and Option Contracts) (Aug 2018) (29 U.S.C. 206 and 41 U.S.C. chapter 67). 

_X_ (4) 52.222-44, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment 

(May 2014) ( 29U.S.C.206 and 41 U.S.C. chapter 67). 

__ (5) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts 

for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May 2014) 

(41 U.S.C. chapter 67). 

__ (6) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts 

for Certain Services-Requirements (May 2014) (41 U.S.C. chapter 67). 

_X_ (7) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015). 

_X_ (8) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706). 

__ (9) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) 

(42 U.S.C. 1792). 

(d) Comptroller General Examination of Record. The Contractor shall comply with the provisions of this 

paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified 

acquisition threshold, as defined in FAR 2.101, on the date of award of this contract, and does not 

contain the clause at 52.215-2, Audit and Records-Negotiation. 

(1) The Comptroller General of the United States, or an authorized representative of the Comptroller 

General, shall have access to and right to examine any of the Contractor’s directly pertinent records 

involving transactions related to this contract. 

(2) The Contractor shall make available at its offices at all reasonable times the records, materials, 

and other evidence for examination, audit, or reproduction, until 3 years after final payment under 

this contract or for any shorter period specified in FAR subpart 4.7, Contractor Records Retention, of 
9 

the other clauses of this contract. If this contract is completely or partially terminated, the records 

relating to the work terminated shall be made available for 3 years after any resulting final 

termination settlement. Records relating to appeals under the disputes clause or to litigation or the 

settlement of claims arising under or relating to this contract shall be made available until such 

appeals, litigation, or claims are finally resolved. 

(3) As used in this clause, records include books, documents, accounting procedures and practices, 

and other data, regardless of type and regardless of form. This does not require the Contractor to 

create or maintain any record that the Contractor does not maintain in the ordinary course of 

business or pursuant to a provision of law. 

(e) 

(1) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c), and (d) of this clause, 

the Contractor is not required to flow down any FAR clause, other than those in this paragraph (e)(1) 

in a subcontract for commercial items. Unless otherwise indicated below, the extent of the flow 

down shall be as required by the clause- 

(i) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509). 

(ii) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or 

Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further 

Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in 

subsequent appropriations acts (and as extended in continuing resolutions)). 

(iii) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or 

Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-

91). 

(iv) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video 

Surveillance Services or Equipment. (Aug 2020) (Section 889(a)(1)(A) of Pub. L. 115-232). 

(v) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)), in all 

subcontracts that offer further subcontracting opportunities. If the subcontract (except 

subcontracts to small business concerns) exceeds the applicable threshold specified in FAR 

19.702(a) on the date of subcontract award, the subcontractor must include 52.219-8 in lower 

tier subcontracts that offer subcontracting opportunities. 

(vi) 52.222-21, Prohibition of Segregated Facilities (Apr 2015). 

(vii) 52.222-26, Equal Opportunity (Sep 2015) (E.O.11246). 

(viii) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212). 

(ix) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793). 
10 

(x) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212). 

(xi) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 

2010) (E.O. 13496). Flow down required in accordance with paragraph (f) of FAR clause 52.222-

40. 

(xii) 52.222-41, Service Contract Labor Standards (Aug2018) (41 U.S.C. chapter 67). 

(xiii) 

(A) 52.222-50, Combating Trafficking in Persons (Oct 2020) (22 U.S.C. chapter 78 and E.O 

13627). 

(B) Alternate I (Mar2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627). 

(xiv) 52.222-51, Exemption from Application of the Service Contract Labor Standards to 

Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements 

(May2014) (41 U.S.C. chapter 67). 

(xv) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts 

for Certain Services-Requirements (May2014) (41 U.S.C. chapter 67). 

(xvi) 52.222-54, Employment Eligibility Verification (Oct 2015) (E.O. 12989). 

(xvii) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015). 

(xviii) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706). 

(xix) 

(A) 52.224-3, Privacy Training (Jan 2017) (5 U.S.C. 552a). 

(B) Alternate I (Jan 2017) of 52.224-3. 

(xx) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 

2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 

10 U.S.C. 2302 Note). 

(xxi) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) 

(42 U.S.C. 1792). Flow down required in accordance with paragraph (e) of FAR clause 52.226-6. 

(xxii) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) 

(46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631). Flow down required in accordance with paragraph 

(d) of FAR clause 52.247-64. 

(2) While not required, the Contractor may include in its subcontracts for commercial items a 

minimal number of additional clauses necessary to satisfy its contractual obligations. 
11 

 (End of Clause) 

I.1.3 FAR 52.215-21 – Requirement for Certified Cost or Pricing Data and Data 

Other Than Certified Cost or Pricing Data-Modifications (Alt I and Alt III) (JUN 

2020) 

(a) Exceptions from certified cost or pricing data. 

(1) In lieu of submitting certified cost or pricing data for modifications under this contract, for price 

adjustments expected to exceed the threshold set forth in Federal Acquisition Regulation (FAR) 

15.403-4(a)(1) on the date of the agreement on price or the date of the award, whichever is 

later, the Contractor may submit a written request for exception by submitting the information 

described in paragraphs (a)(1)(i) and (ii) of this clause. If the threshold for submission of certified 

cost or pricing data specified in FAR 15.403-4(a)(1) is adjusted for inflation as set forth in FAR 

1.109(a), then pursuant to FAR 1.109(d) the changed threshold applies throughout the 

remaining term of the contract, unless there is a subsequent threshold adjustment. The 

Contracting Officer may require additional supporting information, but only to the extent 

necessary to determine whether an exception should be granted, and whether the price is fair 

and reasonable— 

(i) Identification of the law or regulation establishing the price offered. If the price is controlled 

under law by periodic rulings, reviews, or similar actions of a governmental body, attach a 

copy of the controlling document, unless it was previously submitted to the contracting 

office. 

(ii) Information on modifications of contracts or subcontracts for commercial items. 

(A) If— 

(I) The original contract or subcontract was granted an exception from certified cost or 

pricing data requirements because the price agreed upon was based on adequate 

price competition or prices set by law or regulation, or was a contract or 

subcontract for the acquisition of a commercial item; and 

(II) The modification (to the contract or subcontract) is not exempted based on one of 

these exceptions, then the Contractor may provide information to establish that the 

modification would not change the contract or subcontract from a contract or 

subcontract for the acquisition of a commercial item to a contract or subcontract for 

the acquisition of an item other than a commercial item. 

(B) For a commercial item exception, the Contractor shall provide, at a minimum, 

information on prices at which the same item or similar items have previously been sold 
12 

that is adequate for evaluating the reasonableness of the price of the modification. Such 

information may include- 

(I) For catalog items, a copy of or identification of the catalog and its date, or the 

appropriate pages for the offered items, or a statement that the catalog is on file in 

the buying office to which the proposal is being submitted. Provide a copy or 

describe current discount policies and price lists (published or unpublished), e.g.,

wholesale, original equipment manufacturer, or reseller. Also explain the basis of 

each offered price and its relationship to the established catalog price, including 

how the proposed price relates to the price of recent sales in quantities similar to 

the proposed quantities. 

(II) For market-priced items, the source and date or period of the market quotation or 

other basis for market price, the base amount, and applicable discounts. In addition, 

describe the nature of the market. 

(III) For items included on an active Federal Supply Service Multiple Award Schedule 

contract, proof that an exception has been granted for the schedule item. 

(2) The Contractor grants the Contracting Officer or an authorized representative the right to 

examine, at any time before award, books, records, documents, or other directly pertinent 

records to verify any request for an exception under this clause, and the reasonableness of 

price. For items priced using catalog or market prices, or law or regulation, access does not 

extend to cost or profit information or other data relevant solely to the Contractor’s 

determination of the prices to be offered in the catalog or marketplace. 

(b) Requirements for certified cost or pricing data. If the Contractor is not granted an exception from 

the requirement to submit certified cost or pricing data, the following applies: 

(1) The Contractor shall submit certified cost or pricing data, data other than certified cost or 

pricing data, and supporting attachments prepared in the following format: to be agreed 

upon for each instance requiring certified cost or pricing data.

(2) As soon as practicable after agreement on price, but before award (except for unpriced 

actions), the Contractor shall submit a Certificate of Current Cost or Pricing Data, as 

prescribed by FAR 15.406-2. 

(c) Submit the cost portion of the proposal via the following electronic media: to be agreed upon for 

each instance requiring certified cost or pricing data.

(End of Clause) 

I.1.4 FAR 52.217-8 - Option to Extend Services (NOV 1999) (Deviation) 
13 

(a) The Government may require continued performance of any services within the limits and at the 

rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing 

labor rates provided by the Secretary of Labor. The option provision may be exercised more than 

once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting 

Officer may exercise the option by written notice to the Contractor within 60 days. 

(b) The rates shall be determined to be the price or rate of each applicable CLIN as stated in Section B of 

the awarded CLIN that corresponds with the most recently entered period of performance. 

Evaluation of proposed CLIN prices constitutes evaluation of the price or rate used for options 

exercised under this clause. 

(End of Clause) 

I.1.5 FAR 52.217-9 - Option to Extend the Term of the Contract (MAR 2000) 

(a) The Government may extend the term of this contract by written notice to the Contractor within 

30 days; provided that the Government gives the Contractor a preliminary written notice of its 

intent to extend at least 60 days before the contract expires. The preliminary notice does not 

commit the Government to an extension. 

(b) If the Government exercises this option, the extended contract shall be considered to include this 

option clause. 

(c) The total duration of this contract, including the exercise of any options under this clause, shall 

not exceed negotiated phase-in duration plus 12 years. 

(End of Clause) 

I.1.6 FAR 52.232-19 Availability of Funds for the Next Fiscal Year (APR 

1984)(Deviation) 

Funds are not presently available for performance under this contract beyond the end of any fiscal year 

(30 Sep). The Government’s obligation for performance of this contract beyond that date is contingent 

upon the availability of budgeted funds from which payment for contract purposes can be made. No 

legal liability on the part of the Government for any payment may arise for performance under this 

contract beyond the end of the fiscal year, until funds are made available to the Contracting Officer for 

performance and until the Contractor receives notice of availability, to be confirmed in writing by the 

Contracting Officer. 

(End of Clause) 

I.1.7 FAR 52.243-7 – Notification of Changes (JAN 2017) 

(a) Definitions. "Contracting Officer," as used in this clause, does not include any representative of the 

Contracting Officer. 
14 

 "Specifically Authorized Representative (SAR)," as used in this clause, means any person the 

Contracting Officer has so designated by written notice (a copy of which shall be provided to the 

Contractor) which shall refer to this paragraph and shall be issued to the designated representative 

before the SAR exercises such authority. 

(b) Notice. The primary purpose of this clause is to obtain prompt reporting of Government conduct 

that the Contractor considers to constitute a change to this contract. Except for changes identified 

as such in writing and signed by the Contracting Officer, the Contractor shall notify the 

Administrative Contracting Officer in writing promptly, within 10 calendar days from the date that 

the Contractor identifies any Government conduct (including actions, inactions, and written or oral 

communications) that the Contractor regards as a change to the contract terms and conditions. On 

the basis of the most accurate information available to the Contractor, the notice shall state- 

(1) The date, nature, and circumstances of the conduct regarded as a change; 

(2) The name, function, and activity of each Government individual and Contractor official or 

employee involved in or knowledgeable about such conduct; 

(3) The identification of any documents and the substance of any oral communication involved in 

such conduct; 

(4) In the instance of alleged acceleration of scheduled performance or delivery, the basis upon 

which it arose; 

(5) The particular elements of contract performance for which the Contractor may seek an 

equitable adjustment under this clause, including- 

(i) What line items have been or may be affected by the alleged change; 

(ii) What labor or materials or both have been or may be added, deleted, or wasted by the 

alleged change; 

(iii) To the extent practicable, what delay and disruption in the manner and sequence of 

performance and effect on continued performance have been or may be caused by the 

alleged change; 

(iv) What adjustments to contract price, delivery schedule, and other provisions affected by the 

alleged change are estimated; and 

(6) The Contractor’s estimate of the time by which the Government must respond to the 

Contractor’s notice to minimize cost, delay or disruption of performance. 

(c) Continued performance. Following submission of the notice required by paragraph (b) of this clause, 

the Contractor shall diligently continue performance of this contract to the maximum extent 

possible in accordance with its terms and conditions as construed by the Contractor, unless the 

notice reports a direction of the Contracting Officer or a communication from a SAR of the 

Contracting Officer, in either of which events the Contractor shall continue performance; provided, 

however, that if the Contractor regards the direction or communication as a change as described in 
15 

paragraph (b) of this clause, notice shall be given in the manner provided. All directions, 

communications, interpretations, orders and similar actions of the SAR shall be reduced to writing 

promptly and copies furnished to the Contractor and to the Contracting Officer. The Contracting 

Officer shall promptly countermand any action which exceeds the authority of the SAR. 

(d) Government response. The Contracting Officer shall promptly, within 10 calendar days after receipt 

of notice, respond to the notice in writing. In responding, the Contracting Officer shall either- 

(1) Confirm that the conduct of which the Contractor gave notice constitutes a change and when 

necessary direct the mode of further performance; 

(2) Countermand any communication regarded as a change; 

(3) Deny that the conduct of which the Contractor gave notice constitutes a change and when 

necessary direct the mode of further performance; or 

(4) In the event the Contractor’s notice information is inadequate to make a decision under 

paragraphs (d)(1), (2), or (3) of this clause, advise the Contractor what additional information is 

required, and establish the date by which it should be furnished and the date thereafter by 

which the Government will respond. 

(e) Equitable adjustments. 

(1) If the Contracting Officer confirms that Government conduct effected a change as alleged by the 

Contractor, and the conduct causes an increase or decrease in the Contractor’s cost of, or the 

time required for, performance of any part of the work under this contract, whether changed or 

not changed by such conduct, an equitable adjustment shall be made- 

(i) In the contract price or delivery schedule or both; and 

(ii) In such other provisions of the contract as may be affected. 

(2) The contract shall be modified in writing accordingly. In the case of drawings, designs or 

specifications which are defective and for which the Government is responsible, the equitable 

adjustment shall include the cost and time extension for delay reasonably incurred by the 

Contractor in attempting to comply with the defective drawings, designs or specifications before 

the Contractor identified, or reasonably should have identified, such defect. When the cost of 

property made obsolete or excess as a result of a change confirmed by the Contracting Officer 

under this clause is included in the equitable adjustment, the Contracting Officer shall have the 

right to prescribe the manner of disposition of the property. The equitable adjustment shall not 

include increased costs or time extensions for delay resulting from the Contractor’s failure to 

provide notice or to continue performance as provided, respectively, in paragraphs (b) and (c) of 

this clause. 

 

Note: The phrases "contract price" and "cost" wherever they appear in the clause, may be appropriately 

modified to apply to cost-reimbursement or incentive contracts, or to combinations thereof. 

(End of Clause) 
16 

I.1.8 FAR 52.244-6 – Subcontracts for Commercial Items (AUG 2019) 

(a) Definitions. As used in this clause— 

“Commercial item and commercially available off-the-shelf item” have the meanings contained Federal 

Acquisition Regulation 2.101, Definitions. 

“Subcontract” includes a transfer of commercial items between divisions, subsidiaries, or affiliates of the 

Contractor or subcontractor at any tier. 

(b) To the maximum extent practicable, the Contractor shall incorporate, and require its subcontractors 

at all tiers to incorporate, commercial items or nondevelopmental items as components of items to be 

supplied under this contract. 

(c) 

(1) The Contractor shall insert the following clauses in subcontracts for commercial items: 

(i) 52.203-13, Contractor Code of Business Ethics and Conduct (Oct 2015) (41 U.S.C. 3509), if 

the subcontract exceeds $5.5 million and has a performance period of more than 120 days. 

In altering this clause to identify the appropriate parties, all disclosures of violation of the 

civil False Claims Act or of Federal criminal law shall be directed to the agency Office of the 

Inspector General, with a copy to the Contracting Officer. 

(ii) 52.203-15, Whistleblower Protections Under the American Recovery and Reinvestment Act 

of 2009 (Jun 2010) (Section 1553 of Pub. L. 111-5), if the subcontract is funded under the 

Recovery Act. 

(iii) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or 

Statements (Jan 2017). 

(iv) 52.204-21, Basic Safeguarding of Covered Contractor Information Systems (JUN 2016) other 

than subcontracts for commercially available off-the-shelf items, if flow down is required in 

accordance with paragraph (c ) of FAR clause 52.204-21. 

(v) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or 

Provided by Kaspersky Lab and Other Covered Entities (JUL 2018) (Section 1634 of Pub. L. 

115-91). 

(vi) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video 

Surveillance Services or Equipment. (AUG 2019) (Section 889(a)(1)(A) of Pub. L. 115-232). 

(vi) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)), if 

the subcontract offers further subcontracting opportunities. If the subcontract (except 

subcontracts to small business concerns) exceeds $700,000 ($1.5 million for construction of 
17 

any public facility), the subcontractor must include 52.219-8 in lower tier subcontracts that 

offer subcontracting opportunities. 

(vii)52.222-21, Prohibition of Segregated Facilities (Apr 2015). 

(viii) 52.222-26, Equal Opportunity (Sep 2016) (E.O. 11246). 

(ix) 52.222-35, Equal Opportunity for Veterans (Oct 2015) (38 U.S.C. 4212(a)); 

(x) 52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014) (29 U.S.C. 793). 

(xi) 52.222-37, Employments Reports on Veterans (Feb 2016) (38 U.S.C. 4212). 

(xii) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 

2010) (E.O. 13496), if flow down is required in accordance with paragraph (f) of FAR clause 

52.222-40. 

(xiv) 

(A) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O. 

13627). 

(B) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627). 

(xv) 52.222-55, Minimum Wages under Executive Order 13658 (Dec 2015), if flowdown is 

required in accordance with paragraph (k) of FAR clause 52.222-55. 

(xvi) 52.222-62, Paid Sick Leave Under Executive Order 13706 (JAN 2017) (E.O. 13706), if flow 

down is required in accordance with paragraph (m) of FAR clause 52.222-62. 

(xvii) 

(A) 52.224-3, Privacy Training (JAN 2017) (5 U.S.C. 552a) if flow down is required in 

accordance with 52.224-3(f). 

(B) Alternate I (JAN 2017) of 52.224-3, if flow down is required in accordance with 52.224-

3(f) and the agency specifies that only its agency-provided training is acceptable. 

(xviii) 52.225-26, Contractors Performing Private Security Functions Outside the United States 

(Oct 2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal 

Year 2008; 10 U.S.C. 2302 Note). 

(xix) 52.232-40, Providing Accelerated Payments to Small Business Subcontractors (Dec 2013), if 

flow down is required in accordance with paragraph (c) of FAR clause 52.232-40. 

(xx) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 

U.S.C. App. 1241 and 10 U.S.C. 2631), if flow down is required in accordance with paragraph 

(d) of FAR clause 52.247-64. 

(2) While not required, the Contractor may flow down to subcontracts for commercial items a 

minimal number of additional clauses necessary to satisfy its contractual obligations. 
18 

(d) The Contractor shall include the terms of this clause, including this paragraph (d), in subcontracts 

awarded under this contract. 

(e) All clauses listed in Section H must flow-down to all sub-contracts. 

(End of Clause) 

I.1.10 FAR 52.252-2 - Clauses Incorporated by Reference (FEB 1998) 

This contract incorporates one or more clauses by reference, with the same force and effect as if they 

were given in full text. Upon request, the Procuring Contracting Officer will make their full text 

available. Also, the full text of a clause may be accessed electronically at these addresses: 

https://acquisition.gov/far/index.html 

(End of Clause) 

I.2 CLAUSES INCORPORATED BY REFERENCE 

FAR Clause Title Date 

52.202-1 Definitions NOV 2013 

52.203-3 Gratuities APR 1984 

52-203-12 Limitation on Payments to Influence Certain Federal Transactions OCT 2010 

52.203-17 Contractor Employee Whistleblower Rights and Requirement To Inform 

Employees of Whistleblower Rights 

APR 2014 

52.204-2 Security Requirements AUG 1996 

52.204-4 Printed or Copied Double-Sided on Postconsumer Fiber Content Paper MAY 2011 

52.204-9 Personal Identity Verification of Contractor Personnel JAN 2011 

52.204-12 Unique Entity Identifier Maintenance OCT 2016 

52.204-13 System for Award Management Maintenance OCT 2013 

52.204-19 Incorporation by Reference of Representations and Certificates DEC 2014 

52.212-4 Contract Terms and Conditions – Commercial Items OCT 2018 

52.217-2 Cancellation Under Multi-year Contracts OCT 1997 

52.222-1 Notice to the Government of Labor Disputes FEB 1997 

52.222-49 Service Contract Labor Standards—Place of Performance Unknown MAY 2014 

52.224-1 Privacy Act Notification APR 1984 

52.224-2 Privacy Act APR 1984 

52.227-1 Authorization and Consent DEC 2007 

52.227-2 Notice and Assistance Regarding Patent and Copyright Infringement DEC 2007 

52.227-11 Patent Rights – Ownership by the Contractor MAY 2014 

52.227-14 Rights in Data – General MAY 2014 

52.227-19 Commercial Computer Software License DEC 2007 

52.229-3 Federal, State, and Local Taxes FEB 2013 
19 

52.232-1 Payments APR 1984 

52.232-8 Discounts for Prompt Payment FEB 2002 

52.232-11 Extras MAY 2001 

52.232-17 Interest MAY 2014 

52.232-18 Availability of Funds APR 1984 

52.232-23 Assignment of Claims MAY 2014 

52.232-25 Prompt Payment JUL 2013 

52.232-39 Unenforceability for Unauthorized Obligations JUN 2013 

52.232-40 Providing Accelerated Payments to Small Business Subcontractors DEC 2013 

52.233-1 Disputes May 2014 

52.237-3 Continuity of Services JAN 1991 

52.239-1 Privacy or Security Safeguards AUG 1996 

52.242-2 Production Progress Report APR 1991 

52.242-13 Bankruptcy JUL 1995 

52.242-15 Stop-Work Order AUG 1989 

52.244-5 Competition in Subcontracting DEC 1996 

52.245-1 Government Property JAN 2017 

52.245-9 Use and Charges APR 2012 

52.246-15 Certificate of Conformance APR 1984 

52.253-1 Computer Generated Forms JAN 1991 

(End of Section I) 
TIB-2021-C-0003 RKSA 

Section J 

1 

Section J – List of Attachments

The following documents are attached and incorporated in this contract: 

J.1 – Statement of Objective (SOO) – B.1, B.2 

J.2 – PLACEHOLDER RESERVED FOR FUTURE USE 

J.3 – PLACEHOLDER RESERVED FOR FUTURE Proposal Pricing Template

J.4 – Minimum Contract Data Requirements List (CDRL) – E.4, E.6, F.3 

J.5 – Performance Requirements Summary (PRS) - E.6, E.7, F.3 

J.6 – Performance Related Compensation Adjustment – F.3 

J.7 – Material Inspection and Receiving Report (DD Form 250) – E.3 – 

http://www.esd.whs.mil/Portals/54/Documents/DD/forms/dd/dd0250.pdf 

J.8 – Invoice Template – G.2 

J.9 – Federal Information Security Modernization Act of 2014 (FISMA) – H.1 - 

https://www.congress.gov/bill/113th-congress/senate-bill/2521 

J.10 – NIST Risk Management Framework (RMF) – H.1 - https://csrc.nist.gov/Projects/RiskManagement/Risk-Management-Framework-(RMF)-Overview 

J.11 – Security and Privacy Controls for Federal Information Systems and Organizations (SP 800-53) – 

H.1 – https://csrc.nist.gov/publications/detials/sp/800-53/rev-4/final 

J.12 – Federal Risk and Authorization Management Program (FedRAMP) – H.3 – 

https://www.fedramp.gov/resources/documents/

J.13 – FRTIB_ISCM_Strategy – H.1 

J.14 – Controlled Unclassified Information Registry – H.5 - 

http://www.archives.gov/cui/registry/category-list.html 

J.15 – Service Organization Control (SOC) 1 Report Type 2, SOC 2 Type 2 and SOC for Cybersecurity – 

H.6 - https://www.aicpa.org/interestareas/frc/assuranceadvisoryservices/serviceorganizationsmanagement.html , 

https://www.aicpa.org/interestareas/frc/assuranceadvisoryservices/aicpacybersecurityinitiative.html 

J.16 – Privacy Act of 1974 (5 U.S.C. § 552a) – H.9 - https://www.justice.gov/opcl/privacy-act-1974 

J.17 – FRTIB Recovery Requirements for Recordkeeping Services – E.6, H.8 
2 

J.18 – Societal Security – Business Continuity Management Systems – Requirements (ISO 22301) – H.8 

- https://www.iso.org/standard/50038.html

J.19 – Standard on Disaster/Emergency Management and Business Continuity/Continuity of 

Operations Programs NFPA 1600 v2016 – H.8 - https://www.nfpa.org/codes-and-standards/all-codesand-standards/list-of-codes-and-standards/detail?code=1600 

J.20 – Freedom of Information Act (5 U.S.C. § 552) – H.9 - https://www.foia.gov/

J.21 – Definition of Federal Record (44 U.S.C. § 3301) – H.9 - 

https://www.gpo.gov/fdsys/granule/USCODE-2008-title44/USCODE-2008-title44-chap33-

sec3301/content-detail.html 

J.22 – Federal Records Act (44 U.S.C. Ch. 21, 29, 31, 33) – H.9 - 

https://www.law.cornell.edu/uscode/text/44/chapter-21 

J.23 – Regulations of the National Archives and Records Administration (NARA) – H.9 - 

https://www.archives.gov/about/regulations/regulations.html 

J.24 – How Do Agencies Manage Records Created Or Received By Contractors? (36 CFR 1222.32) – H.9 - 

https://www.gpo.gov/fdsys/pkg/CFR-2012-title36-vol3/pdf/CFR-2012-title36-vol3-sec1222-32.pdf 

J.25 – Unlawful Access to Stored Communications (18 U.S.C. § 2701) – H.9 - 

https://www.gpo.gov/fdsys/pkg/USCODE-2011-title18/pdf/USCODE-2011-title18-partI-chap121-

sec2701.pdf 

J.26 – Unlawful or Accidental Removal, Defacing, Alteration, or Destruction of Records (36 CFR 1230) – 

H.9 - https://www.gpo.gov/fdsys/pkg/CFR-2011-title36-vol3/pdf/CFR-2011-title36-vol3-part1230.pdf 

J.27 – RESERVED 

J.28 – Sample Associate Contractor Agreement – H.11 

J.29 – Corporate Non-Disclosure Agreement Form – H.13 

J.30 – Federal Employees’ Retirement System Act (FERSA) of 1986 (H.R.2672) – H.19 - 

https://www.congress.gov/bill/99th-congress/house-bill/2672 

J.31 – Employee Contribution Elections, Contribution Allocations, and Automatic Enrollment Program 

(5 U.S.C. § 1600) – H.19 - https://www.gpo.gov/fdsys/pkg/CFR-2011-title5-vol3/pdf/CFR-2011-title5-

vol3-part1600.pdf 

J.32 – Fiduciary Responsibilities; Liability and Penalties (5 U.S.C. § 8477) – H.21 - 

https://www.gpo.gov/fdsys/granule/USCODE-2010-title5/USCODE-2010-title5-partIII-subpartG-chap84-

subchapVII-sec8477 

J.33 – Investment Advisor’s Act of 1940 – H.22, H.23 - 

http://legcounsel.house.gov/Comps/Investment%20Advisers%20Act%20Of%201940.pdf 
3 

J.34 – Bonding (5 U.S.C. § 8478) – H.25 - https://www.gpo.gov/fdsys/granule/USCODE-2011-

title5/USCODE-2011-title5-partIII-subpartG-chap84-subchapVII-sec8478 

J.35 – Assessing Security and Privacy Controls in Federal Information Systems and Organizations (SP 

800-53A) - https://www.nist.gov/publications/release-nist-special-publication-800-53a-revision-4-

assessing-security-and-privacy 

J.36 – Guide for Applying the Risk Management Framework to Federal Information Systems: A 

Security Life Cycle Approach (SP 800-37) – H.27 – https://csrc.nist.gov/publications/detail/sp/800-

37/rev-1/final 

J.37 – Federal Information Processing Standards 199 (FIPS 199) – H.27 – 

https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.199.pdf 

J.38 – General Statutory Exemption for Services or Office Space – H.28 - 

https://www.gpo.gov/fdsys/granule/CFR-2010-title29-vol9/CFR-2010-title29-vol9-sec2550-408b-2 

J.39 – Quality Assurance Surveillance Plan – E.4

J.40 – Library 2 – Operational Narratives – C

J.41 – AFS Vol I - Transition 

J.42 – AFS Vol II Service Delivery 

J.43 – AFS Vol III Security-IT 

J.44 – AFS Vol IV Program Management 

J.45 – AFS Vol V CWBS 

J.46 – AFS Vol VII CPRS J5 & PRCA 

J.47 – AFS Vol VII CPRS J5 

J.48 – AFS Vol VIII Plans 

J.49 – AFS Vol XI Exhibit A – Fraud Protection Plan 

(End of Section J)